[Federal Register Volume 61, Number 228 (Monday, November 25, 1996)]
[Rules and Regulations]
[Pages 59815-59820]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-29991]
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NATIONAL SCIENCE FOUNDATION
5 CFR Ch. XLIII
RINs 3209-AA15, 3145-AA20
Supplemental Standards of Ethical Conduct for Employees of the
National Science Foundation
AGENCY: National Science Foundation (NSF or Foundation).
ACTION: Interim rule, with request for comments.
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SUMMARY: The National Science Foundation, with the concurrence of the
Office of Government Ethics (OGE), is issuing regulations for officers
and employees of the NSF that supplement the Standards of Ethical
Conduct for Employees of the Executive Branch (Standards) issued by
OGE. The rule is a necessary supplement to the Standards, and addresses
ethical issues unique to NSF. It restricts employee participation in
certain proposals and awards; provides for clearance for participation
in NSF-supported conferences and in certain other outside activities,
and prescribes certain ethics restriction on Members of the National
Science Board.
DATES: Interim rule effective November 25, 1996. Comments are invited
and must be received on or before January 24, 1997. Comments will then
be evaluated in order to determine what changes, if any, may be needed.
ADDRESSES: Send comments to the Office of the General Counsel, National
Science Foundation, 4201 Wilson Boulevard, Room 1265, Arlington,
Virginia 22230.
FOR FURTHER INFORMATION CONTACT:
Charles S. Brown, Designated Agency Ethics Official, Office of the
General Counsel, National Science Foundation, telephone 703-306-1060,
FAX 703-306-0149.
SUPPLEMENTARY INFORMATION:
I. Background
On August 7, 1992, the Office of Government Ethics published
Standards of Ethical Conduct for Employees of the Executive Branch
(Standards) that are now codified at 5 CFR part 2635. See 57 FR 35006-
35067, as corrected at 57 48557, 57 FR 52583, and 60 FR 51667, and
amended at 61 FR 42965-42970 (as corrected at 61 FR 48733) and 61 FR
50689-50691, with additional grade period extensions at 59 FR 4779-
4780, 60 FR 6390-6391, 60 FR 66857-66858, and 61 FR 40950-40952. The
Standards took effect on February 3, 1993, and set uniform standards of
ethical conduct for all executive branch personnel.
With the concurrence of OGE, 5 CFR 2635.105 authorizes executive
branch agencies to publish agency-specific supplemental regulations
that are necessary to properly implement agency ethics programs. The
Foundation, with OGE's concurrence, has determined that the following
supplemental rule, being codified in new chapter XLIII of 5 CFR,
consisting of part 5301, is necessary to successfully implement NSF's
ethics program in light of NSF's unique programs, structure, and
operations. Today NSF also published in the Federal Register
regulations that repeal portions of its conflict of interest and
standards of conduct regulations that are superseded by 5 CFR part 2635
and by these supplemental regulations.
[[Page 59816]]
II. Analysis of the Regulations
Section 5301.101 General
Section 5301.101(a) explains that the regulations contained in the
interim rule apply to all NSF employees, including members of the
National Science Board (NSB), and that they supplement the Standards of
Ethical Conduct for Employees of the Executive Branch at 5 CFR part
2635.
Section 5301.101(b) sets forth definitions that apply to the
interim rule. While the rule contains provisions applicable to special
Government employees, including Members of the NSB, particular
substantive provisions apply to special Government employees and NSB
Members only when the substantive language specifically makes that
provision applicable. Thus, for purposes of the NSF supplemental
regulations only, the definitional language in paragraph (b)(2) defines
the term ``employee'' to exclude special Government employees,
including Members of the NSB. Exclusion of NSB Members from this
definitional language facilitates the adoption of slightly different
supplemental standards for NSB Members than those applicable to other
NSF employees. The definition at Sec. 5301.101(b)(2) has no effect on
the manner in which 5 CFR part 2635 applies to NSB Members or other
special Government employees. They continue to be covered by the
definition of an employee at 5 CFR 2635.102(h) and to be subject to the
standards in part 2635 applicable to all employees of the executive
branch, including special Government employees.
