Standards of Conduct – National Aeronautics and Space Administration
[Federal Register: November 27, 2001 (Volume 66, Number 228)]
[Rules and Regulations]
[Page 59136-59138]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr27no01-3]———————————————————————–
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
14 CFR Part 1207
RIN 2700-AC37
Standards of Conduct
AGENCY: National Aeronautics and Space Administration (NASA).
ACTION: Final rule; amendment.
———————————————————————–
SUMMARY: NASA is amending its standards of conduct regulations. These
amendments: change the procedure for NASA employees requesting waivers
of the conflict of interests statute at 18 U.S.C. 208 to reflect
organizational changes; repeal the general conflict of interests
waivers at 14 CFR 1207.102(b); and revise the designations of officials[[Page 59137]]
authorized to perform ethics-related functions and move those
designations from 5 CFR part 6901 to 14 CFR part 1207, Subpart A.EFFECTIVE DATE: November 27, 2001.
ADDRESSES: Code GG, NASA Headquarters, Washington, DC 20546-0001.
FOR FURTHER INFORMATION CONTACT: Laurie P. Rafferty, Senior Ethics
Attorney, NASA Headquarters, (202) 358-2028.SUPPLEMENTARY INFORMATION:
I. Background
Section 2635.105 of 5 CFR authorizes executive agencies, with the
concurrence of the Office of Government Ethics (OGE), to publish
supplemental regulations necessary to implement their respective ethics
programs. On September 28, 1994, NASA, with OGE’s concurrence,
published in the Federal Register a final rule establishing
supplemental standards of ethical conduct for NASA employees (59 FR
49335-49338). In addition, on that date, NASA redesignated its
preexisting Standards of Conduct regulations at 14 CFR part 1207, and
limited the coverage of the latter part to conflict of interests
waivers under 18 U.S.C. 208 and post-employment procedures under 18
U.S.C. 207(j)(5).
By separate publication in the Federal Register, NASA is deleting
the designations of officials authorized to make ethics-related
determinations from 5 CFR 6901.102. Designations of NASA officials
authorized to make ethics-related determinations are being published in
amended form at 14 CFR 1207.103 as part of NASA’s conduct regulations.
The amendments include the Associate Deputy Administrator and the Chief
of Staff among those delegated authority to make ethics-related
determinations under 5 CFR part 2635 as to NASA Headquarters employees
and for matters affecting employees Agencywide.
The procedures for requesting conflict of interests waivers under
18 U.S.C. 208 are being revised to reflect organizational changes to
clarify the officials with approving authority for various classes of
NASA employees. Specifically, the amended regulation reserves to the
Administrator approval authority for waivers requested by key
officials, including members of the Senior Executive Service, other
positions classified above the GS-15 level (or otherwise requiring the
filing of Public Financial Disclosure Reports), astronauts, and other
specified sensitive positions. For other employees, the approval
authority is established as the appropriate Center Director or, for
Headquarters employees, the Associate Administrator for Headquarters
Operations. Moreover, in light of the Governmentwide conflict of
interests exemptions at subpart B of 5 CFR part 2640, NASA is deleting
its superseded exemptions at 14 CFR 1207.102(b). Finally, in this
rulemaking NASA is correcting a miscitation in the authority citation
for this part 1207.II. Matters of Regulatory Procedure
Administrative Procedure Act
Pursuant to 5 U.S.C. 553(a)(2), (b), and (d), NASA has determined
that good cause exists for waiving the regular notice of proposed
rulemaking, opportunity for public comments, and 30-day delayed
effective date for this final rule amendment. This action is being
taken because it is in the public interest that this rule, which
concerns matters of agency management, personnel, organization,
practice, and procedure, and which sets forth the procedure by which
certain restrictions on NASA employees may be relieved, be effective on
the date of publication.Small Entities
Under the Regulatory Flexibility Act (5 U.S.C. 601-612), NASA has
considered whether this rule would have a significant economic impact
on a substantial number of small entities. The term “small entities”
comprises small businesses, not-for-profit organizations that are
independently owned and operated and are not dominant in their fields,
and governmental jurisdictions with populations of less than 50,000.
Pursuant to 5 U.S.C. 605(b), NASA certifies that this rule will not
have a significant economic impact on a substantial number of small
entities because the rule only affects the operations of NASA and its
employees. Accordingly, no regulatory flexibility analysis is required.Executive Order 12866 Determination
This rule is not a “significant regulatory action” under section
3(f) of Executive Order 12866, Regulatory Planning and Review, is not
subject to review under section 3(d) of that Order because it is
limited to NASA’s organization, management and/or personnel matters,
and does not require an assessment of potential costs and benefits
under section 6(a)(3) of that Order. The Office of Management and
Budget has not reviewed it under that Order.Collection of Information
This rule calls for no new collection of information under the
Paperwork Reduction Act (44 U.S.C. 3501-3520).Federalism
A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on State or local
governments and would either preempt State law or impose a substantial
direct cost of compliance on them. NASA has analyzed this rule under
that Order and has determined that it does not have implications for
federalism.Unfunded Mandates Reform Act
Title II of the Unfunded Mandates Reform Act of 1995 (2 U.S.C.
1531-1538) requires Federal agencies to assess the effects of their
discretionary regulatory actions. NASA has determined that the rule
will not result in expenditures by State, local, or tribal governments
or by the private sector of $100 million or more. The rule affects only
the internal organization of NASA. Accordingly, NASA has not prepared a
budgetary impact statement or specifically addressed regulatory
alternatives.List of Subjects in 14 CFR Part 1207
Administrative practice and procedure, Authority delegations
(Government agencies), Conflict of interests, Ethical conduct,
Organization and functions (Government agencies).Dated: November 5, 2001.
