Slide 1 NRCS Ethics OfficeAugust 27, 2007 - AIANEA Conference NRCS Employees 2007 Ethics Training Sponsor: AIANEA Audience: Presented by the NRCS Ethics.

Slide 1 Slide 1 NRCS Ethics Office August 27, 2007 - AIANEA Conference

NRCS Employees

2007 Ethics Training

Sponsor: AIANEA

Audience:

Presented by the NRCS Ethics Office

August 27, 2007Corpus Christi, TX

Caryl J. ButcherNRCS Ethics Officer

Slide 2


In 2004, you heard . . .

NRCS Ethics Office August 27, 2007 - AIANEA Conference

“Ethics risks are much higher [in NRCS] than in most Agencies”

“Employees become so active in supporting the partnership that they become, essentially

Areas of particular concern:

Partnering Agreements Relationships between employees and non-Federal entities Etc.

agents of the partners.”

Slide 3



Increased $ = Greater Scrutiny

2002 Farm Bill

Demands greater transparency

Avoid Conflicting Interests

Protect integrity of NRCS Programs and services

In 2004, you heard . . .

Slide 4



AIANEA Conference:

Conflicting Interests COI and Impartiality Prohibited Representation Misuse of Position

Participation with Non-Federal Organizations

Official Participation

Personal Participation

Fundraising

Statutory Authority -- What NRCS may do

Ethics Laws & Regulations -- What employees may and

may not do

2004

Slide 5



Relations with Non-Federal Organizations

General Session

1. Review the Basics Conflicting Interests Participation with Non-Federal Entities

2. Case Study

Liaison Session

1. Appointment of Agency Liaison2. Gifts from Tribes

2:00 - 3:00 pm

3:15 - 4:30 pm

Sign the sign-in sheet for each course to receive credit.

Slide 6


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 - Recap

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


Slide 7



Interests & Relationships that Trigger Disqualification 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

Imputed Interests

CoveredRelationships

Slide 8


Impartiality

1. The matter1 is likely to affect the financial interest a person2 with whom the employee has a covered relationship;3 AND

2. The employee’s involvement would cause a reasonable person with knowledge of all relevant facts to question the employee’s impartiality?


1 Applies to "particular matters" involving "specific parties".

2 Person includes any legal entity other than the US (Federal) Government.

3 Or, if the matter is likely to affects interests of a person represented by one with whom the employee has a covered relationship.

Must disqualify IF:

Recap

Slide 9


Disqualification

Required to avoid COI1

Responsibility of the employee

Impacts NRCS duties, not outside interest


Let's look at some examples.

Recap

The employee tells his/her supervisor and does not perform official duties unless given written ethics authorization by the DCH MGT.

1Any employee's reputation for honesty and integrity is not relevant.

Slide 10


Let's see what we have learned so far...


Example: Can a DC work on:

Her own EQIP application?

Her father's EQIP application?

Application of the family farm?

Pre-contract functions for other operations competing for the same EQIP funds?

No

No

No

No

"B"

No

No

No

Yes

"A"

What's the correct Answer?

"C"

No

Yes

Yes

Yes

The Correct Answer is "__"A

Slide 11


Examples


Can Joe, the DC, write the plan for his sister's operation?

If Sis was a TSP, could Joe do the CCC 1245 for a practice she had done?

Answers:

No - - The conservation plan and the CCC 1245 are particular matters involving specific parties, and [sister] is a relative with whom Joe has a close personal relationship.

Let's see what we have learned so far...

Slide 12


Example


Jack's father is on the Executive Board of an Organization. Can Jack serve as the Technical Rep for a cooperative agreement with that organization?

Answer:

No - The cooperative agreement is a particular matter which affects the interest of the Organization. The father is on the Board, and is a relative with whom Jack has a close personal relationship. (covered relationship)

Would the answer be the same if it was:

(a) Contribution agreement? (b) Professional Society?

Example

YesYes


Case Study #1

Susan has been doing a great job for NRCS as a Tribal Liaison. She is responsible for activities related to issue resolution with the [Tribe]. The work has increased so in the last several years that she is now a full-time Tribal Liaison.

Susan feels so fortunate to have gotten this job as Tribal Liaison. Now, she lives within driving distance of her family. To top it off, she has just been offered the chance to serve as Member-at-Large on the Executive Committee of the [Tribe].


QUESTION: What should Susan do?


1. Any Ethics issues? (Y or N)


Case Study #1 - What should Susan do?

2. Can Susan do it without NRCS approval?

3. Can the STC allow her to do it?

4. Can NRCS prohibit Susan from serving on the Committee?

5. If so, could she have to choose between the Committee and her NRCS job?

- Could her supervisors request an exception?

