U. S. OFFICE OF GOVERNMENT ETHICS
Fiscal Year 2008
Explanatory Notes
and
Annual Performance Plan
Prepared
for the
Committee on Appropriations
February 2007
February 4, 2008
The Honorable Robert Byrd
Chairman
Committee on Appropriations
U.S. Senate
The Capital, Room S-128
Washington, DC 20510-6025
The Honorable David R. Obey
Chairman
Committee on Appropriations
U.S. House of Representatives
The Capitol, Room H-218
Washington, DC 20515-6015
Dear Chairman Byrd and Chairman Obey:
I am pleased to transmit to you the Explanatory Notes and Annual Performance Plan of the Office of Government Ethics (OGE). The Explanatory Notes reflect funding for $13,000,000, and 80 full-time equivalents, as set forth in the President’s FY 2009 budget.
We will be pleased to discuss our request with representatives from your office. If you need additional information with regard to this request please contact Daniel D. Dunning, Deputy Director, Office of Administration and Information Resources Management, at 202-482-9203.
Sincerely,
/s/
Robert I. Cusick
Director
cc: (w/Encl.): The Honorable Richard J. Durbin
Chairman
Subcommittee on Financial Services
and General Government
Committee on Appropriations
U.S. Senate
184 Dirksen Senate Office Building
Washington, DC 20510
The Honorable Sam Brownback
Ranking Member
Subcommittee on Financial Services
and General Government
Committee on Appropriations
U.S. Senate
127 Dirksen Senate Office Building
Washington, DC 20510
The Honorable José Serrano
Chairman
Subcommittee on Financial Services
and General Government
Committee on Appropriations
U.S. House of Representatives
B-300, Rayburn House Office Building
Washington, DC 20515
The Honorable Ralph Regula
Ranking Member
Subcommittee on Financial Services
and General Government
Committee on Appropriations
U.S. House of Representatives
1016 Longworth House Office Building
Washington, DC 20515
The Honorable John Conyers, Jr.
Chairman
Committee on the Judiciary
U.S. House of Representatives
2138 Rayburn House Office Building
Washington, DC 20515
The Honorable Lamar S. Smith
Ranking Member
Committee on the Judiciary
U.S. House of Representatives
2142 Rayburn House Office Building
Washington, DC 20515
The Honorable Henry A. Waxman
Chairman
Committee on Oversight and
Government Reform
U.S. House of Representatives
2157 Rayburn House Office Building
Washington, DC 20515
The Honorable Thomas M. Davis, III
Ranking Member
Committee on Oversight and
Government Reform
U.S. House of Representatives
B-350A Rayburn House Office Building
Washington, DC 20515
The Honorable Joseph I. Lieberman
Chairman
Committee on Homeland Security
and Governmental Affairs
U.S. Senate
340 Dirksen Senate Office Building
Washington, DC 20510-6250
The Honorable Susan M. Collins
Ranking Member
Committee on Homeland Security
and Governmental Affairs
U.S. Senate
344 Dirksen Senate Office Building
Washington, DC 20510
OFFICE OF GOVERNMENT ETHICS OBJECT
CLASSIFICATION in (000’s)
2007 Actuals
11.1 Salaries $6,763
12.1 Civilian personnel benefits $1,663
21.0 Travel & Transportation/persons $100
22.0 Transportation of things $8
23.1 Rental payments to GSA $1,328
23.3 Communications, utilities, misc $20
24.0 Printing and Reproduction $48
25.2 Other Services $823
26.0 Supplies and materials $108
31.0 Equipment $109
Other Categories/CONV $89
99.0 Subtotal $11,059
99.0 Reimbursable $261___
99.9 Totals $11,320
2008 Appropriated
11.1 Salaries $7,430
12.1 Civilian personnel benefits $1,814
21.0 Travel & Transportation/persons $158
22.0 Transportation of things $5
23.1 Rental payments to GSA $1,341
23.3 Communications, utilities, misc $65
24.0 Printing and Reproduction $75
25.2 Other Services $695
26.0 Supplies and materials $75
31.0 Equipment $92
Other Categories/CONV $0
99.0 Subtotal $11,750
99.0 Reimbursable $400___
99.9 Totals $12,150
2009 Requested
11.1 Salaries $8,404
12.1 Civilian personnel benefits $2,020
21.0 Travel & Transportation/persons $158
22.0 Transportation of things $5
23.1 Rental payments to GSA $1,351
23.3 Communications, utilities, misc $65
24.0 Printing and Reproduction $75
25.2 Other Services $725
26.0 Supplies and materials $75
31.0 Equipment $122
Other Categories/CONV $0
99.0 Subtotal $13,000
99.0 Reimbursable $400___
99.9 Totals $13,400
OFFICE OF GOVERNMENT ETHICS RESOURCES BY OFFICE in (000's)
2007 ACTUALS
OFFICE: DIRECTOR
AMOUNT: $373
OFFICE: GENERAL COUNSEL & LEGAL POLICY
AMOUNT: $2,620
OFFICE: ADMINISTRATION & INFORMATION MANAGEMENT
AMOUNT: $2,983
OFFICE: AGENCY PROGRAMS
AMOUNT: $4,555
OFFICE: INTERNATIONAL ASSISTANCE & GOVERNANCE INITIATIVES
AMOUNT: $528
Totals $11,059
Reimbursable Obligations(ANNUAL ETHICS CONFERENCE) - $261
Total $11,320
FTE: 71
2008 APPROPRIATED
OFFICE: DIRECTOR
AMOUNT: $425
OFFICE: GENERAL COUNSEL & LEGAL POLICY
AMOUNT: $2,825
OFFICE: ADMINISTRATION & INFORMATION MANAGEMENT
AMOUNT: $3,080
OFFICE: AGENCY PROGRAMS
AMOUNT: $4,800
OFFICE: INTERNATIONAL ASSISTANCE & GOVERNANCE INITIATIVES
AMOUNT: $620
Totals $11,750
Reimbursable Obligations(ANNUAL ETHICS CONFERENCE) - $400
Total $12,150
FTE: 80
2009 REQUESTED
OFFICE: DIRECTOR
AMOUNT: $475
OFFICE: GENERAL COUNSEL & LEGAL POLICY
AMOUNT: $3,200
OFFICE: ADMINISTRATION & INFORMATION MANAGEMENT
AMOUNT: $3,325
OFFICE: AGENCY PROGRAMS
AMOUNT: $5,340
OFFICE: INTERNATIONAL ASSISTANCE & GOVERNANCE INITIATIVES
AMOUNT: $660
Totals $13,000
Reimbursable Obligations(ANNUAL ETHICS CONFERENCE) - $400
Total $13,400
FTE: 80
FY 2009 Explanatory Notes and
Performance Plan
Introduction
Public confidence in the integrity of Government
is one of the keys to the success of our democratic system. The mission of the Office of Government
Ethics (OGE) is directly linked to strengthening that confidence by fostering
high ethical standards for executive branch employees and by ensuring that the
Government’s business is conducted with impartiality and integrity.
OGE’s budget request for FY 2009 of $13,000,000
will allow it to fulfill its role during a critical period for our Government:
assisting the smooth transition to a new Presidential Administration. This period traditionally is one of peak
activity for OGE. During this time, OGE
focuses its efforts on helping to review the incoming Administration’s nominees
for conflicts of interest, advising new and outgoing employees of their ethics
obligations, and training ethics officials in executive branch agencies on the
skills they will need to meet their responsibilities.
Highlights
for FY 2007
FY 2007 was the first year of
OGE’s new five-year Strategic Plan. Last
year’s budget document outlined how OGE would meet those new objectives during
the first two years of that Plan. OGE
announced that it would undertake initiatives to support three main priorities
in FY 2007 and FY 2008, and OGE made substantial progress during FY 2007 in all
three areas:
The successful planning and
delivery of the 15th National Government Ethics Conference (National
Conference) was another significant undertaking for OGE in FY 2007. The conference’s agenda provided a major
opportunity to address OGE’s priorities. The National Conference was comprised of workshops organized into six
themed tracks, with one track devoted to emerging issues. The track included several workshops on contractor
ethics issues. Another track focused on
preparing for the next transition and offered sessions on topics such as
reviewing nominee financial disclosure reports and what ethics officials need
to know about the transition process. At
the National Conference, OGE’s Director introduced a Leadership Initiative to
the ethics community. This effort was
initiated in FY 2007 to engage the leadership of Federal departments and
agencies in developing and supporting an ethical culture in the executive
branch.
