# Presentation: 293534

## 2006 SEA Training

**2006 SEA Training**

**TARGET Audience**

## 2006 SEA Training 

- Caryl Butcher................ NRCS Ethics Officer
-   (301) 504-2207
- Markci Metcalf...............	Ethics Specialist**	****	**
- (301) 504-0385
- Debbie Griffin.................	Ethics Assistant
-  (301) 504-2202
- Ginae Barnett.................	Student Intern
- (301) 504-2204
- * BJ Scruggs is on extended detail.

**NRCS Ethics Office  **(301) 504-2202

## 2006 SEA Training

- Discussion Focus
-      Relations with Non-Federal Organizations
**How to Avoid Conflicting Interests**
- Participation With Non-Federal Organizations
**COI**
**Prohibited Representation**
**Misuse of Position**
- How to Continue Appropriate Support for Partners
- Other Areas you must know:
**Accepting Stuff**
- Outside Gifts
- Non-Federal Travel Assistance
- Awards
**Fundraising**

## 2006 SEA Training

- Standards of Ethical Conduct [5 CFR Part 2635]
- USDA Supplemental Ethics Regulation [5 CFR 8301]
- Employee Responsibilities & Conduct Regulation [5 CFR 735]
- Hatch Act and Anti-Lobbying Provisions
- Fundraising [5 CFR Part 950]
- Post Employment Restrictions [5 CFR 2641]
- USDA EI 00-1, Participation in Non-Federal Organizations
- USDA EI 04-2, Adjunct Professors

** ****Ethics Laws and Regulations -- ****What **_**employees**_** may/may not do**

** ****Statutory Authority -- ****What **_**NRCS**_** may do**

**2006 SEA Training**

** ****Benefits to Employee Organizations– ****What ****may**** be allowed**
-     DR-4020-251 [January 24, 2006]

**Notes:**
Hatch Act:
As it applies to federal employees, see 5 U.S.C. § 7321-7326.

Anti-Lobbying Provisions:
18 U.S.C. 1913 is a criminal statute applicable to all executive branch agencies. It prohibits the use of appropriated funds for activities that directly or indirectly are "intended or designed to influence in any manner a Member of Congress, to favor or oppose ... any legislation or appropriation by Congress...." 
A section of the Treasury and General Government Appropriations Act (section 637 in the 1999 Act) prohibits the use of appropriated funds "other than for normal and recognized executive-legislative relationships, for publicity or propaganda purposes, and for the preparation, distribution or use of any kit, pamphlet, booklet, publication, radio, television or film presentation designed to support or defeat legislation pending before the Congress, except in presentation to the Congress itself." This provision applies to all agencies within the executive branch. This is a civil, not a criminal, statute and any remedies for violations would be civil in nature. 
A section of the Department of the Interior and Related Agencies Appropriations Act (section 303 in the 1999 Act) prohibits the use of funds appropriated under the Interior and Related Agencies Appropriations Act "for any activity or the publication or distribution of literature that in any way tends to promote public support or opposition to any legislative proposal on which congressional action is not complete." This is a civil, not a criminal, statute which applies within USDA only to Forest Service programs and activities, and any remedies for violations would be civil in nature. 

## 2006 SEA Training

**Can an employee be the NRCS liaison to an organization if:**
-  **Officer or member of the board of directors?**
** ****Committee or subcommittee chairperson?**
** ****Leading an activity for the organization?**
** ****Member?**

**A Board Members asks the Liaison if she might consider working for them when she retires --   **
** ****Does this have any affect now?**

- No*
- No
- No
- Yes**

- Yes

**2006 SEA Training**

- *   Except for SARE and Rural Development Councils** Except if member of Conservation District or association.

**NRCS employee handles district or Council funds?**
** ****Problem?**** **

- Yes

**Notes:**
District funds:  General Manual 180 Part 401.32 specifically prohibits employees from handling district funds.
Council funds:  GM 180 Part 401.32 is referenced in the RC&D Manual as guidance to not handle RC&D Council funds (See 440 Conservation Program Manual Part 513.44).