- Is there a provision that relates to an employee's birthright in an Indian nation that would make it okay?

6. Can Susan get in trouble if she does it anyway?

Yes

Group Exercise

Time: ____



Case Study #1


The Liaison Session will address questions about whether the Liaison policy should apply to Tribal Liaisons.

No. The Assignment of Liaison policy reflects that a Liaison must not:

Serve as an officer, board member, or employee; or

act as agent or representative, of the [Non-Federal], or

Actively participate in [Non-Federal's] activities in your personal capacity unless you receive written clearance from [STC] to do so. [Does not prohibit membership . . ]


3. Can the STC allow Susan to do it?

Case Study #1


4. Can NRCS prohibit her from serving on the Committee?

In an official capacity?

In a personal capacity?

What if no compensation?

Yes (She can not so it.)

Yes (She can not so it.)

Yes. (She still can not do it.)

5. Could Susan have to choose between serving on the Committee and her NRCS job?

Yes.

No. The STC lacks authority to do so.


Why Susan cannot do it and remain the Tribal Liaison:


CAN NOT in an official capacity

Department of Justice

Opinions by the Office of Legal Counsel, DOJ, have determined that service as a member of the Committee in an official capacity would violate the conflict of interests statute, 18 U.S.C. 208, unless the agency has specific statutory authority to have an employee serve on the governing board of that specific organization.

Statutory authority to have an NRCS employee serve in an official capacity on the governing body of a non-Federal entity is limited to:

1. SARE Administrative Councils

2. Rural Development Boards


Why Susan cannot do it and remain the Tribal Liaison:


CAN NOT in a personal capacity

18 USC 208 - Conflict of Interest statute

Employee may not work for Government on matter affecting the interest of a non-Federal organization for which the employee serves as an officer.

This law makes it illegal for a Tribal Liaison to continue work on matters affecting a Tribe if also on the Tribe's Executive Committee.



Case Study #1 -

Could her supervisors request an exception?

It would not be granted.

"Given the extent of [a Tribal Liaison's] official duties with the Tribe, an individual waiver under 18 U.S.C. 208(b)(1) would not be justifiable. There is no basis for concluding that the conflicting financial interest (service on the Committee) “is not so substantial as to be deemed likely to affect the integrity of the services which the government may expect from [the employee].” "

From USDA Office of Ethics, OE Advisory 2002-2,Conflicting Financial Interests & Impartiality - Tribal Executive Committee.



Case Study #1 -

Is there a provision that relates to an employee'sbirthright in an Indian nation that makes it okay?

No. That waiver authority would not apply in this situation. Waiver authority at 18 U.S.C. 208 (b)(4) permits official participation in matters likely to be affected when interest results solely from the interest of the employee in birthrights in an Indian Tribe, etc.

"However, this provision requires that the particular matter at issue must not involve the tribe, band, nation, etc., as a specific party. The Tribe, here, is the specific party with which the [USDA Agency] has assigned the employee to act. Additionally, the financial interests involved are not the employee’s as a matter solely of his birthright, but because of his voluntary membership on the Committee." [OE Advisory 2002-2]

Emphasis added.




6. Can she get in trouble if she does it anyway?

Yes.

18 U.S.C. 208 is a criminal statute.

NRCS is required to report violations to the Office of Inspector General (OIG).

Employees are required to know and comply with the prohibition.




Yes

No

No

Yes

Yes

No

No

Yes

1. Any ethics Problems


3. Can the STC allow her to do it?

4. Can NRCS prohibit Susan from serving on the Committee?

5. If so, could she have to choose between the Committee and her NRCS job?

- Could her supervisors get an exception?

- Is there a provision that relates to an employee's birthright in an Indian nation that would make it okay?

6. Can Susan get in trouble if she does it anyway?

Group Exercise Summary Answer Sheet

Slide 23


.

Board Member

Personal Official

NRCS Liaison

NoYes Yes

Use NRCSTitleTravelTimeEquipment

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”

YesNA

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.135-1November 2003

Next

Slide 24


End of General Session Sign the sign-in sheet Satisfies your CY 2007 Training Requirement.*

NEXT -- Liaisons Session Today, 3:15 - 4:30 pm

* The 2007 Ethics Training Requirement applies to Financial Disclosure Report Filers.

Slide 24 NRCS Ethics Office August 27, 2007 - AIANEA Conference

Questions?

Slide 1 NRCS Ethics OfficeAugust 27, 2007 - AIANEA Conference NRCS Employees 2007 Ethics Training Sponsor: AIANEA Audience: Presented by the NRCS Ethics.

Documents

ethics training employee

aianea conference slide

ethics training impartiality

aianea conference ethics

ethics training sponsor

recap slide

written ethics authorization

ethics laws regulations