nary or remedial action includes, but is not limited to, divestiture by the employee of his conflicting interest, disqualification for particular assignments, reassignment, or disciplinary action. (e) The employee concerned will have a reasonable opportunity during any investigation and at all levels of consideration of his problem to present in person and through documents his position on the matter. Subpart F-Standards of Conduct for Special Government Employees § 1200.735-600 Scope of subpart. This subpart: (a) Provides guidance with respect to the application of the conflict of interest statutes to special Government employees (as defined in § 1200.735-601); it is of particular applicability to advisers, consultants and experts. (b) Sets forth the standards of ethical conduct which, under Presidential Order and regulations of the Civil Service Commission, special Government employees are expected to observe. cisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct Government action." NASA advisers, consultants or experts will not normally exercise official responsibility in connection with any matters. § 1200.735-602 Applicability. (a) This subpart is applicable to all NASA employees who are classified as special Government employees. It is of particular applicability to NASA advisers, consultants and experts who normally fall within the definition of the term "special Government employee." (b) To the extent that the conflict of interest statutes apply to a special Government employee, they apply to his activities on all days during the period of his NASA appointment, beginning with the date on which he takes an oath of office as a Government employee, whether he works on a full-time or intermittent basis. Similarly, the ethical standards prescribed in this subpart apply to the special Government employee during the full period of his appointment as an employee, and not merely on the days on which he performs services as an employee. (c) NASA employees, including advisers, consultants and experts, who are appointed to serve for more than 130 days during a period of 365 consecutive days are not subject to this subpart, even though they may in fact work 130 days or less, but are subject to Subparts A through E of this part, prescribing standards of conduct for regular Government employees. § 1200.735-603 Application of conflict of interest statutes. The so-called "conflict-of-interest" statutes (18 U.S. Code, sections 203, 205, 207, 208, and 209) are criminal statutes which provide for fines or imprisonment if they are violated. Their full text is set forth in Appendix A to this subpart. In summary, they apply to the special Government employee as follows: (a) 18 U.S.C. 203 and 205 apply to the special Government employee in his capacity as a private individual while serving also as a Government employee. They provide that the special Government employee may not, except in the discharge of his Government duties: (1) Represent anyone else before & court or any Government agency in relation to a "particular matter" (§ 1200.735 601(b)) involving a specific party or parties in which the United States is a party or has a direct and substantial interest and in which he has at any time participated "personally and substantially" (§ 1200.735-601(c)) either as a special or regular Government employee. (2) Represent anyone else before a court or any Government agency in relation to a “particular matter" (§ 1200.735– 601(b)) involving a specific party or parties which is pending within NASA, if he has served as a NASA employee for more than 60 days during the preceding 365 days. The special Government employee is bound by this restraint whether or not he has acted "personally and substantially" (§ 1200.735-601(c)) in relation to the "particular matter.” There are four exceptions from the application of one or both of the foregoing prohibitions, which are specified in the full text of section 205 (Appendix A of this subpart). (b) 18 U.S.C. 207 applies to the special Government employee in his capacity as a private individual, after he has terminated his service as a Government employee. It provides that the former employee may not: (1) At any time after his Government employment has ended, represent anyone else before a court or any Government agency in relation to a "particular matter" (§ 1200.735-601(b)) involving a specific party or parties, in which the United States is a party or has a direct and substantial interest and in which he participated "personally and substantially" (§ 1200.735-601(c)), either as a special or regular Government employee. (2) Within 1 year after his Government employment has ended, appear personally before a court or any Government agency in relation to a "particular matter" (§ 1200.735-601(b)) involving a specific party or parties in which the United States is a party or has a direct and substantial interest, and which was under his "official responsibility" (§ 1200.735-601(d)) as a Government employee within a period of 1 year prior to the termination of such responsibility. The prohibition applies whether or not the special Government employee participated "personally and substantially" (§ 1200.735-601(c)) in the "particular matter" (§ 1200.735-601(b)) while he was employed. (c) 18 U.S.C. 207(c) applies to the partner of a special Government