Procedural
Requirements
Effective Date: December 07, 2020
Expiration Date: December 07, 2025
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NASA Procedural Requirements |
NPR 1900.3C Effective Date: December 07, 2020 Expiration Date: December 07, 2025 |
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Education and training are important tools to help employees perform the government’s work with professionalism and integrity. NASA will conduct education and training to teach employees how to identify government ethics issues and obtain assistance in complying with government ethics laws and regulations.
7.2.1 Ethics Notice to Prospective New Employees
a. Written employment offers to prospective new employees are required to include certain ethics-related information:
(1) Statement regarding NASA’s commitment to government ethics;
(2) Notice that the new employee will be subject to standards of conduct and criminal conflicts statutes;
(3) How to obtain additional information;
(4) Time frame for completing initial ethics training; and
(5) Financial disclosure requirements of the position (if applicable).
b. The Office of Human Capital Management (OHCM) shall develop, and the DAEO will review each year, the written procedures for notice of ethics-related information to prospective new employees.
7.2.2 Ethics Notice to New Supervisors
a. OHCM, in coordination with the ADAEO, shall ensure that new civilian supervisors at each Center are provided with written ethics-related information as soon as possible but not later than one year from the date of the employee’s initial appointment as a supervisor.
b. The ethics-related information is required to include:
(1) Contact information for the supervisor’s ethics office;
(2) Text of 5 CFR § 2638.103;
(3) A copy of, a hyperlink to, or the address of a Web site containing the Principles of Ethical Conduct; and
(4) Any other information that the DAEO or the ADAEO deems necessary.
c. OHCM shall submit written supervisory ethics notices annually to the ADAEO for review and then relay the notice to the Center Human Resources Directors at each Center for distribution to new supervisors who are financial disclosure filers. The ADAEO will review the notice and confirm that the Agency has implemented an appropriate process for meeting the notification requirement.
7.3.1 There are two formats for ethics training, depending on the type of training:
a. Live Training. The presenter personally communicates a substantial portion of the material at the same time as the employee is being trained. This training may be delivered in person or through video or audio technology or a combination. The presenter is available to respond to questions.
b. Interactive Training. The employee being trained is required to take an action with regard to the subject of the training. This action is based on the employee’s use of the knowledge gained through the training. The training can be delivered to learners through a computer or Web-based program such as the System for Administration, Training, and Educational Resources for NASA (SATERN). The requirement for interactive training can also be satisfied by live training.
a. Each new employee of the Agency shall complete initial ethics training. Each Center Chief Counsel is required to provide initial ethics training to new employees within three months of their appointment to a government position. The duration of the training is required to be sufficient to communicate the basic ethical obligations of Federal service and to present the required content. If the training is at least an hour in duration, it will also satisfy the annual ethics requirement in the same calendar year.
b. Coverage.
The following personnel shall take initial ethics training:
(1) All new NASA employees;
(2) New detailees under the IPA;
(3) SGEs who are experts or consultants or who will serve on advisory committees. Advisory Committee members are required to take initial ethics training before they participate in their first Committee meeting. An ethics training session at the beginning of the meeting will satisfy this requirement and if it is an hour in duration and meets the requirements for annual ethics training, will satisfy the SGEs annual ethics training requirement for that same calendar year; and
(4) Presidential nominees for Senate-confirmed positions may complete initial ethics training prior to appointment.
c. Deadline. Except as provided below, each new employee shall complete initial ethics training within three months of appointment.
(1) In the case of a Presidential nominee for a Senate-confirmed position, the nominee may complete the ethics training before or after appointment, but not later than three months after appointment; and
(2) In the case of an SGE who is reasonably expected to serve for no more than 60 days on a board, commission, or committee, the Agency may provide the initial training at any time before, or at the beginning of, the employee’s first meeting.
d. Duration. The duration of the training is required to be sufficient for the Agency to communicate the basic ethical obligations of Federal service and to present the required content in paragraph f. of this section.
e. Format. Initial ethics training is required to be live or interactive.
f. Content of Presentation.
(1) The training presentation is required at a minimum, to address concepts related to:
(a) Financial conflicts of interest;
(b) Impartiality;
(c) Misuse of position;
(d) Gifts; and
(e) Hatch Act.
(2) Written materials. In addition to the training presentation, each Center, as well as Headquarters, shall provide each new employee with either the following written materials or written instructions for accessing them:
(a) A summary of the Standards of Conduct distributed by OGE or an equivalent summary;
(b) Provisions of any supplemental Agency regulations that the DAEO or the ADAEO determines to be relevant or a summary of those provisions;
(c) Other written materials that the DAEO or the ADAEO determines should be included; and
(d) Instructions for contacting the local Headquarters or Center ethics office.
g. Tracking. All Chief Counsels will submit to the ADAEO once a year their Center’s procedures for initial ethics training compliance. The ADAEO shall review the procedures to confirm that the Agency has implemented an appropriate process for meeting the requirements of this section.
a. The DAEO, ADAEO, or other qualified ethics official as the DAEO or the ADEAO deems appropriate, shall provide an individualized ethics briefing for PAS appointees to discuss the individual’s immediate ethics obligations.
b. Deadline.
