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confidence in the integrity of the Govern activity will normally be considered ofiment or NASA.

cial if: (e) It would involve work with any (a) It is the result of a request ad. contractor or subcontractor that is con dressed to NASA to furnish a speaker, nected with any work being performed author, or editor or of an invitation by that entity for NASA or would other addressed to an employee of NASA to wise involve work for any person or or perform these activities in his offiganization which may be in a position cial capacity, rather than as a private to gain advantage in its dealings with individual; the Government through the exercise of (b) The activity is performed in conthe employee's exercise of his official junction with attendance at a meeting duties.

approved under the authority of the Fed(f) It would identify NASA or its em eral Employees' Training Act, 5 U.S.C. ployee officially with any organization 2318(b). manufacturing, distributing, or advertis

The fact that an activity was prepared ing a product relating to work conducted

for outside of duty hours or was perby NASA, or would create the false im

formed after normal duty hours is not pression that it is an official action of

determinative of whether it is official or NASA, or represents an official point of

nonofficial. view. In any permissible outside employment, care must be taken to insure § 1200.735–305 Compensation, honothat names and titles of NASA employ

rariums, travel expenses. ees are not used to give the impression (a) An employee may accept compenthat the activity or product is officially sation or an honorarium for permissible endorsed or approved by NASA or is part outside employment that is nonofficial in of NASA activities.

character unless otherwise prohibited by (g) It would involve use of the em this subpart. ployee's time during his official working (b) (1) Except as provided in subparhours.

agraph (2) of this paragraph, travel ex(h) It would involve use by the em

penses normally will be borne by the ployee of official facilities, e.g., office Government when official employment space, office machines or supplies, or the

activities of NASA employees are inservices of other employees during duty volved, including attendance at meetings hours.

of nongovernmental organizations (see (i) It would be of such extent or na NASA Policy Directive 9710.2). Conture as to interfere with the efficient

versely, when nonofficial outside employperformance of the employee's Govern ment activities are involved, appropriated ment duties.

funds will not be utilized for travel or (j) It would involve use of information subsistence. obtained as a result of Government em (2) Contributions and awards incident ployment that is not freely available to to training in non-Government facilities the general public in that it either has and travel, subsistence, and other exnot been made available to the general

penses incident to attendance at meetpublic or would not be made available on ings may be accepted by NASA emrequest. However, written authoriza

ployees, provided that such contributions, tion for the use of nonpublic information awards, and payments are made by nonmay be given when the Director of the profit organizations pursuant to the field installation or the Assistant Admin Government Employees Training Act (5 istrator for Administration, at NASA U.S.C. 2318), and that the employee has Headquarters, as appropriate, determines obtained specific written authorization that such use would be in the public to accept the contribution or award. interest.

1200.735–306 Special conditions ap8 1200.735–304. Distinction between of. plicable to teaching. ficial and nonofficial activities.

Teaching or lecturing will not be In applying the provisions of this sub undertaken for the purpose of instructpart, particularly with regard to writing, ing, directly or indirectly, any person or speaking, or editing activities, NASA em class of persons with a view to their ployees must distinguish between official special preparation for a Civil Service or and nonofficial activities. In connection Foreign Service examination (see Execuwith writing, speaking, or editing, an tive Order 9367).

$ 1200.735–307 Special conditions ap considerable desirable for the protecplicable to writing and editing.

tion of employees or NASA. (a) Subject to the conditions in this $ 1200.735–309 Related statutory prosubpart applicable to outside employ

visions. ment, NASA employees may serve as

Several criminal statutory provisions editors, as editorial consultants, or on

restrict certain types of outside activieditorial boards and may contribute

ties on the part of employees as follows: articles to publications issued by non

(a) 18 U.S.C. 203 imposes criminal profit organizations or by profit organizations involved in trade or news press

penalties upon an employee who, other publishing.

than in the proper discharge of official

duties, directly or indirectly receives or (b) Publications associated with or

agrees to receive, or asks, demands, soganizations in the nonprofit category are those such as the National Geographic

licits, or seeks, any compensation for any

service rendered or to be rendered either Society.

by himself or another in relation to any (c) The profit category of publications

proceeding, application, request for a includes textbooks, handbooks, maga

ruling or other determination, contract, zines, journals and newspapers. Edit

claim, controversy, charge, accusation, ing activities for profit organizations

arrest, or other particular matter in should be carefully appraised. Under no

which the United States is a party or has circumstances should the activity involve

a direct and substantial interest, before approval or disapproval of advertising.

any department, agency, court-martial, (d) Writing and editing, with or with

officer, or any civil, military, or naval out pay, which pertain to the private

commission. interest of employees regarding hobbies,

(b) (1) 18 U.S.C. 205 imposes criminal sports, or cultural activities are per

penalties upon an employee who other mitted unless there are actual or appar

than in the proper discharge of his ofient conflicts with their officially assigned

cial duties I duties.

