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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 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
the Director or Deputy Director mercial organizations, provided that such gives written authorization for the use services are unrelated to his activities of nonpublic information on the basis at the Foundation and do not draw upon that the use is in the public interest. information deriving from Government However, employees are encouraged to sources not publicly available, engage in teaching, lecturing, and writ (2) Specific examples-(i) Visiting ing not prohibited by the regulations in committees. Employees should not parthis part, by law, or by Executive order. ticipate in the deliberations of a college
(5) Employees shall not receive any or university visiting committee; howthing of monetary value for any consult ever, an employee may meet with such ing, lecturing, discussion, writing, or groups as a Foundation official where it presentation, the subject of which is de would be appropriate to attend a similar voted to the responsibilities, programs, or meeting with any other comparable operations of the Foundation, or which group requesting his assistance. draws on official data or ideas which (ii) Participation in non-Federal rehave not become part of the body of search institutions. Employees may not public information.
participate in any way in the policy mak(6) Employees shall not serve as or ing or administration of a non-Federal ganizers or directors of scientific confer research institution which receives or ences, colloquia or similar events sup is eligible to receive funds from a Federal ported by grant or contract from the agency. Foundation, but may otherwise partici (iii) Membership and office holding in pate in such events provided they do not professional societies. An employee may receive any compensation or economic be a member of a professional society, benefit for such participation.
but may not serve as an officer except (7) Employees shall avoid any action where the society has not received any whether or not specifically prohibited support from the Foundation during the which might result in or create the ap preceding three years and the employee pearance of:
has no reason to expect it to seek support (i) Using public office for private gain; during the tenure of his office. If the
(ii) Giving preferential treatment to society later requests support from the any person;
Foundation, the employee should resign (iii) Impeding Government efficiency his office in the society or request peror economy;
mission to remain in such office. (iv) Losing complete independence or (i) Misuse of information: For the impartiality;
purpose of furthering a private interest, (v) Making a Government decision employees shall not (except as provided outside official channels; or
in paragraph (g) (4) of this section) di(vi) Affecting adversely the confidence rectly or indirectly use, or allow the use of the public in the integrity of the of, official information obtained through, Government.
or in connection with, his Government (8) Employees may, however, partici employment which has not been made pate in the affairs of, and accept an available to the general public. award for meritorious public contribu (j) Compensation from NSF-awarded tion or achievement given by a chari funds: No employee may receive any table, religious, fraternal, educational, compensation either directly or indirecreational, public service, or civic rectly from NSF funds awarded to conorganization,
tractors or grantees. (h) Advice or assistance to nonprofit (k) Use of Federal property: No emor commercial organizations: The condi ployee may use Federal property or fations under which employees may offer cilities of any kind for other than ofassistance or advice to nonprofit or com ficially approved activities. Every emmercial organizations are set forth in ployee has the responsibility to protect this paragraph (h). Although these and conserve all Federal property which conditions are stated as general rules, has been entrusted to him. illustrative applications to specific situa (1) Exercise of notary powers: Emtions are set forth as an aid to interpre ployees who are notaries public may not tation,
charge or receive any compensation for (1) General rules. While not on of performing any notarial act during workficial duty, an employee may provide ad ing hours, including the luncheon period. vice or assistance and receive compensa (m) Political activity: Restrictions in tion therefor, to either nonprofit or com this section are applicable to employees
on leave, leave without pay, or furlough, positions under a State or local governas well as to other regular employees of ment on a part-time basis only. Interthe Foundation. Individuals whose em mittent employees may hold full-time or ployment is on an intermittent basis (not part-time State or local goverment posioccupying a substantial portion of their tions. In both cases, the above restrictime) are subject to the political-activi tions on political activity must be ties restrictions only while they are in observed. an active-duty status. The period of (n) An employee shall not participate, active-duty status for a particular em while on Government-owned or leased ployee includes the entire 24-hour period property or while on duty for the Govof any day of actual employment. The ernment, in any gambling activity, such Federal Personnel Manual contains in as a lottery or the sale or purchase of formation on such restrictions. Copies numbers, etc. of the Federal Personnel Manual may be
$ 600.735–10 Presenting grievances to consulted in the Personnel Office. If
Congress. an employee is in doubt about permissible activities, he should contact the Per Nothing in this subpart shall be consonnel Office for clarifications.
strued as abridging in any way the right (1) Employees may not use their of of employees, either individually or colficial positions or influence for the pur
lectively, to petition Congress, or any pose of interfering with an election and member thereof or to furnish informathey may not take an active part in tion when appropriate to either House political management or in political of Congress, or to any committee or campaigns, except as provided in sub member thereof. paragraphs (4) and (5) of this para
Subpart B-Standards of Conduct for graph.
Consultants (2) No employee may discriminate against another employee because of his $ 600.735–20 Purpose. political opinions or affiliations.
