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Subpart B-Acts Affecting Financial


ployee. You “may become" part of an organization if you are negotiating with it or have an arrangement with it concerning a position.

(h) Waiver. This provision may be waived where the interest is so insubstantial as to be unlikely to affect the integrity of your services to the Government. If you think such a waiver is called for, consult an ethics counselor in the Office of the General Counsel. The ethics counselor will advise you and will make a recommendation to the official who would have to approve such a waiver.

Subpart C-Outside Employment, Compensation, Income, Gifts, etc.

$ 683.20 Acts affecting your financial in

terests. (a) No acting as a Federal employee where you have a financial interest. You must not be personally involved as a Federal employee in handling of any proposal, award, or other matter in which you, a member of your immediate family, a business partner, or an organization of which you are or may become a part has a financial interest. BE CAREFUL: Violation of this rule may also result in a violation of a criminal statute for which the penalties are a fine of up to $10,000, imprisonment for up to two years, or both.

(b) Proposals and awards. You will not violate this restriction in handling proposals and awards as long as you abide by the requirements on handling proposals and awards described in Part 681 of these regulations.

(c) Policy determinations. Broad policy determinations that might affect your home institutions, but only in the same manner as all similar insti. tutions, are not covered.

(d) "Matter. Otherwise, the term "matter” has the same meaning here as in connection with the representational restrictions described in Part 682 of this chapter. It is elaborated in $ 682.13 of this chapter. Note that here specific parties need not be involved.

(e) “Personally involved. The term "personally involved" has exactly the same meaning here as in connection with the representational restrictions described in Part 682 of this chapter. It is elaborated in $ 682.12(b) of this chapter. In general, you can be “personally involved" in the handling of a matter even though you actually make none of the critical decisions, if you contribute by recommendations, advice, approval, or the like, and your contribution is substantial.

(f) Immediate family. Only your spouse and minor children are considered members of your “immediate family" under this rule.

(g) "Organization of which you are or may become a part". You are a part of an organization if you are an officer, director, trustee, partner, or em.

8 683.30 Outside employment (“moonlight

ing") and income. (a) Permitted within limits; duty first. While not on official duty, you may work for private firms or organizations either for pay or as a volunteer, within limits established by the rest of this subpart. Be sure that you understand all those limits before undertaking any such outside work. Those that do not relate to compensation apply whether or not you work for pay. A basic limit, of course, is that duty comes first. You should not engage in any outside activity that impairs your health, exhausts your energies, or otherwise prevents you from doing your NSF job.

(b) Policymaking or administrative work for certain organizations. You may not participate as a policymaking officer for any research or educational institution, any scientific society, or any professional association without the written approval of an ethics counselor. Whenever a major policy question is presented by a request for such approval, you or the ethics counselor may raise the matter with the General Counsel and, if appropriate, with the Director of the Foundation.

(c) Visiting Committees. Employees should not participate in the deliberations of a college or university visiting committee. However, an employee may meet with such groups as a Foundation official where it would be appropriate to attend a similar meeting with terpret them conservatively. If you have any doubt about the meaning of terms, consult an ethics counselor in the Office of the General Counsel.

any other comparable group requesting his or her assistance.

(d) Special rules for full-time Presidential appointees. If you are a Presidential appointee:

(1) You may not hold office in or act for any institution that has or is seeking NSF awards without the approval of the National Science Board.

(2) You must not engage in any other business, vocation, or employment while serving in the Presidential position. It does not include investment income (dividends, interest, or the like). It does not include reimbursement for meals, lodging, travel, or other expenses. And it does not include prizes or awards, even if an award carries an obligation to give lectures.


8 683.32 Honoraria.

(a) Honoraria on official duty. You must not accept any honoraria for speeches, papers, lectures, or the like delivered in the course of your official duties. However, if declining an honorarium would appear embarrassing or insulting to the offeror, particularly one from another country, you may accept the honorarium on behalf of the Foundation and deposit it into a special trust fund account or into the Treasury. Under no circumstances may you accept an honorarium for yourself for acts performed in your official capacity.

(b) Honorariawhile not on official duty. You may accept honoraria for speeches, papers, or lectures delivered while you are not on official duty, subject to general limits on outside employment described in § 683.30, general restrictions on receipt of compensation described in § 683.31, and prohibitions against misuse of inside information described in § 683.34. You will be disqualified for one year from handling proposals and other award-related applications that involve the interests of the person or institution from which you received any honorarium. See $ 681.21 of this chapter. Moreover, the law restricts the amounts of honoraria you may accept:

(1) You must not accept an honorarium of more than $2,000 for any speech, paper, lecture, or the like (excluding reimbursements for meals, lodging, and travel).

(2) If you are a Presidential employ. ee, honoraria count toward the fif. teen-percent limit on your outside income. See § 683.30(d)(3).

8 683.31 Compensation.

(a) Basic restrictions outside compensation. Three basic rules restrict compensation (not including reimbursement of expenses) you can accept from sources other than your Federal salary:

(1) No extra compensation for official duties. You must not see accept any contribution or supplement to your Government salary for doing any part of your NSF job.