## 2006 SEA Training

**B.  ****	****FACTORS**
_**1.  **__**	**__**Risk Assessment**_
**NRCS:  **
**Initial Assessment**** ****	****   “High”**
**Current Assessment****	****   “Moderately High”**

**Assessment to the Under Secretary**

***In NRCS “. . . ethics risks are much higher than in most mission areas.”***

*“**One area of particular concern has been the involvement of NRCS employees in partnering agreements. Traditionally, there has been a risk (not just in terms of NRCS partnerships) for agency employees to become so active in supporting the partnership that they become, essentially, agents of the partners. NRCS is an agency that partners aggressively. *

## 2006 SEA Training

*“**Based upon our assessment,**** ******Chief Knight****** ****requested that OE review all new and renewed NRCS partnership agreements to ensure that the document makes clear both to participating employees and to partnering organizations where the lines of loyalty run.  Other discussions with**** ******Chief Knight****** ****have concerned the relationships between NRCS... and... universities... .*

**“****Grade for “Risk Assessment” downgraded to “Moderately High.” **(continued)

## 2006 SEA Training

*The **Chief **is quite open to whatever reasonable means are devised to ensure that these activities do not result in inordinate ethics risks.  To that end, OE and OGC are working on issuances designed to provide practical guidance to employees on those issues.   Accordingly, given the **Chief’s **assertive involvement, we believe that the NRCS Risk Assessment can be lowered to “Moderately High”.”*

**“****Grade for “Risk Assessment” downgraded to “Moderately High.” **(continued)

## 2006 SEA Training

** ****Partner**
** ****For-profit or Non-profit**
** ****University or Other non-Federal organization **
** ****Agreement or MOU**
** ****State or local government**
** ****Tribe**
** ****IPA**
** ****Etc.**

- There are restrictions on:
** **Who can be the NRCS Liaison
-  What an NRCS Liaison can do

**2006 SEA Training**

## 2006 SEA Training

**2006 SEA Training**

## 2006 SEA Training

** ****Issued by a senior official********** **
** ****Protects NRCS**
** ****Assists the Liaison to understand key do’s and don’ts**

- ***  **Includes all RC&D Coordinators (NRCS employees).  Generally does not include DC’s.
- **Division Directors and Above, RAC or STC

**2006 SEA Training**

- Liaison Designation Form (Workbook)

## 2006 SEA Training

- Communicates Restrictions and Where Lines of Loyalty Must Run

** ****Liaisons must:**
** ****Avoid conflicting interests**
** ****Be clear about lines of loyal**
** ****Avoid prohibited activity**

**2006 SEA Training**

## 2006 SEA Training

**2006 SEA Training**

- The list of rules that restrict relations and activities with non-Federals is actually much longer.

## Ethics Rules Affect Relations with Non-Federal Organizations

- Impartiality
- Misuse of Position
- Prohibited   Representation
- Dual Compensation
- Lobbying
- Hatch Act
- Fundraising
- Adjunct Professors
- Outside Awards
- Travel Assistance

- Outside Employment
- Seeking Employment
- Gifts from Outside Sources
- Agency Gifts
- Door Prizes at Conferences
- Teaching, Speaking and Writing
- Appropriations Law
- Outsourcing
- Emoluments Provision

**Ethics Rules Affect Relations with Non-Federal Organizations**

- 

- 

- 

- 

- 

- 

- 

***** Time permitting, or take on AgLearn.

## 2006 SEA Training

**Vote on matters before the Association Board of Directors*;**
** ****Serve on committees or task groups unrelated to the “purpose statement” for your service as Agency Liaison in the Liaison Assignment letter.**
**Participate in issues related solely to the business or internal interests of the Association (e.g., finances, fundraising, membership, etc.);**

**2006 SEA Training**

*** Except for SARE and Rural Development Councils**

## 2006 SEA Training

**Engage in lobbying efforts or representation of the Association’s interests before the Federal Government**
- [This does not preclude presenting to the Agency the positions or views of the Association on matters directly related to the interests of the Agency being served through your service as Agency Liaison];
**Actively participate in Association activities in your personal capacity unless you receive written ethics clearance to do so**
- [Does not preclude membership; however, refrain from active participation (e.g., fundraising, holding office or board membership, employment, committee activities, lobbying, etc.)].
**Supervise their employees**

