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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.

$ 600.735-22 Consultant conduct.

(a) A consultant shall not use his position for the actual or apparent purpose of private gain for himself or another person, particularly one with whom he has family business or financial ties, nor shall he convey inside information (that which has not become part of the body of public information and that would not be available upon request) directly or indirectly to any person for the purpose of private gain for himself or another person, particularly one with whom he has family business or financial ties.

(b) A consultant shall not, either for or without compensation, engage in teaching, lecturing, or writing that is dependent on information obtained as a result of his Government employment, except when that information has been made available to the general public or will be made available on request, or when the Director gives written authorization for the use of nonpublic information on the basis that the use is in the public interest.

(c) A consultant shall not use his position with the Foundation to coerce or give the appearance of coercing a person to provide private gain for himself or another person.

(d) A consultant shall not, in connection with his NSF duties, receive or solicit from anyone having business with the Foundation anything of value such as a gift, gratuity, loan, or entertainment for himself or another person. (This does not prohibit the infrequent acceptance of unsolicited advertising or promotional materials of nominal value such as pens, note pads, or calendars, or the acceptance of food or refreshments of nominal value characteristic of luncheon or dinner meetings.)

(e) A consultant shall adhere to the same standards of conduct made applicable to employees of the National Science Foundation by $ 600.735–9 (a) through (d), (f), and (k) through (n). $ 600.735–23 Statements of employment

and financial interests. (a) At the time of appointment, each consultant shall complete and submit to the Personnel Office, National Science Foundation, the form entitled "Statement of Employment and Financial Interests.” Present consultants must submit such statement not later than June 30, 1966. It is necessary that the consultant report all Federal and non-Federal employment, as well as those finan

cial interests which relate either directly or indirectly to his Foundation duties or responsibilities. Inquiries as to whether financial interests relate directly or indirectly to his duties or responsibilities should be directed to the Conflicts-of-Interest Counselor, National Science Foundation.

(b) Consultants 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 consultants' statements of employment and financial interests.

(c) Each consultant must file a supplementary statement of employment and financial interests whenever a significant change occurs in either employment or financial interests to keep his record current.

(d) All original and supplementary statements of employment and financial interests will be held in strictest confidence. Information will not be disclosed from the statement except as the Civil Service Commission or the Director may authorize for good cause shown.

(e) It should be noted that the statements of employment and financial interests and supplementary statements required of consultants 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 a consultant 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. It is the responsibility of each consultant to acquaint himself with the relevant statutes. A listing of such statutes is provided in the Appendix to this part. Upon request, the Personnel Office, National Science Foundation will provide excerpts of pertinent portions of these statutes.

10. The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (5 U.S.C. 637).

11. The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001).

12. The prohibition against mutilating or destroying a public record (18 U.S.C. 2071).

13. The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508).

14. The prohibitions against (1) embezzlement of Government money or property (18 U.S.C. 641); (2) failing to account for public money (18 U.S.C. 643); and (3) embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654).

15. The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285).

16. The prohibition against proscribed political activities—The Hatch Act (5 U.S.C. 118i), and 18 U.S.C. 602, 603, 607, and 608.

$ 600.735–24 Resolution of possible con

flicts-of-interest situations. (a) The Conflicts-of-Interest Counselor of the Foundation is available to provide advice and guidance to each consultant requiring counsel regarding possible conflicts-of-interest situations and will offer the consultant an opportunity to explain any conflict or appearance of conflict. Whenever a consultant has reason to believe that a present or proposed activity or financial interest of his might confiict or might appear to conflict with Government statutes or regulations, he should bring the matter to the attention of the Conflicts-of-Interest Counselor. The Conflicts-of-Interest Counselor will discuss such matters with the consultant, as well as any other possible conflicts-of-interest situations revealed by the statement of employment and financial interests.

(b) Conflicts-of-interests situations that can not be resolved through their discussions will be presented to the General Counsel, who, if necessary, will refer the matter to the Director of the Foundation for resolution. In rare cases when it is not possible to resolve the conflict-ofinterest situation by changing the consultant's duties or by his divesting himself of his conflicting interest, it may be necessary to request he resign his appointment.

APPENDIX The following is a list of statutes related to the conduct of Government employees and consultants. Upon request, pertinent excerpts of these statutes will be made available by the Personnel Office.

1. House Concurrent Resolution 175, 85th Congress, 2d Session, 72 Stat. B12, the "Code of Ethics for Government Service."

2. Chapter 11 of title 18, United States Code, relating to bribery, graft, and conflicts of interest, as appropriate to the employees concerned.

3. The prohibition against lobbying with appropriated funds (18 U.S.C. 1913).

4. The prohibitions against disloyalty and striking (5 U.S.C. 1187, 118r).

5. The prohibition against the employment of a member of a Communist organization (50 U.S.C. 784).

6. The prohibitions against (1) the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783); and (2) the disclosure of confidential information (18 U.S.C. 1905).