Finally, in FY 2007, OGE played
an important role in the
Priorities
for FY 2008 and FY 2009
OGE’s priorities for FY 2008 and FY 2009
are described in detail in the FY 2009 performance plan set out below. They reflect the upcoming two years of
activities that will move OGE toward achieving the goals in the second and
third years of its five-year strategic plan. These goals are: (1) strengthening the ethical culture within
the executive branch, (2) preventing conflicts of interest, and (3) promoting
good governance. Under the Director’s
leadership, OGE plans to undertake a variety of initiatives to support the
following three key priorities in FY 2008 and FY 2009:
·
Assisting in the transition to a new
Administration. This will be OGE’s primary focus during this
timeframe. OGE plans to complete the actions contained in its comprehensive
transition plan in FY 2008 and early FY 2009, to prepare itself and ethics
officials in the executive branch agencies to handle the anticipated surge in
public and confidential financial disclosure reports during the transition as
well as the ethics issues faced by outgoing and incoming Administration
officials. OGE intends to finalize new
rules such as those on post-employment restrictions and blind trusts, issue
additional guidance for ethics officials on key topics, and provide training
for reviewers of nominee reports. A
·
Engaging agency leadership in developing and
supporting an ethical culture. OGE will continue its efforts to meet with
agency leaders to raise awareness of the importance and needs of agency ethics
programs. OGE will also use its program
reviews to identify model practices for use by other agencies, and to identify
how agency leaders can support their ethics officials in moving beyond a
program of basic compliance with ethics requirements. OGE will also develop a training program on
ethical leadership specifically for agency leaders and will prepare ethics
materials for the many new appointees who enter the Government as part of the
incoming Administration in FY 2009.
·
Using technology to improve the delivery of
ethics services, information, and materials. If resources permit, OGE
plans to increase its use of technology to deliver training to ethics officials
through such means as web-based seminars, CD-ROMs, and videos in FY 2009. Although these mechanisms will never replace
face-to-face training, they will allow OGE to reach a wider audience in a
cost-effective manner, particularly during a period in which many new ethics
officials will come on board as part of the new Administration.
FY 2009 Budget Request Overview
OGE’s
total budget request for FY 2009 is $13,000,000. This funding level will allow OGE to add
needed staff for the upcoming Presidential transition, a critical period for OGE
during which its workload will be substantially increased. OGE’s request will permit it to handle the
expected surge in nominee financial disclosure reports filed by the incoming
President’s nominees for high-level positions requiring Senate
confirmation. It also will enable OGE to
provide the necessary training and guidance for new and experienced ethics
officials so that they will be able to handle the ethics issues that arise
during the transition period.
FY 2007 Results
Strategic Goal One: Strengthening Ethical
Culture Within the Executive Branch
Objective 1.1: Improving the Effectiveness of
Ethics Policy
In FY 2007, OGE began to prepare for the
Presidential transition that will take place in FY 2008 and FY 2009. As an initial step, OGE developed a
comprehensive plan for identifying and updating guidance relevant to the
transition, including guidance for officials leaving the current
Administration. OGE’s first new policy
memorandum in support of this goal addressed the issue of whether, and under
what circumstances, an executive branch employee may assist someone in seeking
a job in the private sector. During FY
2007, OGE also began the process of training its newer employees on topics that
are particularly relevant to the transition, such as the rules applicable to
seeking employment and post-employment activities and financial disclosure.
As part of OGE’s effort to continually review
and update policy guidance for ethics officials, OGE published a number of
comprehensive memoranda providing advice on key questions. These memoranda, which are provided to agency
ethics officials and are available to the public on OGE’s website, discussed
issues such as the ethics rules that apply to detailees under the
Intergovernmental Personnel Act, gifts of admission to events, and Government
employees asked to serve as expert witnesses. The memoranda also provided guidance on issuing conflict of interest
waivers to employees, counting days of service for special Government
employees, and determining what is a “matter” for purposes of the ethics
rules. In FY 2007, 93 percent of ethics
officials surveyed said that OGE policy guidance was useful.
One of the emerging issues in which OGE has
been active is the area of contractor ethics. Because an increasing number of contractor employees are assigned to
work in Federal buildings alongside Federal employees, ethics issues that arise
from working in such close proximity continue to raise concerns. In January 2007, the Acquisition Advisory
Panel released its final report on Federal contracting to the OMB and
Congress. The report adopted several
recommendations by OGE regarding the need for executive branchwide ethics rules
on contractors in the Federal workplace.
In a related development, OGE submitted
comments on proposed rules prepared by the Federal Acquisition Regulatory Council that would establish certain
ethics requirements for Federal contractor employees. OGE also advised the Government
Accountability Office (GAO) on its inquiry into ethics issues involving
contractors in the Department of Defense. In addition, OGE launched an online training course specifically for
contractor employees. The course is
designed to inform contractors about the rules that apply to Government
employees and to alert contractor employees to avoid conduct that might trigger
an inadvertent ethics violation.
Another emerging ethics issue addressed by
OGE in FY 2007 was the impact of alternative pay systems on financial
disclosure requirements. OGE previously
had conducted a survey of agencies that have implemented non-standard pay
systems (e.g., other than the GS or SES systems) to determine how the agencies
were deciding who was required to file a public financial disclosure
report. OGE determined that, generally,
agencies were adequately addressing financial disclosure, and OGE issued advice
to assist those agencies who were still dealing with the issue. OGE exceeded
its FY 2007 goal for the percentage of ethics officials who rate OGE as
responsive to emerging ethics program issues.
In addition, since January 2007, Congress has
considered several pieces of legislation affecting Government ethics laws. OGE has closely tracked the development of
these proposals and has provided technical assistance regarding the impact of
these proposals on the existing executive branch program. OGE also has responded to Congressional and
OMB requests for comment on draft bills, legislation, bill reports and
testimony. Specifically, OGE timely completed 169 OMB requests for review and
comment in FY 2007 with OGE’s comments on direct ethics issues incorporated 97
percent of the time. This represents a
48 percent increase in the number of requests for review over FY 2006 (114) and
a 31 percent increase over FY 2005 (129). The percentage of OGE’s comments incorporated on direct ethics issues
also increased from 89 percent in FY 2005 and FY 2006 to 97 percent in FY 2007.
Objective
1.2: Enhance Assistance to and Oversight of Agency Ethics Programs
In March 2007 OGE hosted its National
Conference, providing a major opportunity to address OGE’s priorities. Almost
600 ethics officials from 85 agencies or components of executive branch
departments located at headquarters and regional offices, participated in the
three-and-a-half day conference. In
addition, representatives from the Inspector General (IG) community and civil
society organizations participated. National Conference participants attended workshops organized into six
themed tracks, including tracks devoted to leadership, emerging issues, and
preparation for the Presidential transition following the general election in
November 2008.
For the first time, all conference materials
were available in electronic format and distributed to participants on flash
drives, thus enabling participants to refer easily to the information after the
conference and providing an archive for future course development.
At the National Conference OGE launched two
initiatives, both developed by OGE in FY 2007. The “Leadership Initiative” focused on the critical role of high-level
agency leadership in promoting an ethical culture. The “Compliance Plus” initiative focused on
ensuring integrity in Government decision making processes and the overall
fostering of public confidence in Government. Under “Compliance Plus” an
ethical culture is created by emphasizing the need for agencies to maintain
effective ethics programs by establishing and meeting goals beyond minimum
compliance with statutory and regulatory requirements. The initiatives were created as a result of
close coordination with the ethics community. OGE’s Director introduced the
Leadership Initiative in the conference’s keynote address.
Because leadership support is a critical
component of a successful agency ethics program, OGE is committed to raising
the level of discourse between the leadership of executive branch agencies and
the ethics community. As part of the
Leadership Initiative, OGE developed and provided to agencies suggestions for
concrete actions that can be implemented at the leadership level to enhance
agency ethics programs.
The Compliance Plus approach enhances OGE’s
program review process by emphasizing the goal of identifying and sharing model
practices. Model practices serve to improve the processes and systems necessary
to achieve compliance requirements, thus freeing up ethics program resources. Model practices assist ethics officials in
setting comprehensive performance targets for their programs. As emphasized under “Compliance Plus,” an
ethics program that strives only to meet the basic requirements is missing an
opportunity to more fully advance agencies overall ethical culture. The
approach also encourages cooperative work among ethics offices to establish
benchmarks over time to facilitate program assessments.
OGE took additional steps to leverage the
resources of the ethics community. First, OGE convened various focus groups to discuss its Leadership Initiative
and to promote wider access to and use of training products that received
awards at the National Conference. Second, OGE instituted lunch-time forums to focus on the emerging issue
of the upcoming transition and enhance program management. Third, OGE continued to forge a stronger
relationship with regional ethics officials and the IG community by including
topics of interest to them in the conference agenda.
OGE also focused on Presidential transition
issues as part of its efforts to enhance assistance to agency ethics officials
in FY 2007. For example, OGE offered a
presentation at its National Conference on book deals by executive branch
officials. OGE expects to issue written
guidance on this topic in FY 2008. In
FY 2007, OGE also began training additional staff to review financial
disclosure reports. This action was
taken in anticipation of a significant surge in the volume of reports filed by
Presidential nominees for positions requiring Senate confirmation during the
Presidential transition following the general election in November 2008. The National Conference also included an OGE
presentation urging executive branch agencies to begin preparations for this
upcoming Presidential transition by training additional reviewers of financial
disclosures.
OGE worked on several issues in connection
with tax matters related to ethics programs. In order to assist executive branch agencies in requesting Certificates
of Divestiture (which allow employees to defer capital gains taxes on assets
they are required to divest), OGE issued a DAEOgram describing the processing
of such requests and developed a draft recommended format for requests. OGE provided technical advice to officials
from the Supreme Court and the Administrative Office of the United States
Courts regarding draft rules they had created to implement a newly authorized
judicial branch program for Certificates of Divestiture. OGE also worked with officials of the
Internal Revenue Service (IRS) to develop IRS regulations regarding the tax
treatment of accelerated payments under deferred compensation plans pursuant to
26 U.S.C. § 409A, when such payments are accelerated as a means
of complying with Governmental ethics requirements.
