Ethics Training for New STCs Training for New

Ethics Training for New STCs Training for New State Conservationists May 18, 2005 Washington, DC Employee Interests in NRCS Programs l Relations with Non-Federal Organizations l Approval of Outside Employment l Non-Federal Travel Assistance l NRCS Ethics Office May 18, 2005 - Washington, DC Slide 1

Ethics Training for New STCs NRCS Ethics Office (301) 504 -2202 Caryl Butcher 504 -2207 NRCS Ethics Officer Debbie Griffin 504 -2202 Ethics Assistant 450 Reports (Initial intake) Policy & NHQ 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 May 18, 2005 - Washington, DC Slide 2

Ethics Training for New STCs External Assessments “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 n Relationships between employees and non-Federal entities n Employee Interests in NRCS programs n NRCS Ethics Office May 18, 2005 - Washington, DC Slide 3

Ethics Training for New STCs 2002 Farm Bill n Demands greater transparency Increased $ = Greater Scrutiny Avoid Conflicting Interests NRCS Ethics Office Protect integrity of NRCS Programs and services May 18, 2005 - Washington, DC Slide 4

Ethics Training for New STCs Actual Conflict of Interests l 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 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 Slide 5

Ethics Training for New STCs Interests & Relationships that Trigger Disqualification Interests n Employee n Spouse or minor child n General partner n Outside employer or prospective employer n Non-Federal organization in which employee is an officer, director, trustee, or general partner Relationships n Person with whom employee has or seeks a business, contractual or other financial relationship n Member of household or close relative n Employer of spouse, parent or dependent child n Non-Fed employer within past 1 year; n Non-Fed organizations in which the employee is active; n Person or Org for whom the spouse, parent or dependent child is an employee, officer, director, consultant, contractor, agent, etc NRCS Ethics Office May 18, 2005 - Washington, DC Slide 6

Ethics Training for New STCs Appearance of COI [i. e. , Impartiality due to relationships] 1. Is the matter likely to affect* the financial interest a person with whom the employee has a covered relationship; ** AND 2. 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. [**or a person they represented] NRCS Ethics Office May 18, 2005 - Washington, DC Slide 7

Ethics Training for New STCs Disqualification § Required to avoid COI § Responsibility of the employee § Impacts NRCS duties, not outside interest Example 1: A DC who applies for an NRCS program tells supervisor she can not work on: l l 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: l l NRCS Ethics Office Dad’s operation Applications of competing operations May 18, 2005 - Washington, DC Slide 8

Ethics Training for New STCs 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 l State program development l Pre-contract work on competing* applications: §Application §Eligibility Determination §Ranking §Fund Obligation §Contract Approval l NRCS Ethics Office May 18, 2005 - Washington, DC Slide 9

See GM Title 110, Part 405 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: Employee Programs Ethics. Participation Training for Newin. STCs PROGRAM FUNCTIONS I) National Program Development I) State Program Development I) Application II) Eligibility Determination III) Ranking IV) Fund Obligation V) Contract Approval Do not perform if will participate Not Allowed to Perform NRCS Duties in competing area I) CNMP Plan Not Allowed to Perform NRCS Duties Perform Work I) Practice Design Not Allowed to Perform NRCS Duties Perform Work I) Practice Installation Not Allowed to Perform NRCS Duties Perform Work I) Practice Certification (including Not Allowed to Perform NRCS Duties Perform Work I) Self Certification Not Allowed to Perform NRCS Duties I) Status Reviews Not Allowed to Perform NRCS Duties NRCS Ethics Office Or, on property of an organization in which the employee: has served within the last year as, an employee, officer, trustee, AFTER A CONTRACT IS APPROVED payment approval) 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. general partner, contractor, director, or agent; or Is a committee or subcommittee chairperson. Examples I) Jones, an NRCS employee, applies for Jones’ farm to participate in EQIP in Carroll County. Perform Work May 18, 2005 - Washington, DC Jones must not perform program NRCS functions 1 or 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. Slide 10