(i) Acts as agent or attorney for § 1200.735–308 Administrative ap prosecuting any claim against the United proval.

States or receives any gratuity, or any The provisions of this section will be

share of or interest in any such claim,

in consideration of assistance in the observed with respect to all outside employment. Each employee must be alert

prosecution of such claim, or

(ii) Acts as agent or attorney for anyto identify and to avoid any situation that would involve him in prohibited ac

one before any department, agency, tivity. Aside from avoiding prohibited

court, court-martial, officer, or any civil, outside employment, each employee must

military, or naval commission in conalso obtain administrative approval in

nection with any proceeding, application, accordance with Appendix A to this sub

request for a ruling or other determinapart before engaging in outside employ

tion, contract, claim, controversy, charge, ment of the following types:

accusation, arrest, or other particular

matter in which the United States is a (a) Writing or editing except those activities set out in § 1200.735–307(d).

party or has a direct and substantial

interest (b) Speaking engagements except where the subject matter is unrelated to

(2) Exceptions to the foregoing prohi

bition are as follows: the subject matter of the employee's

(1) If not inconsistent with the faithofficial duties. (c) Teaching and lecturing.

ful performance of his duties, an em

ployee may act, without compensation, as (d) Regular self-employment.

agent or attorney for any person who is (e) Consulting services.

the subject of disciplinary, loyalty, or (f) Holding State or local public

other personnel administration proceedoffice.

ings in connection with those proceed(g) Any other outside work concern

ings. ing the propriety of which an employee (ii) An employee may act with or is uncertain.

without compensation, as agent or attorPrior administrative approval may be ney for his parents, spouse, child, or any required for additional types of outside person for whom, or for any estate for employment where, because of special which, he is serving as guardian, execuconsiderations, such a requirement is tor, administrator, trustee, or other per

sonnel fiduciary except in those matters Administrator, Program or Staff Ofice or to in which he has participated personally

the Director of the Field Installation or to and substantially as a Government em

the persons designated to act for them. Employee, through decision, approval, dis

ployees will be notified in writing of the ac

tions taken on their requests. All approved approval, recommendation, the render

requests (or copies of such requests) and two ing of advice, investigation, or otherwise, copies of the notification of the approval acor which are the subject of his official re tion will be maintained in the local Personnel sponsibility, provided that the Govern Office as follows: ment oficial responsible for appointment a. A special file on outside employment, to his position approves.

separated by title of types of employment. (c) (1) Under 18 U.S.C. 209 an em

b. A copy in the personnel folder of the ployee is prohibited from receiving any

employee concerned.

3. Keeping record up to date. When the salary, or any contribution to or supple

fee or rate of compensation of an employee's mentation of salary, as compensation for

approved outside work increases, or there is his services as an officer or employee of a change in the nature or scope of the duties the Government, from any source other or services performed or the nature of his than Government of the United States employer's business, the employee will subexcept as may be contributed out of the mit promptly a revised request. If the outtreasury of any State, county or munic

side work is discontinued sooner than anticiipality.

pated (not merely suspended temporarily),

he will notify the officer who approved the (2) Exceptions to the prohibitions of request. 18 U.S.C. 209 are made for those em 4. Annual report. Annually, the approving ployees continuing to participate in a official will require a report from each per. bona fide pension, retirement, group life, son for whom outside work has been aphealth or accident insurance, profit proved. The report will indicate: sharing, stock bonus, or other employee

a. Whether the anticipated work was acwelfare or benefit plan maintained by a

tually performed for the person or organiza

tion named in the request for approval. former employer. However, such finan

b. Actual amount of time spent on the cial interests may still violate 18 U.S.C.

activity. 208 unless waived. (See Subpart D of c. Actual compensation received. this part, Appendix B, paragraph 4.)

d. Whether any change is anticipated with APPENDIX A-PROCEDURES FOR PERMISSION TO respect to information supplied in accord

