# Presentation: 665180

## 2006 ETHICS TRAINING FOR NRCS EMPLOYEES

## Employee must not, as part of Government job

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

- Conflicting Interests

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

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

***Review... ***

## 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 spouse, parent or dependent****child is a consultant, officer, contractor, agent, ****general partner, etc.**

**Interests that Trigger Disqualification Requirement**

## 2006 ETHICS TRAINING FOR NRCS EMPLOYEES

- Interests that trigger disqualification

_**No difference:**_
**Employee’s interest**
**Person with whom employee has imputed or covered interest, or**
**Person represented by such person**

## 2006 ETHICS TRAINING FOR NRCS EMPLOYEES

- Disqualification is required

- 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**

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

## Example 1.  A DC who applies for an NRCS program                  or NRCS assisted program must not work on:
Employee’s own* application or 
Application of competing operation

** ****Required to avoid conflicting interests**
** ****Responsibility of the employee**

- _Example 1_**.****  ****A DC who applies for an NRCS program ****                 or NRCS assisted program must not work on:**
**Employee’s own* application **_**or**_** **
**Application of competing operation**

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

## Question:  Is disqualification requirement only triggered 		 when an employee applies:  Yes or No?

** ****Answer:  **No.

- _Question_**:  **Is disqualification requirement only triggered 		 when an _employee_ applies:  Yes or No?

** ****Answer:  **
** **Application by person with imputed interest or covered relationship;
-  Competing operations.

- _Question_:**  **What else triggers disqualification due to interest in an NRCS program?

** **

## A Violation Occurs
	When the employee fails to disqualify and performs the NRCS duties anyway 

Example 2:
An employee performs official duties of significance to the administrative handling of his own or competing applications to participate in an NRCS program or NRCS-assisted programs.	

**	****When the employee fails to disqualify and ****performs the NRCS duties anyway **
- _Example 2_:
**An employee performs official duties of significance to the administrative handling of his own **_***or***_** competing applications to participate in an NRCS program or NRCS-assisted programs****.****	**

- Conflicting Interests

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

## If Jones, a DC, signs up for EQIP, then 
Jones must not work on his own application
Jones must not work on any EQIP applications with which Jones is competing for program dollars.
Disqualification is from pre-contract functions.
Failure to disqualify is criminal violation.

- Actual Conflicts of Interests

**If Jones, a DC, signs up for EQIP, then **
**Jones must not work on his own application**
**Jones must not work on **_**any**_** EQIP applications with which Jones is competing for program dollars.**
**Disqualification is from **pre-contract** functions.**
**Failure to disqualify is criminal violation.**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

## 2006 ETHICS TRAINING FOR NRCS EMPLOYEES

- Loss of Impartiality*

- _Example 4_

**Taylor, a DC, owns a farm that is enrolled under FRPP.  The Fairfax Conservancy (TFC) is the easement holder. **

** ****Taylor cannot conduct the HEL compliance review on Taylor’s own farm. **
**Taylor is also prohibited from conducting HEL compliance reviews on other farms that TFC manages****.**

- _WHY?_ . **Because** **Taylor has a contract with TFC. ****	****	****(covered relationship)**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

## 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 is:

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 |  |  |

**GM Title 110, Part 405**

## GM Title 110, Part 405 Minimum Level of 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 |

**GM Title 110, Part 405 **_**Minimum**_** Level of Disqualification Matrix (1)**

- EMPLOYEE PERFORMS WORK ON OWN PARTICIPATING  OPERATION

## GM Title 110, Part 405 Minimum Level of 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****)**

**GM Title 110, Part 405 **_**Minimum**_** Level of Disqualification Matrix (2)**

## 2006 ETHICS TRAINING FOR NRCS EMPLOYEES

- Disqualification Due to Program interest

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

_**Title 110, Part 405 63(b) (6)**_**    The **geographic scope** from which an NRCS employee who applies to participate in an NRCS program must be disqualified **varies by NRCS program**.  It is based on whether the particular matter will have a direct and predictable effect on the interest of the employee-applicant.  ***  The extent of **disqualification in the same State may vary by program**, based on **how the various program dollars are set aside for competition** by competing operations.  The extent of disqualification required in the case of a [HQ or state office] employee who applies to participate in an NRCS program might necessarily be different from that for a field office employee. **
- [Emphasis added.]