In FY 2007, OGE also continued to provide
strong liaison services to ethics officials in executive branch departments and
agencies through the OGE desk officer program and the random call desk. Desk officers delivered timely, accurate, and
consistent guidance to executive branch ethics officials on a wide range of
ethics issues, from answering questions about conflicts of interest and other
ethics rules to identifying model practices and programs in other agencies and
offering suggestions for improving program operations. In addition, numerous
complex legal and policy questions were answered by OGE attorneys. OGE also continued its efforts to enhance
individual agency programs and the ethics community as a whole through its
identification, development and dissemination of model practices.
OGE provided quality ethics education and
training to over one thousand agency ethics officials in FY 2007, in addition
to the training provided during the National Conference. To measure the
effectiveness of the training, OGE administered an assessment tool during the
training. The results: 100 percent of responding ethics officials indicated
that their knowledge of, and ability to apply, ethics laws and rules increased
as a result of the training they received. Using feedback provided by
ethics officials who attended OGE training and from the instructors, as well as
observations made by the instructional designers, OGE revised certain courses
to ensure that they are up-to-date and effective. To further ensure the accuracy and quality of
its products, OGE expanded the formal internal review and approval process for
course materials. OGE also developed
numerous job aids -- e.g., flow charts, timelines, and summaries -- to help
ethics officials perform their jobs. Copies of these job aids were distributed to ethics officials either as
part of ethics training or upon request.
In FY 2007, OGE launched a new award program
to recognize agency educational achievements, and invited ethics officials to
submit their best training products. OGE
selected the 10 most effective agency ethics training programs, from more than
60 entries, and met with representatives of the agencies that developed the
products to discuss how to leverage the programs for use by all executive
branch agencies.
OGE conducted onsite reviews of 24 ethics
programs at executive branch departments and agencies in order to:
(1) identify and report on strengths and weaknesses of the programs; (2)
make specific recommendations for program enhancements; (3) provide
technical assistance to agencies; (4) identify and share model practices;
(5) provide guidance on correcting deficiencies and implementing specific
recommendations and suggestions; and (6) promote the goal of reaching
beyond mere compliance with regulatory standards. OGE’s program reviews continued to emphasize
the importance of having written procedures for following up with delinquent
financial disclosure filers. OGE also
conducted six-month follow-up reviews to address recommendations and
suggestions made in its reports. Through
discussions with ethics officials and examination of relevant documentation,
OGE determines whether appropriate practices and procedures are in place to
provide reasonable assurances that the identified program weaknesses are
appropriately addressed.
OGE completed a special project at the
Federal Emergency Management Agency (FEMA) providing the Department of Homeland
Security, FEMA and OGE leadership with suggestions to enhance the overall
effectiveness of the FEMA ethics program. The project arose from FEMA’s
interest in working informally with OGE to examine and improve its program
outside the structure of routine onsite review.
OGE administered surveys to evaluate agency
ethics programs and establish baseline data for OGE’s FY 2007-2011 strategic
plan. OGE developed and used a newly
designed survey -- administered to ethics officials throughout the
approximately 130 departments and agencies of the executive branch -- to assess
the effectiveness of the services and support provided by OGE and to help
establish benchmarks for performance measures defined in the strategic plan.
OGE also administered surveys to measure employees' perceptions of their
agencies’ ethical culture and ethics program.
Objective 1.3: Increase
Employee Awareness of Their Ethics Responsibilities
OGE finalized improvements to the
confidential financial disclosure reporting system in FY 2007. OGE issued a new reporting form to be used by
approximately 300,000 employees. The
form was designed to be completed electronically, although paper submission is
still required. OGE implemented changes
in the system that included a new reporting date (February 15) and a new
reporting period (calendar year), as well as streamlined reporting requirements. OGE launched an online training course for
confidential filers to acquaint them with the new reporting requirements and
form, and provided a set of Frequently Asked Questions (FAQs) that confidential
filers can access through the OGE website. OGE has received strong positive feedback from ethics officials on the
improvements in this form. The FAQs were
also one of the website’s most frequently viewed sections.
As exemplified by the training materials
related to financial disclosure, OGE plays an important role in preparing
training materials that can either be used by agencies as issued or modified
for agency-specific needs. While
individual departments and agencies prepare much of the training information
distributed to their staffs, OGE-produced materials reduce the time and
resources that agencies would otherwise have to spend in producing their own
training. For example, in support of
OGE’s efforts to emphasize ethics issues that result from the Government’s
increasing use of contractors, OGE issued: (1) a brochure that outlines
ethics rules for Government employees who are primarily involved in contracting
and procurement activities, and (2) an online training course for
Government employees who work with contractors on a frequent basis. OGE launched another online course that
explains how the ethics rules apply to special Government employees (SGEs)
(i.e., temporary or intermittent employees who work for 130 days or less). This course is expected to be particularly
useful to members of Federal advisory committees.
OGE expanded its use of low-cost technology
to deliver ethics training and information to Federal employees and ethics
officials in FY 2007. Many of its
training products are available on its website. Here are some creative ways OGE presented ethics information in FY 2007,
in addition to the web‑based courses described above:
Objective
1.4: Increase OGE’s Focus on Senior Officials’ Roles in Implementing Ethics
Program
OGE's Director introduced the Leadership
Initiative to the broader ethics community at the National Conference. The initiative provides agency leaders with
suggestions for concrete actions that they can implement to fulfill their ethics
responsibilities. Leadership support is
a critical component of a successful agency ethics program. OGE is committed to
raising the level of discourse between the leadership of executive branch
agencies and the ethics community. To
achieve this goal, OGE consulted with several sources to identify specific
steps that agency leaders could institute to promote an ethical culture, and to
support an agency’s ethics program. OGE
worked closely with the Department of the Interior, which developed a
comprehensive program to ensure compliance with regulatory requirements and to
underscore their Secretary’s commitment to establishing an ethical culture
throughout the Department.
The theme was
further reinforced by the Secretary of the Department of the Interior, who was
a keynote speaker at OGE’s National Conference. The leadership theme also was
interwoven into all of the presentation streams of the conference. The Leadership Initiative continued after the
conference with a series of working groups of ethics officials to discuss
strategies to engage agency leadership and implement effective leadership
actions.
OGE instituted a practice of inviting
agency leadership to meet with OGE’s leadership in connection with ethics
program reviews. In addition to promoting
the importance of the ethics program, this practice serves to help ensure
personal commitment to the program by agency leadership as well as to define
and allocate sufficient agency resources for the program. OGE’S Director met with several high-level
agency leaders, including the Secretaries or other top officials of
cabinet-level and other executive branch agencies that were scheduled for
onsite reviews in FY 2007: the
Department of Agriculture, the Department of Education, the Department of the
Interior, the Federal Trade Commission and the Pension Benefits Guaranty
Corporation. As a result, several
agencies have implemented or are developing plans to improve their ethics
programs. These improvements include
ensuring the ethics programs are optimally located within the organizational
hierarchy to most effectively carry out agency ethics responsibilities. Restructuring of the ethics program has
resulted in a direct reflection of commitment of the organizations leadership
to the ethics program objectives.
Strategic Goal Two: Preventing Conflicts of
Interest
Objective
2.1: Enhance Assistance to the President and Congress in the Presidential
Appointment Process
In preparation for the
Presidential transition, OGE began assessing the training needs of individual
agencies on the review of public financial disclosure reports. In the course of reviewing nominee reports in
FY 2007, OGE scrutinized the work of agency ethics officials and met internally
to discuss the issues that were arising in the course of these reviews. Also, OGE’s financial disclosure team and
program reviewers met to discuss specific issues with agency programs in
connection with the review of financial disclosure reports. Based on this assessment, OGE will continue
in FY 2008 to provide agency reviewers with guidance and instruction that will
improve their review of public financial disclosure reports.
During FY 2007, OGE reviewed and certified
252 financial disclosure reports submitted by nominees to positions requiring
Senate conformation. In addition, OGE
worked more closely with ethics officials to provide guidance on ethics
agreements for nominees to resolve the nominees’ potential conflicts of
interest. Heightened scrutiny of the
quality of these ethics agreements increased the emphasis on resolving
conflicts prospectively. In order to
build the skills of agency ethics officials, OGE contacted agency ethics
officials directly to explain and negotiate changes to their nominees’ ethics agreements. In FY 2007, 98 percent of filers complied
with their ethics agreements within the required time frame.
OGE also has developed draft written guidance
on ethics agreements as a supplement to OGE’s financial disclosure guidance
manual, Financial Disclosure: A
Reviewer’s Reference. OGE will issue
a final version of this guidance in FY 2008.
In addition, several presentations at OGE’s
National Conference addressed both technical disclosure issues and substantive
conflicts issues related to nominee financial disclosure. OGE also conducted training for new financial
disclosure reviewers in
In OGE’s FY 2008 budget request, OGE
indicated that it intended to convert its Financial
Disclosure: A Reviewer’s Reference to a primarily electronic format so that
it could be timely updated to respond to emerging trends in financial
arrangements. The guide is currently
available on OGE’s website in HTML and PDF versions. OGE had planned in FY 2007 to convert this
document to a new format that would be easier to update. However, OGE lacked the financial resources
to accomplish the technological steps necessary to complete this task.
