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any fundraising appeal likely to be sent to Federal employees, or authorize anyone to solicit or receive political contributions in a building where Federal employees work.

(c) You must not discriminate against any other employee because of his or her political opinions or affiliations. This is a "prohibited personnel practice”. See regulations of the Merit Systems Protection Board at 5 CFR 1250.3(b)(3).

to work for the NSF 130 days a year or less is a “special Government employ. ee." The rules in this Subpart apply to you only if you are such a “special employee". Other employees should see Parts 680 through 683 of the NSF conflict-of-interests regulations.

(b) Days worked. If you have any uncertainty about how many days you work or are expected to work for the NSF, consult an ethics counselor in the Office of the General Counsel. There are specific rules for counting the days, and the rules that apply while you are still employed differ somewhat from those that apply afterward.

PART 684-RULES FOR CONSULT

ANTS, BOARD MEMBERS, AND OTHER “SPECIAL EMPLOYEES".

Subpart A-General Rules for Consultants,

Board Members, and Other “Special Employees"

Sec. 684.10 "Special employees". 684.11 Summary of rules for “special em

ployees". 684.12 Financial disclosure. 684.13 Political activity (Hatch Act). 684.14 Representing private interests

before the NSF or other Federal agen

cies. 684.15 Compensation. 684.16 Acts affecting your financial inter

ests. 684.17 Inside information. 684.18 General standards of conduct for

"special employees".

Subpart B-Special Rules of the National

Science Board for Board Members

684.20 Summary. 684.21 Participation in Board deliberations. 684.22 Participation in NSF-Supported

Projects. 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 32149, July 26, 1982, unless otherwise noted.

8 684.11 Summary of rules for “special

employees". (a) This section summarizes the principal conflicts requirements that you are expected to observe as an NSF "special employee". It references the subsequent provisions of this subpart in which these requirements are elaborated. You are encouraged to read as well $$ 680.10 and 680.12, which introduce the NSF conflict-of-interests regulations and explain their purposes. Members of the National Science Board are committed to observe, besides the requirements summarized here, the special rules of the Board for its members. See Subpart B, $$ 684.20684.22.

(b) NSF work on proposals and awards of others. (1) If you serve on a panel that reviews proposals or otherwise serve as a peer reviewer, you will be given instructions designed to deal with any conflict of interests you may have.

(2) If you participate in action on proposals and awards as a National Science Board member, see § 684.21.

(3) If you should otherwise become involved with the handling of a proposal of other award-related application you should follow the same rules and procedures on conflicts or potential conflicts in handling proposals and awards as regular NSF employees. They are set out in Part 681 of the NSF conflicts regulations, 88 681.20681.26.

(c) Financial disclosure (§ 684.12). (1) If you are compensated at a rate at

Subpart A General Rules for

Consultants, Board Members, and

Other "Special Employees" 8 684.10 "Special employees”.

(a) “Special employees”. Any NSF consultant, National Science Board member, or other temporary or intermittent employee (including a rehired annuitant) who works or is expected

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or above the lowest rate for a GS-16 regular employee and plan to work or actually do work more than sixty days in any calendar year, you must file public Financial Disclosure Reports.

(2) If you are not required to file public Financial Disclosure Reports, you must file a confidential Statement of Financial Interests at the time of your appointment (or reappointment).

(3) You may ask for forms if you need them. Normally, however, they will be provided to you automatically, with instructions.

(d) Political activity (Hatch Act) ($ 684.13). The Hatch Act prohibits you from being involved in an election campaign or in political-party activity on any day when you work for the Government.

(e) Representational restrictions and involvement with proposals and awards during and after NSF service (8 684.14). (1) You must never represent any private party in dealings with any Federal official on any proposal, project, or other matter if you have been personally involved with that matter at or for the NSF.

(2) If you have been employed with the NSF more than sixty days a year, you must not represent anyone in dealings with any NSF official during your NSF service and for one year thereafter on any proposal, project, or other matter involving specific parties. General effect: These restrictions do not preclude you from preparing a proposal for your institution, from serving as principal investigator under an NSF proposal or award, from otherwise working under an NSF award, or from receiving compensation or expenses out of an NSF award. If you are a member of the National Science Board, however, see § 684.22. (f) Compensation (8 684.15). (1) While you are an NSF "special employee" you must not seek or accept (except from the Government) any compensation for services by you or anyone else in relation to any matter involving specific parties if you have been personally involved for the Government.

(2) If you have been employed with the NSF for more than sixty days in the last 365, you must not seek or accept (except from the Government)

any compensation for services by you or anyone else in relation to any matter involving specific parties that is pending in the NSF.

(g) Acts affecting your financial interests ($ 684.16). You must not be personally involved as a Federal employee in the handling of any proposal, award, or other matter in which you, a member of your immediate family, business partner, or an organization of which you are or may become a part has a financial interest. You will not violate this restriction with respect to proposals and awards as long as you follow the instructions provided in paragraph (b) of this section.