The definition of ``award'' in paragraph (b)(1) is intended to make
it clear that, for purposes of interpreting the standards set forth in
Secs. 5301.102 through 5301.105 of this interim rule, the term is to be
broadly construed to cover financial arrangements made by the
Government including, but not limited to, those that are in the nature
of a grant, contract, cooperative agreement, or loan. The definition of
a ``proposal'' in paragraph (b)(4) is included to make it clear that,
for similar purposes, the term covers any application for such a
financial arrangement, even though it is not technically denominated a
``bid'' or ``proposal.''
A definition of ``institution'' is provided in paragraph (b)(3).
Since NSF awards are ordinarily made to ``institutions,'' paragraph
(b)(3) makes it clear that this term is to be interpreted broadly. In
accordance with OGE formal advisory opinion 82 OGE 1, regarding the
breadth of the term ``organization,'' as used in 18 U.S.C. 208 and
applied to State colleges, universities, and higher education systems,
the definition applies to all parts of multi-institution State or city
university systems. (See pp. 851-857 of the bound volume available from
the Government Printing Office entitled The Informal Advisory Letters
and Memoranda and Formal Opinions of the United States Office of
Government Ethics (1979-1988).) However, the definition treats
consortia as separate ``institutions'' from the colleges and
universities that belong to them.
Section 5301.102 Participation in Proposals and Awards
Section 5301.102(a) supplements subpart E (Impartiality in
Performing Official Duties) of 5 CFR part 2635 with additional
standards to be used in determining whether NSF employees should or
should not participate as part of their official duties in proposals
and awards. Where disqualification is not mandated by 18 U.S.C. 208,
subpart E creates a mechanism for determining whether employees should
be disqualified on grounds of lack of impartiality from participation
in proposals, awards, and other particular matters involving specific
parties. With the exception of party matters that affect the financial
interests of a member of the employee's household, the mechanism in
subpart E is specifically triggered only when a person with whom the
employee has a covered relationship is a party or represents a party to
the matter. The definition of a ``covered relationship'' in 5 CFR
2635.502(b)(1), however, does not cover all the affiliations and
relationships that NSF believes should be considered in determining
whether an NSF employee's participation in a proposal or award is
appropriate.
Paragraph (a)(3) of Sec. 5301.102 lists the additional
relationships that are likely to raise questions about an NSF
employee's ability to participate with complete impartiality in
proposals and awards involving the persons with whom the employee has
the affiliation or relationship. As provided in paragraph (a)(1) of
Sec. 5301.102, one effect of paragraph (a)(3) is to create additional
categories of covered relationships for NSF employees that are to be
addressed under all or part of the mechanism set forth in subpart E.
For certain relationships, paragraph (a)(2) eliminates the discretion
an employee is otherwise given by 5 CFR 2635.502(a) to make the initial
judgment call as to whether his or her participation would cause a
reasonable person to question the employee's impartiality in the
matter. Paragraph (a)(2) provides that where an affiliation listed in
paragraph (a)(3) is denoted as ``automatically disqualifying,'' the
employee is disqualified from participating in a proposal or award to
which the institution or person is a party unless the employee's
participation is authorized by the agency designee with the concurrence
of the Office of the General Counsel.
The Foundation has long recognized that prospective, current, and
recent NSF employees are likely to be perceived as having an unfair
advantage in obtaining NSF awards. Section 5301.102(b) continues NSF's
current practice of making sure that employees disclose the involvement
or likely involvement of prospective, current, or recent NSF employees
in a proposal or award to an appropriate official who, in turn, will
ensure that the proposal is fairly evaluated or the award is fairly
administered.
