attorney or agent or appearing personally connection with a particular matter in a ntific or technological field if the head of department or agency concerned with the ter shall make a certification in writing, ›lished in the FEDERAL REGISTER, that the ional interest would be served by such ion or appearance by the former officer or ployee. c) Whoever, being a partner of an officer employee of the executive branch of the Government, of any independent agency the United States, or of the District of umbia, including a special Government ployee, acts as agent or attorney for anyother than the United States, in contion with any judicial or other proceedapplication, request for a ruling or other ermination, contract, claim, controversy, rge, accusation, arrest, or other particular tter in which the United States is a party has a direct and substantial interest and which such officer or employee of the Govment or special Government employee ticipates or has participated personally I substantially as a Government employee ough decision, approval, disapproval, recmendation, the rendering of advice, intigation or otherwise, or which is the subt of his official responsibility— Shall be fined not more than $5,000, or prisoned not more than 1 year, or both. A partner of a present or former officer or ployee of the executive branch of the U.S. vernment, of any independent agency of › United States, or of the District of lumbia, or of a present or former special vernment employee shall as such subject the provisions of sections 203, 205, and I of this title only as expressly provided in >section (c) of this section. 8 U.S.C. 208. Acts affecting a personal ancial interest. (a) Except as permitted by section (b) hereof, whoever, being an cer or employee of the executive branch of U.S. Government, of any independent ncy of the United States, or of the Diset of Columbia, including a special Govment employee, participates personally i substantially as a Government officer or ployee, through decision, approval, disapval, recommendation, the rendering of ade, investigation, or otherwise, in a judicial other proceeding, application, request for ruling or other determination, contract, im, controversy, charge, accusation, arrest, other particular matter in which, to his owledge, he, his spouse, minor child, partr, organization in which he is serving as icer, director, trustee, partner, or employee, any person or organization with whom he negotiating or has any arrangement conning prospective employment, has a ancial interest 3hall be fined not more than $10,000, or prisoned not more than years, or both. (b) Subsection (a) hereof shall not apply (1) if the officer or employee first advises the Government official responsible for appointment to his position of the nature and circumstances of the judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter and makes full disclosure of the financial interest and receives in advance a written determination made by such official that the interest is not so substantial as to be deemed likely to affect the integrity of the services which the Government may expect from such officers or employee, or (2) if, by general rule or regulation published in the FEDERAL REGISTER, the financial interest has been exempted from the requirements of clause (1) hereof as being too remote or too inconsequential to affect the integrity of Government officers' or employees' services. APPENDIX B-CATEGORIES OF FINANCIAL INTERESTS EXEMPTED FROM THE PROHIBITION OF 18 U.S.C. 208(a) (see § 1207.735-603 (d) (2) (ii) ) Pursuant to the authority contained in 18 U.S.C. 208(b) (2), it has been determined that the categories of financial interests hereinafter described are, to the extent indicated, exempted from the application of the prohibition of U.S.C. 208(a), because they are too remote or too inconsequential to affect the integrity of a NASA employee's services in any matter in which he may act in his governmental capacity. Therefore, the provisions of 18 U.S.C. 208 (a) do not preclude the participation by a NASA employee, including a special Government employee, in matters of a type covered by the prohibition of section 208 (a) where the financial interest involved has been exempted hereunder. 