(h) Use of inside information ($ 684.17). If your work for the Goyernment gives you access to information not generally available to the public, you must not use that information for your private benefit or make it available for the private benefit of any other person or organization.

(i) Effect of simplified wording. The wording of the requirements as presented in these regulations has been simplified substantially from the wording of underlying statutes and other authorities, so that they will be easier to understand. Your initial interpretation should be conservative. If in doubt on the meaning of terms or otherwise troubled, consult an ethics counselor in the Office of the General Counsel.

(j) General standards of conduct. You are also responsible for being familiar with general standards of conduct described in § 680.18 of this chapter and for observing them.

8 684.12 Financial disclosure.

(a) Unless you are required under paragraph (b) of this section to file public Financial Disclosure Reports, you must file a confidential Statement of Employment and Financial Interests at the time of your appointment (and of any reappointment). The Personnel Office automatically supplies you with the necessary forms, and you file the Statement there.

(b) High-ranking special employeeswho work more than sixty days a year. If you are compensated as a "special employee" at a rate at or

copy of any request for your Report will be sent to you.

8 684.13 Political activity (Hatch Act).

The Hatch Act and other laws restrict the involvement of Federal civil service employees with partisan politics. The restrictions apply to you for all of any day during which you work for the Government. If you have any plan or intention of being involved in any election campaign or politicalparty activity on any such day, consult an ethics counselor in the Office of the General Counsel before doing so. Members of the National Science Board, as Presidential appointees, are not subject to these rules. They are subject only to a restriction on using official authority or influence for political purposes. Part 683, Subpart D, $$ 683.40-683.44, cover the Hatch Act restrictions in greater detail.

above the lowest rate for a GS-16 reg. ular employee, you are a "senior employee". Regular senior employees are required to file public Financial Disclosure Reports. You are required to do so, however, only if you plan to work or actually do work more than sixty days in any calendar year. Specifically:

(1) If at the time of your appointment you are expected to serve more than sixty days in any calendar year, you must file such a Report then and again within thirty days after your appointment ends.

(2) If you did not file at the time of your appointment, but do in fact serve more than sixty days in any calendar year, you must file such a Report within fifteen days of your sixty-first day of work and again within thirty days after your appointment ends.

(3) In either case, if you in fact serve more than sixty days in any calendar year, you must also file such a Report before May 15 of the next year. A person who is under consideration for nomination to the National Science Board may be asked to file a Financial Disclosure Report with the White House or the Senate through the Office of Government Ethics as part of the clearance process even if not expected to serve more than sixty days a year. Such a Report will not be made public by the NSF.

(c) Filing of Financial Disclosure Reports. If you are required to file Financial Disclosure Reports, the necessary forms ordinarily will be sent to you automatically, with instructions. You should inquire, however, if you think you may go over the sixty-day limit, and you may ask for forms from the Office of the General Counsel whenever you need them. File your Reports with an ethics counselor in the Office of the General Counsel. The ethics counselors will help with problems or questions that arise in completing the forms. The law also requires them to review your Report after you file it. They may contact you about any errors you make in filling out the form and about any questions that are raised by what you report. The law requires them to make each Report you file available to the public within fifteen days after receiving it. A

8 684.14 Representing private interests

before the NSF or other Federal agen

cies. (a) Personal involvementpermanent restriction. All NSF “special employees” are subject to the following basic restriction:

You must never represent anyone in dealings with any Federal official on any proposal, project, or other matter involving specific parties if you have been personally involved with that matter at or for the NSF.

(b) NSF restriction. If you have been employed with the NSF more than sixty days a year, you are subject to one other restriction:

During your NSF service and for one year thereafter you must not represent anyone in dealings with any NSF official on any proposal, project, or other matter involving specific parties. Be careful: Violation of either of these restrictions may also be a Federal crime.

(c) Effect on involvement with proposals and projects. These representational restrictions do not preclude you from being involved as a researcher or educator with proposals submitted to the NSF or other Government agencies or with projects supported by the NSF or by other Government agencies. They may preclude you from

or

a

being the one to write, call, visit, or otherwise communicate with a Federal official about a proposal or project.

(d) Personally involved. You can be “personally involved” even though you actually make none of the critical decisions if you contribute to them by recommendations, advice, approval, or the like, but your involvement must have been substantial. If you are a member of the National Science Board, you have definitely been "personally involved” with a matter if you have participated in any Board or Board-committee action on the matter or have taken part in a Board or committee discussion immediately preceding such an action.

8 684.15 Compensation.

(a) Compensation where you have been involved for the Government. All "special Government employees” are subject to the following restriction:

While you are an NSF "special employee" you must not seek or accept (except from the Government) any compensation for services by you or anyone else in relation to any matter involving specific parties if you have been personally involved with that matter for the Government.

