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forth the National Science Foundation's overall management responsibilities for the entire United States national program in Antarctica.

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Polar Programs, room 755.09, 4201 Wilson Blvd., Arlington, VA 22230).

The criteria will include examination of the following major organ systems:

(1) Lungs and chest wall.
(2) Heart and vascular system.

(3) Abdominal organs and gastrointestinal system.

(4) Endocrine or metabolic system.
(5) Genitalia and urinary system.
(6) Musculoskeletal.
(7) Skin and cellular tissues.
(8) Neurological Disorders.
(9) Psychiatric or psychological.
(10) Dental.

(b) The USAP may review and revise the Medical Clearance Criteria periodically as appropriate.

$ 675.2 Medical examinations.

(a) Any individual seeking to travel to Antarctica under sponsorship of the United States Antarctic Program must undergo a medical and dental examination to determine whether the individual is physically qualified for deployment to Antarctica.

(b) The medical and dental examinations may be conducted by a qualified licensed physician or dentist of the candidate's choosing, or designated by the employing organization, following instructions provided by the USAP. The medical examinations shall include a medical history, physical examination and appropriate clinical tests which address major organ systems for medical conditions inconsistent with safe deployment to Antarctica.

(c) The candidate's physician/dentist will submit the required medical information on the appropriate USAP-provided forms to a USAP-designated physician who will determine whether the individual is qualified for deployment to Antarctica based upon Medical Clearance Criteria established by the USAP. All information requested on the forms shall be provided.

(d) Candidates who anticipate spend ing the austral winter in Antarctica (when evacuation may be impossible) are subject to additional evaluation, including a determination of psychological adaptability for such an isolated assignment. Psychological evaluations of “winter-over” candidates shall be performed by a qualified team of USAP-designated physicians/clinical psychologists.

8 675.4 Waiver process.

(a) If an individual is found not physically qualified for deployment to Antarctica, the USAP's contractor will inform the individual of the determination and of the administrative waiver process, and will provide a waiver application package to the individual upon request.

(b) The waiver applicant should send the completed waiver application package to the USAP's contractor which will forward the package to NSF's Office of Polar Programs for review and a determination on the appropriateness of a waiver. In making the waiver determination, the Office of Polar Programs may consult with other qualified medical personnel and may require waiver applicants to take further medical examinations or to furnish additional medical documentation in support of the waiver application.

(C) The Director, Office of Polar Programs (or designee) will make a final determination, in the exercise of his or her discretion, on the appropriateness of a waiver on a case-by-case basis.

(d) Individuals for whom a waiver is determined to be appropriate are eligible for deployment to Antarctica subject to any necessary limitations/restrictions identified by the Director, Office of Polar Programs, or designee.

8675.3 Medical clearance criteria.

(a) The USAP shall establish Medical Clearance Criteria for determining eligibility for deployment to Antarctica. (See Medical Standards for Antarctic Deployment available from the National Science Foundation, Office of

PART 680—NATIONAL SCIENCE sity consortium or joint corporation;

FOUNDATION RULES OF PRAC but not the universities that belong to TICE AND STATUTORY CONFLICT such a consortium. Those universities OF-INTEREST EXEMPTIONS

shall be considered separate institu

tions for purposes of this part. Subpart A-Rules of Practice for the

(4) Proposal means an application for National Science Foundation

an award and includes a bid.

(b) Cross-references to employee ethical Sec.

conduct standards and financial disclo680.10 Definitions; cross-references to em

sure regulations. Members of the Naployee ethical conduct standards and fi

tional Science Board and other emnancial disclosure regulations. 680.11 Staff involvement with NSF pro

ployees of the National Science Founposals and awards.

dation (NSF), including special Gov680.12 One-year. NSF post-employment re ernment employees, should refer to the strictions.

Standards of Ethical Conduct for Em680.13 Purposes for “substitute" require ployees of the Executive Branch at 5 ments.

CFR part 2635, the National Science

Foundation's regulations at 5 CFR part Subpart B—Statutory Exemptions

5301 which supplement the executive 680.20 Exemptions under 18 U.S.C. 208(b). branch Standards, and the executive AUTHORITY: 5 U.S.C. 7301; 18 U.S.C. 208

branch financial disclosure regulations (1988); 42 U.S.C. 1870(a); 5 CFR 2635.105(c)(3),

at 5 CFR part 2634. 2635.402(d)(1).

$680.11 Staff involvement with NSF SOURCE: 47 FR 32131, July 26, 1982, unless

proposals and awards. otherwise noted.

