U.S. Office of Government Ethics
1201 New York Avenue, NW.
Suite 500
Washington, DC 20005-3917



					January 25, 2008
					DO-08-002


MEMORANDUM

TO:		Designated Agency Ethics Officials

FROM:		Robert I. Cusick
		Director

SUBJECT:	Seeking Additional Information from Nominee Filers


	On several recent occasions, questions have been raised 
about the extent to which the Office of Government Ethics (OGE) 
and agency reviewers should seek additional information to 
clarify inconsistencies, ambiguities, or possible omissions on a 
financial disclosure report (SF 278) submitted by a Presidential 
appointee whose position requires Senate confirmation (PAS 
filer).  The purpose of this memorandum is to confirm that 
reviewers should seek additional information from a PAS filer in 
any case where there may be a question about the adequacy of the 
report.

	The OGE regulations state that reviewers “need not audit 
the report to ascertain whether the disclosures are correct.  
Disclosures shall be taken at ‘face value’ as correct, unless 
there is a patent omission or ambiguity . . . ."  5 C.F.R. 
§ 2634.605(b)(2).  In addition, section 4.3 of the Public 
Financial Disclosure Reviewer’s Guide discusses when to obtain 
additional information from a public filer.  The Guide describes 
several “review assumptions” that a reviewer may make, 
principally when a reviewer is comparing a previously filed form 
with an annual or termination filing.

	Some agency reviewers have relied on these provisions as 
the bases for not seeking additional information from a 
PAS filer to explain individual entries or possible omissions on 
an SF 278.  These provisions, however, merely denote that a 
reviewer need not verify entries on an otherwise complete 
SF 278.  For example, if a filer lists certain stocks held in a 
brokerage account, a reviewer need not affirmatively question 
whether the values of all stocks listed are correct.  On the 
other hand, if a filer discloses that he is an officer or 
director of a large company and does not disclose any stock 
ownership in that company, a reviewer should ask whether all 
equity interests in the company have been listed.  Because 
officers and directors typically have stock or stock options in 
their employers, it is reasonable to surmise that the omission 
of such information may be an oversight.

	Moreover, when reviewing a PAS report, the highest level of 
scrutiny should apply.  Many nominees to PAS positions have 
extensive and complex financial holdings, and may be unsure how 
the holdings should be reported.  Often, PAS filers will rely on 
the agency reviewer for guidance through the filing process.  
Asking a few questions can help a PAS filer avoid embarrassment 
due to inadvertent filing errors.

	Accordingly, please err on the side of seeking 
clarification or additional information from a PAS filer if you 
have any doubts about the adequacy of a form submitted for 
review.  Thank you for your assistance.