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restrictions described in Subpart A of (5) An administrative approval; or this part apply to representational ac- (6) Any other action affecting a protivities involving proposals or projects. posal or project.
(1) Current-employee restriction. (e) Permitted research and educaDuring your Federal employment you tional activities. You do not engage in must not represent anyone (including representational dealings, and so you yourself) in dealings with any Federal violate none of the representational official on any proposal or project. restrictions, by: (2) One-year NSF restriction. For
(1) Participating in research or other one year after you leave NSF employ
work supported under an award from ment you must not represent anyone the NSF or another Federal agency; (including yourself) in dealing with
(2) Being listed as an investigator in any NSF official on any proposal or
a proposal or award; project.
(3) Preparing a proposal that will be (3) “Official responsibility” two-year
submitted to the NSF or another Fedrestriction. For two years after you
eral agency (but if you prepare it leave NSF employment you must not
during your NSF tenure, you must do represent anyone else in dealing with
so entirely on your own time); any Federal official on any proposal or
(4) Making a scientific or technical project if the same proposal or project
presentation to officials of the NSF or was active under your official respon
another Federal agency (at a site visit, sibility during your last year at the NSF.
for example) or otherwise communi(4) “Personal involvement” perma
cating scientific or technical informanent restriction. You must never rep
tion to them on the work being proresent anyone else in dealings with
posed or conducted; or any Federal official on any proposal or
(5) Communicating with officials of
the NSF or another Federal agency, project if you were personally involved with the same proposal or project as
with no intent to influence them, to an NSF employee.
request routinely available and non(b) Examples. Examples 1 through 4
controversial information, such as the in § 682.10(b) illustrate the application
status of the decision process on a proof these restrictions.
posal. (c) General effect. These representa- Be very careful with these last two actional restrictions do not preclude you tivities particularly; it would be easy from being involved as a researcher or to fall into trying to influence actions educator with proposals submitted to of the officials involved. If you can, let the Government or projects supported someone else make the presentation or by the Government. They do preclude request. If in any doubt, consult an you from negotiating with NSF offi- ethics counselor in the Office of the cials or other Federal officials and General Counsel. from engaging in other representa- (f) Specifics on proposals. You may tional activities intended to influence prepare a proposal for submission to their decisions on certain proposals the NSF or another Federal agency and projects.
even though you would be precluded (d) Restricted representational deal- by one of the three post-employment ings. If you write, call, visit, or other- restrictions from any representational wise communicate with an official you dealings with agency officials about it. have “dealt” with the official. Those You may sign the cover sheet to signidealings are representational if you fy your agreement to assume responsitry to influence the official to suggest, bility for the scientific and technical recommend, or approve:
direction of the project and for the (1) An award;
preparation of required technical re(2) An award amount, a budget, or ports. You may not, however, sign the particular budget items;
cover sheet as "authorized official" or (3) Particular award terms or condi- sign any cover letter submitting the tions;
proposal for the institution. Nor may (4) An award amendment, increase, you call, write, or visit the agency proor extension;
gram officer who is handling the pro
posal to urge an award, haggle over budgets, or the like. You may respond to requests from the program officer or another NSF official for scientific and technical information relating to the proposal, such as might be needed to respond to reviewer comments. You must not, however, couple the information you supply with any attempt to influence the decision on the proposal other than what inheres in the provision of the information itself. (If possible, have someone else respond.) At the NSF the proposal will receive special scrutiny and may require special handling to avoid conflict of interests, but you have no special responsibility in that connection.
(g) Other issues related to representation. Section 682.12 covers a number of other issues related to representation. Among these are assisting in representation without appearing or communicating with official (generally permitted); assisting by personal presence at an appearance or meeting (generally prohibited); representating the Government (generally permitted); and representing yourself along (depends). The rules and explanations given there apply to proposals or projects just as to other matters. If any confusion persists after you read them, consult an ethics counselor in the Office of the General Counsel.
based on it relate to the same “project". These include:
(1) The initial peer review and award-or-declination decision process;
(2) Review and approvals of an award recommendation;
(3) Negotiation of budget and award terms;
(4) Negotiation of award amendments;
(5) Consideration of continuinggrant increments; and
(6) Consideration of any extensions or administrative approvals.
(c) Exceptions. (1) A negotiation or determination on disposition of rights in any invention or publication that arises out of an award normally is a separate matter from the processing and monitoring of the award, but not from discussions or negotiations about disposition of rights that took place before the invention was made or the publication written.
(2) Separate task orders under a continuing order agreement or the like constitute separate “matters” if the tasks and the negotiations are actually separate.
(3) An ethics counselor may determine that other matters arising from a particular proposal or award constitute separate “matters” if the circumstances warrant.
