[Federal Register Volume 66, Number 228 (Tuesday, November 27, 2001)]
[Rules and Regulations]
[Pages 59136-59138]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-29425]


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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.

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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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