# Presentation: 922227

## Employee Interests in NRCS Programs

- Slide

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

- Relations with Non-Federal Organizations
- Approval of Outside Employment
- Non-Federal Travel Assistance

## Caryl Butcher		NRCS Ethics Officer	

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

- Caryl Butcher**	****	****NRCS Ethics Officer****	**
- 504-2207			Policy & NHQ
- Debbie Griffin		Ethics Assistant
- 504-2202		450 Reports (Initial intake)
- Ethics Specialists
- Joseph Cotton..........	Central & S. East
- 504-0384		(TN, NC and below)
- Markci Metcalf..........	West & N. East**	****	**
- 504-0385		(KY, VA and above)
- BJ Scruggs..............	Financial Disclosure
- 504-2203

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

## External Assessments 

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

- “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 employees and non-Federal entities
- Employee Interests in NRCS programs

## 2002 Farm Bill 

- May 18, 2005 - Washington, DC

- Increased $  =  Greater Scrutiny

- 2002 Farm Bill
** ****Demands greater transparency**

- Avoid Conflicting Interests

- Protect integrity of NRCS Programs and services

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

-  **work personally and substantially**
** ****on any particular matter involving specific parties**
** ****in which the employee* has a financial interest **
** ...  **_**If**_** the matter will affect* that interest**

- Actual Conflict of Interests

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

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

## Interests & Relationships that Trigger Disqualification

- May 18, 2005 - Washington, DC

**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**_

## Appearance of COI [i.e., Impartiality due to relationships]

- Appearance of COI **[i.e., Impartiality due to relationships]**

- Is the matter likely to affect* the financial interest a person with whom the employee has a covered relationship;**  _**AND**_
- Would the employee’s involvement cause a reasonable person with knowledge of all relevant facts to question the employee’s impartiality?

**If "YES”, the employee must not perform official duties unless given written ethics authorization by the DCH MGT.**

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

- [**or a person they represented]

## Example 1:  A DC who applies for an NRCS program           tells supervisor she can not work on:
Employee’s own* application 
Applications of competing* operations

** ****Required to avoid COI**
** ****Responsibility of the employee**
** ****Impacts NRCS duties, not outside interest**

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

- _Example 1_**:****  **A DC who applies for an NRCS program           tells supervisor she can not work on:
**Employee’s own* application **
**Applications of competing* operations**

- _Example 2_**:****  **Sarah, soil con, knows she can not do NRCS 		work on her Dad’s operation.  Now, Dad will 		apply for CRP (not continuous).  Sarah tell the 		AC she can not work on:
**Dad’s operation**
**Applications of competing operations**

## Example 3: An STC who farms in the same state applies to participate in EQIP. 

**The STC must disqualify from work on:  **
** **

** ****National program development**
** ****State program development**
** **_**Pre-contract**_** work on **_**competing**_*** applications:**
- Application
- Eligibility Determination
- Ranking
- Fund Obligation
- Contract Approval

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

## Employee Participation in Programs

| PROGRAM FUNCTIONS | EMPLOYEE PERFORM WORK ON OWN PARTICIPATING  OPERATION(S) |  | EMPLOYEE 
PERFORM WORK WITHIN OWN SERVICE AREA(S) | Required Disqualification
If an employee must not perform an NRCS function on the employee’s own property, then the employee also must not perform that function on property of the employee’s:

Spouse or child;
Relative with whom the employee has a close relationship;
Member of the employee’s household;
Business partner;
Employer or perspective employer; and
Spouse’s, parent’s or minor child’s employer. 

Or, on property of an organization in which the employee:

has served within the last year as, an employee, officer, trustee, general partner, contractor, director, or agent; or
Is a committee or subcommittee chairperson.

Examples

 Jones, an NRCS employee, applies for Jones’ farm to participate in EQIP in Carroll County.          

Jones must not perform program NRCS functions 1or 2, or 3-7 for Jones’ farm or any of the other farms that are competing during the same EQIP signup in Carroll County.

After the decision is made to approve or disapprove a contract on Jones’ farm, Jones may be permitted to perform NRCS duties for functions 8-13 on other properties.  Jones may never perform substantive NRCS duties on Jones’ own property. |
| --- | --- | --- | --- | --- |
|   National Program Development | Do not perform if will participate |  |  |  |
|   State Program Development |  |  |  |  |
|   Application
 Eligibility Determination
 Ranking
 Fund Obligation  
  Contract Approval | Not Allowed to Perform NRCS Duties | Not Allowed to Perform NRCS Duties in competing area |  |  |
| AFTER A CONTRACT IS APPROVED |  |  |  |  |
|   CNMP Plan | Not Allowed to Perform NRCS Duties | Perform Work |  |  |
|   Practice Design | Not Allowed to Perform NRCS Duties | Perform Work |  |  |
|   Practice Installation | Not Allowed to Perform NRCS Duties | Perform Work |  |  |
|   Practice Certification (including payment approval) | Not Allowed to Perform NRCS Duties | Perform Work |  |  |
|   Self Certification | Not Allowed to Perform NRCS Duties |  |  |  |
|   Status Reviews | Not Allowed to Perform NRCS Duties | Perform Work |  |  |