Daniel S. Goldin,
Administrator, National Aeronautics and Space Administration.For the reasons set out in the preamble, NASA amends 14 CFR part
1207, subpart A, as follows:PART 1207–STANDARDS OF CONDUCT
Subpart A–General Provisions
1. The authority citation for part 1207 is revised to read as
follows:Authority: 5 U.S.C. 7301; 18 U.S.C. 207-208; 42 U.S.C.
2473(c)(1); 5 CFR 2635.102(b); 5 CFR part 2637; 5 CFR part 2640.2. Revise Sec. 1207.102 to read as follows:
Sec. 1207.102 Waiver of prohibition in 18 U.S.C. 208.
(a) Prohibition. Employees are prohibited by criminal statute, 18
U.S.C. 208(a), from participating personally and substantially in an
official capacity in any particular matter in which, to their
knowledge, they, or any person[[Page 59138]]
whose interests are imputed to them under the statute, have a financial
interest, if the particular matter will have a direct and predictable
effect on that interest.
(b) Specific waiver available. A NASA employee may request a waiver
of this prohibition. NASA may grant a specific waiver of the
prohibition only if the Agency determines that the employee’s financial
interest is not so substantial as to be deemed likely to affect the
integrity of the employee’s services. The waiver must be obtained
before the employee participates in the matter.
(c) Officials authorized to make waiver determinations. (1) For the
employees listed below, waivers must be approved by the Administrator
or Deputy Administrator. No further delegation is authorized.
(i) Employees who are required by 5 CFR 2634.202 to file Public
Financial Disclosure Reports;
(ii) Employees who are appointed under authority of section
203(c)(2) (“NASA Excepted Positions”) or section 203(c)(10) (“Alien
Scientists”) of the National Aeronautics and Space Act of 1958, as
amended (42 U.S.C. 2473(c)(2) and 2473(c)(10));
(iii) Astronauts and astronaut candidates;
(iv) Chief Counsel; and
(v) Procurement Officers.
(2) For all other Headquarters employees, the Associate
Administrator for Headquarters Operations may approve waivers of 18
U.S.C. 208. This authority may not be redelegated.
(3) For all other Center employees, the Center Director or Deputy
Center Director may approve waivers of 18 U.S.C. 208. This authority
may not be redelegated.
(d) Procedures for specific waiver. The employee’s request for a
waiver must be in writing. The request must describe the particular
matter involved, the relevant duties of the employee, and the exact
nature and amount of the disqualifying financial interest.
(1) Headquarters employees. (i) Those Headquarters employees
described in paragraph (c)(1) of this section must submit their
requests to the Official-in-Charge of the Headquarters office in which
they are employed and to the General Counsel for concurrence. The
Official-in-Charge will then submit the request to the Administrator
with recommendations on the proposed waiver.
(ii) Other Headquarters employees must submit their requests to the
Associate General Counsel (General) for concurrence, and to the
Associate Administrator for Headquarters Operations for approval.
(2) Center employees. (i) Those Center employees described in
paragraph (c)(1) of this section must submit their requests to the
Center Chief Counsel for concurrence and then to the Director of the
Center where they are employed. The Center Director will provide the
request, with recommendations, to the appropriate Enterprise Associate
Administrator and to the General Counsel for review and submission to
the Administrator.
(ii) Other Center employees must submit their requests to the
Center Chief Counsel for concurrence, and then to their Center Director
or Deputy Center Director for approval.
(3) Copies of approved waivers must be forwarded to the Associate
Administrator for Human Resources and Education, the General Counsel,
and the Office of Government Ethics.
(e) Cross-references. For regulations concerning general waiver
guidance and exemptions under 18 U.S.C. 208, see 5 CFR part 2640.3. Add Sec. 1207.103 to subpart A to read as follows:
Sec. 1207.103 Designations of responsible officials.
(a) Designated Agency Ethics Official. The General Counsel of NASA
is the Designated Agency Ethics Official and is delegated the authority
to coordinate and manage NASA’s ethics program as set forth in 5 CFR
2638.203.
(b) Alternate Designated Agency Ethics Official. The Associate
General Counsel (General) is the Alternate Designated Agency Ethics
Official.
(c) Deputy Ethics Officials. The following officials are designated
as Deputy Ethics Officials:
(1) The Deputy General Counsel;
(2) The Associate General Counsel (General);
(3) The Senior Ethics Attorney assigned to the Associate General
Counsel (General); and
(4) The Chief Counsel at each NASA Center and Component Facility.
(d) Agency Designee. As used in 5 CFR part 2635, the term “Agency
Designee” refers to the following:
(1) For employees at NASA Headquarters, or for matters affecting
employees Agencywide, the Associate Deputy Administrator, the
Designated Agency Ethics Official, the Alternate Designated Agency
Ethics Official, or the Chief of Staff; and
(2) For Center employees, the Center Director, who may delegate
specific responsibilities of the Agency Designee to the Center Chief
Counsel or to another official who reports directly to the Center
Director.
(e) Cross-references. For regulations on the appointment,
responsibilities, and authority of the Designated Agency Ethics
Official, Alternate Designated Agency Ethics Official, and Deputy
Ethics Officials, see 5 CFR part 2638. For the responsibilities of the
Agency Designee, see 5 CFR part 2635.[FR Doc. 01-29425 Filed 11-26-01; 8:45 am]
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