**2006 SEA Training**

## 2006 SEA Training

- What should you do?
**1.  A Deputy Chief asks you to be the Liaison to the Society for Range Management.  You have always been interested in that organization.  Since your spouse became a member of its Board of Directors last year, you have learned a lot more about its mission and role in TSP. **

- Answer:
**Disqualify.  [You can not be the Liaison.]**
**Or *****if spouse will resign from the Board*****, still disqualify.  At some point, NRCS may determine you can begin serving as the Liaison.**** **

## 2006 SEA Training

- What should you do?
**2.  You have been a member of SWCS for years.  You used to be more active, even serving as Chair of the Conference Committee in past years.  In recent years, however, you have been willing to serve on a few committees but not accepted the responsibility of being a committee or subcommittee chairperson.  The STC asks you to work with SWCS to coordinate matters dealing with the Agency’s involvement with their upcoming training conference, including the list of employees to be approved to attend. **

- Answer:
**You can accept the assignment.**

## Required in all MOUs and Agreements where money or personnel are exchanged.
A Liaison Assignment letter must also be issued to any employee named in an Agreement or MOU

**Required in all MOUs and Agreements where **_**money**_** or **_**personnel**_** are exchanged.**
**A Liaison Assignment letter must also be issued to any employee named in an Agreement or MOU**

- Relationship to Liaison Issue:

**Required for Ethics Clearance**

**Ethics Provision for Agreements ****	**_Handout_

## 2006 SEA Training

- _Example_:   Employees of NRCS shall participate in efforts under this agreement solely as representatives of the United States.  To this end, they shall not participate as directors, officers, employees, or otherwise serve or hold themselves out as representatives of, NARC&DC, or any member RC&DCs.  They also shall not assist NARC&DC, or any member RC&DCs with efforts to lobby Congress, or to raise money through fundraising efforts.  Further, NRCS employees shall report to their immediate supervisor any negotiations with NARC&DC, or any member RC&DC, concerning future employment and shall refrain from participation in efforts regarding such party until approved by the agency.

- Cooperative Agreement Provision

## 2006 SEA Training

*****Actual or apparent

**Actual conflicts of interests**
**Loss of impartiality * **

**Prohibited representation**
**Misuse of position***
- Endorsement
- Use of non-public information
- Unauthorized use of Government equipment

- Conflicting Interests Include:

- Part 2 – How to Avoid Conflicting Interests
** ****Participation in Non-Federal Organizations**
** ****Employee Interest in NRCS Programs**

## Employee may not, as part of Government job,

- Conflicting Interests

*****Prohibition also applies if someone with whom the employee has certain personal or business relations has an interest in the matter.

**  ****work on any particular matter **
**  ****involving specific parties **
**  ****in which the employee* has a financial interest**_ _
-   If** the matter affects** that interest***

- ** See slide 23

## 2006 SEA Training

**Interests that Trigger Disqualification Requirement**

**Employee**
**Spouse or minor child**
**General partner**
**Outside employer or prospective employer**
**Non-Federal organization in which employee is an officer, director, trustee, or general partner**
**Person with whom employee has or seeks a business, contractual or other financial relationship**
**Member of household or close relative**
**Employer of spouse, parent or dependent child**
**Non-Fed employer within past 1 year;**
**Non-Fed organizations in which the employee is active; or**
**Person or Org for whom the spouse, parent or dependent child is an employee, officer, director, consultant, contractor, agent, etc**

## 2006 SEA Training

- Disqualification is required

* ****Under  *****COI *****provision***
* ****Under *****Impartiality *****provision***

- Reputation is not a valid consideration

**If the particular matter will have a direct and predictable effect on that interest.**
**If the particular matter is likely to have a direct and predictable effect on that interest; **_**and**_
**If relationship would cause a reasonable person with knowledge of relevant facts to question employee’s impartiality**

## You may not:

**Can you be the Liaison if:**
-  **an officer, board member*, trustee?**
** ****committee or subcommittee chairperson?**
** ****spouse of an employee or officer?**
** ****parent of employee?**
** ****general partner of an officer or employee?**
** ****have an easement or other contract?**
** ****member****

**Work for NRCS on a particular matter involving a specific party if you have an outside interest ...**

**2006 SEA Training**

- _Therefore_

**N**
**N**
**N**
**N**
**N**
**N**
**Y**

- ... unless written waiver from DCH MGT

-   * Except for SARE and Rural Development Councils.
- ** Except member of a conservation district or association.