## Example 5: A DC who applies for an NRCS program           tells supervisor she cannot work on:
Employee’s own* application 
Applications of competing* operations

** ****Required to avoid COI**
** ****Responsibility of the employee**
** ****Impacts NRCS duties***

- _Example 5_**: ****A DC who applies for an NRCS program ****          tells supervisor she cannot work on:**
**Employee’s own* application **
**Applications of competing* operations**

- _Example 6_**: ****Sarah, a soil con, knows she cannot do NRCS work on her Dad’s operation.  Now, Dad will apply for an NRCS program.  Sarah tell the AC she cannot work on:**
**Dad’s operation**
**Applications of competing operations**

## Example 7: 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

## 2006 ETHICS TRAINING FOR NRCS EMPLOYEES

**The employer of a DC’s spouse* farms in her county and applies for an NRCS Program.**** **
** **

**DC’s Disqualification from pre-contract work is:**
**STATEWIDE**** **? 	  **COUNTYWIDE** ?     **AREA-WIDE** ?
**Depends on the Program**
**Depends on the State**

- Disqualification?_ _

- *or parent, brother, dependent child, etc.

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

## 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 can contact the NHQ Ethics Office to request a smaller area than statewide disqualification.

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

******Guidance is different for CSP and CRP

## Disqualification –  Example  9 	[Kansas 2004]

- _Disqualification –  __Example  9_ 	**[Kansas 2004]**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

**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**
- CSP - - **Nationwide**
- Continuous CRP- - **No competition**
- Other NRCS Programs - - **Statewide**

## 2006 ETHICS TRAINING FOR NRCS EMPLOYEES

**Kansas Example ****(continued)**

**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  **Except CRP and CSP**

## Example 10 -- 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.

- _Example 10_ --** 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 cannot 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.**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

## UT

**2005**

| Program | Competition for Funds |
| --- | --- |
| CSP | Nationwide |
| AMA | Countywide |
| CRP continuous | n/a |
| Other Programs | Statewide |

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

**Receive correct ethics guidance**

**STC PGMS **
**or SRC**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

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

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

**No**
**Depends**

**SEA  receives state  funding arrangements**

**SEA can make it simple for employees**

## 
in the same county?
In the state?

**in the same county?**
**In the state?**

**No**
**No**

-  _Example 11_  (continued) - - Jones, a DC, signs up for EQIP**  **

- _In Utah in 2005_?

**UT**
**2005**

- Can Jones work on other EQIP applications?

| CSP | Nationwide |
| --- | --- |
| AMA | Countywide |
| CRP continuous | No competition for funds |
| Other Programs* | Statewide |

- *Follow separate guidance on regular CRP

## You* will sign up for AMA 

- Yes or No?
**Can you perform work* on:**
**National Program Development**
**State Program Development**
**Your own operation**
**Pre-contract functions for others****in the county**
**Pre-contract functions for ****applicants outside your home ****county**

_**Example 12**_
**UT**
**2005**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

- *A non-clerical employee

**No**
**No**
**No**
**No**
**Yes**

**Would the answers be different if ****it was a family member?**

**No**

## Arkansas

**2005**

- Jim Caudle, SRC, AR

**AR – 2005 funds competition**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

**Whip** – statewide
**GRP** – statewide
**WRP -- **statewide plus minimum of 1 easement 		for highest ranked in each of 5 zones
**EQIP** –
-  70 % allocated by counties
-  30% to 9 special needs categories (specific locations)
-  Initial competition for county allocation.
-  2nd round by special need categories.
**CRP** (continuous) – no competition
**CRP** (regular) – See separate guidance

