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
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2007 Ethics Training
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.”
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2007 Ethics Training
NRCS Ethics Office August 27, 2007 - AIANEA Conference
Increased $ = Greater Scrutiny
2002 Farm Bill
Demands greater transparency
Avoid Conflicting Interests
Protect integrity of NRCS Programs and services
In 2004, you heard . . .
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2007 Ethics Training
NRCS Ethics Office August 27, 2007 - AIANEA Conference
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
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2007 Ethics Training
NRCS Ethics Office August 27, 2007 - AIANEA Conference
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.
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2007 Ethics Training
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.
NRCS Ethics Office August 27, 2007 - AIANEA Conference
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2007 Ethics Training
NRCS Ethics Office August 27, 2007 - AIANEA Conference
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
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2007 Ethics Training
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?
NRCS Ethics Office August 27, 2007 - AIANEA Conference
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
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2007 Ethics Training
Disqualification
Required to avoid COI1
Responsibility of the employee
Impacts NRCS duties, not outside interest
NRCS Ethics Office August 27, 2007 - AIANEA Conference
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.
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2007 Ethics Training
Let's see what we have learned so far...
NRCS Ethics Office August 27, 2007 - AIANEA Conference
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
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2007 Ethics Training
Examples
NRCS Ethics Office August 27, 2007 - AIANEA Conference
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...
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2007 Ethics Training
Example
NRCS Ethics Office August 27, 2007 - AIANEA Conference
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
Slide 13 Slide 13 NRCS Ethics Office August 27, 2007 - AIANEA Conference
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].
2007 Ethics Training
QUESTION: What should Susan do?
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1. Any Ethics issues? (Y or N)
2007 Ethics Training
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: ____
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2. Can Susan do it without NRCS approval?
Case Study #1
2007 Ethics Training
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 . . ]
Slide 16 Slide 16 NRCS Ethics Office August 27, 2007 - AIANEA Conference
3. Can the STC allow Susan to do it?
Case Study #1
2007 Ethics Training
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.
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Why Susan cannot do it and remain the Tribal Liaison:
2007 Ethics Training
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
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Why Susan cannot do it and remain the Tribal Liaison:
2007 Ethics Training
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.
Slide 19 Slide 19 NRCS Ethics Office August 27, 2007 - AIANEA Conference
2007 Ethics Training
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.
Slide 20 Slide 20 NRCS Ethics Office August 27, 2007 - AIANEA Conference
2007 Ethics Training
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.
Slide 21 Slide 21 NRCS Ethics Office August 27, 2007 - AIANEA Conference
2007 Ethics Training
Case Study #1 - What should Susan do?
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.
Slide 22 Slide 22 NRCS Ethics Office August 27, 2007 - AIANEA Conference
2007 Ethics Training
Case Study #1 - What should Susan do?
Yes
No
No
Yes
Yes
No
No
Yes
1. Any ethics Problems
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 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
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2007 Ethics Training
.
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
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2007 Ethics Training
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?
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