Section 5301.102(b) also requires employees to disclose the
involvement or likely involvement of current Members of the NSB. These
Members are special Government employees, but because they constitute
NSF's governing body, they too may be perceived as benefiting from an
unfair advantage in obtaining NSF awards. Nonetheless, Members of the
NSB are appointed by the President and are not ``recruited'' by NSF in
the same manner as are prospective NSF employees. For this reason, NSF
has decided not to require the reporting of the involvement or likely
involvement of ``prospective'' NSB Members. Section 5301.102(b) also
does not impose a reporting requirement with respect to ``recent'' NSB
Members. Members work at NSF for so few days a year that recent NSB
Members are unlikely to have developed close ties with NSF employees
who might handle a proposal or award to which the recent NSB Member is
a party.
Section 5301.103 Outside Employment and Activities
Pursuant to 5 CFR 2635.802(a), Sec. 5301.103(a) of this interim
rule imposes restrictions on NSF employees engaging in certain outside
employment and activities. It prohibits them from receiving any form of
compensation or reimbursement from an NSF award, serving as principal
investigator or project director under an NSF award, and receiving
compensation or expenses for participating in conferences and other
events supported by NSF funds. The prohibitions are imposed on the
basis of NSF's determination that employees' participation in such
activities would be likely to raise questions as to whether they were
[[Page 59817]]
improperly using their official positions for private gain.
Under 5 CFR 2635.803, an agency may, by supplemental regulation,
require employees to obtain prior approval before engaging in outside
employment or activities where it determines that such a requirement is
necessary or desirable for the purpose of administering its ethics
program. The Foundation has made that determination with respect to the
requirements for prior approval of outside employment and activities
set forth in Sec. 5301.103(b).
Section 5301.103(b)(1) requires NSF employees to obtain prior
approval from an agency designee to engage in compensated outside
employment with any institution or person doing or expected to do
business with NSF, or to serve, with or without compensation, on such
an institution's visiting committee. This is a new requirement intended
to help protect employees from inadvertent violation of substantive
ethics laws and regulations.
Section 5301.103(b)(2)(i) is similar to a previous NSF rule
requiring permission from an ethics counselor in the Office of the
General Counsel to hold a policymaking office in a research
institution, scientific society, or professional association. It is
intended to ensure that NSF employees wishing to hold such positions
receive appropriate assistance from an ethics official in dealing with
the complex issues that arise from affiliations of this character.
Section 5301.103(b)(2)(ii) imposes an approval requirement for NSF
employees who wish to participate, in their personal capacities, in
NSF-funded events where the participation takes the form of presenting
a paper, or serving as organizer, director, proceedings editor, or
session chairperson. The Foundation is concerned that some may perceive
NSF employees to be in a better position than others to enhance their
personal professional credentials by such participation in NSF-
supported events. This approval requirement is therefore intended to
ensure that employees actually do not misuse their official positions
in participating in NSF-supported events in their personal capacities.
Section 5301.103(b)(3) sets forth the standard to be used by
officials who review and approve requests to engage in the outside
activities specified in paragraph (b). This standard is intended to
ensure that these determinations are not made arbitrarily, but on the
basis of applicable statutes part 2635, and this supplemental
regulation.
Section 5301.104 Participation in NSF-Supported Conferences
For employees who wish to participate in their personal capacities
in NSF-supported events, Sec. 5301.104(a) provides cross-references to
the relevant prohibitions and approval requirements contained in
Sec. 5301.103.
Section 5301.104(b) addresses the concern that some may perceive
NSF employees to be in a better position than others to enhance their
professional standing by participating in NSF-sponsored events. Very
often, those presenting papers, chairing sessions, editing proceedings,
or serving as directors or organizers at conferences or other
scientific events will take credit for that participation on their
resumes with the expectation that they will be accorded some
recognition for these professional activities. The fact that the
employee's participation takes place in an official rather than a
personal capacity is unlikely to have a bearing on the degree to which
that participation enhances his or her credentials and professional
standing.