em ployee. It provides that during the period of the special Government employee's appointment, his partner may not act as agent or attorney for anyone else in relation to a "particular matter" (§ 1200.735-601(b)) in which the United States is a party of has a direct and substantial interest, and in which the employee is participating or has participated "personally and substantially" (§ 1200.735-601(c)) as a special Government employee, or which is under the employee's "official responsibility" (§ 1200.735-601(d)). (d) (1) 18 U.S.C. 208 applies to the special Government employee, when he is acting in his capacity as a Government employee. It provides that the special Government employee may not, in his governmental capacity, participate "personally and substantially" (§ 1200.735601(c)) in any "particular matter" (§ 1200.735-601(b)) in relation to which matter, 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. (2) The statute also provides for two types of exemptions to be granted from the foregoing prohibition, so as to permit a special Government employee to participate "personally and substantially" (§ 1200.735-601(c)) in a “particular matter" (§ 1200.735-601(b)), notwithstanding the existence of a conflicting financial interest which he holds directly or that is imputed to him. These exemptions are: (i) In connection with specific matters, if the special Government employee's financial interest is not so substantial as to be deemed likely to affect the integrity of the services which the Government may expect from him an ad hoc exemption from the application of the statutory prohibition may be granted, in advance of his acting in relation to that matter, by the NASA official responsible for his appointment as a special Government employee. (ii) A general exemption, applicable to all NASA employees including special Government employees, of certain financial interests which have been determined to be too remote or too inconsequential to affect the integrity of an employee's services in any matter in which he may be called upon to participate may also be granted. The categories of financial interests which have been exempted by the Administrator under this general authority are set forth in Appendix B to this subpart. (e) 18 U.S.C. 209, the fifth "conflictof-interest" statute, does not apply to special Government employees. § 1200.735-604 Other statutes. (a) There are many other criminal statutes which are especially aimed at regulating the conduct of Government employees and which, therefore, apply to special Government employees. Two such statutes which are closely related to the conflict-of-interest statutes are: (1) Bribery. 18 U.S.C. 201 prohibits a Government employee from soliciting, receiving or agreeing to receive, directly or indirectly, anything of value for himself or others in connection with the performance of his official duties, or in return for committing or aiding in the commission of a fraud on the United States. (2) Disclosure of private or proprietary information. 18 U.S.C. 1905 prohibits a Government employee from disclosing, in any manner and to any extent not authorized by law, any information coming to him in the course of his employment or official duties which concerns or relates to the trade secrets, processes, operations, style of work, or apparatus, or to the identity, confidential statistical data, amount or source of any income, profits, losses or expenditures of any person, business entity, or association. (b) Regulations of the Civil Service Commission require that certain other statutes pertaining to the ethical and other conduct of special Government employees be brought to the attention of all such employees. These are listed in Appendix C to this subpart. private gain for himself or another person, particularly one with whom he has family, business, or financial ties. (b) Use of inside information. A special Government employee shall not use inside information obtained as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties. In this context, "inside information" means information obtained as a result of his Government employment which has not been made available to the general public or would not be made available on request. However, nonpublic information may be used upon a written determination made by the Administrator that such use would be in the public interest. (c) Avoidance of actions which may appear coercive. A special Government employee should not use his Government employment to coerce, or give the appearance of coercing, a person to provide financial benefit to himself or another person, particularly one with whom he has family, business, or financial ties. (d) Acceptance of gifts, entertainment or favors. (1) Except as provided in subparagraph (2) of this paragraph, a special Government employee should not solicit or receive from a person, organization or group having business with NASA, any gift, gratuity, entertainment (including meals), favors, loan, or other things of monetary value, for himself or for another person, particularly one with whom he has family, business or financial ties. This rule does not apply if the special Government employee is unaware of such business. (2) The following are exceptions to the general rule set forth in subparagraph (1) of this paragraph: (i) Receipt of salary, bonuses, or