## 2006 SEA Training

** ****Required to avoid conflicting interests**
** ****Responsibility of the employee**
** ****Responsibility of STC if he/she knows of COI***

** ****Impact is on NRCS duties, not outside activity**

- Employee must:
**Disqualify**
**Notify supervisor**
**Notify coworkers also are working on matter**
**Not required in writing, but should document**

**Not required****if clerical work**

**2006 SEA Training**

**Notes:**
STC also has responsibility for disqualification if he/ she has information concerning potential appearance problem to protect the integrity of NRCS programs and services.  See 5 CFR Part 2635.502 ( c) and the NRCS delegations of authority.

## 2006 SEA Training

**Appoint different employee to serve as Liaison**
**If employee elects to divest:**
- Allow employee to continue as Liaison after divesture
- Or, continue disqualification up to one-year.
**If the appointing official thinks disqualification is not required or should be waived, request a  determination from the DCH Mgt.**
**Substantial Conflict Determination, as appropriate**
** **

- *See 5 CFR 2635.403(b)

**2006 SEA Training**

## 2006 SEA Training

- Substantial Conflict Determination

_**Use only if**_**:**
**Employee’s ability to perform the duties of the position would be materially impaired, **_**or**_
**It adversely affects efficient accomplishment of the agency’s mission because another employee cannot be readily assigned to perform the work**

**2006 SEA Training**

**Allows NRCS to prohibit an individual employee from having a financial interest under limited circumstances.**

- See 5 CFR 2635.403(b)

## 2006 SEA Training

**DCH MGT**
**Exception:  STC has authority if interest is due to participation in an NRCS programs**
** **

**2006 SEA Training**

-  **Impact is on outside interest**
- Employee  	 Spouse	  Minor child

**Substantial Conflict Determination **(continued)

## 2006 SEA Training

- _Situation_:  **Spouse is on board of non-Federal entity**
_**Employee must disqualify from Liaison duties**_**.**
- _Example 1_ --**  RC&D Coordinator must disqualify and not work on particular matter in which the Council has an interest if the spouse works for the Council.**
**STC**** ****can request a substantial conflict of interest determination from the DCH MGT.**

- _Example 2 --_**  State Agronomist must disqualify from being Liaison to the American Society of Agronomy because her father works for them.**
**Not possible to issue a substantial conflict of interest determination in this case.**** **

## 2006 SEA Training

**  ****No blanket determinations**
**  ****Use on a case-by-case basis only**
**  ****Consult with the NRCS Ethics Officer **_**prior**_** to issuance**
**  ****Provide copy to the NRCS Ethics Officer**

- _STC Authority and Options __(continued)_
- Substantial Conflict Determination

**2006 SEA Training**

## 2006 SEA Training 

**Actual conflicts of interests**
**Loss of impartiality **

** **Conflicting Interests Requiring Disqualification

**Misuse of position**
**Prohibited representation**
**Dual Compensation**

**Other Rules Against Conflicting Interests**

- _next_

- _covered_

## 2006 SEA Training 

- Misuse of Position

- 5 CFR 2635 Subpart G

**Employees may not use office for private gain**

**Prohibits**
**Endorsements**
**Use of non-public information**
**Unauthorized use of Government equipment**
**Misuse of title, time, authority or position**
*and more...*

## .

- _._

**Board Member**

**Personal**

- Official

**NRCS Liaison**

**No**

**Yes**

**Yes**

- Use NRCS
- Title
- Travel
- Time
- Equipment

**No**

**Yes**

**No**

**No**

**Use Liaison Designation Template**
-  Designation by State Conservationist  or Higher
-  Does Not Vote
-  No Lobbying
-  No Involvement in Internal Business (finances, fundraising, membership, elections, etc.)
-  Membership Okay Provided Not “Active”

**Yes**

**NA**

**405.135****  ****Personal**** ****v. Official**** ****Participation**** ****in Non-Federal Organizations - Quick Reference Flowchart**

