2006 Liaison Training West Region

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2006 Liaison Training West Region
NRCS Liaisons, West Region
TARGET Audience
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2006 Liaison Training - WR

• Focus - - Relations with Non-Federal
  Organizations
• Requirements and Commitments
• How to Avoid Conflicting Interests
• Basics
• Participation With Non-Federal Organizations
• How to Continue Appropriate Support for Partners
• Accepting Stuff
• Outside Gifts
• Non-Federal Travel Assistance
• Awards
• Fundraising
• Lobbying and Political Activity

Also - -
How to Avoid COI Due to Interest in Programs
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• For this course . . .
• Liaison refers to an NRCS Liaison to a
  non-Federal entity including

• non-profit corporations
• for-profit corporations
• partners
• State or local government agencies
• Professional, scientific, employee, civic,
  religious or educational organizations
• corporations created by Federal law that have
  been privatized (not subject to USDA management
  or supervision)

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Part 1 Requirements Commitments

• Statutory Authority -- What NRCS may do

• Ethics Laws and Regulations -- What employees
  may/may not do

• Criminal Statutes 18 USC 201-209
• Standards of Ethical Conduct 5 CFR Part 2635
• USDA Supplemental Ethics Regulation 5 CFR 8301
• Employee Responsibilities Conduct Regulation 5
  CFR 735
• Hatch Act and Anti-Lobbying Provisions
• Fundraising 5 CFR Part 950
• Post Employment Restrictions 5 CFR 2641
• USDA EI 00-1, Participation in Non-Federal
  Organizations
• USDA EI 04-2, Adjunct Professors

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• Impact of 2002 Farm Bill
• Demands greater transparency
• Employees must avoid
• Conflicts of interests
• Loss of impartiality
• Use of non-public information
• Prohibited
• Representation
• Lobbying
• Political Activity
• Etc.

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Warm Up

• Can an employee be the NRCS liaison to an
  organization if
• Officer or member of the board of directors?
• Committee or subcommittee chairperson?
• Leading an activity for the organization?
• Member?

No No No Yes

• A Board Members asks the Liaison if she might
  consider working for them when she retires --
• Does this have any affect now?

Yes

• NRCS employee handles district or Council funds?
• Problem?

Yes
Except for SARE and Rural Development
Councils Except if member of Conservation
District or association.
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Assessment to the Under Secretary
B. FACTORS 1. Risk Assessment NRCS
Initial Assessment High Current
Assessment Moderately High
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NRCS Initial Assessment Risk Assessment.
High. The NRCS program addresses a wide array of
ethics issues, many of which are complex, and
often involve OGC (e.g., agency gifts and other
efforts to supplement agency appropriations
official fundraising relationships with State
Resource Conservation Districts service on
boards of non-Federal entities employee
participation in NRCS programs dual
compensation relations between NRCS scientists
and universities professional and scientific
association participation and outsourcing).
Employees of NRCS are an active, independent, and
largely decentralized population . Visibility
can be high on the local level. Hence, the
ethics risks are much higher than in most mission
areas.
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Assessment to the Under Secretary

• Chief Knight
• Personally met with the Director, Office of
  Ethics
• Agreed to implement recommended safeguards
• Successfully negotiated for a lower risk
  assessment

• Senior employees are responsible for compliance
  with agreed-to-items.
• You are responsible for acting within ethics
  guidelines.

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Grade for Risk Assessment downgraded to
Moderately High.
While the ethics risks for NRCS employees were
rated as High, Chief Knight has committed to a
number of actions that have the potential for
reducing those risks. One area of particular
concern has been the involvement of NRCS
employees in partnering agreements.
Traditionally, there has been a risk (not just in
terms of NRCS partnerships) for agency employees
to become so active in supporting the partnership
that they become, essentially, agents of the
partners. NRCS is an agency that partners
aggressively.
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Grade for Risk Assessment downgraded to
Moderately High. (continued)
Based upon our assessment, Chief Knight requested
that OE review all new and renewed NRCS
partnership agreements to ensure that the
document makes clear both to participating
employees and to partnering organizations where
the lines of loyalty run. Other discussions with
Chief Knight have concerned the relationships
between NRCS... and universities .
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Grade for Risk Assessment downgraded to
Moderately High. (continued)
The Chief is quite open to whatever reasonable
means are devised to ensure that these activities
do not result in inordinate ethics risks. To
that end, OE and OGC are working on issuances
designed to provide practical guidance to
employees on those issues. Accordingly, given
the Chiefs assertive involvement, we believe
that the NRCS Risk Assessment can be lowered to
Moderately High.
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• There are restrictions on
• Who can be the NRCS Liaison
• What an NRCS Liaison can do