other compensation or emoluments from his non-Government employer or employers. (ii) Acceptance of food and refreshments of nominal value on infrequent occasions in the ordinary course of a luncheon, dinner, or other meeting. (iii) Acceptance of modest entertainment, such as a meal or refreshments, in connection with attendance at widely attended gatherings sponsored by industrial, technical, or professional associations, or at public ceremonies or similar activities financed by nongovernmental 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 employment 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 management intern or other training program. § 1200.735-607 Advisory service. Special Government employees who desire assistance or advice on interpreting the provisions of this subpart, or on other matters relating to the subject matter covered herein, are invited to consult the Agency Counselor (the NASA General Counsel) at Washington, D.C., or a Deputy Counselor (Legal) at a NASA field installation, or a Deputy Counselor (Personnel) (personnel officer at Headquarters or the field installation). § 1200.735-608 Review, enforcement, reporting, and investigation. (a) Each statement of employment and financial interest submitted under this part shall be reviewed by the appropriate Deputy Counselor (Legal). If that review discloses a conflict of interest or apparent conflict of interest the employee shall be given an opportunity to explain the conflict or apparent conflict, and every effort shall be made to resolve the matter. If the matter cannot be resolved at a lower level, it shall be reported to the Agency Counselor. If the Agency Counselor decides that remedial action is necessary, he shall take such action immediately to end the conflict or apparent conflict of interest. (b) NASA employees should consult with their Deputy Counselors with regard to any questions concerning this part. Resolution of problems disclosed by such consultations will be accomplished at the lowest possible supervisory level in the agency through counseling or by taking administrative action to eliminate real or apparent conflicts of interest. The services of the NASA Inspections Division will be requested by the Deputy Counselor, when necessary, to conduct investigations to ascertain all relevant facts. (c) A violation of the regulations contained in this subpart may be cause for appropriate disciplinary action. All disciplinary or remedial action taken hereunder will be in conformance with applicable laws, Executive orders, Civil Service Commission regulations and NASA regulations. Appropriate disciplinary or remedial action includes, but is not limited to, divestiture by the employee of his conflicting interest, disqualification for particular assignments, reassignment, or disciplinary action. (d) The special Government employee concerned will have a reasonable opportunity during any investigation and at all levels of consideration of his problem to present in person and through documents his position on the matter. APPENDIX A-CONFLICTS OF INTEREST 18 U.S.C. 203. Compensation to Members of Congress, officers, and others in matters affecting the Government. (a) Whoever, otherwise than as provided by law for the proper discharge of official duties, directly or indirectly receives or agrees to receive, or asks, demands, solicits, or seeks, any compensation for any services rendered or to be rendered either by himself or another (1) At a time when he is a Member of Congress, Member of Congress Elect, Resident Commissioner, or Resident Commissioner Elect; or (2) At a time when he is an officer or employee of the United States in the executive, legislative, or judicial branch of the Government, or in any agency of the United States, including the District of Columbia, in relation to any 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, before any department, agency, court-martial, officer, or any civil, military, or naval commission, or (b) Whoever, knowingly, otherwise than as provided by law for the proper discharge of official duties, directly or indirectly gives, promises, or offers any compensation for any such services rendered or to be rendered at a time when the person to whom the compensation is given, promised, or offered, is or was such a Member, Commissioner, officer or employee Shall be fined not more than $10,000 or imprisoned for not more than 2 years, or both; and shall be incapable of holding any office of honor, trust, or profit under the United States. (c) A special Government employee shall be subject to subsection (a) only in relation to a particular matter involving a specific party or parties (1) in which he has at any time participated personally and substantially as a Government employee or as a special Government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation or otherwise, or (2) which is pending in the department or agency of the Government in which he is serving: Provided, That clause (2) shall not apply in the case of a special Government employee who has served in such department or agency no more than 60 days during the immediately preceding period of 365 consecutive days. 18 U.S.C. 205. Activities of officers and employees in claims against and other matters affecting the Government. Whoever, being an officer or employee of the United |