Page images
PDF
EPUB
[blocks in formation]

(a) Claims shall be filed on official forms provided by the Commission upon request in writing addressed to the Commission at its principal office at Washington, D.C., and shall include, to the extent available at the time, all of the information called for in the claim form (FCSC Form 846), and shall be completed and signed in accordance with the instructions accompanying the form.

(b) Notice to the Foreign Claims Settlement Commission, the Department of State, or any other governmental office or agency, prior to the enactment of the statute authorizing this claims program of an intention to file a claim for World War II losses, shall not be considered as a timely filing of a claim under Public Law 87-846.

(c) Any initial written indication of an intention to file a claim received by the Commission within 30 days prior to the expiration of the filing period therefor shall be considered as a timely filing of a claim if formalized (submission of a properly executed claim form) within 30 days after the expiration of the filing period.

§ 580.3

Exhibits and documents in support of claim.

(a) If available, all exhibits and documents shall be filed with and at the same time as the claim and shall, wherever possible, be in the form of original documents, or copies of original documents certified as such by their public or other official custodian.

(b) Documents in foreign language. Each copy of a document, exhibit or paper filed, which is written in a language other than English, shall be accompanied by an English translation thereof duly verified under oath by its translator to be a true and accurate translation thereof, together with the name and address of the translator.

(c) Preparation of papers. All claims, briefs and memoranda filed shall be typewritten or printed and, if typewritten, shall be on legal size paper.

§ 580.4 Acknowledgment and numbering.

The Commission will acknowledge the receipt of a claim and will notify the claimant of the claim number assigned to it, which number shall be used on all further correspondence and papers filed with regard to the claim.

§ 580.5 Small business concerns.

Any corporation or commercial entity for the purpose of receiving priority payment from the Secretary of the Treasury under section 213(a) of the War Claims Act of 1948, as amended, must so indicate on the official claim form (FCSC Form 846). In due course, the Foreign Claims Settlement Commission will request the director, Office of Small Business Size Standards, to determine the size status of such claimant pursuant to such rules and regulations as may be promulgated by that office, provided that the claimant qualifies under section 202(a) of the War Claims Act of 1948, as amended.

§ 580.6 Claims by corporation in excess of $10,000.

A statement under oath is required from corporations filing claims in excess of $10,000, disclosing the aggregate amount of Federal tax benefits derived by such corporation in any prior tax year or years resulting from any deduction or deductions claimed for the loss or losses with respect to which such claim is filed. Pursuant to the Act, such Federal tax benefits shall be the aggregate of the amounts by which the claimants' taxes for such year or years under chapters 1, 2A, 2B, 2D and 2E of the Internal Revenue Code of 1939 (53 Stat. 4), or subtitle A of the Internal Revenue Code of 1954 (68A Stat. 4, 26 U.S.C. 1 et seq.) were decreased by reason of such loss or losses.

§ 580.7 Procedure for determination of claims.

The procedures set forth under § 531.5, Subchapter C of this chapter, shall be applicable to claims filed pursuant to Title II of the War Claims Act of 1948, as amended by Public Law 87-846. [30 F.R. 13870, Nov. 2, 1965] § 580.8

Hearings.

Hearings procedures as provided for under § 531.6, Subchapter C of this chapter, shall be applicable to claims under this subchapter.

CHAPTER VI-NATIONAL SCIENCE FOUNDATION

Part 600

Standards of conduct of employees and consultants.

610 Procedures and criteria for resolving questions involving moral character or loyalty of applicants for and holders of National Science Foundation Fellowships.

611

630

635

Nondiscrimination in Federally-assisted programs of the National Science
Foundation-effectuation of Title VI of the Civil Rights Act of 1964.
Fellowship review panel.

Keeping of records and furnishing of reports in connection with weather
modification activities.

[blocks in formation]
[blocks in formation]

As required by Executive Order 11222 of May 8, 1965 and Part 735 of Chapter I, Title 5 of the Code of Federal Regulations, this subpart sets forth National Science Foundation policies and procedures with respect to employee conduct, certain permissible and prohibited outside activities, and possible conflicts-ofinterest situations.

§ 600.735-2 Scope.

The policies and procedures contained in this subpart apply to all NSF employees.

§ 600-735-3 Statutory provisions.

Each employee is responsible for acquainting himself not only with the provisions of this subpart, but also with applicable portions of each Federal statute relating to his conduct as an employee of the Foundation and of the U.S. Govern

[blocks in formation]

Confident of the integrity and sense of responsibility of its employees, it is the intent of the Foundation to impose on employees' conduct, activities, and financial interests those prohibitions, and limitations that are required by law or Federal regulation.

§ 600.735-5 Conflicts-of-Interest Review Panel.