• Partner
• For-profit or Non-profit
• University or Other non-Federal organization
• Agreement or MOU
• IPA
• Etc.

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Liaison Designation Form (Workbook)

• For Liaison to a non-Federal Entity
• Issued by a senior official
• Protects NRCS
• Assists the Liaison to understand key dos and
  donts

Includes all RCD Coordinators (NRCS
employees). Generally does not include
DCs. Division Directors and Above, RAC or STC
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Communicates Restrictions and Where Lines of
Loyalty Must Run
During your service as Agency Liaison, you are,
at all times, to act as a representative solely
of the interests of the Agency and the United
States you shall not (1) serve as an officer,
board member, or employee, or (2) act as agent or
representative, of the Association. Your service
as Agency Liaison is to conform to the
requirements of 18 U.S.C. 201-209 and to the
Standards of Ethical Conduct for Employees of the
Executive Branch, 5 C.F.R. part 2635.

• Liaisons must
• Avoid conflicting interests
• Be clear about lines of loyal
• Avoid prohibited activity

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The list of rules that restrict relations and
activities with non-Federals is actually much
longer.
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Ethics Rules Affect Relations with Non-Federal
Organizations

• Conflicts of Interests
• Impartiality
• Misuse of Position
• Prohibited Representation
• Dual Compensation
• Lobbying
• Hatch Act
• Fundraising
• Adjunct Professors
• Outside Awards
• Travel Assistance

• Outside Employment
• Seeking Employment
• Gifts from Outside Sources
• Agency Gifts
• Door Prizes at Conferences
• Teaching, Speaking and Writing
• Participation in Non-Federal Organizations
• Relations Between Scientists etc. and
  Universities
• Appropriations Law
• Outsourcing
• Emoluments Provision

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Time permitting, or take on AgLearn.
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The NRCS Liaison must not

• Vote on matters before the Association Board of
  Directors
• Serve on committees or task groups unrelated to
  the purpose statement for your service as
  Agency Liaison in the Liaison Assignment letter.
• Participate in issues related solely to the
  business or internal interests of the Association
  (e.g., finances, fundraising, membership, etc.)

Except for SARE and Rural Development Councils
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The NRCS Liaison must not (continued)

• Engage in lobbying efforts or representation of
  the Associations interests before the Federal
  Government
• This does not preclude presenting to the Agency
  the positions or views of the Association on
  matters directly related to the interests of the
  Agency being served through your service as
  Agency Liaison
• Actively participate in Association activities in
  your personal capacity unless you receive written
  ethics clearance to do so
• Does not preclude membership however, refrain
  from active participation (e.g., fundraising,
  holding office or board membership, employment,
  committee activities, lobbying, etc.).
• Supervise their employees

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What should you do? 1. A Deputy Chief asks you
to be the Liaison to the Society for Range
Management. You have always been interested in
that organization. Since your spouse became a
member of its Board of Directors last year, you
have learned a lot more about its mission and
role in TSP.
Answer Disqualify. You can not be the
Liaison. Or if spouse will resign from the
Board, still disqualify. At some point, NRCS may
determine you can begin serving as the Liaison.
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What should you do? 2. You have been a member of
SWCS for years. You used to be more active, even
serving as Chair of the Conference Committee in
past years. In recent years, however, you have
been willing to serve on a few committees but not
accepted the responsibility of being a committee
or subcommittee chairperson. The STC asks you to
work with SWCS to coordinate matters dealing with
the Agencys involvement with their upcoming
training conference, including the list of
employees to be approved to attend.
Answer You can accept the assignment.
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Ethics Provision for Agreements Handout
Relationship to Liaison Issue