OGE submitted a proposed regulation on
qualified blind trusts and qualified diversified trusts to DOJ and OPM for
review. This proposed regulation revises
existing regulations in order to clarify the process for establishing such
trust instruments. OGE had hoped to
issue the proposed regulation in FY 2007, but a staffing shortage in 2007
delayed its issuance. After the review
process is completed, OGE will adopt a final regulation on its trust program
before the beginning of the Presidential transition.
In FY 2007, OMB informed OGE that its request to undertake an OMB-sanctioned e‑Gov Initiative for the development of an electronic system for financial disclosure reports in the executive branch would not be approved. OGE considered the possibility of attempting to manage an informal non-OMB sanctioned e‑Gov Initiative, but rejected that approach because OGE has neither the finances nor staff resources to oversee such a challenging effort of a strictly voluntary nature without definite funding sources. Alternatively, OGE decided to allow each agency to undertake its own development of an electronic filing process to use with either the public (Standard Form (SF) 278) or confidential (OGE Form 450) reporting system
Even though each department or agency will decide its own progression into the
electronic filing arena, the integrity of financial disclosure processes will continue to be one of OGE’s highest priorities. Accordingly, OGE will take the following steps: (1) continue to monitor the executive branch’s movement into this area by requesting basic information on future surveys; (2) be a member of the “Electronic Filing Workgroup” formed late in FY 2007 to promote the development and advancement of executive branchwide electronic financial disclosure report filing; and (3) oversee agency electronic filing efforts as part of its Program Review Division’s future reviews of agency ethics programs.
Accordingly, OGE provided assistance to
executive branch agencies that are developing electronic financial disclosure
systems. OGE communicated with agencies
regarding plans and requirements for such systems in a DAEOgram, at a special
meeting of Designated Agency Ethics Officials, and at OGE’s National
Conference. OGE’s staff provided
feedback to the Army, the Federal Deposit Insurance Corporation, and the
Federal Aviation Administration regarding electronic filing formats they had
developed. OGE also provided evaluations
of the legal sufficiency of frequently asked questions and screen instructions
that the Army had developed in connection with its electronic filing system.
Objective
2.2: Monitor Continued Compliance With Conflict of Interest Laws
In FY 2007, OGE continued to identify and
address executive branch compliance with annual financial disclosure report
requirements and ethics agreements. During the fiscal year, over 900 Presidentially appointed, Senate
confirmed (PAS) SF 278 annual and termination reports were filed with OGE for
its final review and certification. During this process, OGE worked with agencies to ensure that the reports
were technically accurate and conflict free. In addition, OGE strengthened its monitoring system to ensure that
reports are filed as quickly as possible. As a result, OGE experienced an 8 percent increase in reports
that did not require a filing extension. OGE also analyzed the quality of the reviews performed at the agency
level. This analysis will serve as the
focus of a targeted program review in FY 2008.
OGE also continued its monitoring of ethics
agreements of PAS officials. During this
fiscal year, OGE monitored a total of 212 agreements made by 127 PAS
officials. Because of OGE’s strict follow-up
procedures, 98 percent of all required actions were completed within the
standard initial period of 90 days.
In FY 2007, OGE program reviewers routinely
emphasized the importance of notifying public filers once their reports had
been reviewed and certified. In those
cases where reports had not been certified or were certified late due to filing
errors or inconsistencies, OGE program reviewers ensured that agency officials
were making efforts to collect or correct the information that was delaying certification.
In addition, OGE’s reviews of agency ethics
programs identified and reported on systemic weaknesses that led to the late
submission and review of annual and termination public financial disclosure
reports. OGE has recommended a variety
of strategies that agencies could use to correct these weaknesses,
including: utilizing human resources
officials to ensure that the ethics office is timely notified of incoming,
incumbent, and departing filers; including the filing requirement in filers’ position
descriptions; and foregoing raises or promotions for those employees who are
delinquent in filing.
IGs provide critical support to the
enforcement of ethics laws and rules, as they usually conduct the primary
investigations of alleged violations. Therefore,
OGE seeks opportunities to strengthen the relationship between IGs and the
ethics community and to help IGs understand the application of the ethics
requirements. For example, OGE provided
IGs with training on the review of public financial disclosure reports and
provided a briefing on the OGE program review process. In addition, OGE staff consulted regularly
with IG offices to advise them on ongoing investigations.
Objective
2.3: Administer an Effective Confidential Financial Disclosure System
OGE made improvements to the confidential
financial disclosure process through the issuance of new rules and a new form
that streamlines the reporting requirements. In addition, OGE continued to encourage and approve the use of
alternative confidential financial disclosure procedures to permit agencies to
obtain information about specific kinds of financial interests that can present
conflicts for their employees. In FY
2007, OGE approved the use of alternative confidential financial disclosure
procedures for the Department of the Army, the Department of Justice, the
Defense Science Board, the Inter-American Foundation, the President’s Foreign
Intelligence Advisory Board, and the Office of Thrift Supervision. Finally, during the course of its onsite evaluations
of agency ethics programs, OGE ensured that previously approved alternative
procedures were being administered in compliance with the plan approved by OGE.
Strategic
Goal Three: Promoting Good Governance
Objective
3.1 Increase OGE’s Support of and Cooperation With Federal, State and Local Agencies
Implementing Programs That Help Support Good Governance
In FY 2007 OGE engaged in a number of
activities with Federal, State and local agencies that promote integrity,
accountability, and transparency in Government. At the Federal level, OGE’s
Director maintained consistent communication with the IG community through
regular attendance at the President’s Council on Integrity and Efficiency’s
(PCIE) and the Executive Council on Integrity and Efficiency’s (ECIE) monthly
meetings. The Director continued to
serve on the PCIE Integrity Committee and was a featured speaker at the 2007
PCIE/ECIE Conference.
OGE also maintained a consistent presence at
the Federal Interagency Ethics Council, an informal group of executive branch
ethics officials who meet monthly to share model practices and practical
information. In support of the
substantial number of federal advisory committees, OGE staff participated
in a multi-day curriculum development exercise held by the General Services
Administration to improve training for Federal Advisory Committee management
officers in Departments and agencies.
At the State and local level, OGE continued
to be an active member of the Council on Governmental Ethics Laws (COGEL), an
organization of Federal, State and local government agencies primarily from the
Throughout FY 2007, OGE coordinated
extensively with Federal, State and local government agencies in conjunction
with
OGE engaged in programs and projects with
more Federal, State and local agencies than projected for FY 2007. Although it was difficult to obtain written,
qualitative feedback, these agencies indicated, in discussions with OGE, that
they found their interactions with OGE to be useful.
Objective
3.2: Enhance Outreach to the Public and Private Sector and Civil Society
OGE continued to serve the
public effectively by providing timely and thorough responses to public
requests for information relating to public financial disclosure reports and
the semi-annual reports of travel payments accepted from non-Federal sources,
as well as queries from the general public handled through its call desk
system. To enhance general public access
to information about the agency and the executive branch ethics program, OGE
also continued to work with the Government Printing Office to refine OGE's
website design and to modernize the features of the site.
The Director and other members of the staff
made numerous presentations in FY 2007 to private sector and civil society
organizations whose understanding of the Federal ethics program would help
support public trust in Government. The
audiences included non-Government organizations, professional and business
associations and educational institutions. The OGE Director and his staff specifically reached out to organizations
OGE wished to engage in a dialogue on key emerging issues. For example, the Director spoke to the
Defense Industry Initiative, a coalition of major defense contractors on the
ethics issues of contractors in the Federal workplace. Others in OGE made presentations to
organizations such as the Public Contracts section of the American Bar
Association, a large group of private-sector companies who market products and
services to the Government, and a national association of scientists. Overall, these interactions resulted in
consistently positive responses.
Objective
3.3: Support
OGE’s provision of ethics program expertise
and an understanding of an ethics program’s role in good governance have had an
appreciable and positive effect on the recipients of
OGE served as a primary representative of the
United States Government at the plenary meeting of the Council of Europe’s
Group of States Against Corruption (GRECO) during the consideration and
adoption of the second round evaluation report on the United States; continued
to represent the United States at GRECO meetings throughout the year; and was
selected to continue to serve as expert evaluators of other GRECO members
during the third round of evaluations which will begin in FY 2008.
The United Nations Convention Against
Corruption has been and continues to be a priority
Throughout FY 2007, OGE provided expertise in
a number of initiatives of other international organizations in which the
OGE continued to serve as a
In long-standing support of the Department of
State's International Visitor Leadership Program, OGE continued to meet with
delegations of foreign visitors interested in ethics, conflicts of interest,
transparency, and other good governance initiatives. During FY 2007, OGE
hosted approximately 40 delegations made up of approximately 300 visitors
from over 60 countries. Nearly 60 percent of the surveyed visitors were
public officials and the others included journalists, academics, and members of
non-governmental organizations. In FY 2007, OGE began surveying the
delegations and found that nearly all visitors reported that OGE’s presentations
helped them understand the role of OGE and how the executive branch ethics
program works and that they felt the knowledge they gained from the
presentations would be useful to them in their countries.
