[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: 5CFR5501.111]

[Page 787-788]
 
                    TITLE 5--ADMINISTRATIVE PERSONNEL
 
          CHAPTER XLV--DEPARTMENT OF HEALTH AND HUMAN SERVICES
 
PART 5501_SUPPLEMENTAL STANDARDS OF ETHICAL CONDUCT FOR EMPLOYEES OF THE 
 
Sec. 5501.111  Awards tendered to employees of the National Institutes of 

Health.

    (a) Applicability. This section does not apply to special Government 
employees.
    (b) Definitions. For purposes of this section, official 
responsibility has the meaning set forth in 18 U.S.C. 202(b).
    (c) Additional limitations on awards to employees of the National 
Institutes of Health. The following limitations shall apply to the 
acceptance by an employee of an award pursuant to 5 CFR 2635.204(d):
    (1) Limitations applicable to employees with official responsibility 
for matters affecting an award donor. An employee shall not accept a 
gift with an aggregate market value of more than $200, or that is cash 
or an investment interest, that is an award or incident to an award from 
a person, organization, or other donor that:
    (i) Is seeking official action from the employee, any subordinate of 
the employee, or any agency component or subcomponent under the 
employee's official responsibility;
    (ii) Does business or seeks to do business with any agency component 
or subcomponent under the employee's official responsibility;
    (iii) Conducts activities substantially affected by the programs, 
policies, or operations of any agency component or subcomponent under 
the employee's official responsibility; or
    (iv) Is an organization a majority of whose members are described in 
paragraphs (c)(1)(i) through (iii) of this section.
    (2) Prior approval of awards--(i) No employee shall accept an award 
under 5 CFR 2635.204(d) or this section unless the receipt thereof has 
been approved in writing in advance in accordance with procedures 
specified by the designated agency ethics official, or with the 
concurrence of the designated agency ethics official, the NIH Director 
or the NIH Director's designee.
    (ii) Approval shall be granted only upon a determination that 
acceptance of the award is not prohibited by statute or Federal 
regulation, including 5 CFR part 2635 and this part.

    Note to paragraph (c): In some circumstances cash and other things 
of value provided in connection with the provision of personal services, 
including speaking or writing, may be compensation, not a gift. Other 
ethics rules governing outside activities may restrict receipt of such 
compensation. See, for example, 5 CFR 2635.807.

    (d) Exception. Notwithstanding the prohibition in paragraph (c)(1) 
of this section, the NIH Director (or the Secretary, with respect to 
awards tendered to the NIH Director), with the approval of the 
designated agency ethics official, may grant a written exception to 
permit an employee to accept an award otherwise prohibited by this 
section under the following conditions:
    (1) There is a determination by the NIH Director (or the Secretary, 
with respect to awards tendered to the NIH Director) that acceptance of 
the gift will further an agency interest because it confers an 
exceptionally high honor in the fields of medicine or scientific 
research. The following criteria will be considered in making such a 
determination:
    (i) The identity of the awarding organization;
    (ii) The longevity of the awards program;

[[Page 788]]

    (iii) The source of award funds;
    (iv) The size of the monetary component of the award recognition;
    (v) The identity and credentials of past award recipients;
    (vi) The degree of publicity attendant to receipt of the award; and
    (vii) The impact of the substantive contribution being recognized;
    (2) Absent the prohibition in paragraph (c)(1) of this section, the 
gift would be permitted under part 2635 of this title; and
    (3) The designated agency ethics official shall have determined that 
the application of the prohibition in paragraph (c)(1) of this section 
is not necessary to ensure public confidence in the impartiality or 
objectivity with which NIH programs are administered or to avoid a 
violation of part 2635 of this title.
    (e) Disposition of improperly accepted awards--(1) Failure to obtain 
prior approval. If an employee accepts an award for which approval is 
required under paragraph (c)(2) of this section without obtaining such 
approval, the employee may be required, in addition to any penalty 
provided by law and applicable regulations, to forfeit the award by 
returning it to the donor.
    (2) Receipt of prohibited award. If an employee accepts an award 
prohibited by paragraph (c)(1) of this section, the employee shall be 
required, in addition to any penalty provided by law and applicable 
regulations, to:
    (i) Reject the award and instruct the donor to strike the honoree's 
name from any list of award recipients;
    (ii) Remove the recognition from the employee's r[eacute]sum[eacute] 
or curriculum vitae;
    (iii) Return any tangible indicia of the recognition to the donor; 
and
    (iv) Forfeit the award by returning it to the donor.

[70 FR 5563, Feb. 3, 2005, as amended at 70 FR 51572, Aug. 31, 2005]