(a)(1) Many scientists, engineers, and Subpart A-Rules of Practice for

educators interrupt active research and the National Science Foundation

teaching careers to spend a year or two at NSF and then return to research and

teaching, usually at the same instituSOURCE: 61 FR 59837, Nov. 25, 1996, unless

tion from which they came. Many such otherwise noted.

visiting scientists, engineers, and edu8 680.10 Definitions; cross-references

cators (and a few permanent employto employee ethical conduct stand ees) who have been principal investigaards and financial disclosure regu tors under NSF awards before coming lations.

to NSF, retain some interest or asso(a) Definitions. Under this subpart,

ciation with the work. If an individual unless a provision plainly indicates

is a principal investigator under an otherwise:

NSF award, the individual is not pre(1) Award means any grant, contract,

cluded from retaining ties to the work cooperative agreement, loan, or other

after becoming an NSF employee. The arrangement made by the Government.

employee may stay in contact with (2) Employee includes, in addition to

those who are continuing the work in any individual defined in 5 CFR the employee's laboratory or on his or 2635.102(h), any individual working at her project. The employee may conNSF under the Intergovernmental Per tinue to supervise graduate students. sonnel Act. It includes any part-time And the employee may visit and work or intermittent employee, temporary in the laboratory on his or her own consultant; but not a special Govern time for these and related purposes. ment employee, as defined in 18 U.S.C. (2) Before a prospective employee 202(a).

comes to NSF, the prospective em(3) Institution means any university, ployee and the grantee institution college, business firm, research insti must designate, subject to NSF aptute, professional society, or other or proval, a “substitute principal investiganization. It includes all parts of a gator”-i.e., another scientist who will university or college, including all in- be responsible for the work and equipstitutions in a multi-institution State ment and will represent the institution or city system. It includes any univer- in any dealings with NSF officials

vious twelve months, shall not represent himself, herself, or any other person in dealings with any NSF official on any proposal, project, or other


while the prospective employee is at NSF.

(3) Appointment of a substitute prin cipal investigator is unnecessary if all work under an award is to be completely suspended while the employee is at NSF. If the work is to be suspended, the employee and the grantee institution must inform the NSF in writing before the employee's employment begins. Work under the award may be resumed when the employee completes his or her NSF employment, and its term may be extended to account for the time lost during the em ployee's NSF employment.

(b)(1) NSF will entertain no proposal on which a current NSF employee would be a senior investigator or equivalent, unless it is a proposal for continuation or extension of support for work on which the employee served in that capacity before coming to NSF. Any proposal for continuation of NSF support at essentially the same level (with reasonable allowance for inflation) will normally be considered a proposal for continuation or extension if it would support the work of the same investigator and his or her laboratory or group (if any) in the same general field of science, engineering, or education, notwithstanding that the focus of the work may change in response to research opportunities or educational needs.

(2) Someone other than the current NSF employee must submit any such proposal for continuation or extension of work NSF previously supported and handle all negotiations with NSF, but the capacity in which the current NSF employee will serve should be clearly spelled out in the proposal.

(c) In accordance with 5 CFR 5301.103(a)(1), an NSF employee may not receive, directly or indirectly, any salary, consulting fee, honorarium, or other form of compensation for services, or reimbursement of expenses, from an NSF award.

(b) The one-year restriction contained in paragraph (a) of this section is in addition to any post-employment restriction imposed by statute, including 18 U.S.C. 207 and 41 U.S.C. 423. To the extent that any disqualification required by paragraph (a) of this section is not also required by statute, written exceptions may be granted by the NSF's General Counsel, whose decisions shall be final. Exceptions will be rare and will be granted only where strict application of the rules would result in undue hardship for former short-term employees or for other former employees, and when granting an exception would not result in an unfair advantage to the former employee.

(c)(1) Paragraph (a) of this section applies to particular matters involving specific parties, such as grants, contracts, or other agreements; applications for permits, licenses, or the like; requests for rulings or similar official determinations; claims; investigations or audits; charges or accusations against individuals or firms; adjudicatory hearings; and court cases.

(2) For former employees, other than special Government employees, paragraph (a) of this section also applies to particular matters that do not involve specific parties, such as:

(i) Determinations to establish or dis-establish a particular program or dis-esta set its budget level for a particular fiscal year;

(ii) Decisions to undertake or terminate a particular project;

(iii) Decisions to open or not open a contract to competitive bidding;

(iv) General policy or rulemakingincluding, for example, decisions on particular NSF rules or formal policy, such as adoption or amendment of a resolution by the National Science Board, promulgation or amendment of an NSF regulation or circular, amendment of standard grant or contract terms, or changes to NSF manuals or policy documents; and

(v) Agency positions on particular legislative or regulatory proposals.

8680.12 One-year NSF post-employ

ment restrictions. (a) For one year after leaving NSF employment, a former NSF employee, including a special Government employee who has performed work for NSF on more than 60 days in the pre

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 an employee is at NSF has two additional functions: it identifies another person to be responsible for the work and equipment, and it reminds all concerned that during an employee's NSF service his or her attentions should focus on NSF duties.

Subpart B-Statutory Exemptions

(d) Paragraph (a) of this section does not apply to:

(1) Any expression of a former employee's views on policy issues where the circumstances make it obvious that the former employee is only speaking as an informed and interested citizen, not representing any financial or other interests of his or her own or of any other person or institution with which he or she is associated;

(2) Any appearance or communication concerning matters of a personal or individual nature, such as the former employee's taxes, salary, benefits, possible Federal employment, rights as a former employee, or the application of conflict-of-interest rules to something the former employee proposes to do;

(3) Any appearance on the former employee's own behalf in any litigation or administrative proceeding; or

(4) Any presentation of scientific or technical information (at a site visit, for example) or any other communication of scientific or technical information on work being proposed or conducted.