Paragraph (b)(1) thus serves as a corollary to the prohibitions and
prior approval requirements in Sec. 5301.103 (a)(3) and (b)(2)(iii)
that apply to personal participation in NSF-supported events. With an
exception for events that primarily serve NSF purposes, it requires
prior approval for certain forms of participation in NSF-funded events
when undertaken by NSF employees as part of their official duties. The
approval standard set forth in Sec. 5301.104(b)(2) requires a balancing
of the importance of the employee's official participation against the
likelihood that his or her participation may be viewed as use of
official position to enhance the employee's professional credentials.
Section 5301.105 Restrictions Applicable to Members of the National
Science Board
Much like Sec. 5301.102(a), Sec. 5301.105(a) supplements subpart E
of 5 CFR part 2635 with additional standards to be used in determining
whether National Science Board (NSF) Members should or should not
participate as part of their official duties in proposals and awards.
As with Sec. 5301.102(a), the definition of a ``covered relationship''
in 5 CFR 2635.502(b)(1) does not cover all the affiliations and
relationships that NSF has determined need to be considered in deciding
whether an NSF Member's participation in a proposal or award is
appropriate.
Paragraph (a)(3) lists the additional relationships that are likely
to raise questions about the Member's ability to participate with
complete impartiality in proposals and awards involving the persons
with whom the Member has the affiliation or relationship. Paragraphs
(a)(3)(i)(A) and (a)(3)(ii) denote relationships as ``automatically
disqualifying.'' Here the Member is disqualified from participating
unless the NSB Chairman or the Designated Agency Ethics Official
authorizes the Member to participate in accordance with paragraph
(a)(2). Affiliations not identified as ``automatically disqualifying''
in paragraph (a)(3)(i) will be addressed in the same manner as covered
relationships described in subpart E of 5 CFR part 2635.
Section 5301.105(b)(1) maintains the NSF's previous rule barring
Members from representing themselves or others in dealings with NSF
staff. National Science Board Members are special Government employees
who ordinarily work at NSF for so few days per year that they are not
covered by the sixty-one-day threshold on the agency-wide
representation restriction contained in 18 U.S.C. 205. Yet unlike most
special Government employees, NSB Members have significant
decisionmaking responsibility for management of the agency. The
Foundation has found that a prohibition on NSB Members negotiating with
NSF staff prevents even the appearance that they are in a position to
misuse their official positions to improperly influence normal
decisionmaking processes.
Section 5301.105(b)(2) maintains the NSF's previous restrictions on
Members' receipt of compensation from NSF awards made during their
terms of service and, in so doing, strikes a balance between their role
as NSB Members and their continuing outside careers in science,
engineering, and education.
III. Matters of Regulatory Procedure
Administrative Procedure Act
The National Science Foundation has found that good cause exists
under 5 U.S.C. 553 (b) and (d) for waiving, as unnecessary and contrary
to the public interest, the general notice of proposed rulemaking and
the 30-day delay in effectiveness as to this final rule. Similar
regulations have been applicable to NSF employees under the now
suspended NSF regulations contained in 45 CFR parts 680, 681, 682, 683,
and 684. An immediate effective date is necessary to effect a smooth
regulatory transition and minimize any lapse in applicable procedural
and substantive rules relating to prior approval of outside activities
due to the
[[Page 59818]]
expiration of ``grandfathering'' provisions contained in the OGE
Standards.
Moreover, the rulemaking requirements of the Administrative
Procedure Act are not applicable to this final rule because it deals
with agency organization, procedure, or practice, 5 U.S.C. 553(b), and
relates to matters of agency management and personnel, 5 U.S.C.
553(a)(2). The final rule also contains substantive provisions that
grant or recognize an exemption or relieve a restriction such that an
immediate effective date is permitted under 5 U.S.C. 553(d)(1).