## Disqualify from work on competing applications?

| Program | Initial Competition | Disqualify |
| --- | --- | --- |
| CSP | Nationwide |  |
| Continuous CRP | No competition |  |
| EQIP | Countywide |  |
| Other Programs | Statewide |  |

**AR – 2005 funds competition**
- 1st round – Yes
- 2nd round – STC says “yes”

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

| Program |  | Disqualify |
| --- | --- | --- |
|  |  | No* |
|  |  | No |
|  |  | Yes - Countywide |
|  |  | Yes - Statewide |

- *always disqualify from TA on own or others with covered relationship
- **

- Follow separate guidance on regular CRP

## If you or a family member, etc.* will sign up for EQIP 

- Yes or No?
**Can you perform work* on:**
**National Program Development**
**State Program Development**
**Your own** operation**
**Other EQIP applicants****	**

**Example 13**
**AR**
**2005**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

**No**
**No**
**No**
**No countywide**

- *pre-contract

## If you or a family member, etc.* will sign up for GRP

- Yes or No?
**Can you perform work* on:**
**National Program Development**
**State Program Development**
**Your own** operation**
**Other GRP applicants****	**

**Example 14**
**AR**
**2005**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

**No**
**No**
**No**
**No statewide**

- *pre-contract

## CSP - - Nationwide

**If employee, family member, etc. will sign up **
- Yes or No?
**Can employee work* on:**
**National Program Development**
**State Program Development**
**Own** operation (or family members, etc.)**
**Other applicants for CSP**

**Example 15**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

**No**
**No**
**No**
**Yes**

- *pre-contract

## Continuous CRP- - Nationwide

**If employee, family member, etc.* will sign up **
- Yes or No?
**Can employee work* on:**
**National Program Development**
**State Program Development**
**Your own** operation**
**Other applicants for continuous CRP**

**Example 16**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

**No**
**No**
**No**
**Yes**

- *pre-contract

## 2006 ETHICS TRAINING FOR NRCS EMPLOYEES

**NRCS continues to perform the following pre-contract activities for regular CRP:**
**Discussions; pre-planning activities such as reviewing the specifications with the potential participant; talking with participants about the expected results of the practices; responding to questions about the program; and generally "selling" conservation.**
**NRCS employees must disqualify and not perform pre-contract functions for operations applying for regular CRP if they would do so either (1) working alone or (2) as the Team Leader responsible for performing those functions.**

## 2006 ETHICS TRAINING FOR NRCS EMPLOYEES

| Whether DC can perform pre-contract functions on competing operations  | If Employee works |  |  |
| --- | --- | --- | --- |
|  | Alone | Team Leader | Team Member |
| Yes |  |  | x |
| No | x | x |  |

## 2006 ETHICS TRAINING FOR NRCS EMPLOYEES

_**Example**_** - - ****DC applies for regular CRP **
**Employees must never provide conservation technical assistance on their own operation (or that of another with whom there is a covered relationship.)**
**The DC (not working as a team member) is disqualified from performing pre-contract functions on other operations that also apply for regular CRP in the same county; **
**The DC is also disqualified from performing pre-contract functions area-wide if working alone (versus as part of a Team). **

## 2006 ETHICS TRAINING FOR NRCS EMPLOYEES

- Example, - - **DC applies for regular CRP **(continued)
**If working as a Team member (versus Team Leader), the DC can perform the limited pre-contract functions that are still performed by NRCS on other operations applying for regular CRP.**
**However, the DC can not work as Team Leader to perform pre-contract functions for competing operations.**
_**Note**_**:  Examples 1 – 5 of required disqualification due to****the employee’s own application also apply if ****an applicant is a family member or has another ****covered relationship.**

## 2006 ETHICS TRAINING FOR NRCS EMPLOYEES

- Disqualification requirements from performing NRCS pre-contract functions on other’s operations