(a) In order to meet the requirements (3) An employee may not become a
of the Civil Service Commission pertaincandidate for nomination or election to
ing to conflicts of interest and ethical a Federal, State, county, or municipal
conduct, this subpart prescribes NSF office on a partisan political ticket. Nor
policy and procedures governing all NSF may an employee become a candidate
consultants and shall serve as formal as an independent when opposed by a notification of the conditions for serypartisan political candidate, except as
ing as consultants. Acceptance of the provided in subparagraph (4) of this
appointment as consultant signifies that paragraph.
the consultant is subject to and will abide (4) Certain political subdivisions in
by the conditions set forth in this subthe vicinity of Washington, D.C., as well
part. as other municipalities, designated by
(b) To promote the highest possible the CSC, have been granted a limited exception to the rules prohibiting polit
standards of honesty, integrity, and im
partiality in the conduct of its business, ical management or candidacy for local
the National Science Foundation conoffice. In such municipalities, employ
veys to all consultants the regulations ees may become candidates as independ
in this subpart as an aid in the avoidance ents, even when opposed by partisan
of actual or apparent conflicts of interpolitical candidates.
est and misconduct. (5) In general, the Foundation encourages employees to be candidates for,
$ 600.735–21 Scope. and to hold, State, county, or municipal This subpart applies to every consuloffices of a nonpartisan nature when tant appointed by the National Science permitted by law. Employees desiring Foundation and is based upon the standto be candidates for or to hold a State or ards of ethical conduct described in Exlocal office or to undertake the political ective Order 11222. For the purpose of management of a candidacy for such this subpart, “consultant" means a peroffice, must first secure the approval of son retained, designated, appointed or the head of their Division or Office, and employed by NSF with or without comthen forward their request to the Per pensation, to perform temporary duties sonnel Officer for approval.
either in a full-time or intermittent basis, (6) Full-time employees, with the for not to exceed 130 days during any prior consent of the Director, may hold period of 365 consecutive days.
8 600.735–22 Consultant conduct.
cial interests which relate either (a) A consultant shall not use his posi
directly or indirectly to his Foundation tion for the actual or apparent purpose
duties or responsibilities. Inquiries as to
whether financial interests relate diof private gain for himself or another person, particularly one with whom he
rectly or indirectly to his duties or rehas family business or financial ties, nor
sponsibilities should be directed to the
Conflicts-of-Interest Counselor, National shall he convey inside information (that which has not become part of the body
Science Foundation. of public information and that would not
(b) Consultants are not required to be available upon request) directly or
submit information relating to their indirectly to any person for the purpose
financial interests in any professional of private gain for himself or another
society not conducted as a business enperson, particularly one with whom he
terprise as described in the next senhas family business or financial ties.
tence, charitable, religious, social, frater(b) A consultant shall not, either for
nal, recreational, public service, civic, or without compensation, engage in
political, or similar organization not
conducted as a business enterprise. Proteaching, lecturing, or writing that is dependent on information obtained as a
fessional societies, educational instituresult of his Government employment,
tions and other nonprofit organizations except when that information has been
engaged in research, development, or re
lated activities involving grants of money made available to the general public or will be made available on request, or
from, or contracts with, the Govern
ment are deemed "business enterprises" when the Director gives written authorization for the use of nonpublic informa
and are required to be included in con
sultants' statements of employment and tion on the basis that the use is in the
financial interests. public interest.
(c) Each consultant must file a sup(c) A consultant shall not use his position with the Foundation to coerce
plementary statement of employment
and financial interests whenever a sigor give the appearance of coercing a per
nificant change occurs in either employson to provide private gain for himself or another person.
ment or financial interests to keep his
record current. (d) A consultant shall not, in connec
(d) All original and supplementary tion with his NSF duties, receive or solicit from anyone having business with
statements of employment and financial
interests will be held in strictest conthe Foundation anything of value such
fidence. Information will not be disas a gift, gratuity, loan, or entertain
closed from the statement except as ment for himself or another person. (This does not prohibit the infrequent
the Civil Service Commission or the acceptance of unsolicited advertising or
Director may authorize for good cause
shown. promotional materials of nominal value such as pens, note pads, or calendars, or
(e) It should be noted that the statethe acceptance of food or refreshments ments of employment and financial inof nominal value characteristic of
terests and supplementary statements luncheon or dinner meetings.)
required of consultants are in addition (e) A consultant shall adhere to the to, and are not in substitution for, or in same standards of conduct made appli- derogation of, any similar requirement cable to employees of the National imposed by law, regulation, or Executive Science Foundation by $ 600.735–9 (a) order. The submission of the statement through (d), (f), and (k) through (n). or supplementary statement by a con
sultant does not permit him or any other $ 600.735–23 Statements of employment
person to participate in any matter in and financial interests.
which his or the other person's partici(a) At the time of appointment, each
pation is prohibited by law, regulation, consultant shall complete and submit to
or Executive order. It is the responthe Personnel Office, National Science
sibility of each consultant to acquaint Foundation, the form entitled “State
himself with the relevant statutes. A ment of Employment and Financial In
listing of such statutes is provided in the terests.” Present consultants must submit such statement not later than June Appendix to this part. Upon request, the 30, 1966. It is necessary that the con
Personnel Office, National Science Founsultant report all Federal and non-Fed- dation will provide excerpts of pertinent eral employment, as well as those finan- portions of these statutes.