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also be granted. The categories of finan- private gain for himself or another percial interests which have been exempted son, particularly one with whom he has by the Administrator under this general family, business, or financial ties. authority are set forth in Appendix B (b) Use of inside information. A to this subpart.

special Government employee shall not (e) 18 U.S.C. 209, the fifth “conflict- use inside information obtained as a of-interest” statute, does not apply to result of his Government employment for special Government employees.

private gain for himself or another per

son either by direct action on his part or § 1200.735-604 Other statutes.

by counsel, recommendation, or sugges(a) There are many other criminal tion to another person, particularly one statutes which are especially aimed at with whom he has family, business, or regulating the conduct of Government financial ties. In this context, “inside employees and which, therefore, apply information" means information obto special Government employees. Two tained as a result of his Government such statutes which are closely related employment which has not been made to the conflict-of-interest statutes are: available to the general public or would

(1) Bribery. 18 U.S.C. 201 prohibits not be made available on request. Howa Government employee from soliciting, ever, nonpublic information may be used receiving or agreeing to receive, directly upon a written determination made by or indirectly, anything of value for him- the Administrator that such use would be self or others in connection with the in the public interest. performance of his official duties, or in (c) Avoidance of actions which may return for committing or aiding in the appear coercive. A special Government commission of a fraud on the United employee should not use his Government States.

employment to coerce, or give the ap(2) Disclosure of private or proprie- pearance of coercing, a person to provide tary information. 18 U.S.C. 1905 pro

financial benefit to himself or another hibits a Government employee from dis- person, particularly one with whom he closing, in any manner and to any ex- has family, business, or financial ties. tent not authorized by law, any informa- (d) Acceptance of gifts, entertainment tion coming to him in the course of his or favors. (1) Except as provided in employment or official duties which con- subparagraph (2) of this paragraph, a cerns or relates to the trade secrets, special Government employee should not processes, operations, style of work, or

solicit or receive from a person, organizaapparatus, or to the identity, confidential tion or group having business with statistical data, amount or source of any

NASA, any gift, gratuity, entertainment income, profits, losses or expenditures of (including meals), favors, loan, or other any person, business entity, or associa- things of monetary value, for himself or tion.

for another person, particularly one with (b) Regulations of the Civil Service whom he has family, business or finanCommission require that certain other

cial ties. This rule does not apply if the statutes pertaining to the ethical and special Government employee is unaware other conduct of special Government

of such business. employees be brought to the attention of (2) The following are exceptions to all such employees. These are listed in the general rule set forth in subparaAppendix C to this subpart.

graph (1) of this paragraph: $ 1200.735–605 Standards of ethical

(i) Receipt of salary, bonuses, or other conduct.

compensation or emoluments from his

non-Government employer or employers. Under Presidential Order and regula- (ii) Acceptance of food and refreshtions of the Civil Service Commission, ments of nominal value on infrequent occertain additional standards of ethical casions in the ordinary course of a lunchconduct have been prescribed for all eon, dinner, or other meeting. Government employees. Among these (iii) Acceptance of modest entertainthe following are applicable to special ment, such as a meal or refreshments, in Government employees:

connection with attendance at widely (a) Use of Government employment. attended gatherings sponsored by indusA special Government employee may not trial, technical, or professional associause his Government employment for a tions, or at public ceremonies or similar purpose that is, or gives the appearance activities financed by nongovernmental of being, motivated by the desire for sources where the special Government

employee's participation on behalf of NASA is the result of an invitation addressed to him in his official capacity and approved as a part of his official duties, and the entertainment accepted is related to, and in keeping with, his official participation.

(iv) Acceptance of gifts, favors or entertainment, where there is an obvious family or personal relationship between the employee, or between his spouse, children or parents, and the donor, and where the circumstances make it clear that it is that relationship rather than the business of the persons concerned which is the motivating factor for the gift, favor or entertainment.

(v) Acceptance of loans from banks or other financial institutions on customary terms, to finance proper and usual activities of employees, such as home mortgage loans.

(vi) Acceptance of unsolicited advertising or promotional material such as pens, pencils, note pads, calendars or other items of nominal value.

(vii) Acceptance of incidental transportation in kind from a private organization, provided it is furnished in connection with the performance of the special Government employee's official duties and is of a type customarily provided by the private organization. $ 1200.735-606 Statement of employ

ment and financial interests. (a) Under Presidential Order and regulations of the Civil Service Commission, each special Government employee is required to submit a statement of his employment and financial interests at the time of his initial appointment except to the extent that such requirement has been waived by the Administrator, as specified in paragraph (f) of this section.