1. The following exemptions apply to financial interests which are held directly by a NASA employee, including a special Government employee, or by his spouse or minor child, whether jointly or individually, or by a NASA employee and his partner or partners as joint assets of the partnership: a. Ownership of shares of common or preferred stocks, including warrants to purchase such shares, and of corporate bonds or other corporate securities, if the current aggregate market value of the stocks and other securities so owned in any single corporation does not exceed $5,000, and provided such stocks and securities are listed for trading on the New York or the American Stock Exchange. This exemption extends also to any financial interests that the corporation whose stocks or other securities are so owned may have in other business entities. b. Ownership of bonds other than corporate bonds, regardless of the value of such interest. This exemption extends also to any 99-182 0-69 -89 financial interests that the organization whose bonds are so owned may have in other business entities. c. Ownership of shares of a mutual fund or regulated investment company regardless of the value of such interest. This exemption extends also to any financial interests that the mutual fund or investment company may have in other business entities. 2. If a NASA employee, including a special Government employee, or his spouse or minor child has a present beneficial interest or a vested remainder interest under a trust, the ownership of stocks, bonds, or other corporate securities under the trust will be exempt to the same extent as provided in paragraph la above for the direct ownership of such securities. The ownership of bonds other than corporate bonds, or of shares in a mutual fund or regulated investment company, under the trust will be exempt to the same extent as provided under paragraph 1 b and c above for the direct ownership of such bonds or shares. 3. If a NASA employee, including a special Government employee, is an officer, director, trustee, or employee of an educational institution, or if he is negotiating for, or has an arrangement concerning prospective employment with such an institution, a direct financial interest which the institution has in any matter will not itself be exempt, but any financial interests that the institution may have in the matter through its holdings of securities issued by business entities will be exempt, provided the NASA employee is not serving as a member of the investment committee of the institution or is not otherwise advising it on its investment portfolio. 4. If a NASA employee, including a special Government employee, has continued to participate in a bona fide pension, retirement, group life, health or accident insurance plan, or other employee welfare or benefit plan that is maintained by a business or nonprofit organization of which he is a former employee, his financial interest in that organization will be exempt, except to the extent that the welfare or benefit plan is a profit sharing or stock bonus plan. The exemption extends also to any financial interests that the organization may have in other business entities. APPENDIX C-MISCELLANEOUS STATUTORY 1. House Concurrent Resolution 175, 85th Congress, 2d session, 72 Stat. B12, the "Code of Ethics for Government Service". 2. Chapter 11 of title 18, United States Code, relating to bribery, graft, and conflict of interests, as appropriate to the employee concerned. 3. The prohibition against lobbying with appropriated funds (18 U.S.C. 1913). 4. The prohibitions against disloyalty an striking (5 U.S.C. 7311; 18 U.S.C. 1918). 5. The prohibition against the emplo ment of a member of a Communist organiz tion (50 U.S.C. 784). 6. The prohibitions against (1) the closure of classified information (18 US 798, 50 U.S.C. 783); and (2) the disclosure private or proprietary information (18 U.S. 1905). 7. The provision relating to the habit use of intoxicants to excess (5 US.C. 785 8. The prohibition against the misuse o Government motor vehicle or aircraft U.S.C. 638a (c)). 9. The prohibition against the misuse the franking privilege (18 U.S.C. 1719). 10. The prohibition against the use of ceit in an examination or personnel acti in connection with Government employm (18 U.S.C. 1917). 11. The prohibition against fraud or fa statements in a Government matter U.S.C. 1001). 12. The prohibition against mutilating detroying a public record (18 U.S.C. 2071). 13. The prohibition against counterfeit and forging transportation requests U.S.C. 508). 14. The prohibitions against (1) embezz ment of Government money or property U.S.C. 641); (2) failing to account for pub money (18 U.S.C. 643); and (3) embezz ment of the money or property of anot person in the possession of an employee reason of his employment (18 U.S.C. 654). 15. The prohibition against unauthori use of documents relating to claims from by the Government (18 U.S.C. 285). 16. The prohibitions against proscri political activities ("The Hatch Act" U.S.C. 7324-7327; 18 U.S.C. 602, 603, 607, 608). 