(2) No compensation out of any Federal award. You must not seek or accept any compensation out of funds that come wholly or partly from a Federal award.

(3) No compensation in connection with any matter involving the Government. You must not seek or accept any compensation for services by you or anyone else in connection with any proposal, project, or other matter in which the United States is a party or has a direct interest. BE CAREFUL: Breaking any of these rules would be a Federal crime.

(b) Pensions and other employee benefits. These rules do not preclude you from continuing to participate in a bona fide pension or other employee benefit plan maintained by a former employer.

(c) Wording and terms. The wording of these restrictions has been simplified here substantially from the wording of the underlying statutes, so that they will be easier to understand. In


8 683.33 Reimbursements and services in

kind. (a) For official travel. You may not accept money from private sources to reimburse you for expenses incurred during travel on official NSF business, though private sources may reimburse the NSF for your expenses. You may accept meals, lodging, or travel tickets

(not money) from private sources (d) Private use of public property or when you are traveling on official NSF services. You must not use Governbusiness, but not if they would be paid ment property or services for your prifor out of funds that come wholly or vate benefit or for the private benefit partly from an NSF award. There is of others, except as

your normal one exception to the reservation about public duties benefit particular memfunds that come from an NSF award: bers of the public in intended ways. if you are attending a conference, symposium, or other meeting funded by § 683.35 Participation in NSF-supported the NSF, you may accept meals and conferences and workshops. lodging (but NOT travel tickets) if

You may participate in a conference, they are offered to everyone attending

workshop, or similar event supported the meeting and alternate arrange

by NSF funds, provided you do not rements for meals and lodging are un

ceive any compensation, honorarium, available or would cause an unusual

or the like for your participation. You inconvenience. If you do accept meals

may not serve as an organizer or direcor lodging while on official travel,

tor of such an NSF-supported event, your per diem must be reduced accord

unless its purpose is to plan, assess, or ingly.

publicize NSF programs. Nor, ordinari(b) For travel, etc. when not on duty. ly, should you chair a session or give a If you are on leave, not representing

paper except to describe NSF prothe Foundation, and not expected pri- grams or NSF needs. You may discuss marily to discuss NSF policy or proce- arrangements with the organizers or dures, these restrictions do not apply. directors as long as you do not use the However, you may not accept services influence that derives from your NSF in kind or reimbursement for travel position to pressure them. expenses if the sources would be funds that come wholly or partly from an $ 683.36 Gifts, favors, loans, prizes, and NSF award EXCEPT as provided for

awards. rotators in § 682.23(c).

(a) Gifts and favors generally. You 8 683.34 Misuse of inside information or

may not directly or indirectly solicit or Government property.

accept a gift, a favor, or a loan from

any person or organization that has or (a) No misuse of inside information. is seeking NSF awards, that has other If your Government job gives you interests potentially affected by what access to information not generally you do in your NSF job, or that may available to the public, you must not be trying to affect your official acuse that information for your private tions. (You may, however, accept probenefit or make it available for the motional things of trivial value such as private benefit of any other person or pens, pencils, note pads, and caleninstitution.

dars.) (b) Consulting, lecturing, etc. about (b) Meals or entertainment. By exthe NSF. You must not receive any- tension, you should ordinarily avoid thing of monetary value for consult- accepting meals or entertainment ing, lecturing, writing, or public discus- from such persons or organizations if sion that concerns the responsibilities, you can avoid doing so within the reathe programs, or the operations of the sonable bounds of politeness. You NSF or that draws on official informa- may, however, occasionally accept a tion or ideas not generally available to modest meal offered as a courtesy or

convenience during a site visit or a (c) Waivers. The Director, the

luncheon or dinner meeting. Deputy Director, or an assistant direc- (c) Prizes and awards. The restrictor may waive application of these tions in paragraph (a) of this section rules and authorize use of non-public do not prevent you from accepting a information in the public interest. Any prize or award for scientific or other such authorization must be in writing. public achievement given by a univerConsult an ethics counselor in the sity, scientific society, or other organiOffice of the General Counsel.

zation. However, you may accept any.

the public.

thing of value that accompanies the prize or award only if it is not paid for out of funds that come wholly or partly from an NSF award. You will be disqualified for one year from handling proposals and other award-related applications that involve the interests of the person or institution from which you received any such prize or award. See $ 681.21 of this chapter.

(d) From foreign governments. You may not accept a gift or decoration from a foreign government except one of “minimal value”. Minimal value means retail value in the United States of $140 or less. If the gift is of more than minimal value you may accept it only if not accepting it would be likely to cause offense or embarrassment. Even then, any gift of more than minimal value becomes the property of the United States. Consult an ethics counselor for help in depositing the gift with the State Department. Subpart D-Political Activity

(Hatch Act) 8 683.40 Introduction; who's covered.

(a) Hatch Act. In order to ensure that day-to-day government actions (such as award of grants) are not affected by political motives and in order to preserve a nonpolitical civil service that is selected on merit, not on political considerations, the law restricts the involvement of Federal civil service employees with partisan politics. These restrictions derive from a law popularly known as “the Hatch Act”.