Executive Order 12866
In promulgating this interim rule, the National Science Foundation
has adhered to the regulatory philosophy and the applicable principles
of regulation set forth in section 1 of Executive Order 12866,
Regulatory Planning and Review. This regulation has not been reviewed
by the Office of Management and Budget under that Executive order, as
it deals with agency organization, management, and personnel matters
and is not, in any event, deemed a significant rule thereunder.
Regulatory Flexibility Act
The National Science Foundation has determined under the Regulatory
Flexibility Act (5 U.S.C. chapter 6) that this regulation will not have
significant economic impact on a substantial number of small entities,
because it primarily affects NSF employees, as well as prospective and
former NSF employees.
Paperwork Reduction Act
The National Science Foundation has determined that the Paperwork
Reduction Act (44 U.S.C. chapter 35) does not apply, because this
regulation does not contain any information collection requirements
that require the approval of the Office of Management and Budget.
List of Subjects in 5 CFR Part 5301
Conduct standards, Conflict of interests, Ethical standards,
Executive Branch Standards of Conduct, Government employees, National
Science Foundation.
Dated: November 14, 1996.
Lawrence Rudolph,
General Counsel, National Science Foundation.
Approved: November 18, 1996.
Stephen D. Potts,
Director, Office of Government Ethics.
For the reasons set forth in the preamble, the National Science
Foundation, with the concurrence of the Office of Government Ethics, is
amending title 5 of the Code of Federal Regulations by adding a new
chapter XLIII, consisting of part 5301, to read as follows:
CHAPTER XLIII--NATIONAL SCIENCE FOUNDATION
PART 5301--SUPPLEMENTAL STANDARDS OF ETHICAL CONDUCT FOR EMPLOYEES
OF THE NATIONAL SCIENCE FOUNDATION
Sec.
5301.101 General.
5301.102 Participation in proposals and awards.
5301.103 Outside employment and activities.
5301.104 Participation in NSF-supported conferences.
5301.105 Restrictions applicable to Members of the National Science
Board.
Authority: 5 U.S.C. 7301; 5 U.S.C. App. (Ethics in Government
Act of 1978); 42 U.S.C. 1870(a); E.O. 12674, 54 FR 15159, 3 CFR,
1989 Comp., p. 215, as modified by E.O. 12731, 55 FR 42547, 3 CFR
1990 Comp., p. 306; 5 CFR 2635.105, 2635.502, 2635.802(a), 2635.803.
Sec. 5301.101 General.
(a) Purpose. In accordance with 5 CFR 2635.105, the regulations in
this part apply to employees of the National Science Foundation (NSF),
including Members of the National Science Board. They supplement the
Standards of Ethical Conduct for Employees of the Executive Branch
contained in 5 CFR part 2635.
(b) Definitions. For purposes of this part, unless a provision
plainly indicates otherwise:
(1) Award means any grant, contract, cooperative agreement, loan,
or other arrangement made by the Government.
(2) Employee has the meaning set forth in 5 CFR 2635.102(h), except
that, for purposes of this part, it shall not include a special
Government employee.
(3) Institution means any university, college, business firm,
research institute, professional society, or other organization. It
includes all parts of a university or college, including all
institutions in a multi-institution State or city system. It includes
any university consortium or joint corporation, but not the individual
universities that belong to such a consortium. Those universities shall
be considered separate institutions for purposes of this part.
(4) Proposal means an application for an award and includes a bid.
Sec. 5301.102 Participation in proposals and awards.
(a) Participation in proposals and awards. (1) For the purpose of
determining whether an employee or a special Government employee, other
than a Member of the National Science Board, should participate as part
of his official duties in a proposal or award, the affiliations and
relationships listed in paragraph (a)(3) of this section shall be
considered additional ``covered relationships'' for purposes of
applying 5 CFR 2635.502. Except as provided in paragraph (a)(2) of this
section, they shall be treated as disqualifying to the same extent as
the covered relationships listed in 5 CFR 2635.502(b)(1).