**See GM Title 110, Part 405**

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

## Disqualification Matrix (1)

| PROGRAM FUNCTIONS |  |
| --- | --- |
| Nat. Program Development | Do Not Perform If Plan To Participate |
| State Program Development |  |
| Application
Eligibility Determination
Ranking
Fund Obligation  
Contract Approval | Not Allowed to Perform NRCS Duties |
| AFTER A CONTRACT IS APPROVED |  |
| CNMP Plan | Not Allowed to Perform NRCS Duties |
| Practice Design | Not Allowed to Perform NRCS Duties |
| Practice Installation | Not Allowed to Perform NRCS Duties |
| Practice Certification (including payment approval) | Not Allowed to Perform NRCS Duties |
| Self Certification | Not Allowed to Perform NRCS Duties |
| Status Reviews | Not Allowed to Perform NRCS Duties |

**Disqualification Matrix (1)**

- EMPLOYEE PERFORMS WORK ON OWN PARTICIPATING  OPERATION

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

## Disqualification Matrix (2)

| PROGRAM FUNCTIONS |  |
| --- | --- |
| Nat. Program Development | Do Not Perform If Plan to Participate |
| State Program Development |  |
| Application
Eligibility Determination
Ranking
Fund Obligation  
Contract Approval | Not Allowed to Perform NRCS Duties in competing area |
| AFTER A CONTRACT IS APPROVED |  |
| CNMP Plan | Perform Work |
| Practice Design | Perform Work |
| Practice Installation | Perform Work |
| Practice Certification (including payment approval) | Perform Work |
| Self Certification |  |
| Status Reviews | Perform Work |

**EMPLOYEE PERFORMS WORK WITHIN OWN SERVICE AREA(S****)**

**Disqualification Matrix (2)**

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

## Can Jones work on other EQIP applications 
in the county?
In the state?

**Can Jones work on other EQIP applications **
**in the county?**
**In the state?**

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

**No.**
**Depends.**

**Notes:**
In the county?  No
In the state?  Depends on state funding mechanism.

Let’s look at that further.

## Disqualification from pre-contract work is:   

**Disqualification from pre-contract work is: ****  **
** **

- STATEWIDE* **	****where applicants compete for****	****funding on a statewide basis;**
- AREA-WIDE **	****where applicants compete for ****	****	****funding by area ****	****	****ME = Field Office****	****PA = Field Team****	****	****TX = Zone  ****	****etc.**
- COUNTYWIDE **	****where the competition for ****	****funding is within each county.****
- * Large states like TX can contact NHQ for exceptions to statewide disqualification.

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

## State where competition varies by program and resource concern

- Competition for program dollars:
-   EQIP –** **
**Countywide**** for 3 resource concerns**
**Grazing land health**
**Water quality [nutrients, pesticides, sedimentation]**
**Soil erosion--wind**
**Area-wide**** for all other resource concerns**
-  Other NRCS or NRCS-Assisted Programs** **
**Statewide**

- _Example_:  Disqualification 	**[Kansas 2004]**

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

## Grace, ASTC, is part owner of an operation in Wallace County that applies to participate in an NRCS program.  

**Grace, ASTC, is part owner of an operation in Wallace County that applies to participate in an NRCS program.  **

**Do not participate in national or state program development**
**Do not perform pre-contract functions during that signup:**
**	****If EQIP****...............****	**Countywide** ****If limited to those 3 ****	****	****	****resource concerns.**
**	****...............****	**Area-wide **if other resource concern**
**	****If other Program****	**Statewide

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

## Bob, a DC in Kansas, has a great family.  His dad owns an operation in a neighboring county (outside of his field office’s service area). The Dad will apply in the next EQIP signup to address concerns due to soil erosion due to wind.

- Bob, a DC in Kansas, has a great family.  His dad owns an operation in a neighboring county** **(outside of his field office’s service area).** **The Dad will apply in the next EQIP signup to address concerns due to soil erosion due to wind.

