# Presentation: 660649

## Ethics Overview

- Federal Grants and Cooperative and Contribution Agreements Conference and Training Session

## Ethics Overview - Grants and Agreements

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

**Assessment to the Under Secretary**

## USDA ASSESSMENT OF NRCS

**Risk Assessment:  NRCS**
- Ethics risks are much higher than in most Agencies.
**Employees become so active in supporting the partnership that they become, essentially, agents of the partners.**

- Areas of particular concern**:**
**Partnering Agreements**
**Relationships between NRCS research scientists collocated at universities and those universities and the competitive sourcing issue.**

## Commitment to Implement New Safeguards

**Chief Knight:**
**  **Personally met with the Director, Office of Ethics
-   Agreed to implement recommended safeguards
-   Successfully negotiated for a lower “risk assessment”
** ****Current Assessment****	****   ****“Moderately High”**

**Assessment to the Under Secretary**

## Reduce Risks From Partnership Agreements, Etc.

**Chief Knight**** committed to actions to reduce risks.**
**Chief Knight**** requested ethics review of all new and renewed NRCS partnership agreements** to ensure they make clear to participating employees and partnering organizations where the lines of loyalty run.
**OE and OGC**** developed issuances to reduce risks** for:
- NRCS and
- NRCS employees.

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

**You are responsible for implementing agreed-to-items.**

## Ethics Overview - Grants and Agreements

**Ethics Overview - Grants and Agreements**

## Ethics Overview - Grants and Agreements

**Ethics Overview - Grants and Agreements**

**You* must learn, understand and operate by the Ethics laws and regulations in performing:**
-  NRCS duties, responsibilities;
-  NRCS delegated authorities; and
-  As individual NRCS employees

## Ethics Overview - Grants and Agreements

- Add it to the standard Provisions section for:
- Agreements
- MOUs
- Partnering Agreements
- Other similar written arrangement with a non-Federal organization

- Ethics Provision for Agreements, etc.   [See Handout]

**Ethics Overview - Grants and Agreements**

## Ethics Overview - Grants and Agreements

- Ethics Provision for Agreements, etc.

**Ethics Overview - Grants and Agreements**

## Ethics Overview - Grants and Agreements

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

- *Division Directors and Above, RC or STC

**Ethics Overview - Grants and Agreements**

- Liaison Designation Form

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

## Ethics Overview - Grants and Agreements

** ****Standards of Ethical Conduct [5 CFR Part 2635] **
** ****USDA Supplemental Ethics Regulation [5 CFR 8301]**
** ****Employee Responsibilities & Conduct Regulation [5 CFR Part 735]**
** ****Anti Lobbying Provision [18 USC 1913]**
** ****Post Employment Restrictions [5 CFR 2641]**
** ****Hatch Act [5 U.S.C. § 7321-7326, 5 CFR 734 Subparts A - F]**

** ****Liaisons must recognize and avoid prohibited activity.**

**Ethics Overview - Grants and Agreements**

## Ethics Overview - Grants and Agreements

-  Serve as a member of the Board of Directors or vote on matters;
-  Serve on committees or task groups unrelated to the stated    purpose for appointment as Agency Liaison;
-  Participate in finance, fundraising or membership issues;
-  Engage in lobbying efforts or representation of the non-Federal   organization’s  interests before the Federal Government;
-  Actively participate in the non-Federal organization’s activities in   a personal capacity;
-  Etc.

**Ethics Overview - Grants and Agreements**

## Ethics Overview - Grants and Agreements

**Ethics Overview - Grants and Agreements**

_**Examples for NRCS Employees:**_
- Do not designate an employee to be the Liaison if:
- an officer, board member, trustee
- committee or subcommittee chairperson
- spouse, parent or dependent child is an employee, officer, consultant, agent or contractor
- general partner of an officer or employee
- has an easement or other contract
**... **with that organization

## Ethics Overview - Grants and Agreements

_**Examples for NRCS Employees**_**:  **(continued)
**If an employee attempts to communicate with you ***on behalf of a non-Federal person or organization* **about a grant, agreement, etc., **
- Recognize it is an ethics violation.*
- Contact the Ethics Office for guidance.

- What YOU must do to avoid Ethics violations

- (*unless an employee organization or union)

**Do not perform NRCS duties on an agreement, etc. if:**
- You* have an interest in the matter;
- A person or organization with whom you have certain relationships has an interest.

## Disqualification Requirement Triggers

**Disqualification Requirement Triggers**
- Applicable to NRCS Employees

**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;**
**Person or Org for whom the spouse, parent or dependent child is an employee, officer, director, consultant, contractor, agent, etc**

- _Interests_

- _Relationships_

## Ethics Overview - Grants and Agreements

**Ethics Overview - Grants and Agreements**

**Know the FAR prohibition against Contracts with Employees**
**A contracting officer is prohibited from knowingly awarding a contract to a Government employee or to a business concern or other organization owned or substantially owned or controlled by one or more Government employees. **
- _Exception:_  Only if there is a “most compelling reason.”  Requires approval by the Chief.

- This FAR policy is intended to avoid any conflict of interest that might arise between the employees' interests and their Government duties, and to avoid the appearance of favoritism or preferential treatment by the Government toward its employees.

## Ethics Overview - Grants and Agreements

**Generally Do Not Apply to Non-Federals**

**Ethics Overview - Grants and Agreements**

_**Exceptions**_
** ****Ethics provisions in grants, agreements, contracts, etc.**
** ****The Hatch Act **

** ****Applies to certain state, county or local Government employees and may apply to employees of certain private nonprofits.**** **
-  **Example:  ****State and local employees who are principally employed in connection with programs****financed in whole or in part by loans or grants ****made by a federal agency.**
-  	**See www.osc.gov for more information**.

## Ethics Overview - Grants and Agreements

- Personal vs. Official Participation
-   _[Click HERE](file:///Personal%20v%20Official1.ppt)__[ to see the Quick Reference Chart](file:///Personal%20v%20Official1.ppt)_

**Ethics Overview - Grants and Agreements**

## Ethics Overview

- Federal Grants and Cooperative and Contribution Agreements Conference and Training Session
- THE END