(2) Where an affiliation or relationship is listed in paragraph
(a)(3) of this section as ``automatically disqualifying,'' an employee
shall not participate in a proposal or award in which the institution
or other person with whom the employee has a covered relationship is or
represents a party unless participation is authorized in accordance
with 5 CFR 2635.502(d) by the agency designee, with the concurrence of
an ethics counselor in the Office of the General Counsel.
(3) An employee has a covered relationship, within the meaning of 5
CFR 2635.502(b)(1), with:
(i) An institution with which the employee is affiliated through:
(A) Membership on a visiting committee or similar body at the
institution. The relationship is automatically disqualifying where the
particular department, school, or faculty that the visiting committee
or similar body advises originated the proposal or where a proposal
from the department, school, or faculty formed the basis for the award;
(B) Current enrollment of the employee or a member of the
employee's household as a student;
(C) Receipt and retention of an honorarium or other form of
compensation, award, or off-duty travel payment from the institution
within the last twelve months. The relationship is automatically
disqualifying, unless the payment or award was received before
beginning Government service; and
(ii) A person who is an investigator or project director on or who
otherwise is identified in a proposal as a party to the
[[Page 59819]]
proposal or award and with whom the employee has:
(A) A family relationship as sibling, parent, spouse, or child. Any
such relationship is automatically disqualifying;
(B) Associated, in the past or currently, as thesis advisor or
thesis student;
(C) Collaborated on a project, book, article, report, or paper
within the last 48 months; or
(D) Co-edited a journal, compendium, or conference proceedings
within the last 24 months.
(b) Reporting involvement of prospective, current, or recent
employees. (1) When an employee who is participating in a proposal or
award becomes aware that a prospective, current, or recent NSF employee
or current National Science Board member is or is likely to become a
member of the research group or project staff under that proposal or
award, the employee shall bring that circumstance to the attention of
an agency designee. For purposes of this paragraph:
(i) A ``recent NSF employee'' is any former NSF employee who left
the NSF within the year before submission of the proposal at issue or
on which the award was based.
(ii) A ``prospective NSF employee'' is any person being recruited
by an NSF official for a specific opening and from whom the official
has received an indication of mutual interest. Such a person is a
``prospective NSF employee'' even though those recruiting have not
extended an offer and even though the person might not accept an offer
if it were extended.
(2) The agency designee shall review the circumstances to determine
what action, if any, should be taken to assure that the proposal or
award is administered impartially and otherwise in compliance with
applicable laws and regulations, including this part, 5 CFR part 2635,
18 U.S.C. 207 and 208, and 45 CFR part 680.
Sec. 5301.103 Outside employment and activities.
(a) Prohibited outside employment and activities. (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.
(2) An NSF employee may not serve as principal investigator or
project director under an NSF award.
(3) An NSF employee may not receive, directly or indirectly, any
honorarium or any other form of compensation, or reimbursement of
expenses from anyone, other than the United States, for participating
in an event supported by NSF funds.
(b) Prior approval of outside employment and activities. (1) An
employee shall obtain written approval from an agency designee before:
(i) Engaging in compensated outside employment with any person or
institution (including any for-profit, non-profit, or governmental
organization) which does business or may reasonably be expected to do
business with the NSF. For these purposes, ``employment'' means any
form of non-Federal employment or business relationship involving the
provision of personal services by the employee. It includes, but is not
limited to, personal services as an officer, director, employee, agent,
attorney, consultant, contractor, general partner, trustee, teacher, or
speaker. It includes writing when done under an arrangement for
publication of the written product; or
(ii) Serving, with or without compensation, on a visiting committee
with any institution that does business or may reasonably be expected
to do business with NSF.
(2) In addition to any prior approval required in paragraph (b)(1)
of this section, an employee shall obtain prior written approval:
(i) From an ethics counselor in the Office of the General Counsel
before participating, with or without compensation, as a policymaking
officer of any research or educational institution or any scientific
society or professional association; and
(ii) From his Assistant Director or Office head before serving in a
personal capacity as an organizer, director, proceedings editor, or
session chairperson for a conference, workshop, or similar event
supported by NSF funds, or before presenting a paper at such an event.