To assist the Director in making judgments regarding conflicts-of-interest situations, there is hereby established a Conflicts-of-Interest Review Panel, which is assigned duties and responsibilities as set forth in § 600.735-7. The Panel consists of the General Counsel as Chairman, and the Deputy Director, Planning Director, and Associate Directors for Education and Research as members. The Director shall appoint an Executive Secretary of the Panel and may specify other or additional members as needed.

[NSF Circ. 54, 31 F.R. 4595, Mar. 18, 1966, as amended at 33 F.R. 746, Jan. 20, 1968] § 600.735-6

selor.

Conflicts-of-Interest Coun

The attorney in the Office of the General Counsel who has responsibilities for conflicts-of-interest matters is designated the Conflicts-of-Interest Counselor, with responsibilities for providing, on request from any Foundation employee, counsel regarding conflicts-ofinterest regulations and requirements, as well as their applicability in particular situations. Each Foundation employee is responsible for seeking the advice of the Conflicts-of-Interest Counselor whenever it appears that he may be, or may become, involved in a possible conflict-of-interest situation. Any supervisor in the Foundation may refer to the Conflicts-of-Interest Counselor any possible conflict-of-interest situation involving a subordinate of his whenever he deems such action appropriate. In such cases the subordinate concerned shall be informed that the matter has been referred for consideration and shall be afforded the opportunity to state his

case.

§ 600.735-7 Resolution of possible conflicts-of-interest situations.

(a) The General Counsel. The General Counsel is responsibile for reviewing conflicts-of-interest matters brought to his attention by the Executive Secretary of the Panel or the Conflicts-of-Interest Counselor, and for attempting to work with the employees concerned in resolving such situations, and for offering employees an opportunity to explain any conflict or appearance of conflict. He is responsible for bringing to the attention of the Panel any conflicts-of-interest situation that has not in his opinion been satisfactorily resolved through the above procedures. He will not, however, refer to the Panel, nor will the Panel consider any conflicts-of-interest matter which the General Counsel believes to be a violation of law. He will refer such matters to the Director for decision and appropriate action. Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive orders, and regulations.

Review

(b) Conflicts-of-Interest Panel. The Panel will consider those matters brought to its attention by the General Counsel, will direct the Executive Secretary to obtain any additional information deemed necessary, and will state in writing the conclusions it reaches. The Chairman of the Panel may refer any conflicts-of-interest matter to the attention of the Director whenever this appears desirable, as, for example, in a case where the Panel is unable to reach a unanimous judgment upon a matter which has been referred to it. Similarly, if an employee disagrees with the outcome of the Panel's deliberations, he may bring the matter to the attention of the Director for his consideration and such action as the Director may deem appropriate.

(c) Disciplinary and other remedial actions. When there is a final decision that a conflict-of-interest situation requires disciplinary or other remedial action, such action shall be taken promptly to end the conflict or appearance of conflict of interest and to carry out any appropriate disciplinary measure. Any action taken, whether disciplinary or otherwise, shall be effected in accordance with applicable laws. Executive orders, Civil Service Commission regulations and the regulations in this part. The action taken may involve, among other things:

[blocks in formation]

monitoring

(1) Contracting or procurement; (2) Administering or grants or subsidies;

(3) Regulating or aduiting private or other non-Federal enterprise; or

(4) Other activities where the decision or action has an economic impact on the interest of a particular non-Federal enterprise.

(b) Foundation requirement. In order to fulfill the Foundation's obligations under the general Government requirement described in paragraph (a) of this section, it has been determined that a Statement of Employment and Financial Interests must be completed and submitted in accordance with the procedures set forth in this section by all Foundation employees occupying positions of grade 14 or equivalent or above, with the exception of the GS-14 and GS-15 positions in the following offices: Budget Office; Finance Office; Management Analysis Office; Personnel Office; as well as by all employees occupying the positions specified below:

(1) All employees occupying grades 13, or equivalent and above positions in: (i) Contracts Office;

(ii) Indirect Cost (Rate) Determination Office;

(iii) Internal Audit Office;
(iv) Grants Office;

(v) Administrative Services Office;
(vi) Office of the General Counsel.

(c) Inclusion and exclusion of positions. Whenever appropriate, the Director may amend paragraph (b) of this section to include additional positions that entail submission of such statements or may exclude any positions listed in that paragraph (b) the inclusion of which is not required by the general requirement in paragraph (a)

of this section. Each superviser in the Foundation is responsible for bringing to the attention of the Director (through appropriate channels) any position which the supervisor believes should be covered or excluded by this requirement. If an employee feels that he has been improperly included under the regulations in this part, he may appeal his inclusion in accordance with the provisions of NSF Circular No. 29, Grievances and Appeals.