- Title 110 – General Manual

- (110-GM, Amend. 2, November 2003)			405.N.135-1
- November 2003

- _[Next](file:///D:/../../../Desktop/2004_Training%20at%20Empl%20Org%20Conf.ppt#15. 2004 Ethics Training for NRCS Employees)_

## 2006 SEA Training

- Yes or No?
** ****May Federal employees:**

**Perform the duties as an officer of a non-Federal organization as official business?**
**Perform the duties as an officer of a non-Federal organization on official time?**
**Perform the duties of committee chairperson of a non-Federal organization on official time?**
**Help with a partnership auction in an official capacity?**
**Conduct personal business on official time?**

**N**
**N**
**N**
**N**
**N**

## 2006 SEA Training

- _Prohibited Representation_

**Prohibits representation of another person ****or legal entity with intent to influence;**
**Does not prohibit representation of oneself.**

**2006 SEA Training**

## 2006 SEA Training

- 18 USC 203

**Employees may not represent another* to the Government for compensation... .**

**Prohibits communication on behalf of another* on a matter in which Government has an interest**
**Prohibits behind-the-scenes assistance for compensation**

- * with intent to influence

**2006 SEA Training**

## 2006 SEA Training

- 18 USC 205

**Employees may not represent another* to the Government without compensation... .**

**Prohibits  communication on behalf of another with intent to influence on matter in which Government has an interest**
**Does not prohibit behind the scenes assistance provided no compensation is received**

**2006 SEA Training**

## 2006 SEA Training

***Simplified... ***

- _Prohibited Representation_

** ****Not personally **[18 USC 203 & 205]
** ****Not officially **[18 USC 208]

**2006 SEA Training**

## 2006 SEA Training 

** ****Applies to all employees**
** ****Applies whether serving under:**

** ****Agreement**
** ****MOU**
** ****IPA **(detail or LWOP)

**Prohibition Against Representation** (continued)

## 2006 SEA Training

- _Prohibited Representation_

_**Official**_ –
**RC&D Coordinator assists the Council to write a proposal the Council will submit for an EPA grant.****  **
- Coordinator must not present proposal, or be representative or POC
_**Personal**_ –
**Sitting at the kitchen table, an employee advises a professional organization seeking a meeting, agreement, conference support, etc., who to contact at NRCS.  **(without compensation.)

**2006 SEA Training**

## 2006 SEA Training

- _Prohibited Representation_

- Limited Exceptions* . . . ***provided ***_***no***_*** compensation***

- *No **exceptions when dealing with ****contracts, agreements, grants, etc., that would provide ****Federal funds to these organizations. **

**2006 SEA Training**

## 2006 SEA Training

- _Prohibited Representation_

**2006 SEA Training**

**Example:**
**The State Office wants to use a room the Organization has at the hotel to provide it’s own training.   Who must **_**not**_** sign for the Organization?**
**   ****Organization President (employee)**
**   ****Organization Treasurer (employee)**
**   ****Organization Secretary (retired)**

**Must not**
**Must not**
**May**

- No exceptions when dealing with contracts, etc.** **...

## 2006 SEA Training

- _Prohibited Representation_

- Representation of Indian Tribes

**2006 SEA Training**

## 2006 SEA Training

- _Prohibited Representation_

- Limited Exceptions* . . . ***provided ***_***no***_*** compensation***

**2006 SEA Training**

## 2006 SEA Training

** **_**Possible waiver**_**   **
**In limited circumstances if the Agreement, MOU or IPA with NRCS specifically provides that the employee’s duties will include representation back to the Federal Government.  **

- _Prohibited Representation _(continued)

** **
**Contact the NRCS Ethics Office for guidance.**

## 2006 SEA Training

- _Dual Compensation_

**2006 SEA Training**

- Example:
- Can an employee accept a monetary award from a Council or District for TA provided by the Field Office?

- No

## 2006 SEA Training

**With Partners While Working Within These Constraints?**

**2006 SEA Training**

** **
**Effectively**

## An employee may not:

- Provide Administrative Support for a non-Federal organization.  Applies to all non-Federal organizations absent specific statutory authority.
**(including NRCS partners)**

- NRCS must continue appropriate support for partnership activities

**Provide appropriate support in terms of accomplishing mission-related activities (in which NRCS is properly engaged) **_***versus***_** stating what we do in terms of support for the partner organization itself (with which we work to accomplish the activity.)**

- Meeting the Challenge...