**Bob can not participate in national or state program development**
**Bob **_**can**_** perform his normal duties for his own field office.**

**If, however, the resource concern was competed for by area, then Bob would have to disqualify and not perform pre-contract functions area-wide during that signup.**

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

## Example

- May 18, 2005 - Washington, DC

**Example**
**PA**
**2005**

| CSP | Nationwide |
| --- | --- |
| EQIP |  |
|   No-Till | Statewide |
|   Air Quality | Statewide (livestock) |
|   Wildlife | FT |
|   Nutrient Mgt | FT |
|  Etc. |  |
| Other Programs | Statewide |

**Give SEA  the state’s  funding arrangements**

**Receive correct ethics guidance**

**Programs**

## If you or a family member will sign up for EQIP (nutrient management) 

- May 18, 2005 - Washington, DC

**If you or a family member will sign up for EQIP (nutrient management)**** **
**do not perform work* on:**
**National Program Development**
**State Program Development**
**Your own operation**
**Pre-contract functions for others****in FT area**

- Non-clerical*

**SEA  receives state  funding arrangements**

**SEA can make it simple for employees**

**Example**
**PA**
**2005**

## Example - North Dakota funding:  2005

- May 18, 2005 - Washington, DC

- _Example_** - North Dakota funding:  2005**

| Program | Fund Competition | Disqualification |
| --- | --- | --- |
| CSP | Nationwide | Do not work on program development
Can process competing applications |
| EQIP | Statewide
Animal waste systems (AFO)
Irrigation system conversion (GSW)
Countywide
All other res. concerns | Statewide for AFO and GSW
Countywide for other resource concerns |
| Other Programs | Statewide | Not required for continuous CRP
Countywide for all others (includes CRP) |

## STC Authority and Options

** **Employee disqualifies - notifies supervisor;
-  Supervisor notifies state office;
-  If the state thinks disqualification is not required _or_ should be waived, the STC should request a  determination from the DCH Mgt.
-  STC has authority to make a substantial conflict determination*, IF:
**  ****1.****  **Employees ability to perform the duties of the position would be materially impaired, or
-   2.  It adversely affects efficient accomplishment of the agency’s mission because another employee can not be readily assigned to perform the work
** **

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

- *See 5 CFR 2635.403(b)

## Simplified... 

***Simplified... ***

- [18 USC 203 & 205]

- _Prohibited Representation_

** ****Not officially**
** ****Not personally**

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

## Prohibited Representation

- _Prohibited Representation_

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

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

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

## Prohibited Representation

- _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 the proposal, or be the 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.)

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

## Simplified... 

- 1) Rural Development Councils, and 2) SARE Advisory Committees

- See 5 CFR 2635 Subpart G

***Simplified... ***

- _Misuse of Position _

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

***** Exceptions:

## *Except Board Membership, Committee leadership & internal business of:

- Slide

**This is true for ALL Employees**

- *Except Board Membership, Committee leadership & internal business of:
- 	1) Rural Development Councils, and 	2) SARE Advisory Committees

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

##  For most of employees, involvement in a non-Federal organization is not official business.

**Do not use Government:**
** **Title
-  Time
-  Travel
-  Equipment

- Slide

**Personal v. Official***** --  ***[Handout]

- See 5 CFR 2635 Subpart G

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

-   _Liaisons_** may use official time for **_**certain**_** activities**

##  Appointment of Agency Liaison

**Issued by the STC* **
**Protects NRCS & Liaison**

- *STC, RAC or Division Directors and above.  Can not re-delegate.

-  Appointment of Agency Liaison

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

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

_**Handouts**_**:  National Instruction**
**	****	****Form****	**

**Notes:**
Issue to RC&D Coordinators

Generally, do not issue to DCs.

## .

- _._

**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:///C:/Documents%20and%20Settings/caryl.butcher/My%20Documents/Desktop/2004_Training%20at%20Empl%20Org%20Conf.ppt#15. 2004 Ethics Training for NRCS Employees)_

##    Outside Employment

-    Outside Employment
-  Approval Process -- Handout
-  Who is required to get prior approval
-  Role of STC
-  Differences between states
-   Non-Federal Travel Assistance
- Approval Process – Handout
- Role of STC
- SARE Policy

- Slide

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

## Test 

- Slide

- Test
- (Y or N?)

- Can you work on an agreement for NRCS if it involves an organization in which you are an officer? Committee chairperson?
**No.  No.**
- Can you be the NRCS Liaison to an organization in which you are an officer?  Subcommittee chairperson?
**No.  No.**
- Can you request a meeting with NRCS on behalf of a non-profit seeking an agreement?  What if it is an employee organization?
**No.  No**.

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

## Test 

- Slide

- Test
- (Y or N?)

- Substantial conflict determination must meet very specific criteria or it violates the employees rights.
**Correct.**
- STC only has authority to make substantial conflict determination re participation in NRCS programs.
**Correct.**
- We do not recommend that you use the USDA form for approval of outside employment.
**Correct.**

- NRCS Ethics Office

- May 18, 2005 - Washington, DC

##    To Receive Training Credit:

-    To Receive Training Credit:
- Sign the sign-in sheet.
-    Satisfies CY 2005 Ethics Training Requirement

- Slide

- NRCS Ethics Office

- May 18, 2005 - Washington, DC