(b) The purpose of the statement of employment and financial interest is to assist the employee, and those who review his statement, in avoiding situations where a conflicting financial interest might exist. The statement will be treated by NASA as private information of the employee, and will be held in confidence. It will be reviewed only by those NASA employees who have been designated by the Administrator to make such a review. Information contained in the statement will not be disclosed outside NASA except as authorized by the Administrator or the Civil Service Commission for good cause shown.

(c) The submission of a statement of employment and financial interest is not intended to relieve the employee from complying with other applicable provisions of law, Executive order, or this subpart. In particular, the employee is not thereby permitted to participate in a matter where such participation is prohibited by 18 U.S.C. 208 (see $1200.735–603 (d)).

(d) If there is any change in the special Government employee's statement of employment and financial interests, he is required to submit a supplementary statement at the end of the calendar quarter in which the change occurred. If there are no changes or additions occurring in a quarter, a negative report is not required but a supplementary statement, negative or otherwise, is required to be submitted as of June 30 of each year during which the special Government employee's appointment continues.

(e) The statement of employment and financial interests will be filed on NASA Form 1271 (as prescribed by the Civil Service Commission) which describes the information to be furnished. The special Government employee is not required to submit

any information relating to his connection with, or interest in, a professional society, fraternal, recreational, public service, civic, or political organization, or a similar organization not conducted as a business enterprise. In this connection, however, educational and other institutions doing research and development or related work involving grants of money from or contracts with the Government are deemed to be “business enterprises." Information relating to such institutions, where relevant, should therefore be included in a special Government employee's statement of employment and financial interests.

(f) The Administrator of NASA has determined that the following categories of special Government employees who are not consultants or experts as defined in Chapter 304 of the Federal Personnel Manual will not be required to file statements of financial interests and other employment because their duties are of a nature and at such a level of responsibility that the submission of a statement by them is not necessary to protect the integrity of the Government:

(1) Temporary and summer employees below the grade of GS-13.

(2) Employees participating in a man- (d) The special Government employee agement intern or other training pro- concerned will have a reasonable opporgram.

tunity during any investigation and at

all levels of consideration of his problem § 1200.735–607 Advisory service.

to present in person and through docuSpecial Government employees who ments his position on the matter. desire assistance or advice on interpret

APPENDIX A-CONFLICTS OF INTEREST ing the provisions of this subpart, or on

STATUTES (SEE § 1200.735–603) other matters relating to the subject

18 U.S.C. 203. Compensation to Members matter covered herein, are invited to

of Congress, officers, and others in matters consult the Agency Counselor (the NASA

affecting the Government. (a) Whoever, General Counsel) at Washington, D.C., otherwise than as provided by law for the or a Deputy Counselor (Legal) at a NASA proper discharge of oficial duties, directly or field installation, or a Deputy Counselor indirectly receives or agrees to receive, or (Personnel) (personnel officer at Head

asks, demands, solicits, or seeks, any comquarters or the field installation).

pensation for any services rendered or to be

rendered either by himself or another1200.735–608 Review, enforcement, (1) At a time when he is a Member of reporting, and investigation.

Congress, Member of Congress Elect, Resi

dent Commissioner, or Resident Commis(a) Each statement of employment sioner Elect; or and financial interest submitted under (2) At a time when he is an officer or this part shall be reviewed by the ap- employee of the United States in the execupropriate Deputy Counselor (Legal). If tive, legislative, or judicial branch of the that review discloses a conflict of inter

Government, or in any agency of the United est or apparent conflict of interest the

States, including the District of Columbia,

in relation to any proceeding, application, employee shall be given an opportunity

request for a ruling or other determination, to explain the conflict or apparent con- contract, claim, controversy, charge, accusaflict, and every effort shall be made to tion, arrest, or other particular matter in resolve the matter. If the matter can- which the United States is a party or has & not be resolved at a lower level, it shall

direct and substantial interest, before any be reported to the Agency Counselor. If department, agency, court-martial, officer, or the Agency Counselor decides that reme

any civil, military, or naval commission, or

(b) Whoever, knowingly, otherwise than as dial action is necessary, he shall take

provided by law for the proper discharge of such action immediately to end the con- official duties, directly or indirectly gives, flict or apparent conflict of interest.

promises, or offers any compensation for any (b) NASA employees should consult such services rendered or to be rendered at with their Deputy Counselors with regard a time when the person to whom the comto any questions concerning this part.