(b) Compensation in relation to NSF matters. If you have been employed with the NSF for more than sixty days in the last 365 and still are, you are subject to one other restriction:

You must not seek or accept any compensation for services by you or anyone else in relation to any matter involving specific parties that is pending in the NSF. Be careful: Violation of either of these rules may also be a Federal crime.

(c) NSF awards. You may, however, perform work under an NSF award and

may receive compensation charged to the award for the work.

(d) “Personally involved. The term “personally involved” has exactly the same meaning here as in connection with the representational restrictions described in § 684.14. See $ 684.14(d). 8 684.16 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 the handling

of any proposal, award, other matter in which you, a member of your immediate family, or an organization of which you are or may become a part has financial interest. BE CAREFUL: violation of this rule may also be a Federal crime.

(b) Proposals and awards. You will not violate this restriction with respect to proposals and awards as long as you follow the instructions provided in $ 684.11(b).

(c) “Personally involved. The term “personally involved" has exactly the same meaning here as in connection with the representational restrictions described in § 684.14. See § 684.14(d).

(d) Matter". The word “matter" has a somewhat broader meaning here than the phrase "matter involving specific parties” used in $ 684.14. Broad policy determinations that might affect your home institution, but only in the same manner as all similar institutions, are not covered. If in doubt, consult an ethics counselor in the Office of the General Counsel. National Science Board members should consult the Chairman of the Board.

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

(f) 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 employee. You “may become” a part of an organization if you are negotiating with it or have an arrangement with it concerning such a position.

(g) Waiver. This provision may be waived where the financial interest involved is so insubstantial that it is 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. National Science Board members should consult with the Chairman of the Board.

8 684.17 Inside information.

offered as a courtesy when there is no (a) If your Government job gives apparent connection with NSF busiyou access to information not general

ness. ly available to the public, you must

(d) Misuse of Government property. not use that information for your pri

You must not use Government propervate benefit or make it available for

ty or services for your private benefit the private benefit of any other or for the private benefit of others. person or organization.

except as your public duties benefit (b) You must not receive anything of particular members of the public in inmonetary value for consulting, lectur tended ways. ing, writing, or public discussion that (e) Familiarity with statutory proviprimarily concerns the responsibilities, sions. You are legally responsible for programs, or operations of the Foun- acquainting yourself with each statute dation or that draws significantly on that relates to your ethical and other official information or ideas not gener conduct as an NSF and Federal emally available to the public.

ployee. Principal among these are the (c) The Director, the Deputy Direc criminal statutes relating to bribery, tor, an assistant director, or (in the graft, and conflicts of interests concase of Board members) the Chairman tained in 18 U.S.C. 201-209. The asof the National Science Board may pects of those statutory provisions waive application of these rules and that apply to you as an NSF "special authorize use of non-public informa- employee” are covered by these regution in the public interest. Any such lations. These regulations also cover authorization must be obtained in the provisions of Executive Order writing. Consult an ethics counselor in 11222, which prescribes standards of the Office of the General Counsel. Na- ethical conduct for Government offitional Science Board members should cers and employees, and regulations of consult with the Chairman.

the Office of Personnel and Manage

ment that implement both the statu$ 684.18 General standards of conduct for tory provisions and the Executive "special employees”.

Order. If you follow the regulations, (a) Use of Government employment you should have no trouble with any for private gain. You must not use of those provisions. The regulations do your Government employment for a not cover a number of other statutes purpose that is (or gives the appear that you must obey as a Federal emance of being) motivated by desire for ployee: private gain for yourself or anyone (1) The prohibition against lobbying else, particularly anyone with whom with appropriated funds (18 U.S.C. you have family, business, or financial 1913). ties.

(2) The prohibitions against disloyal(b) Use of Government employment ty and striking (5 U.S.C. 7311, 18 for extortion. You must not use your U.S.C. 1918). Government employment to coerce (or (3) The prohibitions against discloappear to coerce) anyone to provide fi- sure of classified information (18 nancial benefit to yourself of anyone U.S.C. 798, 50 U.S.C. 783) and discloelse, particularly anyone with whom sure of confidential information (18 you have family, business, or financial U.S.C. 1905). ties.

(4) The provision on habitual use of (c) Gifts and favors. On days when intoxicants to excess (5 U.S.C. 7352). you are working at or for the NSF or (5) The prohibition against misuse in connection with NSF employment of a Government vehicle (31 U.S.C. you must not seek or accept from 638a(c)). anyone who has business with the (6) The prohibition against misuse NSF any gift, tip, loan, entertainment, of the franking privilege (18 U.S.C. or favor for yourself or anyone else, 1719). particularly anyone with whom you (7) The prohibition against use of have family, business, or financial ties. deceit in an examination or personnel This does not include promotional action in connection with Government items of trivial value or a modest meal employment (18 U.S.C. 1917).

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