(d) Renewals. An application that involves a continuation or outgrowth of work that the investigators have been doing under a previous NSF and award is part of the same "project” as the original proposal and project unless:
(1) A complete new proposal and a new budget are submitted;
(2) They are subjected to a complete new competitive peer review or evaluation; and
(3) The review or evaluation involves a new group of reviewers, a substantial fraction of whom did not review the earlier proposal.
(e) “Official responsibility”. You had “official responsibility” for a proposal or project if you were personally responsible for handling it or if you headed a directorate, division, section, or program that was responsible for handling it. (The Director has “official responsibility” for every proposal or project active at the NSF during his or her tenure.) You will find further
8 682.21 Proposals and projects
which you had official responsibility or with which you were personally involved. (a) The “official responsibility” twoyear restriction applies only if you had official responsibility for the proposal or project in question during your last year at the NSF. The “personal involvement” permanent restriction applies only if you were personally involved with the proposal or project while at the NSF. You will therefore need to know: (1) When a project is the same as one proposed or active while you were at the NSF, and (2) whether you had official responsibility for the project or were personally involved with it.
(b) When is a project the same project? All usual aspects of handling a particular proposal and any award
elaboration of "official responsibility”. in $ 682.12(b).
(f) "Personal involvement”. You were “personally involved" with a proposal or project if you handled the peer review of the proposal; if you made any formal recommendation or decision on it, including any approval of an award recommendation or other action; if you reviewed the proposal or made a site visit; or if you otherwise made a substantial contribution to the handling of the proposal or project. You will find further elaboration of “personally involved” in § 682.12(c). 8 682.22 When you are or would be princi
pal investigator. (a) Retention of ties to research, etc. permitted. Many scientists and educators interrupt active research and teaching careers to spend a year or two at the NSF as “rotators" and then return to research and teaching, usually at the same institution from which they came. Many such rotators (and a few permanent employees) who have been principal investigators under NSF awards before coming to the NSF, retain some interest or association with the work. If you have been the principal investigator under an NSF award, you are not precluded from retaining ties to the work under the award after you become an NSF employee. Subject to the restrictions on outside employment explained in Part 683 of the NSF conflict-of-interests regulations, you may stay in contact with those who are continuing the work in your laboratory or on your project. You may continue to supervise graduate students. And you may visit and work in the laboratory on your own time for these purposes.
(b) Substitute principal investigator. Before you come to the NSF, however, the NSF requires that you and your institution designate, subject to NSF approval, a substitute principal investigator-i.e., another scientist who will be responsible for the work and equipment and will represent the project and the institution in any dealings with NSF officials while you are at the NSF.
(c) Suspension of work on an NSF award. Appointment of a substitute principal investigator is unnecessary if
all work under an award is to be completely suspended while you are at the NSF. If the work is to be suspended, you and your institution should so inform the NSF by letter before your NSF employment begins. Work under the award may be resumed when you complete your NSF employment, and its term may be extended to account for the time lost during your NSF employment.
(d) Substitute negotiator. As soon as you leave the NSF, you may again be principal investigator on an NSF proj. ect, may be listed as principal investigator in any proposal or award, and may sign a proposal as principal investigator. However, the NSF asks that you and your institution formally designate (subject to NSF approval) a "substitute negotiator" who, though not principally responsible for the work, will represent the project and the institution in dealings with NSF officials from which you would be restricted. In the typical case, the oneyear NSF restriction will require that a substitute negotiator continue to serve that function for one year after you leave the NSF. In the rarer case of a proposal or project for which you had official responsibility or with which you were personally involved, there should be a substitute negotiator for as long as the “official responsibility" two-year restriction or the “personal involvement” permanent restriction bar you from such representational dealings.
(e) Renewal proposals submitted during your NSF service. During your NSF service a proposal may be submitted for continuation or extension of work on which you were principal investigator before coming to the NSF and to which you intend to return. The role you will play in the work proposed should be clearly spelled out in the proposal, and the proposal should prominently indicate that you are currently an NSF employee. If work under a resulting award would begin before you leave the NSF, a substitute principal investigator must be named. If the work would not begin until after you leave the NSF, you may be named as principal investigator, but a substitute negotiator must be named.
(f) Your involvement or interest in project to be open. The appointment of a substitute principal investigator or a substitute negotiator is not intended to conceal or obscure your continued involvement or interest in the project. Just the opposite: your involvement or interest should be made unmistakably plain. This will ensure that any proposal or other award-related application will be given the special attention and special handling called for under Part 681.
(g) Purposes of "substitute” requirements. The appointment of a “substitute principal investigator” or “substitute negotiator” ensures against unthinking violation of the restrictions on dealings with NSF officials. It serves this purpose by flagging proposals or awards affected by the restrictions and by identifying someone else with whom NSF officials can properly discuss them or negotiate over them. Designation of a substitute principal investigator while you are at the NSF has two additional functions: it identifies another person to be responsible for the work and equipment, and it reminds all concerned that uring your NSF service your primary attentions must be on your NSF duties.