17. The prohibition against an emplo acting as the agent of a foreign princi registered under the Foreign Agents Regist tion Act (18 U.S.C. 219). This subpart reconstitutes and conues the Board of Contract Appeals tablished to adjudicate appeals by ASA contractors arising from the findgs of fact and final decisions of NASA ntracting officers or their authorized presentatives made under the color the "Disputes" clause of a NASA ntract. [209.101 Establishment of board. (a) A Board of Contract Appeals for e National Aeronautics and Space Adinistration was established pursuant to ASA Management Manual Instruction 4-1, effective June 25, 1959, with ices located at NASA Headquarters, ashington, D.C. 20546. (b) (1) The Board of Contract Apals (hereinafter referred to as the ard) shall hereafter consist of not ore than seven regular members desig nated by the Administrator, one of whom shall be designated as Chairman, and one as Vice Chairman. The Vice Chairman is empowered to exercise all the powers of the Chairman, as authorized by the Chairman, or in his absence. (2) Additional members may be designated by the Administrator to serve on the Board on an ad hoc basis for the adjudication of particular appeals. (3) Membership on the Board shall be limited to persons admitted to the practice of law before the highest court in the jurisdiction in which they are members of the bar. (c) In the discretion of the Chairman, an appeal may be adjudicated by the full membership of the Board or by a panel of three members, including ad hoc members. Two members of a panel shall constitute a majority of the Board for the appeal involved. (d) Within his discretion, the Chairman may authorize any member of the Board to conduct prehearing conferences, hold hearings, examine witnesses, receive evidence and argument, and report the evidence and argument to the designated panel, or to the full Board, for consideration and determination of the appeal. § 1209.102 Functions of board. (a) The Board is authorized to act for and exercise the full authority of the Administrator in all cases in which, by the terms of a contract, the contractor may appeal to the Administrator or his representative from the findings of fact and final decision of the contracting officer or his authorized representative. No member of the Board shall consider an appeal if he has participated in the awarding or administration of the contract in dispute. (b) The Board shall have all powers necessary for the proper performance of its duties. This includes but is not limited to authority to issue rules of procedure, conduct hearings, dismiss proceedings, order the production of documents and other evidence, take official notice of facts within general knowledge, and decide all questions of fact and law raised by the appeal. There shall be no administrative appeal from decisions of the Board. The Chairman of the Board shall, from time to time, but not less often than annually, report to the Administrator on the status of the Board's activities. § 1209.104 NASA representation. The General Counsel of the National Aeronautics and Space Administration shall designate counsel to represent the interests of the Government in proceedings before the Board. Subpart 2-Source Evaluation Boards SOURCE: The provisions of this Subpart 2 appear at 26 F.R. 1443, Feb. 18, 1961. § 1209.200 Scope of subpart. This subpart prescribes procedures for the establishment and operation of Source Evaluation Boards and for the appointment of members thereto. § 1209.201 Establishment of board. (a) Use of Source Evaluation Boards. Source Evaluation Boards are appropriate for competitive negotiated procurement for research and development: (1) When the estimated cost of the contract will exceed $1,000,000; (2) When the estimated cost of the contract will not exceed $1,000,000 but it is likely that the source selected will receive other contracts for later phases of the same project which together would total more than $1,000,000; or (3) When other factors make the use of Source Evaluation Board procedures desirable, such as selection of companies with which to place study contracts. (b) Appointing authorities—(1) Associate Administrator. The Associate Administrator will appoint Source Evaluation Boards under the following conditions: (i) When the estimated cost of the procurement will exceed $5,000,000 and the approved procurement plan calls for use of a Source Evaluation Board. (ii) When the head of a field installation has referred a procurement plan to the Associate Administrator for approval, and such plan calls for use of a Source Evaluation Board. (2) Head of field installation. Except for those procurements requiring appointment of a Source Evaluation Board by the Associate Administrator in su paragraph (1) of this paragraph, t head of a field installation will appoi a Source Evaluation Board when t approved procurement plan calls for t use of such a board. § 1209.202 Appointment of membe (a) Appointment of members to Source Evaluation Board shall be mɛ promptly upon approval of a procu ment plan calling for the use of such board, and prior to the issuance of quests for proposals. (b) Source Evaluation Boards shall composed chiefly of technical staff me bers who are fɛmiliar with the techni details of the procurement. Howe each board shall also include one or m representatives of the business mana ment staff. (c) When Source