• Required in all MOUs and Agreements where money
  or personnel are exchanged.
• A Liaison Assignment letter must also be issued
  to any employee named in an Agreement or MOU

Required for Ethics Clearance
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Cooperative Agreement Provision
Example Employees of NRCS shall participate in
efforts under this agreement solely as
representatives of the United States. To this
end, they shall not participate as directors,
officers, employees, or otherwise serve or hold
themselves out as representatives of, NARCDC, or
any member RCDCs. They also shall not assist
NARCDC, or any member RCDCs with efforts to
lobby Congress, or to raise money through
fundraising efforts. Further, NRCS employees
shall report to their immediate supervisor any
negotiations with NARCDC, or any member RCDC,
concerning future employment and shall refrain
from participation in efforts regarding such
party until approved by the agency.
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• Part 2 How to Avoid Conflicting Interests
• Participation in Non-Federal Organizations
• Employee Interest in NRCS Programs

Conflicting Interests Include
Actual conflicts of interests Loss of
impartiality
Prohibited representation Misuse of
position Endorsement Use of non-public
information Unauthorized use of Government
equipment
Actual or apparent
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Conflicting Interests
Simplified

• Employee may 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

Prohibition also applies if someone with whom
the employee has certain personal or business
relations has an interest in the matter.
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• Interests that Trigger Disqualification
  Requirement

• 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 the spouse, parent or
  dependent child is an employee, officer,
  director, consultant, contractor, agent, etc

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Disqualification is required

• Under COI provision
• Under Impartiality provision

• 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
  employees impartiality

Reputation is not a valid consideration
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• You may not

Therefore

• Can you be the Liaison if
• an officer, board member, trustee?
• committee or subcommittee chairperson?
• spouse of an employee or officer?
• parent of employee?
• general partner of an officer or employee?
• have an easement or other contract?
• member

Work for NRCS on a particular matter involving a
specific party if you have an outside interest
N N N N N N Y
unless written waiver from DCH MGT

• Except for SARE and Rural Development
  Councils.
• Except member of a conservation district or
  association.

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Disqualification
Not requiredif clerical work

• Required to avoid conflicting interests
• Responsibility of the employee
• Responsibility of STC if he/she knows of COI

• Impact is on NRCS duties, not outside activity

• Employee must
• Disqualify
• Notify supervisor
• Notify coworkers also are working on matter
• Not required in writing, but should document

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When Liaison Must DisqualifyManagement Options

• Appoint different employee to serve as Liaison
• If employee elects to divest
• Allow employee to continue as Liaison after
  divesture
• Or, continue disqualification up to one-year.
• If the appointing official thinks
  disqualification is not required or should be
  waived, request a determination from the DCH
  Mgt.
• Substantial Conflict Determination, as
  appropriate

See 5 CFR 2635.403(b)
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NRCS Options Substantial Conflict Determination

• Allows NRCS to prohibit an individual employee
  from having a financial interest under limited
  circumstances.

• Use only if
• Employees ability to perform the duties of the
  position would be materially impaired, or
• It adversely affects efficient accomplishment of
  the agencys mission because another employee
  cannot be readily assigned to perform the work

See 5 CFR 2635.403(b)
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Substantial Conflict Determination (continued)

• Impact is on outside interest
• ?Employee ? Spouse ? Minor child

• Delegated Authority

• DCH MGT
• Exception STC has authority if interest is due
  to participation in an NRCS programs

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• Situation Spouse is on board of non-Federal
  entity
• Employee must disqualify from Liaison duties.
• Example 1 -- RCD Coordinator must disqualify
  and not work on particular matter in which the
  Council has an interest if the spouse works for
  the Council.
• STC can request a substantial conflict of
  interest determination from the DCH MGT.

• Example 2 -- State Agronomist must disqualify
  from being Liaison to the American Society of
  Agronomy because her father works for them.
• Not possible to issue a substantial conflict of
  interest determination in this case.