Disqualification Matrix (1) Ethics Training for New STCs PROGRAM FUNCTIONS i. Nat. Program Development ii. State Program Development iii. iv. v. vii. Application Eligibility Determination Ranking Fund Obligation Contract Approval EMPLOYEE PERFORMS WORK ON OWN PARTICIPATING OPERATION Do Not Perform If Plan To Participate Not Allowed to Perform NRCS Duties AFTER A CONTRACT IS APPROVED viii. CNMP Plan Not Allowed to Perform NRCS Duties viii. Practice Design Not Allowed to Perform NRCS Duties viii. Practice Installation Not Allowed to Perform NRCS Duties viii. Practice Certification (including payment approval) Not Allowed to Perform NRCS Duties viii. Self Certification Not Allowed to Perform NRCS Duties viii. Status Reviews Not Allowed to Perform NRCS Duties NRCS Ethics Office May 18, 2005 - Washington, DC Slide 11

Disqualification Matrix (2) Ethics Training for New STCs PROGRAM FUNCTIONS i. Nat. Program Development ii. State Program Development iii. iv. v. vii. Application Eligibility Determination Ranking Fund Obligation Contract Approval EMPLOYEE PERFORMS WORK WITHIN OWN SERVICE AREA(S) Do Not Perform If Plan to Participate Not Allowed to Perform NRCS Duties in competing area AFTER A CONTRACT IS APPROVED viii. CNMP Plan Perform Work viii. Practice Design Perform Work viii. Practice Installation Perform Work viii. Practice Certification (including payment approval) Perform Work viii. Self Certification viii. Status Reviews NRCS Ethics Office Perform Work May 18, 2005 - Washington, DC Slide 12

Ethics Training for New STCs Test Your Knowledge. . Jones, a DC in your state, signs up for EQIP Yes or No? NRCS Ethics Office Can Jones work on other EQIP applications n in the county? No. n In the state? Depends. May 18, 2005 - Washington, DC Slide 13

Ethics Training for New STCs Disqualification from pre-contract work is: l. STATEWIDE* where applicants compete for funding on a statewide basis; l. AREA-WIDE where applicants compete for funding by area ME = Field Office PA = Field Team TX = Zone etc. l. 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 Slide 14

Ethics Training for New STCs Example: Disqualification [Kansas 2004] State where competition varies by program and resource concern Competition for program dollars: n EQIP – n Countywide for 3 resource concerns 1. 2. 3. n n NRCS Ethics Office Grazing land health Water quality [nutrients, pesticides, sedimentation] Soil erosion--wind Area-wide for all other resource concerns Other NRCS or NRCS-Assisted Programs n Statewide May 18, 2005 - Washington, DC Slide 15

Ethics Training for New STCs Kansas Example (continued) Grace, ASTC, is part owner of an operation in Wallace County that applies to participate in an NRCS program. n Do not participate in national or state program development n 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 Slide 16

Ethics Training for New STCs Kansas Example (continued) 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. n. Bob can not participate in national or state program development n. 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 Slide 17

Ethics Training for New STCs Programs Example PA 2005 Give SEA the state’s funding arrangements CSP Receive correct ethics guidance Nationwide EQIP § No-Till Statewide § Air Quality Statewide (livestock) § Wildlife FT § Nutrient Mgt FT § Etc. Other Programs NRCS Ethics Office Statewide May 18, 2005 - Washington, DC Slide 18

Ethics Training for New STCs SEA receives state funding arrangements SEA can make it simple for employees Example If you or a family member will sign up for EQIP PA (nutrient management) 2005 do not perform work* on: n National Program Development n State Program Development n Your own operation n Pre-contract functions for others in FT area Non-clerical* NRCS Ethics Office May 18, 2005 - Washington, DC Slide 19

Ethics Training for New STCs Example - North Dakota funding: 2005 Program CSP Fund Competition Disqualification Nationwide � � EQIP Statewide � § Animal waste systems (AFO) § Irrigation system conversion (GSW) � Do not work on program development Can process competing applications Statewide for AFO and GSW Countywide for other resource concerns Countywide § All other res. concerns Other Programs NRCS Ethics Office Statewide �Not required for continuous CRP �Countywide for all others (includes CRP) May 18, 2005 - Washington, DC Slide 20

