[Code of Federal Regulations]
[Title 5, Volume 3]
[Revised as of January 1, 2008]
From the U.S. Government Printing Office via GPO Access
[CITE: 5CFR5301.102]

[Page 767-768]
 
                    TITLE 5--ADMINISTRATIVE PERSONNEL
 
               CHAPTER XLIII--NATIONAL SCIENCE FOUNDATION
 
PART 5301_SUPPLEMENTAL STANDARDS OF ETHICAL CONDUCT FOR EMPLOYEES OF THE 
 
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

[[Page 768]]

is identified in a proposal as a party to the 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.