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STC Authority and Options (continued)
Substantial Conflict Determination

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

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• Conflicting Interests Requiring Disqualification

covered

• Actual conflicts of interests
• Loss of impartiality

Other Rules Against Conflicting Interests
next

• Misuse of position
• Prohibited representation
• Dual Compensation

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Misuse of Position

• 5 CFR 2635 Subpart G

Employees may not use office for private gain

• Prohibits
• Endorsements
• Use of non-public information
• Unauthorized use of Government equipment
• Misuse of title, time, authority or position
• and more...

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.
Title 110 General Manual
405.135 Personal v. Official Participation in
Non-Federal Organizations - Quick Reference
Flowchart

• Use NRCS
• Title
• Travel
• Time
• Equipment

No
Personal
Official
Yes
No
Yes
Yes
No
No
Board Member
NRCS Liaison
Yes
NA

• 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) 405.N.135-1 No
vember 2003
Next
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• Yes or No?
• May Federal employees

• Perform the duties as an officer of a non-Federal
  organization as official business?
• Perform the duties as an officer of a non-Federal
  organization on official time?
• Perform the duties of committee chairperson of a
  non-Federal organization on official time?
• Help with a partnership auction in an official
  capacity?
• Conduct personal business on official time?

N N N N N
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Prohibited Representation

• Prohibits representation of another person or
  legal entity with intent to influence
• Does not prohibit representation of oneself.

Slide 40
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Prohibited Representation
18 USC 203
Employees may not represent another to the
Government for compensation .

• Prohibits communication on behalf of another on
  a matter in which Government has an interest
• Prohibits behind-the-scenes assistance for
  compensation

with intent to influence
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Prohibited Representation (continued)
18 USC 205
Employees may not represent another to the
Government without compensation .

• Prohibits communication on behalf of another
  with intent to influence on matter in which
  Government has an interest
• Does not prohibit behind the scenes assistance
  provided no compensation is received

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Simplified
Prohibited Representation

• Not personally 18 USC 203 205
• Not officially 18 USC 208

Slide 43
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Prohibition Against Representation (continued)

• Applies to all employees
• Applies whether serving under

• Agreement
• MOU
• IPA (detail or LWOP)

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Prohibited Representation

• Official
• RCD Coordinator assists the Council to write a
  proposal the Council will submit for an EPA
  grant.
• Coordinator must not present proposal, or be
  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.)

Slide 45
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Prohibited Representation
Limited Exceptions . . . provided no compensation
No exceptions when dealing with contracts,
agreements, grants, etc., that would provide
Federal funds to these organizations.
Slide 46
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No exceptions when dealing with contracts, etc.
Prohibited Representation

• Example
• The State Office wants to use a room the
  Organization has at the hotel to provide its own
  training. Who must not sign for the
  Organization?
• Organization President (employee)
• Organization Treasurer (employee)
• Organization Secretary (retired)

Must not Must not May
Slide 47
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Prohibited Representation
Representation of Indian Tribes
Slide 48
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Prohibited Representation (continued)

• Possible waiver
• In limited circumstances if the Agreement, MOU or
  IPA with NRCS specifically provides that the
  employees duties will include representation
  back to the Federal Government.

• Contact the NRCS Ethics Office for guidance.

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Dual Compensation
Example Can an employee accept a monetary award
from a Council or District for TA provided by the
Field Office?
No
Slide 50
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Effectively
How Can We Work With Partners While Working
Within These Constraints?
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Working With Partners
Meeting the Challenge

• An employee may not

• Provide Administrative Support for a non-Federal
  organization. Applies to all non-Federal
  organizations absent specific statutory
  authority.
• (including NRCS partners)

NRCS must continue appropriate support for
partnership activities

• Provide appropriate support in terms of
  accomplishing mission-related activities (in
  which NRCS is properly engaged) versus stating
  what we do in terms of support for the partner
  organization itself (with which we work to
  accomplish the activity.)