**2006 SEA Training**

- Working With Partners

## An employee may not:

-  Appear to endorse a non-Federal organization, service or enterprise

- NRCS must continue appropriate support for partnership activities

**Focus support of mission related activity, not organizations.**
**Provide support for mission related programs & activities provided they meet agency established criteria. **

- Meeting the Challenge...

**2006 SEA Training**

- Working With Partners

*** **Except for SARE and Rural Development Councils

## An employee may not:

-  Establish an agenda or conduct a meeting of one of a partner organization.

- NRCS must continue appropriate support for partnership activities

** ****NRCS employees should work with the District Chair or the RC&D Council Chair to see the agenda addresses conservation concerns of NRCS but the final agenda is the responsibility of the outside organization.**

- Meeting the Challenge...

**2006 SEA Training**

- Working With Partners

*** **Except for SARE and Rural Development Councils

## You may not:

-  Serve as officer of a non-Federal organization in official capacity*

- Result

**Employees may not use official time* to**:
** **Serve as an officer of a non-Fed Org
-  Attend Board meetings as officer
-  Conduct the internal business of a non-Fed Org
**Employees may not use official funds* to**
** **Travel to Board meetings

- Meeting the Challenge...

**2006 SEA Training**

- Working With Partners

*** **Except for SARE and Rural Development Councils

## Options include:

- Can _not_ travel at Gov’t expense
- Take AL
- [RAC or DCH Mgt may allow Admin. Leave, as appropriate]
- n/a if your Conservation District or association.
**Serve as the NRCS Liaison to the non-Fed Organization’s Board Travel is on Gov’t time & expense**
-  Requires designation by NRCS
-  Not a member of the Board
-  Can not vote

- Service on Boards ...

- Meeting the Challenge...

**2006 SEA Training**

- Working With Partners

## 2006 SEA Training

- _Proper Roles with Conservation Districts_

- Providing appropriate support for partnership activities (cont’d)

- Resources
** ****Ethics Rules and Training**
**Program Manuals**
** ****GM Title 180 Part 401-Subpart D, Relationship of NRCS Personnel to District Affairs**
** ****RC&D Program Manual**
** ****TSP Guidance**
**April 3, 2006 Reminder of the Proper Roles with Respect to Conservation Districts **[Dana D. York, Associate Chief, NRCS; Robert K. Dobbs, Jr., President, NCDEA; Krysta Harden, Chief Executive Officer, NACD]

- Working With Partners

## 2006 SEA Training

- Proper Roles with Districts (cont’d)

- _Official capacity_** -- ****April 3, 2006 reminder makes clear employees may not, in their official capacity:**

- Working With Partners

**make decisions regarding, or manage the funds of any conservation district or association employee;**
**be a member of any conservation district or association;**
**supervise or have supervisory authority over any conservation district or association employee, or**
**otherwise get involved in administrative activities of any conservation district or association****.**

- _Personal capacity_** – ****If employee is member, discuss options (substantial conflict determination, etc.) with NRCS Ethics Officer.**

## 2006 SEA Training

**Special Training for RC&D Coordinators if provided in the RC&D Concepts  Course.**

- Providing appropriate support for partnership activities (cont’d)

** ****Technical leadership vs. supervision**
** ****Technical leadership for grants vs. prohibited representation  **
** ****Grant facilitation vs. prohibited fundraising**
** ****Etc. **

- Working With Partners

- _Proper Roles with RC&D Councils_

## 2006 SEA Training

- _The policy provides that _
*Support to recognized Supervisory/Managerial Associations, Employee Organizations and Professional Associations will be specifically limited to the activities listed as authorized by the agency.*
*Lists What is allowed.*
*Agency option vs. Organization’s right.*

- DR 4020-251

- Working With Employee Organizations

## 2006 SEA Training

**A Few Words About – **
**Accepting Free Stuff**
**Fundraising**
**Political Activity & Lobbying**

## 2006 SEA Training 

**Questions?**

- _Reminders_:
**See training courses on AgLearn**
**Document Liaison Assignments**