(1) This briefing, which is required to be of a duration to appropriately cover the content in subsection (e) below, is required to be completed after confirmation but not later than 15 days after appointment;
(2) The DAEO may grant an extension of the deadline not to exceed 30 days after appointment;
(3) An additional extension may be granted if there are “extraordinary circumstances” pursuant to 5 CFR § 2638.305; and
(4) In the case of an SGE who is expected to serve for no more than 60 days in a calendar year on a board, commission, or committee, the Agency may provide the ethics briefing before the first meeting of the board, commission, or committee.
c. Duration. The duration of the ethics briefing is required to be sufficient for the Agency to communicate the required content.
d. Format. The ethics briefing is required to be conducted live.
e. Content. The content of the ethics briefing is required to include:
(1) The potential for conflicts arising from any new financial interests acquired after filing the nominee financial disclosure report;
(2) Basic recusal obligations;
(3) Procedures for complying with recusal obligations and any ethics agreement commitments, to include the need for any screening arrangements and any deadlines for compliance; and
(4) Instructions and deadline for completing initial ethics training, unless initial ethics training is included in this brief or took place when the PAS was a nominee.
f. Tracking. The ADAEO shall maintain a record of the ethics briefing date for each current PAS appointee.
7.6.1 Each calendar year, employees covered by this section shall complete one hour of annual ethics training that meets the following requirements:
a. Coverage.
The following employees are required to take annual ethics training:
(1) Employees who are required to file confidential or public financial disclosure reports, except for an employee who ceases to be a filer before the end of that calendar year;
(2) Employees appointed by the President;
(3) Contracting Officers; and
(4) Other employees designated by the Head of the Agency to take the training.
b. Deadline. The employee shall complete the required annual ethics training before the end of the calendar year.
c. Qualification of Presenter. The training is required to be given by an ethics official who has knowledge of government ethics laws and regulations and who is prepared to answer the types of questions that are likely to arise regarding the content.
d. Duration of Training. The duration of the training is required to be sufficient to communicate the required content, but at least one hour of duty time.
e. Format. Centers have an option to provide live or interactive (through the SATERN module) training, except as noted below:
(1) Employees whose pay is set at Level I or Level II of the Executive Schedule shall complete one hour of live training each year, unless a matter of vital national interest makes it necessary for an employee to complete interactive training in lieu of live training in a particular year; and
(2) SGEs who are expected to work no more than 60 days in a calendar year will normally receive live or interactive training but may be authorized to receive the written materials only, when the DAEO or the ADAEO determines that providing interactive training is impracticable.
f. Content.
(1) The training presentation is required to focus on government ethics laws and regulations that the DAEO or the ADAEO deems appropriate for the employees participating in the training. At a minimum, the presentation is required to address the following subjects:
(a) Financial conflicts of interest;
(b) Impartiality;
(c) Misuse of position;
(d) Gifts; and
(e) Hatch Act.
(2) Written materials. In addition to the training presentation, Headquarters or the Center providing the training shall provide the employees with either the following written materials or written instructions for accessing them:
(a) A summary of the Standards of Conduct distributed by OGE or an equivalent summary;
(b) Provisions of any supplemental Agency regulations that the DAEO or the ADAEO determines to be relevant or a summary of those provisions;
(c) Other written materials that the DAEO or the ADAEO determines should be included; and
(d) Instructions for contacting the local Headquarters or Center ethics office.
g. Development of Annual Training Materials.
(1) Policy
In the interests of economy and quality, one foundational version of annual ethics training materials will be developed for use by the Centers. Center legal offices will contribute to the development of the foundational version of the ethics training upon request of the ADAEO. Annual training will be prepared for live and interactive training in the SATERN. If a Center Chief Counsel decides to use different training, he shall send a copy to the ADAEO for review.
(2) Choice of Topics.
(a) The Ethics Committee shall meet once each calendar year and recommend to the DAEO topics for inclusion in that calendar year’s training materials based on, for example, changes in law or regulation, current events, or specific Center or Agency ethics needs and trends. The ADAEO will advise the Ethics Committee whether the training materials should include any topics or ethics materials in addition to those required by regulation. The ADAEO will decide on the final content; and
(b) The ADAEO may approve Agency-specific government ethics training for specific groups of Agency employees, such as supervisors or scientists and engineers.
(3) Preparation
The Ethics Committee will recommend the method to prepare the materials, such as splitting the content up for development of a portion by each Center, to the ADAEO for approval. All draft material will be sent to the ADAEO for review and incorporation by Headquarters into the final version of the annual training. Headquarters will coordinate with the appropriate Agency offices that handle funding for required Agency courses to prepare the interactive, computer based training in the SATERN course to meet the Agency’s regulatory requirements.
h. Tracking. The completion of Annual Ethics Training will be tracked through automated training, financial disclosure, or other automated systems of the Agency.
Ethics officials Agency-wide shall take ethics training to maintain up-to-date knowledge of government ethics laws and regulations. Ongoing training is available through the Office of Government Ethics. The ADAEO may also arrange special training for ethics officials at the Agency.
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