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are required to furnish State taxing au with a matter under his official responthorities (including the District of Co sibility while in the Government, a forlumbia) with a copy of Form W-2 indi mer regular employee of the Foundation cating annual earnings and Federal may not negotiate with NSF, with a view income tax withheld. Employees are to obtaining support for himself or his authorized to pay delinquent Federal organization, by grant, contract, or taxes by payroll deduction, provided that otherwise, within 1 year after having left they make satisfactory arrangements NSF, except with the written authorizawith the Internal Revenue Service to tion of the Director. liquidate their tax liabilities in this man (3) Former employees of the Foundaner. When such arrangements are not tion may not be compensated directly made, District Directors of Internal Rev from an NSF grant or contract within 1 enue have the authority to levy upon the year of their leaving the Foundation, exsalaries of Federal employees for the full cept with the written permission of the amount of delinquent Federal income Director. tax.
(f) Gifts, entertainment, and favors: (d) Financial interests: Any employee (1) Employees may not solicit or accept may hold financial interests and engage directly or indirectly from any person, in financial transactions in the same way institution, corporation, or group, anyas any private citizen not employed by thing of economic value as a gift, grathe Foundation: Provided, That such in tuity, favor, entertainment, or loan, terests or activities are not prohibited which might be reasonably interpreted by law, Executive order, or the regula by others as being of such a nature that tions in this part. In particular, no It would affect his impartiality. This is employee may have any direct or indirect especially applicable in those instances financial interest that conflicts substan where the employee has reason to betially or appears to conflict substantially lieve that the person, institution, corwith his duties and responsibilties as poration, or group: à Foundation employee. No employee (i) Has, is seeking, or is likely to seek shall carry out Foundation duties in
assistance, support, or funds from the volving any organization in which he has Foundation; or à direct or indirect financial interest, (ii) Conducts operations or activities except an organization or financial inter which are involved with, or are supest the reporting of which is waived un ported by, the Foundation; or der $ 600.735–8(g). No employee shall (iii) Has interests which might be engage directly or indirectly in any fi substantially affected by the employee's nancial transaction resulting from, or performance or nonperformance of primarily relying on, information ob duties; or tained through his employment.
(iv) May be attempting to affect the (e) Participation in NSF grants by employee's official actions. former NSF employees: In cases not di (2) As required by law (5 U.S.C. 7351), rectly coming under the prohibitions of no employee shall solicit contributions 18 U.S.C. 207 (relating to activities of from another employee for a gift to an former Government officials), the fol
official superior. A superior shall not aclowing rules shall apply:
cept a gift obtained from contributions (1) Where an employee on leave of from employees receiving less salary than absence from his university or other himself. An employee shall not make a organization has suspended work on an donation as a gift to an employee in a NSF grant or contract to become a Foun superior position. However, it is not indation employee, he may resume his work tended that this paragraph prohibit a under the grant or contract immediately voluntary gift of nominal value or donaupon terminating his service with the tion in a nominal amount made on a speFoundation. He may also apply at once cial occasion such as marriage, illness, or to the Foundation for support for his retirement. resumed activities.
(3) Employees are not permitted to ac(2) In addition to the statutory bars cept a gift, or decoration, or other objects against ever dealing with the U.S. Gov from a foreign government unless auernment in connection with a particular thorized by Congress as provided by the matter in which he participated person Constitution and in 5 U.S.C. 7342. ally and substantially while an employee, (4) Employees may accept promoand against dealing with the Government tional material of nominal intrinsic value for 1 year after leaving in connection such as pens, pencils, note pads, calen
dars, etc. Employees may on infrequent (i) Using public office for private gain; occasions accept items of nominal value (ii) Giving preferential treatment to such as food in the ordinary course of a any person; luncheon or dinner meeting, site visit, or (iii) Impeding Government efficiency professional conference when the em or economy; ployee is properly in attendance.
(iv) Losing complete independence or (g) Outside employment: (1) Em impartiality; ployees shall not engage in any outside (v) Making a Government decision map employment or other outside activity not outside official channels; or compatible with the full and proper dis (vi) Affecting adversely the confidence charge of their Foundation duties and of the public in the integrity of the responsibilities. Incompatible activities Government. include, but are not limited to, accep (8) Employees may, however, partici. tance of anything of monetary value pate in the affairs of, and accept an which may result in or create the ap award for meritorious public contribu- No pearance of a conflict of interest.
tion or achievement given by a chari(2) Employees shall not engage in out table, religious, fraternal, educational, num side employment which tends to impair recreational, public service, or civic their he th or capacity to discharge organizstion. acceptably their duties and responsi (h) Advice or assistance to nonprofit :mar bilities.
