[Code of Federal Regulations]

[Title 45, Volume 3]

[Revised as of October 1, 2005]

From the U.S. Government Printing Office via GPO Access

[CITE: 45CFR680.12]



[Page 248-249]

 

                        TITLE 45--PUBLIC WELFARE

 

                 CHAPTER VI--NATIONAL SCIENCE FOUNDATION

 

PART 680_NATIONAL SCIENCE FOUNDATION RULES OF PRACTICE AND STATUTORY 

CONFLICT-OF-INTEREST EXEMPTIONS--Table of Contents

 

     Subpart A_Rules of Practice for the National Science Foundation

 

Sec. 680.12  One-year NSF post-employment restrictions.



    (a) For one year after leaving NSF employment, a former NSF 

employee, including a special Government employee who has performed work 

for NSF on more than 60 days in the previous twelve months, shall not 

represent himself, herself, or any other person in dealings with any NSF 

official on any proposal, project, or other particular matter.

    (b) The one-year restriction contained in paragraph (a) of this 

section is in addition to any post-employment restriction imposed by 

statute, including 18 U.S.C. 207 and 41 U.S.C. 423. To the extent that 

any disqualification required by paragraph (a) of this section is not 

also required by statute, written exceptions may be granted by the NSF's 

General Counsel, whose decisions shall be final. Exceptions will be rare 

and will be granted only where strict application of the rules would 

result in undue hardship for former short-term employees or for other 

former employees, and when granting an exception would not result in an 

unfair advantage to the former employee.

    (c)(1) Paragraph (a) of this section applies to particular matters 

involving specific parties, such as grants, contracts, or other 

agreements; applications for permits, licenses, or the like; requests 

for rulings or similar official determinations; claims; investigations 

or audits; charges or accusations against individuals or firms; 

adjudicatory hearings; and court cases.

    (2) For former employees, other than special Government employees, 

paragraph (a) of this section also applies to particular matters that do 

not involve specific parties, such as:

    (i) Determinations to establish or dis-establish a particular 

program or set its budget level for a particular fiscal year;

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

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

bidding;

    (iv) General policy or rulemaking--including, for example, decisions 

on particular NSF rules or formal policy, such as adoption or amendment 

of a resolution by the National Science Board, promulgation or amendment 

of an NSF regulation or circular, amendment of standard grant or 

contract terms, or changes to NSF manuals or policy documents; and

    (v) Agency positions on particular legislative or regulatory 

proposals.

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

    (1) Any expression of a former employee's views on policy issues 

where the circumstances make it obvious that the former employee is only 

speaking as an informed and interested citizen, not representing any 

financial or other interests of his or her own or of any other person or 

institution with which he or she is associated;

    (2) Any appearance or communication concerning matters of a personal 

or individual nature, such as the former employee's taxes, salary, 

benefits, possible Federal employment, rights as a former employee, or 

the application of conflict-of-interest rules to something the former 

employee proposes to do;

    (3) Any appearance on the former employee's own behalf in any 

litigation or administrative proceeding; or

    (4) Any presentation of scientific or technical information (at a 

site visit, for example) or any other communication of scientific or 

technical information on work being proposed or conducted.

    (e) As soon as his or her NSF employment ceases, a former NSF 

employee (including any former special Government employee described in 

paragraph (a) of this section) may again be listed as principal 

investigator on an NSF award, may be listed as principal investigator in 

any proposal or award, and may sign a proposal as principal 

investigator. However, the former employee and the grantee institution 

shall formally designate, subject to NSF approval, a ``substitute 

negotiator'' who, though not principally responsible for the work, will 

represent the former employee and the institution in dealings with NSF 

officials on any proposal or



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project for as long as the former employee would be barred from 

representational contacts with NSF by paragraph (a) of this section or 

by statute.