Ethics Training for New STCs 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 *See 5 CFR 2635. 403(b) NRCS Ethics Office May 18, 2005 - Washington, DC Slide 21

Ethics Training for New STCs Prohibited Representation Simplified… Employees must not communicate with a Federal Agency on behalf of another person or non-Federal organization on a matter in which the Government has an interest l Not officially l Not personally Can assist “behind-the-scenes” provided no compensation. [18 USC 203 & 205] NRCS Ethics Office May 18, 2005 - Washington, DC Slide 22

Ethics Training for New STCs Prohibited Representation Limited Exceptions*. . . provided no compensation • Not-for-profit union, cooperative, or professional or recreational association provided a majority of the members are current employees* • • Employee grievance or complaint Tribal Liaison (must satisfy notification requirement) *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 Slide 23

Ethics Training for New STCs Prohibited Representation Examples of Permissible “behind the scenes” assistance l. 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. l. 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 Slide 24

Ethics Training for New STCs Misuse of Position Simplified… Rules Prohibit l l Official endorsement* Use of non-public information. . . Unauthorized use of Government equipment Misuse of official title or time * Exceptions: 1) Rural Development Councils, and 2) SARE Advisory Committees See 5 CFR 2635 Subpart G NRCS Ethics Office May 18, 2005 - Washington, DC Slide 25

Ethics Training for New STCs Personal v. official business: Board membership* l Committee leadership* l Fundraising l Political Activity l Lobbying l Internal business of the organization* l 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 Slide 26

Ethics Training for New STCs Personal v. Official -- [Handout] • For most of employees, involvement in a non. Federal organization is not official business. Do not use Government: • Title • Time • Travel • Equipment l Liaisons may use official time for certain activities See 5 CFR 2635 Subpart G NRCS Ethics Office May 18, 2005 - Washington, DC Slide 27

Ethics Training for New STCs Appointment of Agency Liaison Handouts: National Instruction Form Required for Liaison to non-Federal l Issued by the STC* l Protects NRCS & Liaison l Liaisons must: l Avoid conflicting interests Be clear about lines of loyalty l Avoid prohibited activity l *STC, RAC or Division Directors and above. Can not re-delegate. NRCS Ethics Office May 18, 2005 - Washington, DC Slide 28

Title 110 – General Manual 405. 135 Personal v. Official Participation in Non-Federal Organizations - Quick Reference Flowchart Ethics Training for New STCs No Personal Use NRCS Title Travel Time Equipment Yes Official No Yes No Board Member NA No NRCS Liaison Yes 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” . (110 -GM, Amend. 2, November 2003) Next 405. N. 135 -1 Slide 29 November 2003

Ethics Training for New STCs n Outside Employment n Approval Process -- Handout n Who is required to get prior approval n Role of STC n Differences between states n Non-Federal Travel Assistance n Approval Process – Handout n Role of STC n SARE Policy NRCS Ethics Office May 18, 2005 - Washington, DC Slide 30

Ethics Training for New STCs Test (Y or N? ) l 2. Can you work on an agreement for NRCS if it involves an organization in which you are an officer? Committee chairperson? No. Can you be the NRCS Liaison to an organization in which you are an officer? Subcommittee chairperson? No. 3. Can you request a meeting with NRCS on behalf of a non-profit seeking an agreement? What if it is an employee organization? No. NRCS Ethics Office May 18, 2005 - Washington, DC Slide 31

Ethics Training for New STCs Test 4. (Y or N? ) Substantial conflict determination must meet very specific criteria or it violates the employees rights. Correct. 5. STC only has authority to make substantial conflict determination re participation in NRCS programs. Correct. 6. We do not recommend that you use the USDA form for approval of outside employment. Correct. NRCS Ethics Office May 18, 2005 - Washington, DC Slide 32

Ethics Training for New STCs n To Receive Training Credit: § Sign the sign-in sheet. n Satisfies CY 2005 Ethics Training Requirement NRCS Ethics Office May 18, 2005 - Washington, DC Slide 33