OGE continued to support a number of other
Department of State programs in FY 2007, including the International
Information Program, by participating in video conferences and web-chats with
groups of individuals from numerous countries including
Enhanced
Internal Administrative Support
Without critical, internal administrative
support, OGE could not successfully pursue or reach its strategic goals. During FY 2007, OGE maintained vital services
related to budget and finance, human resources, graphics, facilities and
property management, travel, procurement, telecommunications, records
management, and information and website technologies.
To add to this array of services and related
reporting requirements, OGE took steps to better enable OGE to attract and
retain a highly efficient workforce. OGE
met the Office of Personnel Management deadlines for requesting recertification
of its SES pay-for-performance system and revised both its Human Resources
Manual Chapter on OGE’s SES Performance Appraisal System and its
SES performance appraisal form. OGE
also revised its Manual chapters dealing with employee training, telework,
incentive awards, and time and attendance. OGE also adopted policies regarding the credit of prior experience for
leave purposes and the recruitment of attorneys.
OGE completed a review of its pandemic plan
for continuity of operations in such an event. In addition to enhancing its security profile by complying with HSPD-12
deadlines, OGE entered into an extensive review of emergency and security
issues with other Federal agencies sharing the same worksite, the General
Services Administration, and the Federal Protective Service. OGE also revised its Administrative Manual
chapters concerning mail, procurement, travel, and forms management.
In FY 2007, OGE undertook several initiatives
to improve business processes. For
example, OGE initiated a review of its storage and tracking of SF-278s and a
review of the control and disposition of e-mail. It also successfully completed a test of
OGE’s access to the Army’s electronic Financial Disclosure Management
System. OGE procured software to better
permit the IT Security Officer to monitor IT network changes. OGE developed a database to enable a more
expeditious reporting of training data to the Office of Personnel
Management. OGE participated in the
FY 2008 and FY 2009 Planned Results
Strategic
Goal One: Strengthening Ethical Culture Within the Executive Branch
Objective 1.1: Improving the Effectiveness of
Ethics Policy
FY 2008 and FY
2009 Planned Results
In FY 2008 and early FY 2009, OGE expects to
finish preparation of informational materials that will be distributed or
issued in connection with the upcoming Presidential transition. In addition to pamphlets and training
materials described in other parts of this report, OGE will provide extensive
briefing materials to the transition teams of both major candidates. The materials will include information on
transition, codes of conduct, financial disclosure requirements for members of transition
teams, and transition Memoranda of Understanding, as well as information about
OGE-specific issues such as nominee financial disclosure. Working as early as possible with the
relevant candidates’ representatives and transition teams will minimize
impediments to a smooth transition after the Inauguration. Moreover, these initial communications have
the effect of emphasizing the importance of ethical conduct for incoming
Government officials.
OGE also plans to issue policy guidance to
agencies to help them prepare for the transition. For example, OGE will issue memoranda
explaining the status of officials who are temporarily brought on staff while
awaiting Senate confirmation, and instructions on how to process nominee
financial disclosure forms prior to the Inauguration.
Because of staffing shortages, several
guidance documents that OGE had planned to release in FY 2007 have been
deferred to FY 2008. One document will explain the complex rules governing Federal
employees who plan to write books related to their Government experience. The
second document is OGE’s proposed rule updating the Standards of Ethical Conduct. OGE still expects to have these changes in
place prior to the beginning of the new Administration.
Final rules revising OGE regulations on the
post-employment restrictions under 18 U.S.C. § 207 will be published as soon as
OGE receives final approval from the Department of Justice and the Office of
Management and Budget. OGE also plans to
publish in FY 2008 proposed rules implementing the prohibition on
supplementation of Federal employees’ salaries under 18 U.S.C. § 209, which has
not been addressed previously in OGE’s rules.
Finally, in FY 2008 and 2009, in order to
ensure that OGE’s policy guidance focuses on emerging issues and meets the
needs of agency ethics officials, OGE will continue to gather feedback directly
from the officials to whom guidance is provided. This information will be obtained through
web-based and focus group mechanisms established in FY 2007, as well as through
the use of surveys, if adequate funding is available. Notably, OGE intends to continue to
administer an annual survey, initiated in FY 2007, of high-level agency program
contacts. The survey gathers information to assess the effectiveness of OGE’s
policy guidance and OGE’s support of policy implementation at the agency level.
Performance Measures
Objective 1.1
Improve the Effectiveness of Ethics Policy.
Performance Targets - Projected / FY Actual Results in bold
Performance Measure: Percent of customers who rate OGE as responsive or very responsive to emerging issues.
Performance Targets - Projected / FY Actual Results in bold
Baseline 78%
FY 2007 80% / 81%
FY 2008 80%
FY 2009 80%
FY 2010 80%
FY 2011 80%
Performance Measure: Percent of ethics officials who rate guidance as useful.
Performance Targets - Projected / FY Actual Results in bold
Baseline 94%
FY 2007 95% / 93%
FY 2008 95%
FY 2009 95%
FY 2010 95%
FY 2011 95%
Performance Measure: Percent of ethics officials who say they receive the guidance they need to do their job effectively.
Performance Targets - Projected / FY Actual Results in bold
Baseline 85%
FY 2007 85% / 82%
FY 2008 85%
FY 2009 85%
FY 2010 90%
FY 2011 90%
* Note: FY 2009 performance targets and measures
reflect benchmarks established in FY 2007 and set forth in OGE’s FY 2008
performance plan. OGE’s experience in
implementing the Strategic Plan and results of ongoing surveys may result in
modifications of targets and measures in future annual performance plans.
Objective
1.2: Enhance Assistance and Oversight of Agency Ethics Programs
FY 2008 and FY 2009 Planned Results
In FY 2008 and FY 2009, OGE will
refine the scope of program reviews in order to focus resources on the most
critical elements of agency ethics programs in the context of the Presidential
transition. OGE will host several seminars and focus group meetings and
continue its discussions with senior leadership throughout the executive branch
with the aim of developing and distributing model practices and other useful
information. In particular, in FY 2008,
OGE will begin a series of program reviews targeting evaluation of systems and
internal controls used to implement and to monitor financial disclosure programs. The reviews will include assessment of
training provided to employees subject to financial disclosure requirements, as
well as policies and procedures designed to track and follow up with
filers. The objective is to assist
agencies in preparing for an acute increase of filers over a relatively short
period by identifying vulnerabilities and model practices in training and
internal controls.
OGE will also continue to conduct more
broad-based program reviews to identify model practices in other program
elements and to assess: (1) the adequacy of staffing, (2) the level of
compliance with statutory and regulatory requirements, (3) the policies and
practices for pertinent internal controls, (4) the results of specific actions
designed to move beyond a goal of basic regulatory compliance, and (5) the
involvement of agency leadership in ensuring the success of the agency’s ethics
program. While OGE will continue to
identify weaknesses in agency ethics programs and make recommendations for
improving these weaknesses, in FY 2008 and FY 2009 OGE will emphasize the value
of identifying and highlighting successes and innovations in program
administration. This emphasis will
enhance the value of the review process to the broader ethics community, making
it clear that agency reviews provide a source of information useful to all
agencies.
Finally, OGE will continue its work with
agencies to develop surveys and other agency self-assessment tools. These tools will allow agencies to establish
benchmarks and to evaluate the effectiveness of their own programs. The development of self-assessment tools is
particularly important because due to limited resources, OGE alone cannot timely
assess all agency programs.
Worldwide, more than 6,000 ethics officials
are involved in administering the executive branch ethics program. OGE has the responsibility of training these
officials. Some have as many as 15
years of experience, but most have far less. Fewer than 600 of these officials are
full-time ethics officials. In addition
to conducting routine training programs and providing job aids, OGE presents a
National Government Ethics Conference,
attended by over 500 ethics officials, at intervals of approximately every 18
months. At the end of FY 2008, OGE will present the 16th National
Government Ethics Conference focusing on the wide range of issues that are
particularly significant during a time of transition to a new
Administration. Transition issues will
be the principal focus of OGE’s training efforts in FY 2008 and FY 2009, and
OGE will use preparation for the FY 2008 National Government Ethics Conference
as an opportunity to develop training products that can be refined and
delivered to the larger ethics community in FY 2009.
In FY 2008 and FY 2009, OGE plans to expand
the training provided to new and experienced ethics officials. The goals are to
increase significantly the number of ethics officials trained each year and to
increase the variety of training opportunities offered to ethics
officials. This expansion is needed in
order to prepare ethics officials for the upcoming Presidential transition and
will take place on several fronts both in terms of the subject matters
addressed and the number of officials reached. To meet these goals, OGE will undertake the following:
Agency ethics officials provide ethics
training to approximately 1.5 million executive branch employees each
year. The instructional skills of the
ethics officials determine, in part, the extent to which employees increase
their knowledge and skills. To increase
ethics officials’ instructional skills, OGE hosted a two-day symposium for ethics
officials in early FY 2008. The
symposium focused on enhancing training skills and adapting instructor-led
training products to electronic media. Drawing presenters from the public and
private sectors, the symposium addressed the design, development, delivery, and
evaluation of training. OGE will also
issue a series of instructor tips via its website during FY 2008. Topics will include tips on handling difficult participants, adjusting
presentations to the learning style of participants, and eliminating
distracting mannerisms on the part of the instructor.