or commercial organizations: The condi(3) Employees shall not receive any tions under which employees may offer thing of monetary value from a private assistance or advice to nonprofit or com- " cas source as compensation for their activi mercial organizations are set forth in ties as Foundation employees.
this paragraph (h). (4) Employees shall not engage in (1) General rule. While not on official cerc teaching, lecturing, or writing which is duty, an employee may provide advice who dependent on official information ob or assistance and receive compensa- ir tained as a result of Government employ tion therefor, to either nonprofit or com- mbling ment, except when the information has mercial organizations, provided that such 5, i been, or is being made available to the services are unrelated to his activities general public, or will be made available at the Foundation and do not draw upon to the public on request, or when information deriving from Government the Director or Deputy Director sources not publicly available.
ast gives written authorization for the use (2) Specific situations-(1) Visiting mida of nonpublic information on the basis committees. Except with the specific apthat the use is in the public interest. proval of the Director, employees should However, employees are encouraged to not participate in the deliberations of a ve engage in teaching, lecturing, and writ college or university visiting committee; ing not prohibited by the regulations in however, an employee may meet with this part, by law, or by Executive order. such groups as a Foundation official
(5) Employees shall not receive any where it would be appropriate to attend cu thing of monetary value for any consult a similar meeting with any other coming, lecturing, discussion, writing, or parable group requesting his assistance. Pe presentation, the subject of which is de (ii) Participation in non-Federal revoted to the responsibilities, programs, or search institutions. Except with the speoperations of the Foundation, or which cific approval of the Director, employees draws on official data or ideas which may not participate in any way in the have not become part of the body of policy making or administration of a public information.
non-Federal research institution which (6) Employees shall not serve as or receives or is eligible to receive funds ganizers or directors of scientific confer from a Federal agency. ences, colloquia or similar events sup (iii) Membership and office holding in ported by grant or contract from the professional societies. Except with the Foundation, but may otherwise partici specific approval of the Director, an em. pate in such events provided they do not ployee may be a member of a professional receive any compensation or economic society, but may not serve as an officer benefit for such participation.
except where the society has not received (7) Employees shall avoid any action any support from the Foundation during whether or not specifically prohibited the preceding three years and the em. which might result in or create the ap ployee has no reason to expect it to seek pearance of:
support during the tenure of his office. If
the society later requests support from (3) An employee may not become a the Foundation, the employee should re candidate for nomination or election to
sign his office in the society or request a Federal, State, county, or municipal ezt a permission to remain in such office. office on a partisan political ticket. Nor
(i) Misuse of information: For the may an employee become a candidate per purpose of furthering a private interest, as an independent when opposed by a
employees shall not (except as provided partisan political candidate, except as in paragraph (g) (4) of this section) di provided in subparagraph (4) of this rectly or indirectly use, or allow the use paragraph. of, official information obtained through, (4) Certain political subdivisions in or in connection with, his Government the vicinity of Washington, D.C., as well
employment which has not been made as other municipalities, designated by per available to the general public.
the CSC, have been granted a limited (j) Compensation from NSF-awarded exception to the rules prohibiting politfunds: No employee may receive any ical management or candidacy for local compensation either directly or indi office. In such municipalities, employrectly from NSF funds awarded to con ees may become candidates as independtractors or grantees.
ents, even when opposed by partisan (k) Use of Federal property: No em political candidates. ployee may use Federal property or fa
(5) In general, the Foundation encilities of any kind for other than of
courages employees to be candidates for, ficially approved activities. Every em and to hold, State, county, or municipal ployee has the responsibility to protect offices of a nonpartisan nature when and conserve all Federal property which
permitted by law. Employees desiring has been entrusted to him.
to be candidates for or to hold a State or (1) Exercise of notary powers: Em local office or to undertake the political ployees who are notaries public may not management of a candidacy for such charge or receive any compensation for
office, must first secure the approval of performing any notarial act during work
the head of their Division or Office, and ing hours, including the luncheon period.
then forward their request to the Per(m) Political activity: Restrictions in
sonnel Officer for approval. this section are applicable to employees on leave, leave without pay, or furlough,
(6) Full-time employees, with the as well as to other regular employees of
prior consent of the Director, may hold the Foundation. Individuals whose em
positions under a State or local governployment is on an intermittent basis (not ment on a part-time basis only. Interoccupying a substantial portion of their mittent employees may hold full-time or time) are subject to the political-activi part-time State or local goverment posities restrictions only while they are in tions. In both cases, the above restrican active-duty status. The period of tions on political activity must be active-duty status for a particular em observed. ployee includes the entire 24-hour period (n) An employee shall not participate, of any day of actual employment. The
while on Government-owned or leased Federal Personnel Manual contains information on such restrictions. Copies
property or while on duty for the Govof the Federal Personnel Manual may be
ernment, in any gambling activity, such
as a lottery or the sale or purchase of consulted in the Personnel Office. If
numbers, etc. an employee is in doubt about permissi
(NSF Circ. 54, 31 F.R. 4595, Mar. 18, 1966, as ble activities, he should contact the Per
amended at 33 F.R. 747, Jan. 20, 1968; 33 F.R. sonnel Office for clarifications.