ENGAGE OUTSIDE EMPLOYMENT (See ance with paragraph 1 and on which the ap$ 1200.735–308)

proval was based. 1. Form and content of request. A request

5. Enforcement. Failure to request ad

ministrative approval for outside work for for administrative approval of outside work

which approval is required is ground for shall be in writing and show:

disciplinary action. a. Employee's name, occupational title, and

6. Confidentiality of requests. All requests Federal salary.

will be treated as confidential and made b. Nature of the activity: Full description

available only to specifically authorized per. of specific duties or services to be performed.

sons. In accordance with Civil Service Comc. Name and business of person or organi

mission requirements, an appropriate record zation for which the work will be done. (In

will be made in the official personnel folder the case of self-employment in a professional

of an employee for whom a decision is made capacity serving a large number of individ

that a proposed teaching activity is not in uals, instead of listing each client and the

conflict with Executive Order 9367. fees paid, the type of services to be rendered and estimate of the total number of clients

Subpart D-Employment and Fianticipated during the next 6 months will be

nancial Interests and Investments indicated.) d. Estimated total time that will be de

§ 1200.735–400 Scope of subpart. voted to the activity. (If on a continuing basis, the estimated time per year; if not, the

This subpart prescribes policies and anticipated ending date.)

procedures for the avoidance of conflicte. Whether service can be performed en ing personal employment and financial tirely outside of usual duty hours; if not, es interests in connection with an emtimated number of hours of absence from ployee's Government position or in the work that will be required.

discharge of his official responsibilities, f. Method or basis of compensation (e.g., and sets out the requirements for reportwhether fee basis, per diem, or per annum) ing financial interests and outside and rate or amount of compensation esti

employment. mated for a specified period.

$ 1200.735–401 General. 2. Routing. The request for approval will be submitted (in duplicate) to the appropri (a) Employees are subject to two types ate Official-in-Charge of the Headquarters of controls in connection with apparent



or actual conflicting employment and financial interests. One is a criminal statute, 18 U.S.C. 208, which by its terms prohibits an employee's participation in certain activities where he has a conflicting personal financial interest. The other is a requirement under Executive Order 11222 that employees occupying – certain Government positions must report all personal financial interests by filing a statement of employment and financial interests. The statute and the statement of employment and financial interests have the common objective of deterring the occurrence of conflicting financial interest situations: One by sanctions and the other by disclosure. But whereas the statute prohibits and punishes, the statement of employment and financial interests is intended to serve as an aid to the employee and those who review his statement in the avoidance of the conflicting situation through advice and counseling.

(b) The statement of employment and financial interests required under this subpart are in addition to, and not in substitution for, or in derogation of, any similar requirement imposed by law, order or regulation. The submission of a statement or supplementary statement by an employee does not permit him or any other person to participate in a matter in which his or the other person's participation is prohibited by law, order, or regulation, unless he obtains a waiver under procedures set out in this subpart. $ 1200.735-402 Statutory prohibitions

against acts affecting a personal

financial interest. (a) The provisions of 18 U.S.C. 208(a) prohibit any employee from participating personally and substantially in the course of his Government duties in any judicial or other proceeding, application, request for a ruling or other determina- tion, contract, claim, controversy, charge, accusation, arrest, or other particular matter in relation to which matter, to his knowledge, the following persons or organizations have a financial interest:

(1) The employee, or his spouse, minor child, or partners;

(2) A business or nonprofit organization in which the employee is serving as an officer, director, trustee, partner, or employee; or

(3) A person or business or nonprofit organization with whom or with which the employee is negotiating, or has any

arrangement with, concerning prospective employment.

(b) The prohibitions in paragraph (a) of this section may be waived under certain circumstances which are set out in $ 1200.735–403.

(c) Illustrative of the types of matters in which NASA employees commonly participate and which may fall within the prohibitions described in paragraph (a) of this section are the following:

(1) The negotiation, administration, or auditing of contracts or agreements;

(2) The selection or approval of contractors or known subcontractors under a NASA prime contract;

(3) The technical monitoring or direction of work under a contract;

(4) Participation on boards or committees of the type listed in § 1200.735404(a) (4); or

(5) Project monitoring.