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Working With Partners
Meeting the Challenge

• An employee may not

• Appear to endorse a non-Federal organization,
  service or enterprise

Except for SARE and Rural Development Councils
NRCS must continue appropriate support for
partnership activities

• Focus support of mission related activity, not
  organizations.
• Provide support for mission related programs
  activities provided they meet agency established
  criteria.

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Working With Partners
Meeting the Challenge

• An employee may not

• Establish an agenda or conduct a meeting of one
  of a partner organization.

Except for SARE and Rural Development Councils
NRCS must continue appropriate support for
partnership activities

• NRCS employees should work with the District
  Chair or the RCD Council Chair to see the agenda
  addresses conservation concerns of NRCS but the
  final agenda is the responsibility of the outside
  organization.

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Working With Partners
Meeting the Challenge

• You may not

• Serve as officer of a non-Federal organization
  in official capacity

Result

• Employees may not use official time to
• Serve as an officer of a non-Fed Org
• Attend Board meetings as officer
• Conduct the internal business of a non-Fed Org
• Employees may not use official funds to
• Travel to Board meetings

Except for SARE and Rural Development Councils
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Working With Partners
Meeting the Challenge
Service on Boards

• Options include

• Serve in a personal capacity
• Can not travel at Govt expense
• Take AL
• RAC or DCH Mgt may allow Admin. Leave, as
  appropriate
• n/a if your Conservation District or association.
• Serve as the NRCS Liaison to the non-Fed
  Organizations Board Travel is on Govt time
  expense
• Requires designation by NRCS
• Not a member of the Board
• Can not vote

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• Working With Partners

• Providing appropriate support for partnership
  activities (contd)

Proper Roles with Conservation Districts

• Resources
• Ethics Rules and Training
• Program Manuals
• GM Title 180 Part 401-Subpart D, Relationship of
  NRCS Personnel to District Affairs
• RCD Program Manual
• TSP Guidance
• April 3, 2006 Reminder of the Proper Roles with
  Respect to Conservation Districts Dana D. York,
  Associate Chief, NRCS Robert K. Dobbs, Jr.,
  President, NCDEA Krysta Harden, Chief Executive
  Officer, NACD

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• Working With Partners

• Proper Roles with Districts (contd)

Official capacity -- April 3, 2006 reminder makes
clear employees may not, in their official
capacity

• make decisions regarding, or manage the funds of
  any conservation district or association
  employee
• be a member of any conservation district or
  association
• supervise or have supervisory authority over any
  conservation district or association employee, or
• otherwise get involved in administrative
  activities of any conservation district or
  association.

Personal capacity If employee is member,
discuss options (substantial conflict
determination, etc.) with NRCS Ethics Officer.
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• Working With Partners

• Providing appropriate support for partnership
  activities (contd)

Proper Roles with RCD Councils
Special Training for RCD Coordinators if
provided in the RCD Concepts Course.

• Technical leadership vs. supervision
• Technical leadership for grants vs. prohibited
  representation
• Grant facilitation vs. prohibited fundraising
• Etc.

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Employee Interest In NRCS Programs
See Separate Handout
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Next Part 3 Accepting Free Stuff
See Separate Handout
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Next Part 4 Fundraising
See Separate Handout
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Next Part 5 Lobbying and Political Activity
See Separate Handout
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2006 Liaison Training - WRReminder

• ALL Complete homework on AgLearn.
• State Leadership Team Document Liaison
  Assignments
• For more information
• Contact your SEA
• Additional Resources
• Ethics GM Title 110 Part 405
• NRCS Ethics Website www.nrcs.usda.gov/intranet/eth
  ics/
• USDA Ethics Training is on AgLearn
• USDA Ethics Website www.usda-ethics.net
• NRCS Ethics Office

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NRCS Ethics Office [phone]
Caryl Butcher NRCS Ethics Officer (301)
504-2207 Markci Metcalf. Ethics
Specialist [phone] Debbie
Griffin.. Ethics Assistant (301)
504-2202 Ginae Barnett.. Student
Intern [phone] BJ Scruggs is on
extended detail.
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Questions?