11904, Aug. 22, 1968; 35 F.R. 13133, Aug. 18, (1) Employees may not use their of 1970] ficial positions or influence for the pur
$ 600.735–10 Presenting grievances to pose of interfering with an election and
Congress. they may not take an active part in political management or in political
Nothing in this subpart shall be concampaigns, except as provided in sub
strued as abridging in any way the right
of employees, either individually or colparagraphs (4) and (5) of this paragraph.
lectively, to petition Congress, or any
member thereof or to furnish informa(2) No employee may discriminate tion when appropriate to either House against another employee because of his of Congress, or to any committee or political opinions or affiliations.
Subpart B—Standards of Conduct for ization for the use of nonpublic informaConsultants
tion on the basis that the use is in the
public interest. $ 600.735–20 Purpose.
(c) A consultant shall not use his (a) In order to meet the requirements
position with the Foundation to coerce of the Civil Service Commission pertain or give the appearance of coercing a pering to conflicts of interest and ethical son to provide private gain for himself CO luct, this subpart prescribes NSF
or another person. policy and procedures governing all NSF
(d) A consultant shall not, in connecconsultants and shall serve as formal
tion with his NSF duties, receive or notification of the conditions for sery
solicit from anyone having business with ing as consultants. Acceptance of the
the Foundation anything of value such appointment as consultant signifies that
as a gift, gratuity, loan, or entertainthe consultant is subject to and will abide
ment for himself or another person. by the conditions set forth in this sub
(This does not prohibit the infrequent part.
acceptance of unsolicited advertising or (b) To promote the highest possible
promotional materials of nominal value standards of honesty, integrity, and im
such as pens, note pads, or calendars, or partiality in the conduct of its business,
the acceptance of food or refreshments the National Science Foundation con
of nominal value characteristic of veys to all consultants the regulations
luncheon or dinner meetings.) in this subpart as an aid in the avoidance
(e) A consultant shall adhere to the of actual or apparent conflicts of inter
same standards of conduct made appliest and misconduct.
cable to employees of the National
Science Foundation by $ 600.735–9 (a) $ 600.735–21 Scope.
through (d), (f), and (k) through (n). This subpart applies to every consul $ 600.735–23 Statements of employment tant appointed by the National Science and financial interests. Foundation and is based upon the standards of ethical conduct described in Ex
(a) At the time of appointment, each ective Order 11222. For the purpose of
consultant shall complete and submit to this subpart, “consultant” means a per
the Personnel Office, National Science son retained, designated, appointed or
Foundation, the form entitled "Stateemployed by NSF with or without com
ment of Employment and Financial In
terests.” Present consultants must subpensation, to perform temporary duties either in a full-time or intermittent basis,
mit such statement not later than June for not to exceed 130 days during any
30, 1966. It is necessary that the conperiod of 365 consecutive days.
sultant report all Federal and non-Fed
eral employment, as well as those finan$ 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 shall he convey inside information (that
Conflicts-of-Interest Counselor, National 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 teaching, lecturing, or writing that is de conducted as a business enterprise. Propendent 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 remade available to the general public or lated activities involving grants of money will be made available on request, or from, or contracts with, the Governwhen the Director gives written author ment 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. The Executive Secretary shall maintain the confidential file of statements in such a manner that access to, or the disclosure of information from a statement shall not be allowed except to carry out the purpose of this part.
(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. А 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. (NSF Circ. 54, 31 F.R. 4595, Mar. 18, 1966, as amended at 33 F.R. 747, Jan. 20, 1968] $ 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 conflict 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 ethical and other conduct of Government employees. 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 “Codo of Ethics for Government Service."
2. Chapter II of Title 18, United States Code, relating to bribery, graft, and conflictsof-interest, as appropriate to the employees concerned.
3. The prohibition against lobbying with appropriated funds (18 U.S.C. 1918).
4. The prohibition against disloyalty and striking (5 U.S.C. 7811, 18 U.S.C. 1918).
5. The prohibition against the employment of a member of the Communist organization (50 U.S.C. 784).
6. The prohibitions against (1) the disa closure 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. 7352).
8. The prohibition against the misuse of a Government vehicle (31 U.S.C. 638a (c)).
9. The prohibition against the misuse of the franking privilege (18 U.S.C. 1719).
10. The prohibition ainst the use of deceit in an examination or personnel action in connection with Government employment (18 U.S.C. 1917).
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),