(d) Unless a waiver is granted pursuant to § 1200.735–403, no NASA employee or civilian or military personnel of other Government agencies regularly detailed to NASA will participate personally and substantially in the course of his Government duties in any specific matter of a type listed in paragraph (c) of this section, or in any other matter of a type referred to in paragraph (a) of this section if, to his knowledge, any of the persons or organizations identified in paragraph (a) of this section have a financial interest relating to that specific matter. $ 1200.735–403 Waiver of statutory pro

hibition. (a) The prohibition of 18 U.S.C 208(a) may be waived in connection with a specific matter of the type which comes under the statute if the employee makes a full disclosure in writing of the nature of the matter involved and of the financial interest relating thereto and receives, in advance of his participation in such matter, a written determination that such financial interest is not so substantial as to affect the integrity of his services and, therefore, that the employee may participate personally and substantially in that matter. The procedures set forth in Appendix A of this subpart will be followed in connection with granting a waiver as described in this section.

(b) The prohibition of 18 U.S.C. 208 (a) also may be waived by general regulation applicable to all NASA employees so as to permit an employee and civilian

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and military personnel of other Govern (i) Administering or monitoring ment agencies regularly detailed to grants or subsidies, including grants to : NASA to participate personally and sub educational institutions and other nonstantially in a specific matter, notwith Federal organizations; standing the existence of a financial in (iii) Auditing financial transactions; terest relating to that matter, where it (iv) Using or disposing of excess or has been determined that such a finan surplus property (GS-12 and above); cial interest is too remote or too incon (v) Establishing or enforcing safety sequential to affect the integrity of a standards and procedures; and NASA employee's service in any matter (4) All employees, regardless of grade, in which he may act in his governmen occupying or serving in the following tal capacity. Such a determination has positions or on the following Boards been made by the Administrator with re or Committees: spect to the categories of financial in (i) Attorney-advisers and patent atterests set forth in Appendix B of this torneys, subpart.

(ii) Patent-advisers,

(iii) Source Evaluation Boards or $ 1200.735–404 Statement of employ

Committees, ment and financial interests.

(iv) Inventions and Contribution (a) The following categories and types Board, of employees will file a statement of em (v) Contract Adjustment Board, ployment and financial interests con (vi) Board of Contract Appeals, taining the kind of information required (vii) Architect-Engineer Selection by the Civil Service Commission on Boards, and NASA Form 1270:

(viii) Site Selection Boards. (1) Employees paid at a level of the (5) Other employees identified by the Federal Executive Salary Schedule es Director of a Field Installation or, at tablished by the Federal Executive

Headquarters, by the Assistant AdminisSalary Act of 1964, as amended, except trator for Administration as holding 12 the Administrator who is subject to sepa positions requiring the incumbent thererate reporting requirements under sec of to exercise judgment in making or tion 401 of Executive Order 11222.

recommending Government decisions or (2) Employees in Grade GS-16 and actions where such decisions or actions above of the General Schedule estab

may have an economic impact on the inlished by the Classification Act of 1949, terest of any non-Federal enterprise. as amended, and those employees hold (b) An employee described in subing NASA excepted positions and com paragraph (3) of paragraph (a) of this parable and higher positions not sub section may be exempted from the reject either to the Classification Act or quirement for filing a statement of emsection 203(b) (2) of the National Aero ployment and financial interests when nautics and Space Act of 1958, as the Director of the Field Installation amended.

involved or, at Headquarters, the Assis(3) Employees at the GS-13 level and tant Administrator for Administration above, unless otherwise exempted pursu determines that the employee's duties ant to paragraph (b) of this section, are at such a level of responsibility and whose basic duties and responsibilities re are subject to such a degree of superquire the exercise of judgment in mak vision and review that the possibility of ing or recommending a Government de his becoming involved in a conflict of cision or in taking or recommending interest is remote. Government action in regard to:

(c) Procedures for filing statements (i) Contracting or procurement, in of employment and financial interests cluding the evaluation or selection of are contained in Appendix C of this contractors; the negotiation, approval, subpart. or award of contracts; the supervision (d) The follo

ng procedures will be of activities performed by contractors, followed with regard to the maintenance including the administration, monitor of statements of employment and finan. ing, audit, and inspection of contractors cial interests. Each Field Installation and contract activities; the initiation or Director, and for Headquarters, the approval of requests to procure supplies, Assistant Administrator for Administraequipment, or services, other than those tion will maintain on a current basis a common items available from NASA or master list of employees required to file GSA inventories;

statements under this subpart. It will

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