(b) Summary of Hatch Act restrictions. (1) You may not run for public or party office, except in nonpartisan elections and certain local elections. See $ 683.42(a).

(2) You may not participate in election campaigning, except in nonpartisan elections and certain local elections. See § 683.42(c).

(3) You may not take an active part in leading or managing a political party. See § 683.43.

(4) You must not use your official authority or influence for political purposes. See § 683.44.

(c) Presidential appointees. You are subject to these restrictions if you are an NSF employee, unless you are a Presidential appointee whose appoint

ment was subject to Senate confirmation. If you are such a Presidential appointee, you are subject only to the restrictions decribed in § 683.44. You need not be concerned with the rest of this Subpart except as it affects your colleagues and subordinates.

(d) Employee coverage. If you are subject to the "Hatch Act” restrictions, they apply even while you are on leave while you are on detail or assignment to a non-Federal post. They apply even if you work for the Gov. ernment only part-time. If you work for the Government as a temporary employee, the restrictions apply as long as your temporary employment lasts. If you work for the Government as an intermittent employee, the restrictions apply only while you are in the active-duty status, but that includes the entire 24 hours of any day on which you work for the Government at all. (If in doubt about the employment category to which you belong, check with Personnel.)

(e) Political party. Any political party or political club, national or state, is a “political party” under this Subpart, except where provisions specifically refer to a “national political party”.

$ 683.41 Basic political rights unaffected.

The Hatch Act restrictions do not affect your basic political rights. Specifically:

(a) You may register and vote as you choose in any election.

(b) You may contribute to a political party or candidate, though you may not be pressured to do so because of your Federal employment.

(c) You may be a member of a political party or other political organization. You may attend party meetings and vote on issues. You may not, however, be involved in managing or leading the organization. See § 683.43.

(d) You may write, call, or visit any Federal, state, or local political official (including, for example, your Congressman) to express your views on any political issue and on how the offi. cial should vote or act on the issue.

(e) You may sign political petitions, including nominating petitions, but

you may not circulate such petitions for others to sign. See § 683.42(d)(2).


otherwise participate in campaign fundraising;

(6) Help to handle campaign finances;

(7) Distribute campaign material;

(8) Host a coffee, cocktail party, or buffet for a candidate or a candidate's surrogate;

(9) Drive voters to the polls;

(10) Work at the polls as a checker, challenger, pollwatcher, or the like, or

(11) Do any other work on behalf of a candidate.

(d) Nonpartisan election duties. In connection with an election, you may perform nonpartisan duties provided for by law as an election clerk, judge, or the like.

(e) Appointment to nonelective office. You may accept appointment to nonelective public office, subject to the same limits that apply to any other outside employment. See Subpart C, $$ 683.30-683.36.

$ 683.42 Candidacy and campaigns.

(a) Running for office. You may not run for nomination election to public office. There are two exceptions:

(1) You may run in an election in which no candidate runs as representing any national political party. (Currently, this means the Democratic or Republican party, but if another party wins electoral votes in a Presidential election, that could change.)

(2) You may run for office in most of the local political jurisdictions in the Washington, D.C. area if you run as an independent not representing any political party, national or otherwise. (To be sure that your jurisdiction is among those in which this is permitted, check with an Ethics Counselor in the Office of the General Counsel.)

(b) No partisan campaigning. You may not campaign for or against a political party or candidate in an election for public office or in an election for party office. Essentially the same two exceptions apply:

(1) You may campaign for a candidate in an election in which no candidate runs as representing any national political party.

(2) If you could be an independent candidate in a local election described in (a)(2) of this section, you may campaign for an independent candidate in such an election. You may not campaign for any side of a question or issue that is specifically identified with a political party.

(c) What constitutes campaigning. You “campaign" when you:

(1) Actively participate in management of a campaign;

(2) Initiate nominating petitions or canvass for signatures on nominating petitions;

(3) Endorse or oppose a candidate or a position through political advertisements, broadcasts, campaign literature, or the like; (4) Speak

at rallies, candidate nights, party caucuses, or other political gatherings;

(5) Solicit campaign contributions, promote political dinners or similar events, sell tickets for such events, or

8 683.43 Party activities.

You may not take an active part in leading or managing a political party. You do that when you:

(a) Participate in organizing or reorganizing it;

(b) Serve as a party officer or as a member of a national, state, or local party committee (or stand as a candidate for such a position);

(c) Participate in party fundraising or in handling party finances;

(d) Serve as a delegate, alternate, or proxy to a party convention (though you may attend such a convention); or

(e) Take an active part in conducting or running a meeting, rally, fund-raising function, convention, or other party gathering (though you may attend such a gathering).

8 683.44 Political use of official authority

or influence. You must not use your official authority or influence for political purposes. Thus:

(a) You must not use your official position or authority to interfere with an election or to affect the result of an election.

(b) You must not solicit political contributions from other Federal employees, allow your name to appear on

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