**There are fewer restrictions when the program is regular CRP versus EQIP, WRP, AMA, etc.  **
**The least restrictions occur with CSP and continuous CRP.  **
**The differences in the extent of disqualification required by program are due to differences** **in how our programs operate.**
**Each SEA & Asst STC (or SRC) must work together to correctly determine specific requirements in each state. **

**Employee Interest in Programs -- Summary**

## Washington

**2006**

- SEA and
- ASTC Pgms

**WA – 2006 funds competition**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

- EQIP
_**1**__**st**__** Round**_
**Teams**** - 11 multi-county teams - ****90% of available funds**
**Statewide**** for Tribal - ****10% of available funds**
_**2**__**nd**__** Round**_** **
**Unobligated Team and Tribal**** - ****Distributed to unfunded Team applications**
- CSP - - **Nationwide**
- WHIP** - - 3 Administrative Areas**
- Continuous CRP- - **No competition**
- WRP, GRP** **- - **Statewide**

- Not Included in Handouts

## Washington

**2006**

**Disqualification Requirement**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

|  Extent of disqualification from pre-contract work on others |  |  |
| --- | --- | --- |
| Program | Competition | Disqualification |
| CSP | Nationwide | Can process competing applications |
| EQIP | 11 Field Teams | Team-wide |
| WHIP | 3 Areas | Area-wide |
| Other Programs | Statewide
 | Statewide except:
 Not required for continuous CRP
 Follow separate guidance for regular CRP |

**Do not work on program development**
**Do not work on own **(pre or post contract)
**Do not work on person’s with covered relationship **(pre or post contract)

- Not Included in Handouts

## Washington

**2006**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

- Question:
- How to deal with staff between the local team and the state office. For example, an area office staff member that has land they wish to contract. Should they be restricted from the team where the land is located? The area? State?** **

- Answer
- Matters they can not work on are: (1) there own, (2) family members’, and (3) those with which employee or family (& other covered relationships) are competing (precontract functions).
- Area of disqualification is based on where LAND is located versus where they work
- Extent of disqualification is based on the geographic scope of the competition for funds.

- Not Included in Handouts

## Washington

**2006**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

- Question: How to deal with staff between the local team and the state office. For example, an area office staff member that has land they wish to contract. Should they be restricted from the team where the land is located? The area? State?** **

- Answer re Area Staff (continued)
**When competition is _______ = disqualification is ________.**
_**Competition**_		_**Disqualification**_
- Area-wide area 	 	Area where the land it located
- Statewide	 	Statewide
- Field Team 	 	Field team's area where land is

- Not Included in Handouts

## New Mexico

**2006 funds competition**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

- Not Included in Handouts

|  |  |  |
| --- | --- | --- |
| Program | Competition | Right? |
| CSP | Nationwide |    ? |
| EQIP reg. | FO/District |    ? |
| EQIP-FL | State |    ? |
| Other Programs  | Statewide
 |    ? |

## 2006 Disqualification Requirement

**2006 Disqualification Requirement**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

- Not Included in Handouts

|  Extent of disqualification from pre-contract work on others |  |  |
| --- | --- | --- |
| Program | Competition | Disqualification |
| CSP | Nationwide | Can process competing applications |
| EQIP reg. | FO/District | FO/District area |
| EQIP-FL | State | Statewide |
| Other Programs  | Statewide
 | Statewide except:
 Not required for continuous CRP
 Follow separate guidance for regular CRP |

**Do not work on program development**
**Do not work on own **(pre or post contract)
**Do not work on person’s with covered relationship **(pre or post contract)

## Example 17:  Employee w/ relationship to TSP

- _Example 17_:  **Employee w/ relationship to TSP**

- Disqualification

** ****Required to avoid COI**
** ****Responsibility of the employee**
** ****Impacts NRCS duties **
** **

**.**

** ****Normally does not impact outside interest**

**But it**** can****!**

**Employee Interest in NRCS Initiatives**

**	****	****	****	****Employee* must not work on a particular matter if a close relative or other person with an imputed or covered relationship has an interest in the matter.**