(d) Submission of original and supplementary statements. Each employee covered by this requirement shall complete the statement if one has not been completed previously, or a supplementary statement, whichever is appropriate, and submit it to the Executive Secretary of the Conflicts-of-Interest Review Panel by September 30, 1967. Each new affected employee shall complete and submit the statement within 30 days after his entrance on duty or by September 30, 1967, whichever date is later. All changes in, or additions to, the information contained in each employee's original statement must be reported in a supplementary statement submitted as of June 30 each year. If no changes or additions occur, a negative report is required. The Executive Secretary is responsible for obtaining the initial statements from all affected employees and the supplementary statements at the end of each fiscal year. The Executive Secretary will review all statements for possible conflicts-of-interest situations in accordance with the provisions of this subpart. Notwithstanding the filing of the annual report required by this section, each employee shall at all times avoid acquiring a financial interest that could result, or taking an action that would result, in a violation of the conflicts-of-interest provisions of section 208 of Title 18, United States Code.

(e) Interests of employees' relatives. For purposes of the statement, the interests of a spouse, minor child, or any other member of an employee's immediate houeshold who is a blood relation of the employee, are considered to be interests of the employee.

(f) Information not known by employees. If information required to be included on the statement of employment and financial interests (supplementary or otherwise, including holdings placed in trust) is not known by the employee but is known to another person, the em

ployee shall request such other person to submit the information on his behalf.

(g) Information not required. Employees are not required to submit information relating to their financial interests in any professional society not conducted as a business enterprise as described in the next sentence, charitable, religious, social, fraternal, recreational, public service, civic, political, or similar organization not conducted as a business enterprise. Professional societies, educational institutions and other nonprofit organizations engaged in research, development, or related activities involving grants of money from, or contracts with, the Government are deemed "business enterprises" and are required to be included in employees' statements of employment and financial interests. The following financial interests are also exempted from the requirements of this section and from clause (1) of section 208(b), Public Law 87-849 (18 U.S.C. 208):

(1) Ownership of noncorporate bonds; (2) Ownership of shares in a mutual fund;

(3) Ownership of shares of common or preferred stocks, including warrants to purchase such shares, and of corporate bonds or other corporate securities, if the current aggregate market value of the stocks and other securities so owned in any single corporation does not exceed $5,000, and provided such stocks and securities are listed for trading on the New York or American stock exchanges. This exemption extends also to any financial interests that the corporation whose stocks or other securities are so owned may have in other business entities;

(4) Remainder interest in any trust over which the employee does not have any right of control and the investments of which do not exceed the limitations specified in subparagraph (3) of this paragraph.

(h) Effect of employees' statements on other requirements. The statements of employment and financial interests and supplementary statements required of employees are in addition to, and are not in substitution for, or in derogation of, any similar requirement imposed by law, regulation, or Executive order. The submission of the statement or supplementary statement by an employee does not permit him or any other person to participate in any matter in which his or the other person's participation is pro

hibited by law, regulation, or Executive order. Employees are required to notify their supervisor of any conflicts-of-interest between their Foundation duties and an organization with which they are negotiating for employment, and subsequently to divest themselves of said duties.

(i) Confidentiality of employees' statements. Each statement of employment and financial interest and each supplementary statement will be held in strictest confidence. The Executive Secretary shall maintain the confidential file of statements in such a manner that access to, or the disclosure of information from, a statement shall not be allowed except to carry out the purpose of this part.

[NSF Circ. 54, 31 F.R. 4595, Mar. 18, 1966, as amended at 33 F.R. 746, Jan. 20, 1968; 33 F.R. 2388, Jan. 31, 1968]

§ 600.735-9 Employee conduct.

(a) General: The Foundation assumes that each employee will conduct himself in a manner that will not discredit or embarrass himself or the Foundation. However, it is pointed out that the violation of the regulations in this part or any criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct on the part of an employee (whether in official duty status or not) is cause for immediate disciplinary action, up to and including removal.

(b) Indebtedness: Employees are expected to meet their financial obligations and not to take advantage of the fact that their wages are not subject to garnishment for private debts. Failure to meet just financial obligations in a proper and timely manner may result in disciplinary action, up to and including removal. For the purpose of this section, a “just financial obligation" means one acknowleged by the employee or reduced to judgment by a court, and "in a proper and timely manner" means in a manner which the agency determines does not, under the circumstances, reflect adversely on the Government as his employer. In the event of dispute between an employee and an alleged creditor, this section does not require NSF to determine the validity or amount of the disputed debt.

(c) Payment of taxes: Employees are expected to meet their obligation for payment of taxes to Federal, State, and local authorities. Delinquency in payment of Federal, State, and local taxes is cause for disciplinary action, up to and including removal. Federal agencies

« PreviousContinue »