Evaluation Boa are appointed by the head of a field stallation, at least one representat from the Headquarters technical business management staffs, respectiv shall be selected by appropriate He quarters offices to serve on the bo unless the Headquarters offices de mine otherwise. (d) The appointing authority s designate one board member to serv chairman. § 1209.203 Board procedures. The NASA internal procedures to followed by Source Evaluation BoƐ are set forth in the Manual of Proced for NASA Source Evaluation Boards. § 1209.204 Selection of source. (a) When Source Evaluation Bo procedures are utilized, the selection a source for negotiation shall be mad the appointing authority, except t when the Associate Administrator is appointing authority, the selection s be made by the Administrator. (b) In rare instances, the appoin authority may select more than source for the submission of additi data to NASA prior to selecting source with which to conduct nego tions. These instances will be stri confined to situations where it is cle in NASA's interest to acquire more in mation from companies submitting best proposals before making selection. 1209.205 Disclosure of private interests of board members. Any member of a Source Evaluation ard or any of its advisory committees no, at any time following his appointent, finds that he has an interest in or nnection with a company submitting proposal for evaluation by the board committee on which he serves shall omptly report the fact of his interest connection, and the nature of it, to e appointing authority. A reportable terest or connection shall include the lowing: (a) Ownership of a company's secuies by a member or his wife; (b) Close family relationship to an icial of a company; (c) Any other interest in or connecon with a company which might tend subject NASA to criticism on the basis at such interest or connection would pair the objectivity of a member's paripation on a board or committee. The pointing authority shall determine in ch case whether the board or commite member making such a report will be cused from serving on the board or mmittee, or take other appropriate tion. 1209.206 Disclosure of information. Participants in the proceedings of urce Evaluation Boards or any of its visory committee shall observe the proions of 41 CFR Part 18-3 regarding sclosure of information. Subpart 3-Contract Adjustment SOURCE: The provisions of this Subpart Dear at 24 F.R. 7638, Sept. 23, 1959, unless erwise noted. 209.300 Scope of subpart. This subpart establishes a Contract justment Board (hereinafter referred as "the Board") to dispose of requests extraordinary contractual adjustents by contractors of the National ronautics and Space Administration ereinafter referred to as "NASA"). [209.301 Authority. (a) The Act of August 28, 1958 (50 3.C. 1431-35) (hereinafter referred to "the Act") empowers the President to thorize departments and agencies exercising functions in connection with the national defense to enter into contracts or into amendments or modifications of contracts and to make advance payments, without regard to other provisions of law relating to the making, performance, amendment, or modification of contracts, whenever he deems that such action would facilitate the national defense. (b) Executive Order No. 10789, November 14, 1958 (3 CFR, 1958 Supp., 23 F.R. 8897) (hereinafter referred to as "the Executive Order") authorizes the Administrator of the National Aeronautics and Space Administration (referred to in this subpart as "the Administrator"), under regulations prescribed by him, to exercise the authority conferred by the Act. (c) NASA Management Instruction No. 18-61.1, September 23, 1959 (41 CFR Part 18-61), establishes standards and procedures for the disposition of requests for extraordinary contractual adjustments by NASA contractors. § 1209.302 Establishment of Board. There is hereby established a Contract Adjustment Board consisting of three members including the chairman, with alternates to act in their absence, all of whom shall be appointed by the Director of Business Administration. A majority of the Board constitutes a quorum for any purpose and the concurring vote of a majority of the total Board membership constitutes an action of the Board. Otherwise, the Board may adopts such rules of procedure for the conduct of its own functions as it may deem desirable. § 1209.303 Functions of Board. The Board is given authority to approve, authorize, and direct appropriate action, under the standards and procedures established by the Administrator, in any case and to make all determinations and findings which are necessary or appropriate. Where deemed necessary to the exercise of the foregoing authority, such Board may authorize any appropriate action not precluded by standards and procedures established by the Administrator, including the modification or release of any obligations. The de |