pensation is given, promised, or offered, 15 Resolution of problems disclosed by such

or was such a Member, Commissioner, officer

or employee consultations will be accomplished at the

Shall be fined not more than $10,000 or lowest possible supervisory level in the

imprisoned for not more than 2 years, or - agency through counseling or by taking both; and shall be incapable of holding any :administrative action to eliminate real office of honor, trust, or profit under the or apparent conflicts of interest. The United States. services of the NASA Inspections Divi

(c) A special Government employee shall ision will be requested by the Deputy

be subject to subsection (a) only in rela

tion to a particular matter involving a spe Counselor, when necessary, to conduct investigations to ascertain all relevant

cific party or parties (1) in which he has at

any time participated personally and subfacts.

stantially as a Government employee or as (c) A violation of the regulations con- a special Government employee through decttained in this subpart may be cause for sion, approval, disapproval, recommendation, appropriate disciplinary action. All dis- the rendering of advice, investigation of ciplinary or remedial action taken here

otherwise, or (2) which is pending in the under will be in conformance with appli

department or agency of the Government

in which he is serving: Provided, That clause cable laws, Executive orders, Civil Service

(2) shall not apply in the case of a special Commission regulations and NASA regu- Government employee who has served in lations. Appropriate disciplinary or

such department or agency no more than 60 remedial action includes, but is not lim

days during the immediately preceding period

of 365 consecutive days. ited to, divestiture by the employee of

18 U.S.C. 205. Activities of officers and his conflicting interest, disqualification

employees in claims against and other mate for particular assignments, reassign- ters affecting the Government. Whoever, ment, or disciplinary action.

being an officer or employee of the United

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States in the executive, legislative, or judi- United States provided that the head of the cial branch of the Government or in any department or agency concerned with the agency of the United States, including the grant or contract shall certify in writing that District of Columbia, otherwise than in the the national interest so requires. - proper discharge of his official duties

Such certification shall be published in (1) Acts as agent or attorney for prose- the FEDERAL REGISTER. scuting any claim against the United States, Nothing herein prevents an officer or emor receives any gratuity, or any share of or ployee from giving testimony under oath or interest in any such claim in consideration from making statements required to be made of assistance in the prosecution of such claim, under penalty for perjury or contempt. or

18 U.S.C. 207. Disqualification of former (2) Acts as agent or attorney for anyone officers and employees in matters connected before any department, agency, court, court- with former duties or official responsibilities; martial, officer, or any civil, military, or naval disqualification of partners. (a) Whoever, = commission in connection with any proceed- having been an officer or employee of the

ing, application, request for a ruling or other executive branch of the U.S. Government, of determination, contract, claim, controversy, any independent agency of the United States, charge, accusation, arrest, or other particular or of the District of Columbia, including & matter in which the United States is a party special Government employee, after his em. or has a direct and substantial interest ployment has ceased, knowingly acts as agent.

Shall be fined not more than $10,000 or or attorney for anyone other than the United - imprisoned for not more than 2 years, or States in connection with any judicial or both,

other proceeding, application, request for a A special Government employee shall be ruling or other determination, contract, - subject to the preceding paragraphs only in claim, controversy, charge, accusation, arrest, relation to a particular matter involving a or other particular matter involving a specific specific party or parties (1) in which he has party or parties in which the United States at any time participated personally and sub- is a party or has a direct and substantial stantially as a Government employee or as a interest and in which he participated perspecial Government employee through deci- sonally and substantially as an officer or sion, approval, disapproval, recommendation, employee, through decision, approval, disapthe rendering of advice, investigation or proval, recommendation, the rendering of otherwise, or (2) which is pending in the advice, investigation, or otherwise, while so. department or agency of the Government in employed, or which he is serving: Provided, That clause (b) Whoever, having been so employed, --(2) shall not apply in the case of a special within 1 year after his employment has Government employee who has served in ceased, appears personally before any court. such department or agency no more than 60 or department or agency of the Government days during the immediately preceding pe- as agent, or attorney for, anyone other than riod of 365 consecutive days.

the United States in connection with any Nothing herein prevents an officer or em- proceeding, application, request for a ruling ployee, if not inconsistent with the faithful or other determination, contract, claim, conperformance of his duties, from acting with- troversy, charge, accusation, arrest, or other out compensation as agent or attorney for particular matter involving a specific party any person who is the subject of disciplinary, or parties in which the United States is a. loyalty, or other personnel administration party or directly and substantially interested, proceedings in connection with those pro- and which was under his official responsiceedings.