(e) As soon as his or her NSF employment ceases, a former NSF employee (including any former special Government employee described in paragraph (a) of this section) may again be listed as principal investigator on an NSF award, may be listed as principal investigator in any proposal or award, and may sign a proposal as principal investigator. However, the former employee and the grantee institution shall formally designate. subject to NSF approval, a “substitute negotiator” who, though not principally responsible for the work, will represent the former employee and the institution in dealings with NSF officials on any proposal or project for as long as the former employee would be barred from representational contacts with NSF by paragraph (a) of this section or by statute.

$ 680.20 Exemptions under 18 U.S.C.

208(b). (a) The Foundation exempts the interests described in the remainder of this section from the operation of section 208(a) and from case-by-case formal determinations under section 208(b)(1) of title 18, United States Code.

(b) Minor interests. The following financial interests are too inconsequential to affect the integrity of an employee's services to the Government:

(1) Noncorporate bonds;

(2) Shares in a well-diversified money market or mutual fund;

(3) Stocks, bonds, or other securities of a corporation listed on the New York or American Stock Exchange if the aggregate market value of all the securities you hold in that corporation does not exceed $1,000;

(4) Vested pension rights to which no further contributions are being made by your former employer.

(c) Indirect interests. An NSF employee may be a stockholder, partner, employee, officer, or director of an institution, such as a mutual fund, that owns a financial interest in a second institution. If the owning institution's financial interest consists of securities or other evidences of debt of the second institution that amount to:

(1) Less than 5 percent of the total portfolio of investments of the owning institution,

(2) Less than 5 percent of the total outstanding amounts of the same classes of securities of the second institution, and

(3) Less than would be needed to obtain effective control of the second institution,

8680.13 Purposes for “substitute” re

quirements. Appointment of a "substitute prin cipal investigator” or “substitute negotiator” ensures against unthinking violation of the restrictions on dealings with NSF officials. It serves this purpose by flagging proposals or

then the interest is too remote and in consequential to affect the integrity of the employee's services to the Government.

(d) Policy determinations. Where a general policy determination of the Gov. ernment might constitute a “particular matter” under 18 U.S.C. 208(a) and might affect the home institution of an NSF officer or employee, but only in the same manner as all similar institutions, the officer or employee may participate in that determination.

(e) Support services for National Science Board tasks and responsibilities. A member of the National Science Board may need professional, clerical, and administrative services to support the member's personal efforts to carry out Board tasks and responsibilities. With the approval of the Director and the Chairman of the National Science Board and in accordance with other laws and regulations, the NSF may contract with the home insitution of the member to provide such services. The institution may receive reimbursement of all allowable costs, but no profit or fee. In such circumstances any financial interests the institution might have are normally too inconsequential to affect the integrity of the services provided by the Board member to the Government. [47 FR 32131, July 26, 1982. Redesignated at 61 FR 59839, Nov. 25, 1996)

(a) Research misconduct means fabrication, falsification, or plagiarism in proposing or performing research funded by NSF, reviewing research proposals submitted to NSF, or in reporting research results funded by NSF.

(1) Fabrication means making up data or results and recording or reporting them.

(2) Falsification means manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.

(3) Plagiarism means the appropriation of another person's ideas, processes, results or words without giving appropriate credit.

(4) Research, for purposes of paragraph (a) of this section, includes proposals submitted to NSF in all fields of science, engineering, mathematics, and education and results from such proposals.

(b) Research misconduct does not include honest error or differences of opinion.



Sec. 689.1 Definitions. 689.2 General policies and responsibilities. 689.3 Actions. 689.4 Role of awardee institutions. 689.5 Initial NSF handling of misconduct

matters. 689.6 Investigations. 689.7 Pending proposals and awards. 689.8 Interim administrative actions. 689.9 Dispositions. 689.10 Appeals. AUTHORITY: 42 U.S.C. 1870(a).

SOURCE: 67 FR 11937, Mar. 18, 2002, unless otherwise noted.

$ 689.2 General policies and respon

sibilities. (a) NSF will take appropriate action against individuals or institutions upon a finding that research misconduct has occurred. Possible actions are described in $ 689.3. NSF may also take interim action during an investigation, as described in § 689.8.

(b) NSF will find research misconduct only after careful inquiry and investigation by an awardee institution, by another Federal agency, or by NSF. An "inquiry” consists of preliminary information-gathering and preliminary fact-finding to determine whether an allegation or apparent instance of research misconduct has substance and if an investigation is warranted. An investigation must be undertaken if the inquiry determines the allegation or apparent instance of research misconduct has substance. An “investigation” is a formal development, examination and evaluation of a factual record to determine whether research misconduct has taken place, to assess its extent and consequences, and to evaluate appropriate action.

$689.1 Definitions.

The following definitions apply to this part:

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