(h) Proposals and awards of other agencies. The “substitute principal investigator" and “substitute negotiator” requirements described in this section are specific to the NSF. If you are or would be a principal investigator under a project proposed to or supported by another Federal agency, however, you should carefully observe the representational restrictions as they apply to dealings with officials of other Federal agencies. The currentemployee restriction is particularly likely to apply. 8 682.23 Compensation or reimbursement
of expenses from Federal awards. (a) Compensation from NSF awards. While you are an NSF employee, you may not receive any salary, consulting fee, honorarium, or other form of compensation for your services from an NSF award either directly or indi. rectly. In other words, you may not receive money for your services in connection with a project, a conference, or other work that was supported in
Sec. 683.10 Who must make general financial
disclosure. 683.11 Financial disclosure requirements
for senior employees. 683.12 Financial disclosure requirements
for other program officers, grants and contracts officers, auditors, and lawyers.
Subpart B-Acts Affecting Financial Interests 683.20 Acts affecting your financial inter
Subpart C-Outside Employment,
Compensation, Income, Gifts, Etc. 683.30 Outside employment (“moonlight
ing”) and income. 683.31 Compensation. 683.32 Honoraria. 683.33 Reimbursements and services in
kind. 683.34 Misuse of inside information or
Government property. 683.35 Participation in NSF-supported con
ferences and workshops. 683.36 Gifts, favors, loans, prizes, and
Subpart D-Political Activity (Hatch Act) 683.40 Introduction; who's covered. 683.41 Basic political rights unaffected. 683.42 Candidacy and campaigns. 683.43 Party activities. 683.44 Political use of official authority or
influence. AUTHORITY: E.O. 11222 of May 8, 1965, 3 CFR, 1965 Supplement and Regulations of
the Office of Personnel Management, 5 CFR 735.104.
SOURCE: 47 FR 32145, July 26, 1982, unless otherwise noted.
Subpart A-Financial Disclosure
8 683.10 Who must make general financial
disclosure (a) If you are an executive level, SES, or supergrade employee, you are a “senior employee" and must file public Financial Disclosure Reports. See § 683.11.
(b) If you are not a "senior employee”, but serve as either a program offi. cer, a directorate administrative official, a grants and contracts officer, an auditor, or a lawyer, you must file confidential Statements of Employment and Financial Interests. See § 683.12.
(c) If you are in neither of these categories, no general financial disclosure is required of you. You may ignore the rest of this subpart.
(d) If you are required to file Financial Disclosure Reports or Statements of Employment and Financial Interests, the Foundation will supply you with the necessary forms. You may ask for them when you need them, but normally they will be sent to you automatically, with instructions.
the public within 15 days after you file it.
(d) Any person who wants to see or copy your Report must make a written request. A copy of any such request will be sent to you.
(e) If you are nominated by the President to an NSF position and must be confirmed by the Senate, your initial Report must be filed with the NSF within five days after your nomination.
(f) If you fail to file a required Report, fail to file information required to be reported, or file false information, you are subject to disciplinary action. If you do any of those things willfully, the law requires the Director of the Foundation to report to the Attorney General, who has authority to enforce the disclosure requirements against any knowing or willful violation by suits seeking civil penalties of up to $5,000.
8 683.11 Financial disclosure requirements
for senior employees. (a) If you are a "senior employee" you must file an initial Financial Disclosure Report within 30 days after you first come to the Foundation or are promoted into a senior-employee position. You must thereafter file a Fi. nancial Disclosure Report by May 15 of each year. And you must file a termination Financial Disclosure Report within 30 days after you leave the Government.
(b) File your Reports with an ethics counselor. The ethics counselor will help with problems or questions that arise in completing the forms, and is required by law to review your Report after you file it. The ethics counselor may contact you about any errors you make in filling out the form or about questions that are raised by what you report.
(c) The law requires the NSF to make each Report you file available to
8 683.12 Financial disclosure requirements
for program officers, grants and con
tracts officers, auditors, and lawyers. (a) § 683.10(b) indicates that you are one of those who must file Statements of Employment and Financial Interests, you must file an initial Statement within 30 days after you are first appointed to a covered position either by promotion or as a new NSF employee. You must thereafter file a Statement each year by July 31.
(b) File your Statements with the Personnel Office.
(c) Your Statements will be held in the strictest confidence allowed by law. The Personnel Office will keep them in a locked file and will release them or allow disclosure of information from them only with your written approval or that of the General Counsel. Before any release or disclosure on the authority of the General Counsel you will be notified and will have an opportunity to comment, except when information is requested for an official investigation of a possible criminal violation.
(d) If you fail to file a required Statement, fail to file information required to be reported, or file false information, you are subject to disciplinary action.