United States Department of Agriculture
Research, Education, and Economics

ARS * CSREES * ERS * NASS
Policies and Procedures

Table of Contents

1. References
2. Authority
3. Policy
4. Summary of Responsibilities
5. Glossary
Exhibit 1

1.    References

All non-Federal awards are subject to the review process contained in this P&P. For further information regarding agency-announced non-Federal awards and recognitions, refer to P&P 468.7.

For the receipt of awards and recognitions from any unit of foreign governmental authority, including any foreign National, State, local, and municipal government, or from any international or multinational organization whose membership is composed of any unit of foreign government; and any agency or representative of any unit or organization, refer to P&P 468.4.

For additional information on non-Federal award/gift acceptance and conflict-of-interest considerations, see the Standards of Ethical Conduct for Employees of the Executive Branch, Subpart B -- Gifts from Outside Sources.

2.    Authority

Executive Order 12674, as modified by Executive Order 12731

3.    Policy

It is the policy of REE to foster interest in non-Federal awards and recognitions and to recognize those employees who have been rewarded. Supervisors, managers, and employees are encouraged to participate in the non-Federal awards process. Employees, who are recipients of such awards or who are nominated, must avoid even the appearance of conflict of interest in the conduct of official duties. Employees may accept awards and recognitions, other than cash or an investment interest, with an aggregate market value of $200 or less in certain situations. These situations include presentation as a legitimate award or incident to a legitimate award that is given for (a) meritorious public service, (b) achievement by a person who does not have interests that may be substantially affected by the performance or nonperformance of the employee's official duties, or (c) by an association or other organization consisting of prohibited sources. Awards given in the above situations do not require formal review by an agency ethics official. However, gifts given in connection with awards and recognitions with an aggregate market value in excess of $200 and awards of cash or investment interests, such as bonds or stocks, do require formal review by an agency ethics official.

NOTE: Occasionally, funding for an award is provided by a prohibited source. Acceptance of these awards may meet compliance mandates when the ethics official finds the awardee is selected by an independent panel and the prohibited source relinquishes any authority in the selection process.

4.    Summary of Responsibilities

If a gift will be given in connection with (a) an award or recognition with an aggregate market value exceeding $200, or (b) an award of cash or investment interest (regardless of the dollar amount):

REE Awardee will:

• Prior to award acceptance, submit a completed Non-Federal Award Recipient Request (Form) to their Manager/Designated Area Ethics Advisor (DAEA) for review and determination for acceptance (see Exhibit 1). (The agency nominator or the awardee's immediate supervisor will complete forms for awards nominated and not announced to the awardee.)
  
  

Immediate Supervisor will:

• Assure all portions of the form are completed.
  
  
• Forward the form to the Manager/DAEA with a recommendation for approval or disapproval of award acceptance.

Manager/DAEA will:

• Encourage supervisors and employees to keep abreast of non-Federal awards and recognitions and nominate eligible candidates.
  
  
• Review the completed form and approve/disapprove award acceptance based on a conflict-of-interest review.
  
  
• Forward the form to the REE Ethics Advisor in the Human Resources Division (HRD) Employee Relations Branch (ERB), Administrative and Financial Management (AFM).

REE Ethics Advisor will:

• Review the completed form and concur/nonconcur with the determination of Manager/DAEA.
  
  
• Retain one copy of the form in the awardee's ethics file and one in the Ethics Office master awards file.
  
  
• Return the original form to the Manager/DAEA.

5.    Glossary

DAEA. ARS Designated Area Ethics Advisor (only applies to ARS). These individuals are Ethics Advisors who are responsible for administering the Ethics program within their Area. “Managers” provide this function for all other REE agencies.

Foreign Government. Any unit of foreign governmental authority, including any foreign National, State, local, and municipal government. Any international or multinational organization whose membership is composed of any unit of foreign government and any agency or representative of any such unit or organization.

Gift. Any gratuity, favor, discount, entertainment, hospitality, loan, forbearance, or other item having monetary value which is given in connection with an award or recognition. It includes services as well as gifts of training, transportation, local travel, lodgings and meals, whether provided in-kind, by purchase of a ticket, payment in advance, or reimbursement after the expense has been incurred.

Investment Interests. Stocks, bonds, and other investments.

Managers. REE Staff Officers/Directors and Division Directors.

Non-Federal Awards and Recognitions. Awards and recognitions granted by non-Federal entities such as professional, technical or trade groups, associations, or private foundations.

Prohibited Source. Any person who:

• is seeking official action by the employee's agency;
  
  
• does business or seeks to do business with the employee's agency;
  
  
• has interests that may be substantially affected by performance or non- performance of the employee's official duties; or
  
  
• belongs to an organization where a majority of members, as described above, are prohibited sources.

    /s/

W. G. HORNER
Deputy Administrator
Administrative and Financial Management                                        

Exhibit 1

        NON-FEDERAL AWARD RECIPIENT REQUEST     
(Provide All Attachments From Organization and Use Supplemental Sheets as Necessary)

Name of Awardee: ___________________________________

Area/Location/Division/Staff Office: _____________________

l. Name of awarding organization: _______________________

2. Purpose/mission of awarding organization:________________

3. Name of award and value: ____________________________

4. Is the awarding organization:     ( ) Profit Making?  ( ) Nonprofit/Professional?

5. Who are the members of the awarding organization? _____________________________ _________________________________________________________

6. Are they prohibited sources?  ( ) Yes   ( ) No

7. Is this an established awards program? ( ) Yes   ( ) No

8. How are the awards funded (where does the money come from)? _______ _____________________________________________________

    If award is funded by private industry, do they have authority to approve or disapprove recipient of award?

( ) Yes   ( ) No

9. Are other than Federal employees eligible?   ( ) Yes  ( ) No

l0. Who is eligible to nominate candidates? ___________________

ll. What are the nominating procedures? ______________________ _____________________________________

l2. Are the selection standards in writing?   ( ) Yes    ( ) No If so, provide a copy.

l3. Who is on the selection panel, and who appoints them? _______ ______________________________________________    

l4. Does the selection process require two levels of review? ______ ______________________________________________

l5. Who makes the final selection? ___________________

APPROVED ( )      DISAPPROVED ( )     CONCURRENCE:

_{_____________________________ _____ __________________ ______}
Designated Area Ethics Advisor/           Date   REE Ethics Advisor      Date
Manager