Finally, OGE will continue to ensure that
its desk officer program delivers timely, accurate, and consistent guidance to executive
branch ethics officials on the wide range of ethics issues that routinely
arise, as well as identifying model practices and programs in other agencies
and offering suggestions for improving program operations. OGE will also publish on the OGE ListServe
guidance provided through the desk officer program and the Office of General
Counsel that has broad application to the ethics community. In addition, in FY 2008,
the desk officers will continue to provide specific outreach to small boards
and commissions. The outreach will
include onsite work at agencies as well as small group working sessions at OGE.
Performance
Measures
Objective 1.2
Enhance Assistance and Oversight.
Performance Targets - Projected / FY Actual Results in bold
Performance Measure: Percent of ethics officials who are satisfied with education and training provided by OGE to support ethics officials.
Performance Target - Projected / FY Actual Results in bold
Baseline 64%
FY 2007 70% / 72%
FY 2008 75%
FY 2009 80%
FY 2010 90%
FY 2011 90%
Performance Measure: Percent of ethics officials who view OGE’s program review process as adding value to their own programs.*
Performance Targets - Projected / FY Actual Results in bold
Baseline 65%
FY 2007 75% / 57%*
FY 2008 85%
FY 2009 90%
FY 2010 90%
FY 2011 90%
Performance Measure: Percent of agencies that conduct internal reviews or audits to evaluate their program's compliance with applicable ethics laws and regulations.
Performance Targets - Projected / FY Actual Results in bold
Baseline 59%
FY 2007 60% / 60%
FY 2009 65%
FY 2008 70%
FY 2010 75%
FY 2011 80%
Performance Measure: Percent of agencies that use self-assessment surveys to evaluate employee perceptions of their agency's ethics program and ethical culture.
Performance Target - Projected / FY Actual Result in bold
Baseline 24%
FY 2007 25% / 28%
FY 2008 30%
FY 2009 40%
FY 2010 40%
FY 2011 50%
Performance Measure: Percent of ethics officials who are who are satisfied with information shared on ethics program model practices.
Performance Target - Projected / FY Actual Result in bold
Baseline 55%
FY 2007 65% / 63%
FY 2008 70%
FY 2009 75%
FY 2010 85%
FY 2011 85%
*The phrasing of the request for this information may have suggested that only agencies participating in a program review in 2007 had relevant data. OGE believes that the program review process, particularly in identifying and promoting implementation of model practices, adds value to the overall ethics program. Notably, the Compliance Plus initiative is intended to enhance the overall understanding of the usefulness of program review as a tool to identify and share model practices with the entire ethics community.
Objective
1.3: Increase Employee Awareness of Their Ethics Responsibilities
FY 2008 and FY 2009 Planned Results
Consistent with OGE’s
preparation for the Presidential transition in FY 2009, OGE will create new and
updated materials for officials leaving the Government in FY 2008 and FY
2009. As a key part of these materials,
OGE will publish in FY 2008 one new pamphlet and update three additional
pamphlets that focus on the ethics rules that apply when seeking non-Government
employment as well as the rules that apply to post-employment activities. OGE will continue to hold training sessions and
discussion groups for ethics officials who provide advice to departing
employees. These sessions will continue
to focus on the ethics rules that relate to seeking employment outside the
Government and post-employment activities.
OGE will continue its assistance to advisory
committees in FY 2008 and FY 2009. OGE
will publish a new ethics pamphlet for special Government employees who serve
on advisory committees. OGE also intends
to continue coordinating with the General Services Administration on advisory
committee matters, including conducting ethics training for committee
management officers throughout the Government.
To prepare for the thousands of employees who
will exit and enter the Federal workforce as a result of the upcoming
Presidential transition, OGE launched a program in FY 2007 to develop a suite
of training courses and evaluation instruments for agencies to use in training
their employees and assessing the effectiveness of the training. In FY 2009, this project will be completed,
with a mix of instructor-led and online training as well as videos and job
aids.
In FY 2008, OGE will continue to identify
exemplary training products developed by agencies and will recognize these
training products at its 16th National Government Ethics Conference. In FY 2009, OGE will electronically
distribute the award-winning products to the broader ethics community. Coupled with the OGE-developed products, this
approach will increase access to quality employee ethics training in a
cost-effective manner. OGE’s development
of online courses and videos is subject to the availability of funds.
Performance
Measures
Objective 1.3
Increase Employee Awareness and Understanding.
Performance Targets – Projected / FY Actual Results in bold
Performance Measure: Percent of agencies that incorporate OGE education and training products into their program.
Performance Targets - Projected / FY Actual Results in bold
Baseline 66%
FY 2007 70% / 72%
FY 2008 75%
FY 2009 80%
FY 2010 90%
FY 2011 90%
Performance Measure: Percent of participants whose knowledge of the ethics rules increased after participating in OGE conducted training.
Performance Targets - Projected / FY Actual Results in bold
Baseline 87%
FY 2007 90% / 100%
FY 2008 90%
FY 2009 100%
FY 2010 100%
FY 2011 100%
Performance Measure: Percent of ethics officials who are satisfied with OGE employee education or training programs provided by OGE.
Performance Targets - Projected / FY Actual Results in bold
Baseline 44%
FY 2007 55% / 57%
FY 2008 60%
FY 2009 70%
FY 2010 80%
FY 2011 80%
Performance Measure: Percent of employees who indicate they are familiar with ethics rules.
Performance Targets - Projected / FY Actual Results in bold
Baseline 52%
FY 2007 60% / 59%
FY 2009 70%
FY 2008 70%
FY 2010 80%
FY 2011 80%
Performance Measure: Percent of employees who indicate that they recognize ethics issues when they arise.
Performance Targets - Projected / FY Actual Results in bold
Baseline 59%
FY 2007 65% / 66%
FY 2008 70%
FY 2009 75%
FY 2010 80%
FY 2011 80%
Performance Measure: Percent of employees who believe that if ethics concerns are reported to the agency, action is taken to resolve them.
Performance Targets - Projected / FY Actual Results in bold
Baseline 51%
FY 2007 55% / 56%
FY 2008 65%
FY 2009 70%
FY 2010 75%
FY 2011 75%
Performance Measure: Percent of employees who believe that employees who are caught violating ethics rules are disciplined.
Performance Targets - Projected / FY Actual Results in bold
Baseline 42%
FY 2007 45% / 50%
FY 2008 45%
FY 2009 50%
FY 2010 55%
FY 2011 60%
FY 2008 and FY 2009 Planned Results
For delivery in FY 2009, OGE plans to develop
a training program on ethical leadership specifically for agency leaders. The course will focus on why ethical leadership
is important, how such leadership benefits the agency and the Government, and
what concrete actions agency leaders can take to enhance their ethics
programs. OGE also will reach out to
thousands of individual nominees who enter the Government as part of the 2009
Presidential Administration following the 2008 election. For example, to help them with the transition
and prepare them for their roles as public servants, OGE will produce a video message
from OGE’s Director explaining the significance of financial disclosure and
other ethics responsibilities. OGE also
will continue to provide Presidential appointees with a pamphlet that
summarizes the ethics rules that apply to senior officials.
During FY 2008 and FY 2009, OGE will continue
its practice of inviting agency leadership to meet with OGE leadership in
connection with ethics program reviews. To
the extent that OGE has adequate funding, it will use surveys, in part, to
assess executive branch employees’ attitudes concerning their agency’s ethical
culture and their knowledge of ethics issues. OGE will continue, at least
annually, to use surveys to assess the effectiveness of OGE’s programs and to
promote awareness of ethics issues. These survey findings will then be incorporated into the discussion
between OGE and agency leadership.
Performance Measures
Objective 1.4
Promoting Agency Leadership.
Performance Targets - Projected / FY Actual Results in bold
Performance Measure: Percent of employees who believe their agency leaders pay attention to ethics.
Performance Targets - Projected / FY Actual Results in bold
Baseline 64%
FY 2007 65% / 69%
FY 2008 70% / *
FY 2009 75% / *
FY 2010 75% / *
FY 2011 80% / *
Performance Measure: Percent of employees who believe their immediate supervisors pay attention to ethics.
Performance Targets - Projected / FY Actual Results in bold
Baseline 75%
FY 2007 75% / 80%
FY 2008 75% / *
FY 2009 80% / *
FY 2010 80% / *
FY 2011 80% / *
* The actual results in FY
2007 were obtained through surveys. Surveys
for future years containing these questions may be conducted if funding becomes
available.
Strategic Goal Two: Preventing
Conflicts of Interest
Objective 2.1: Enhance
Assistance to the President and Congress
in the Presidential Appointment Process
FY 2008 and FY
2009 Planned Results
In FY 2008, OGE will submit a proposed rule
on blind and diversified trusts to OMB for clearance. The draft rule will revise OGE’s current rule
on trusts to make it clearer and more accessible to employees. OGE expects to have a final rule issued in
time for the anticipated increase in requests in FY 2009 to establish blind
trusts. Also in FY 2008, OGE expects to
submit various revised regulations dealing with public financial disclosure and
exemptions to the conflicts of interest rules to OMB for clearance. The revisions will be designed to streamline
the nominations process.
Because OGE is no longer working to develop
an executive branchwide electronic filing system, it continues to work with a
voluntary branchwide group of ethics officials to facilitate independent
agencies’ electronic filing systems. The
Department of the Army’s electronic filing system is now operating and is being
marketed for use by other agencies. OGE
continues to monitor the progress of e‑filing systems.
