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restrictions described in Subpart A of this part apply to representational activities involving proposals or projects.
(1) Current-employee restriction. During your Federal employment you must not represent anyone (including yourself) in dealings with any Federal official on any proposal or project.
(2) One-year NSF restriction. For one year after you leave NSF employ. ment you must not represent anyone (including yourself) in dealing with any NSF official on any proposal or project.
(3) "Official responsibility” two-year restriction. For two years after you leave NSF employment you must not represent anyone else in dealing with any Federal official on any proposal or project if the same proposal or project was active under your official responsibility during your last year at the NSF.
(4) "Personal involvement” permanent restriction. You must never represent anyone else in dealings with any Federal official on any proposal or project if you were personally involved with the same proposal or project as an NSF employee.
(b) Examples. Examples 1 through 4 in § 682.10(b) illustrate the application of these restrictions.
(c) General effect. These representational restrictions do not preclude you from being involved as a researcher or educator with proposals submitted to the Government or projects supported by the Government. They do preclude you from negotiating with NSF officials or other Federal officials and from engaging in other representational activities intended to influence their decisions on certain proposals and projects.
(d) Restricted representational dealings. If you write, call, visit, or otherwise communicate with an official you have “dealt” with the official. Those dealings are representational if you try to influence the official to suggest, recommend, or approve:
(1) An award;
(2) An award amount, a budget, or particular budget items;
(3) Particular award terms or condi. tions;
(4) An award amendment, increase, or extension;
(5) An administrative approval; or
(6) Any other action affecting a proposal or project.
(e) Permitted research and educa. tional activities. You do not engage in representational dealings, and so you violate none of the representational restrictions, by:
(1) Participating in research or other work supported under an award from the NSF or another Federal agency;
(2) Being listed as an investigator in a proposal or award;
(3) Preparing a proposal that will be submitted to the NSF or another Federal agency (but if you prepare it during your NSF tenure, you must do so entirely on your own time);
(4) Making a scientific or technical presentation to officials of the NSF or another Federal agency (at a site visit, for example) or otherwise communicating scientific or technical information to them on the work being proposed or conducted; or
(5) Communicating with officials of the NSF or another Federal agency, with no intent to influence them, to request routinely available and noncontroversial information, such as the status of the decision process on a proposal. Be very careful with these last two activities particularly; it would be easy to fall into trying to influence actions of the officials involved. If you can, let someone else make the presentation or request. If in any doubt, consult an ethics counselor in the Office of the General Counsel.
(f) Specifics on proposals. You may prepare a proposal for submission to the NSF or another Federal agency even though you would be precluded by one of the three post-employment restrictions from any representational dealings with agency officials about it. You may sign the cover sheet to signify your agreement to assume responsibility for the scientific and technical direction of the project and for the preparation of required technical reports. You may not, however, sign the cover sheet as "authorized official" or sign any cover letter submitting the proposal for the institution. Nor may you call, write, or visit the agency program 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" all work under an award is to be comin § 682.12(b).
pletely suspended while you are at the (f) “Personal involvement”. You NSF. If the work is to be suspended, were "personally involved" with a pro- you and your institution should so posal or project if you handled the inform the NSF by letter before your peer review of the proposal; if you NSF employment begins. Work under made any formal recommendation or the award may be resumed when you decision on it, including any approval complete your NSF employment, and of an award recommendation or other
its term may be extended to account action; if you reviewed the proposal or for the time lost during your NSF emmade a site visit; or if you otherwise
ployment. made a substantial contribution to the
(d) Substitute negotiator. As soon as handling of the proposal or project.
you leave the NSF, you may again be You will find further elaboration of
principal investigator on an NSF proj. “personally involved” in § 682.12(c).
ect, may be listed as principal investi8 682.22 When you are or would be princi.
gator in any proposal or award, and pal investigator.
may sign a proposal as principal inves
tigator. However, the NSF asks that (a) Retention of ties to research, etc.
you and your institution formally despermitted. Many scientists and educa
ignate (subject to NSF approval) a tors interrupt active research and
“substitute negotiator” who, though teaching careers to spend a year or
not principally responsible for the two at the NSF as “rotators” and then
work, will represent the project and return to research and teaching, usual
the institution in dealings with NSF ly at the same institution from which
officials from which you would be rethey came. Many such rotators (and a
stricted. In the typical case, the onefew permanent employees) who have been principal investigators under
year NSF restriction will require that NSF awards before coming to the
a substitute negotiator continue to NSF, retain some interest or associ
serve that function for one year after
you leave the NSF. In the rarer case of ation with the work. If you have been the principal investigator under an
a proposal or project for which you
had official responsibility or with NSF award, you are not precluded from retaining ties to the work under
which you were personally involved, the award after you become an NSF
there should be a substitute negotiator employee. Subject to the restrictions
for as long as the “official responsibilion outside employment explained in
ty" two-year restriction or the “perPart 683 of the NSF conflict-of-inter
sonal involvement” permanent restricests regulations, you may stay in con
tion bar you from such representationtact with those who are continuing the
al dealings. work in your laboratory or on your
(e) Renewal proposals submitted project. You may continue to super during your NSF service. During your vise graduate students. And you may NSF service a proposal may be submitvisit and work in the laboratory on
ted for continuation or extension of your own time for these purposes. work on which you were principal in
(b) Substitute principal investigator. vestigator before coming to the NSF Before you come to the NSF, however, and to which you intend to return. the NSF requires that you and your The role you will play in the work proinstitution designate, subject to NSF posed should be clearly spelled out in approval, a substitute principal inves the proposal, and the proposal should tigator-i.e., another scientist who will prominently indicate that you are curbe responsible for the work and equip rently an NSF employee. If work ment and will represent the project under a resulting award would begin and the institution in any dealings before you leave the NSF, a substitute with NSF officials while you are at the principal investigator must be named. NSF.
If the work would not begin until after (c) Suspension of work on an NSF you leave the NSF, you may be named award. Appointment of a substitute as principal investigator, but a substiprincipal investigator is unnecessary if tute negotiator must be named.
whole or in part by funds provided from an NSF award. After you cease to be an NSF employee, you may again receive compensation from an NSF award.
(b) Expenses from an NSF award. While an NSF employee you may not receive any reimbursement of expenses from an NSF award except as provided for in § 682.23(c). You may receive reimbursement of expenses from other Federal awards to the extent consistent with $ 683.33.
(c) Rotators home visits. Authorized travel and related expenses may be charged to your NSF award. (47 FR 32140, July 26, 1982; 47 FR 34151, Aug. 6, 1982)
PART 683—OTHER CONFLICTS RULES
Subpart A-Financial Disclosure
(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 during 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 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 indirectly. 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 officer, 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 willful 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) 8 683.10(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.