bility as an officer or employee of the Govern. Nothing herein or in section 203 prevents ment at any time within a period of 1 year an officer or employee, including a special prior to the termination of such responsiGovernment employee, from acting, with or bilitywithout compensation, as agent or attorney

Shall be fined not more than $10,000 or for his parents, spouse, child, or any person imprisoned for not more than 2 years, or for whom, or for any estate for which, he is both; Provided, That nothing in subsection. serving as guardian, executor, administrator, (a) or (b) prevents a former officer or emtrustee, or other personal fiduciary except in ployee, including a former special Govern. those matters in which he has participated ment employee, with outstanding scientific personally and substantially as a Govern- or technological qualifications from acting ment employee, through decision, approval, as attorney or agent or appearing personally disapproval, recommendation, the render- in connection with a particular matter in a ing of advice, investigation, or otherwise, or scientific or technological field if the head. which are the subject of his official responsi- of the department or agency concerned with bility, provided that the Government Official the matter shall make a certification in writ. responsible for appointment to his position ing, published in the FEDERAL REGISTER, that. approves.

the national interest would be served by such Nothing herein or in section 203 prevents action or appearance by the former officer or: a special Government employee from acting employee. as agent or attorney for another person in (c) Whoever, being a partner of an officer the performance of work under a grant by, or employee of the executive branch of the or a contract with or for the benefit of, the U.S. Government, of any independent agency

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of the United States, or of the District of Columbia, including a special Government employee, acts as agent or attorney for anyone other than the United States, in con. nection with any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in which the United States is a party or has a direct and substantial interest and in which such officer or employee of the Government or special Government employee participates or has participated personally and substantially as a Government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation or otherwise, or which is the subject of his official responsibility

Shall be fined not more than $5,000, or imprisoned not more than one year, or both.

A partner of a present or former officer or employee of the executive branch of the U.S. Government, of any independent agency of the United States, or of the District of Columbia or of a present or former special Government employee shall as such be subject to the provisions of sections 203, 205, and 207 of this title only as expressly provided in subsection (c) of this section.

18 U.S.C. 208. Acts affecting a personal financial interest. (a) Except as permitted by subsection (b) hereof, whoever, being an officer or employee of the executive branch of the U.S. Government, of any independent agency of the United States, or of the District of Columbia, including a special Government employee, participates personally and substantially as a Government officer or employee, through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, in a judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in which, to his knowledge, he, his spouse, minor child, partner, organization in which he is serving as officer, director, trustee, partner or employee, or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest

Shall be fined not more than $10,000, or imprisoned not more than 2 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 ex

pect from such officer or employee, or (2) if, AIPINO by general rule or regulation published in PB the FEDERAL REGISTER, the financial interest Bou has been exempted from the requirements of bras clause (1) hereof as being too remote or too inconsequential to affect the integrity of

Chat Government officers' or employees' services.

rele APPENDIX B-CATEGORIES OF FINANCIAL INTER- TIETE

EST EXEMPTED FROM THE PROHIBITION OF De 18 U.S.C. 208(a) (SEE § 1200.735–603)

1. The following exemptions apply to financial interests which are held directly by a NASA employee, including a special Government employee, or his spouse or minor child, whether jointly or individually, or by a NASA employee and his partner or partners

LE as joint assets of the partnership:

DOO a. Ownership of bonds other than corporate bonds, regardless of the value of such interest. This exemption extends also to any financial interests that the organization whose bonds are so owned may have in other business entities.

b. Ownership of shares in a mutual fund, regardless of the value of such interest. This exemption extends also to any financial interests that the mutual fund may have in

fault other business entities.

2. If a NASA employee, including a special Government employee, or his spouse or minor child has a present beneficial interest une or a vested remainder interest under a trust, the ownership under the trust of shares in & mutual fund will be exempt, regardless of the value of such interest. This exemption extends also to any financial interests that the mutual fund may have in other business entities.

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 exempt, provided the NASA employee is not serving as a member of the investment committee of the institution or is not other. wise advising it on its investment portfolio.

4. If a NASA employee, including a special Government employee, has continued to PART participate in a bona fide pension, retire

AL ment, 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 & former employee, his financial interest in that organization will be exempt, except to 30 the extent that the welfare or benefit plan is a profit-sharing or stock-bonus plan. This exemption extends also to any financial interests that the organization may have in other business entities.

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