7. The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 640).

8. The prohibition against the misuse of a Government vehicle (5 U.S.C. 78C).

9. The prohibition against the misuse of the franking privilege (18 U.S.C. 1719).



SHIPS Sec. 610.1 Purpose. 610.2 Definitions. 610.3 Separate consideration of professional

or academic qualifications and alfirmative declarations as to convictions or pending criminal charges and allegations or complaints by

third parties. 610.4 Substantive criteria. 610.5 Procedures; Special Review Commit

tee. 610.6 Final decision.

AUTHORITY: The provisions of this part 610 issued under sec. 11(a), 64 Stat. 153; 42 U.S.C. 1870.

SOURCE: The provisions of this Part 610 appear at 29 F.R. 14540, Oct. 23, 1964, unless otherwise noted. $ 610.1 Purpose.

This part establishes procedures and criteria, including an opportunity for a hearing by a Review Board established pursuant to Part 630 of this title, for resolving questions arising as to whether the making or continuation of a National Science Foundation Fellowship award would not be in the best interests of the United States on grounds involving the moral character or loyalty of the applicant for, or holder of, such fellowship.

8 610.2 Definitions.

either case it is established that the ap(a) "Special Review Committee" (also

plicant or fellowship holder is, neverreferred to as “Committee") means a

theless, now a person of good moral body composed of the following Founda

character. tion officials: The Deputy Director, as

(b) These criteria are subject to conchairman, the Associate Director (Scien

tinuing review and may be revised from tific Personnel and Education) and the

time to time as experience and circumGeneral Counsel, together with such ad

stances may make it desirable. ditional persons, if any, from sources § 610.5 Procedures; Special Review within or outside the Foundation as may

Committee. be designated from time to time by the

(a) Affirmative declarations made Director.

pursuant to section 16(d) (1) (B) of the (b) "Act" means the National Sci

Act or allegations and complaints by ence Foundation Act of 1950, as amended

third parties pertaining to any individual (42 U.S.C. $$ 1861–1875).

who is the holder of a Fellowship or (c) "Fellowship" (also referred to as

who has been tentatively selected for "award") means an award made by the

such a fellowship on the basis of ac&Foundation to an individual under sec demic consideration shall be referred to tion 10 of the Act.

a Special Review Committee. This Com(d) The terms "Review Panel” and

mittee will make recommendations to "Review Board" refer to the Panel and

the Director as to whether there is subBoard defined in the regulations con stantial reason (pertaining to the moral tained in Part 630 of this chapter.

character or loyalty of the individual (e) "Director" means the Director of

concerned in accordance with $ 610.4) the National Science Foundation.

for a belief that the making or continua(f) "Oath or affirmation of allegiance"

tion of the award would not be in the means the oath or affirmation required best interests of the United States. The under section 16(d) (1) of the Act.

Committee may supplement the informa§ 610.3 Separate consideration of pro

tion referred to it by such correspondfessional or academic qualifications ence, personal interviews or other inforand affirmative declaration as to con mal methods as may be necessary in victions or pending criminal charges order to make the aforementioned and allegations or complaints by determination. third parties.

(b) If, after review of the recommenIn order that objectivity may be main

dations of the Special Review Committained in the selection of candidates (and

tee, the Director is of the opinion that in any decisions as to termination of a

there is substantial reason (pertaining fellowship) on the basis of scholarly

to the moral character or loyalty of the achievement and potential, no advisory

individual concerned in accordance with group or panel involved in making any $ 610.4) for a belief that the making or recommendations as to the selection of continuation of the award would not persons for Fellowships, or in the making

be in the best interests of the United of any recommendations as to their re

States, such individual shall be advised tention as such Fellows, will be made

by written notice that a question or quesaware of any affirmative or negative

tions have arisen involving moral char. criminal declarations made pursuant to

acter or loyalty, and that upon request section 16(d) (1) (B) of the Act, nor of

he will be afforded a hearing thereon in any other information (such as third accordance with Foundation regulations. party allegations) other than that de A copy of the regulations under this part veloped in connection with the submis and a copy of Part 630 of this chapter sion and processing of the application for

shall be enclosed with the notice, which academic considerations.

shall, in addition, (1) set forth, in as

much detail and as specifically as con§ 610.4 Substantive criteria.

siderations of security may permit, the (a) A Fellowship award will be denied information raising the questions peror discontinued where: (1) The oath or taining to moral character or loyalty affirmation of allegiance was not taken and (2) advise that unless a request for or cannot be taken in good faith; or (2) a hearing is made within twenty days there is (1) a conviction of a crime in of the mailing of such notice, the matvolving moral turpitude, or (ii) conduct ter will be referred to the National Sciinvolving moral turpitude, unless in ence Board for å determination as to

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