To assist executive branch ethics officials
in preparing for the anticipated
surge in the volume of reports filed
by Presidential nominees for positions requiring Senate confirmation during the
Presidential transition (approximately
1,100 individual reports), OGE will undertake several efforts: First, in early FY 2008 OGE will conduct a
regional conference on public financial disclosure. The conference will focus on technical
disclosure and substantive conflicts issues specific to PAS individuals. Second, in FY 2008, OGE will supply financial
disclosure reviewers at executive branch agencies with an electronic
compilation of OGE’s guidance and documents related to public financial
disclosure. Third, in FY 2008, OGE will
supplement its Financial Disclosure: A
Reviewer’s Reference manual with guidance on how various financial
instruments and arrangements are to be reported and analyzed for conflicts of
interest. If funds are available, this
compilation will be made electronically searchable and updatable. Fourth, in FY 2008 and FY 2009, OGE will
continue to expand its pool of public financial disclosure report reviewers and
will continue to encourage other executive branch ethics programs to expand
their pool as well. Finally, in FY 2008
OGE will release a guide that provides extensive advice on drafting ethics
agreements for PAS nominees.
Performance Measures
Objective 2.1
Enhance Assistance to the President and the Congress.
Performance Targets - Projected / FY Actual Results in bold
Performance Measure: Number of agencies using an electronic filing system
Performance Targets - Projected / FY Actual Results in bold
Baseline 2
FY 2007 6 / 4
FY 2008 * / 1
FY 2009 *
FY 2010 *
FY 2011 *
Performance Measure: Percent of users who are satisfied with electronic filing systems
Performance Targets - Projected / FY Actual Results in bold
Baseline **
FY 2007 **
FY 2008 **
FY 2009 **
FY 2010 **
FY 2011 **
Performance Measure: Percent of officials who comply with ethics agreements within required time frames
Performance Targets - Projected / FY Actual Results in bold
Baseline 95%
FY 2007 95% / 98%
FY 2008 95%
FY 2009 95%
FY 2010 95%
FY 2011 95%
Performance Measure: Resolves all conflicts and technical reporting issues for nominee financial disclosure reports no later than five days after a nomination is made
Performance Targets - Projected / FY Actual Results in bold
Baseline 90%
FY 2007 90% / 95%
FY 2008 90%
FY 2009 95%
FY 2010 95%
FY 2011 95%
* OGE’s E-Gov Initiative was not approved; therefore,
OGE’s responsibility changed from implementation to monitoring systems being
independently created.
** OGE has not previously gathered information on
this performance measure. OGE intends to
establish a baseline and develop performance targets after consultation with
agencies.
Objective
2.2: Monitor Continued Compliance With Conflict of Interest Laws
FY 2008 and FY 2009 Planned Results
While the vast majority of financial
disclosure reports are timely filed, delinquencies have the potential to
significantly undermine public confidence in the ethics program, to embarrass
filers, and to divert ethics program resources. In FY 2006 and 2007, OGE refined its written procedures for following up
with agency ethics officials about public financial disclosure reports
submitted to OGE for final review and certification. As a result of this refinement, filing
timeliness increased.
In anticipation of the substantial increase
of public financial disclosure reports that will be filed by people unfamiliar
with the process, OGE will continue in FY 2008 and FY 2009 to work with
agencies to improve their follow up procedures to ensure that the integrity of
the public financial disclosure system is not undermined by an increase in
filing delinquencies. OGE will emphasize
to agency ethics officials the importance of notifying public filers of the
status of the filer’s report -- either that the report has been certified or
that the certification is pending based on the need to resolve an identified
potential conflict of interest. In FY
2009, OGE will enhance its notification process for alerting agencies when
their employees’ annual and termination financial disclosure reports have been
certified by OGE. Also in FY 2009, OGE
will provide formal feedback to agency ethics officials about the quality of
agency review of financial disclosure reports.
In FY 2008
and 2009, OGE will continue to monitor compliance with ethics agreements that
are entered into as a result of information disclosed on the reports. Traditionally, the number of ethics
agreements monitored by OGE during a transition year is more than double those
being monitored in the later years of an Administration. In recognition of this increased volume, OGE
will assess the internal controls of its ethics agreement compliance monitoring
program in FY 2008.
Enforcement is a critical component of an
effective ethics program. Conflicts of
interest violations may result in a wide range of administrative, civil, and
criminal penalties. Inspectors General are important partners to the ethics
community, as they usually conduct agency investigations of alleged ethics
violations. In FY 2008 and FY 2009,
OGE will continue its efforts to foster effective working relationships with
the Inspector General community.
In FY 2008, OGE will expand outreach to the
Inspectors General by including a greater number of representatives as
participants and presenters at the National Government Ethics Conference, as
compared to FY 2007. IG attendance and
participation will provide an opportunity for IGs and the ethics community to
develop better working relationships, to develop strategies to assist each
other in carrying out responsibilities common to each group, and to identify
common needs and ways to meet these responsibilities through
collaboration. OGE also will develop and
administer a survey instrument designed to better understand the needs of the
Inspector General community as they relate to support of the ethics
program. OGE will build upon its efforts
to provide educational support to the IG community, for example, by providing
advice and training on technical aspects of relevant laws and regulations, as
well as training on review of financial disclosure reports that may be germane
to their investigations. In FY 2008,
OGE will host a focus group to discuss issues and themes of common interest and
to develop appropriate presentations for the 16th OGE National
Government Ethics Conference.
OGE also will continue to work with the
Department of Justice and Inspectors General on enforcement of ethics
requirements. Although many violations
of ethics rules are handled through administrative disciplinary proceedings,
OGE coordinates with DOJ on criminal prosecutions where requested, and
sometimes makes referrals to DOJ or the IGs based on information received by
OGE. OGE expects that these activities
will continue in FY 2008 and FY 2009. In
particular, in FY 2008, OGE will develop and present an ethics training course
at the IG Academy for IG investigators. Furthermore, OGE will continue
to liaise with DOJ on any cases in which OGE is a party, or which involve
important legal questions that arise under the criminal and civil statutes
within OGE’s jurisdiction.
Performance Measures
Objective 2.2
Monitoring Compliance with Conflict of Interest Laws
Performance Targets - Projected / FY Actual Results in bold
Performance Measure: Percent of audited entities that provide public financial disclosure report filers with feedback after their reports have been reviewed
Performance Targets - Projected / FY Actual Results in bold
Baseline 84%
FY 2007 85% / 100%
FY 2008 90%
FY 2009 90%
FY 2010 95%
FY 2011 95%
Performance Measure: Percent of audited entities that have written procedures for following up with delinquent filers.
Performance Targets - Projected / FY Actual Results in bold
Baseline 49%
FY 2007 60% / 91%
FY 2008 75%
FY 2009 90%
FY 2010 100%
FY 2011 100%
Objective
2.3: Administer an Effective Confidential Financial Disclosure System
FY 2008 and FY 2009 Planned Results
During program reviews, OGE assesses the
effectiveness of agencies’ confidential financial disclosure systems. These assessments will continue in FY 2008
and FY 2009 and in FY 2008 will include a survey of ethics officials to determine
their satisfaction with the use of the new confidential reporting form.
In addition, OGE is responsible for reviewing
and approving requests from agencies to establish alternative confidential
financial disclosure procedures. During
the course of standard program reviews, and on routine occasions such as panel
presentations at OGE’s National Government Ethics Conference, OGE has
underscored the option of using an alternative procedure and has provided
interested agencies with guidance and copies of previously approved forms
already in use at other agencies. Appropriate implementation of alternative
procedures for handling the confidential financial disclosure process promotes
efficient allocation of ethics program resources and has the potential to allow
agencies to focus increased resources on other important program objectives, including training,
awareness building, self-assessment, and leadership support. In FY 2008 and FY 2009, OGE will continue to
emphasize the availability and advantages of alternative financial disclosure
procedures and to assist agencies in developing alternative procedures where
appropriate.
Performance Measures
Objective 2.3
Improved Administration of Confidential System
Performance Targets - Projected / FY Actual Results in bold
Performance Measure: Percent of alternative systems judged by program review to have been effectively implemented
Performance Targets - Projected / FY Actual Results in bold
Baseline 60%
FY 2007 65% / 100%
FY 2008 70%
FY 2009 80%
FY 2010 90%
FY 2011 90%
Performance Measure: Percent of required confidential filers who filed by end of reporting year
Performance Targets - Projected / FY Actual Results in bold
Baseline 70%
FY 2007 *
FY 2008 75%
FY 2009 75%
FY 2010 80%
FY 2011 80%
* The regulation was amended for this reporting period. Results for FY 2007 will be available in FY 2008.
Strategic Goal Three: Promoting
Good Governance
Objective 3.1 Increase OGE’s
Support of and Cooperation With Federal, State and Local Agencies Implementing
Programs That Help Support Good Governance
FY 2008 and FY
2009 Planned Results
In FY 2008 and FY 2009, OGE will continue to
support and promote good governance programs across all levels of Government.