- *non-clerical

## When Employee Must DisqualifyManagement 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.**
**Substantial Conflict Determination in limited circumstances.**
** **

- *See 5 CFR 2635.403(b)

## 2006 ETHICS TRAINING FOR NRCS EMPLOYEES

- Substantial Conflict Determination

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

_**Example**_**:  ****To prohibit an individual employee from having interest* in an NRCS program or TSP in the same area the employee serves.****  **
- * Through self, spouse or minor child.

_**Effect:**_  **To prohibit employee from having financial interest**
_**Criteria**_**: **

**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 ETHICS TRAINING FOR NRCS EMPLOYEES

- Substantial Conflict Determination

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

- Who has authority to make determination?
- Can STC delegate?

- _Depends on Matter_
-  STC if NRCS Program
-  STC if TSP
-  DCH MGT for ALL other
-  No

## STC Authority

**STC has authority to make a substantial conflict determination, after consultation with NRCS Ethics Officer, that limits employee’s participation in NRCS programs or TSP.**
**Includes participation by**** **
**Employee**
**employee’s spouse **
**minor child**
**Does not apply to participation of other ****family members **
** **

- See 5 CFR 2635.403(b)

**Authority to make any other type of substantial conflict determination is reserved to the DCH MGT.**
** **

## Example 18  Impact on outside interest 					

- _Example 18_  **Impact on outside interest ****	****	****	****	****	**
**Situation:  ****Spouse is TSP in same area *****AND***** either**
**Employee must disqualify from matters so central to the employee’s position that the employee essentially cannot perform his/her position, **_**or**_
**Another employee cannot readily be assigned to do that work.**
_**Then**_
**The STC may make substantial conflict determination to prohibit employee from having TSP interest in same area**

- _Result_
-  Spouse could not be TSP in same area.

## Example 19:  Impact on outside interest 					

- _Example 19_:  **Impact on outside interest ****	****	****	****	****	**
**Situation:  ****Spouse’s employer is TSP in same area AND either**
**Employee must disqualify from matters so central to the employee’s position that the employee essentially cannot perform his/her position, **_**or**_
**Another employee cannot readily be assigned to do that work****.**
_**Then**_
**The STC may make a substantial conflict determination to prohibit employee from having that TSP interest.**

- _Result_
-  Spouse could not work for that company.

## 2006 ETHICS TRAINING FOR NRCS EMPLOYEES

**  ****Must meet criteria at 5 CFR 2635.403(b).**
**  ****No blanket determinations**
**  ****Use on a case-by-case basis only**
**  ****Consult with the Director, NRCS Ethics Office, ****    **_**prior**_** to issuance**
**  ****Provide copy to the Director, NRCS Ethics Office**

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

## 2006 ETHICS TRAINING FOR NRCS EMPLOYEES

- _Prohibitions Against Representation_

-  Officially or Personally –
**Can not ask the DC to meet with his Cousin, or attend an NRCS meeting with his Cousin.**
-  Officially –
**Can not look up the status of the Cousin’s application.**
** ****Personally** –
**Can help Cousin with application (behind the scenes)**
**Can not sit at the kitchen table and help Cousin with ****application if compensated.**

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

## 2006 ETHICS TRAINING FOR NRCS EMPLOYEES

**1.**    **SARE Advisory Councils**
**2.    Rural Development Councils**

- Slide

- See 5 CFR 2635 Subpart G

- _Re:  Misuse of Position_
- No favoritism

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**

**Do not ask another employee to:**
**Look out for the application of a friend or family member; **
**Keep you informed; **
**Etc.**

- No endorsement

## Questions?

**2006 ETHICS TRAINING FOR NRCS EMPLOYEES**