(3) The approvals required by paragraphs (b)(1) and (b)(2) of this
section shall be granted only upon a determination by the appropriate
NSF official that the outside employment or activity is not expected to
involve conduct prohibited by statute or Federal regulations, including
5 CFR part 2635 and this part.
Sec. 5301.104 Participation in NSF-supported conferences.
An NSF employee may participate in conferences, workshops, and
similar events supported by NSF funds provided that:
(a) Where the employee's participation is undertaken in a personal
capacity, his participation does not violate the restrictions on
outside employment and activities of Sec. 5301.103(a), and the approval
requirements of Sec. 5301.103(b) have been met.
(b) Where the employee's participation is undertaken as part of his
official duties as an NSF employee:
(1) The employee shall obtain prior written approval from his
Assistant Director or Office head before serving as an organizer,
director, proceedings editor, or session chairperson for a conference,
workshop, or similar event sponsored by NSF funds, or before presenting
a paper at such an event. However, prior approval is not required where
the primary purpose of the event is to plan, assess, or publicize NSF
programs or needs, or where the subject of the paper or session to be
presented focuses on NSF programs or needs.
(2) The approval required by paragraph (b)(1) of this section shall
be granted only upon a determination that the importance of the
employee's participation outweighs any appearance of use of official
position to enhance his personal credentials.
Sec. 5301.105 Restrictions applicable to Members of the National
Science Board.
(a) Participation in proposals and awards. (1) For the purpose of
determining whether a Member of the National Science Board (Board)
should participate as part of his official duties in a proposal or
award coming before the Board or any of its committees, the
affiliations and relationships listed in paragraph (a)(3) of this
section shall be considered ``covered relationships'' for purposes of
applying 5 CFR 2635.502. Except as provided in paragraph (a)(2) of this
section, they shall be treated as disqualifying to the same extent as
the covered relationships listed in 5 CFR 2635.502(b)(1).
(2) Where an affiliation or relationship is listed in paragraph
(a)(3) of this section as ``automatically disqualifying,'' a Member of
the National Science Board shall not participate in a proposal or award
in which the institution or other person with whom the Member has a
covered relationship is or represents a party, unless participation is
authorized in accordance with 5 CFR 2635.502(d) by the Chairman of the
National Science Board or by the Designated Agency Ethics Official.
(3) A Member of the National Science Board has a covered
relationship, within the meaning of 5 CFR 2635.502(b)(1), with:
(i) An institution or other person with which the Member is
affiliated through:
[[Page 59820]]
(A) Membership on a visiting committee or similar body at the
institution. The relationship is automatically disqualifying where the
particular department, school, or faculty that the visiting committee
or similar body advises originated the proposal or where a proposal
from the department, school, or faculty formed the basis for the award;
or
(B) Current enrollment of the Member or a member of his household
as a student; and
(ii) A person who is an investigator or project director or who is
otherwise identified in a proposal as a party to the proposal or award
and with whom the Member has a family relationship as sibling, parent,
spouse, or child. Any such relationship is automatically disqualifying.
(b) Outside employment and activities. (1) A Member of the National
Science Board shall not represent himself, herself, or any other person
in negotiations or other dealings with an NSF official on any proposal,
award, or other particular matter, as defined in 5 CFR 2635.402(b)(3).
(2) A Member of the National Science Board may not receive
compensation from any award made while serving on the Board. However,
unless prohibited by law, an award may be charged, and a Member may be
reimbursed, for actual expenses incurred by the Member in doing work
supported by the award. If a Member was an investigator or consultant
under an award before appointment to the Board, the award may be
charged and the Member may continue to receive compensation to the
extent established before the Member's nomination.
[FR Doc. 96-29991 Filed 11-22-96; 8:45 am]
BILLING CODE 7555-01-M