At the Federal level, OGE will continue to work with a number of agencies,
directly and through interagency organizations, whose missions include ethics
and good governance. For example, in addition to OGE’s efforts to enhance
enforcement of ethics laws discussed previously, the Director of OGE will
continue his active participation in the Inspector General community as a
member of the President’s Council on Integrity and Efficiency (PCIE) and the
Executive Council on Integrity and Efficiency (ECIE). The Director will also continue to serve on
the PCIE Integrity Committee which is responsible for reviewing allegations
made against Inspectors General. In FY
2008 OGE will work with the
In FY 2008 and FY 2009, OGE will continue the
dialogue begun in FY 2007 with State and local government agencies regarding
the elements of good governance identified by the international anti-corruption
community. In particular, OGE will share
with State and local agencies the evaluation results, recommendations and
policy studies in reports issued by international organizations such as the
United Nations, the Council of Europe, the Organization of American States and
the Organization for Economic Cooperation and Development.
OGE will continue to actively engage the
members of the Council on Governmental Ethics Laws (COGEL) on projects of
mutual interest. FY 2007 saw substantial
changes in many ethics laws and agency authorities at the State and local
levels and OGE anticipates that these changes will increase information sharing
opportunities over both FY 2008 and FY 2009.
Performance Measures
Objective 3.1
Increase OGE’s Support of and Cooperation with Federal, State and Local Agencies Implementing Programs That Help Support Good Governance.
Performance Targets - Projected / FY Actual Results in bold
Performance Measure: Number of programs/projects involving federal agencies/organizations
Performance Targets - Projected / FY Actual Results in bold
Baseline 6
FY 2007 8 / 14
FY 2008 8
FY 2009 10
FY 2010 10
FY 2011 10
Performance Measure: Percent of feedback from federal program/ project attendees indicating OGE participation was useful
Performance Targets - Projected / FY Actual Results in bold
Baseline 30%
FY 2007 30% / 95%
FY 2008 40%
FY 2009 50%
FY 2010 50%
FY 2011 60%
Performance Measure: Number of programs/ projects involving state/local/government agencies/organizations
Performance Targets - Projected / FY Actual Results in bold
Baseline 2
FY 2007 2 / 5
FY 2008 2
FY 2009 3
FY 2010 3
FY 2011 3
Performance Measure: Percent of feedback from state and local program/project attendees indicating OGE participation was useful
Performance Targets - Projected / FY Actual Results in bold
Baseline 30%
FY 2007 30% / 100%
FY 2008 40%
FY 2009 50%
FY 2010 50%
FY 2011 50%
Objective 3.2: Enhance Outreach
to the Public and Private Sector and Civil Society
FY 2008 and FY
2009 Planned Results
Through active outreach, OGE will enhance the
understanding of the private sector and civil society about the goals and
operation of the executive branch ethics program. In FY 2008 and FY 2009, OGE will continue to
identify organizations within the private sector and civil society whose
broader understanding of the Federal ethics program would help support public
trust in Government, particularly during a Presidential transition. OGE will then identify opportunities to work
with these organizations targeting the priority areas of leadership and
planning for the upcoming Presidential transition. OGE will continue to extend
invitations to private sector organizations and civil society to participate in
the 16th National Government Ethics Conference, as well as to
participate in other training programs sponsored by OGE.
As part of its plan to enhance outreach to
the public during FY 2008 and FY 2009, OGE will continue to respond to press
and public inquiries in a timely manner, with an eye toward raising public
awareness of the ethics laws and rules that apply to the executive branch. For example, OGE will continue to serve the
media and the public by providing timely and thorough responses to public
requests for information relating to public financial disclosure reports and
the semi-annual agency reports of travel payments accepted from non-Federal
sources. During FY 2009, OGE
expects a large increase in the number of requests for public financial
disclosure reports because of the influx of new senior executive branch
officials.
In FY 2008, OGE expects to launch its redesigned
website and will continue to refine and modernize the website design and
features in FY 2009. These improvements
will enhance public access to information about OGE and the executive branch
ethics program. It will also assist OGE
in responding to queries from the general public handled through its call desk
system.
In addition, during FY 2008 and FY 2009, OGE
will continue to provide timely responses to the FOIA and Privacy Act requests
it receives. OGE typically handles about
50 requests a year, and it is
likely that this trend will continue.
Performance Measures
Objective 3.2
Enhance outreach to the private sector and civil society.
Performance Targets - Projected / FY Actual Results in bold
Performance Measure: Number of meetings, speeches, presentations and similar outreach efforts to organizations that represent the public, civil society and persons who do business with the Government
Performance Targets - Projected / FY Actual Results in bold
Baseline 8
FY 2007 10 / 12
FY 2008 10
FY 2009 12
FY 2010 12
FY 2011 15
Performance Measure: Percent of feedback from attendees indicating that interaction with OGE was useful
Performance Targets - Projected / FY Actual Results in bold
Baseline 30%
FY 2007 30% / 100%
FY 2008 40%
FY 2009 50%
FY 2010 50%
FY 2011 60%
Objective
3.3: Support
FY 2008 and FY 2009 Planned Results
OGE will continue to provide ethics expertise
in support of United States Government foreign-policy anti-corruption
objectives, in particular, responding to requests for assistance from the
Departments of State and Justice and supporting long-standing
OGE will serve as a principal member of an
interagency committee for the review and implementation of the UN Convention
Against Corruption during FY 2007 and FY 2008, and will assist with programs
designed to help countries meet their obligations under the Convention.
In FY 2008 and FY 2009, OGE will serve as a
representative of the United States Government at the Council of Europe’s Group
of States Against Corruption (GRECO) plenary meetings and as an expert
evaluator of other GRECO members. In FY
2009, OGE will also serve as a principal member of an interagency group
responsible for preparing for GRECO’s third round review of the
Additionally in both fiscal years, OGE will
assist the United States Government in reviewing the steps taken by members of
the Organization of American States' Follow-up Mechanism to the Inter-American
Convention Against Corruption to implement recommendations received during the
first round of evaluation.
Also in FY 2008 and FY 2009, OGE will work
closely with the Department of State to plan, organize and participate in
specific as well as general corruption prevention programs for the APEC
Anticorruption and Transparency Task Force and the U.S.–China Joint Liaison
Group’s Anti-corruption Working Group.
Finally, during both fiscal years, OGE will
continue to support the Department of State’s International Visitor Leadership
Program by meeting with delegations of foreign visitors interested in the work
of OGE.
Performance Measures
Objective 3.3
Support U.S. Foreign Policy Anti-Corruption and Good Governance Initiatives.
Performance Targets - Projected / FY Actual Results in bold
Performance Measure:Number of programs/projects OGE participates in at the request U.S. foreign policy agencies/organizations
Performance Targets - Projected / FY Actual Results in bold
Baseline 7
FY 2007 7 / 21
FY 2008 7
FY 2009 8
FY 2010 8
FY 2011 8
Performance Measure: Percent of feedback from program/project participants indicating that interaction with OGE was useful
Performance Targets - Projected / FY Actual Results in bold
Baseline 30%
FY 2007 30% / 90%
FY 2008 40%
FY 2009 50%
FY 2010 50%
FY 2011 60%
Enhanced
Internal Administrative Support
FY 2008 and FY 2009 Planned Results
In FY 2008 and FY 2009, OGE will continue its
efforts to recruit and retain an effective and efficient workforce. OGE will achieve this through human resource
management services that include staffing, position management and
classification, awards, performance management, and personnel/payroll
processing. In addition to meeting
performance measures regarding the use of information technology to improve
OGE’s business processes in FY 2008, OGE will complete its transition from
WITS2001 to WITS3 and the implementation of the standardized desktop
configuration developed by OMB. OGE’s
transition from Internet Protocol version 4 to version 6 (IPv6) will be
completed in FY 2008.
To ensure a safe work environment, OGE will
continue to enhance its non-pandemic plan for the continuity of operations in
FY 2008 and FY 2009. OGE will complete implementation of the Government-wide
identification card (HSPD-12) in FY 2008, barring difficulties involving the
General Services Administration and its HSPD-12 contractors. In addition to continuing with essential
administrative services such as budget and financial services, travel,
procurement, printing, graphics, and personnel security, OGE will complete
revisions to travel card and mass transit subsidy policies. OGE will make any adjustments to the
automated training system developed in FY 2007 to better meet the reporting
requirements of OPM for FY 2008.
Further IT-related initiatives are
anticipated for FY 2009. OGE last
upgraded its personal computers in 2002. Life expectancy for desktop computers
is normally three to four years and OGE will have far exceeded that expectancy
by FY 2009. Funds are being requested in
FY 2009 to replace that aging equipment.
Conclusion
The Office of Government Ethics
will use its $13,000,000 FY 2009 budget request to support its mission of
fostering high ethical standards for executive branch employees and, thereby,
to enhance the public’s confidence that the Government’s business is conducted
with impartiality and integrity. OGE
will employ its resources to achieve its strategic goals of strengthening the
ethical culture within the executive branch, preventing conflicts of interest,
promoting good governance and preparing for one of OGE’s most critical roles:
supporting the transition to a new Administration. OGE will assist with the transition in a
myriad of ways, including assisting with post-employment issues for the
outgoing officials and financial disclosure for incoming nominees and
officials. As evidenced by its many
achievements in FY 2007, the carefully planned activities for FY 2008, and the
intense focus on supporting the transition to a new Administration in FY 2009,
OGE is prepared to undertake mission-critical tasks and an array of new
initiatives to reach its new strategic goals.