November 24, 1993
DO-93-034
MEMORANDUM
TO: Designated Agency Ethics Officials, General Counsels
and Inspectors General
FROM: Stephen D. Potts
Director
SUBJECT: Program Plan of Agency Reviews for Calendar Year 1994
Attached for your information is the program plan of agency
ethics reviews scheduled by the Office of Government Ethics (OGE)
for calendar year 1994. We have also attached the audit guidelines
used by OGE staff in performing these reviews. This is to alert
you to our objectives for this year, to the elements we will be
reviewing, and to afford you the opportunity to meet with OGE staff
to discuss this review before it occurs. It also allows you time
to make revisions to your program prior to our review. The program
plan may be of some assistance as you address budget issues within
your agency.
The plan lists reviews for 2 departments, 13 separate agencies
within 7 departments, and 17 independent agencies. It also
includes 15 regional offices and 17 military installations. We
also will perform a single issue review in 10 agencies to analyze
how agencies are making determinations as to what positions are
required to file confidential financial disclosure statements. It
appears that the number of positions being required to file under
the new system has grown dramatically, when we expected fewer
positions would have to file. We will report the results of this
review to you and hopefully be able to give further guidance.
Our focus this year will be on looking at how well new
components of the program are being administered, including the
standards of conduct, the confidential financial disclosure system,
and the GSA travel reimbursement program. We will also examine
what problems, if any, agencies are having in implementing their
training plans. With proposed budget cuts a possibility for fiscal
year 1995 for many agencies, we will emphasize in letters to agency
heads the importance of maintaining the staffing and support for
the ethics program.
_______________________________________________________________________
Designated Agency Ethics Officials,
General Counsels and Inspectors General
Page 2
We will attempt as much as possible to stick to this schedule.
However, as past experience has shown, the schedule may slip due to
problems that occur during reviews, staffing problems, or higher
priority work within OGE. If for some reason reviews from the
first quarter are cancelled, we will pull up agencies from later
quarters and review them earlier than is in the plan.
Our usual practice once a review has been completed is to send
a report to the Designated Agency Ethics Official (DAEO) with
recommendations for improving the program. We ask the DAEO to
respond to our recommendations within 60 days as to the actions he
or she has taken or plans to take. We also send a copy of the
report to the agency head with a transmittal letter. In this
letter we will highlight our major concerns about the program, if
any, especially if we believe more support or staffing is needed
for the program.
We do not routinely send our reports to the Congress, although
about twice a year a congressional committee will ask for a copy of
a report for an agency under its jurisdiction. These requests are
granted and the agency DAEO is informed that we have received such
a request. Past experience has shown that these requests normally
are made a year or more after the review has been finished.
We do not send copies of our reports to the news media, nor
issue press releases concerning the reports. Periodically we do
release reports to the news media in response to Freedom of
Information Act requests.
The agency DAEO will be contacted by phone approximately one
month prior to our entrance into the agency. Should there be a
serious reason as to why you cannot receive us at that time, please
call Ed Pratt, Chief, Program Review Division, at (202) 523-5757,
ext. 1115, to discuss rescheduling. Should you wish more
information about the review process, or wish to discuss your
agency's program prior to the review, please call the audit manager
listed in the attached program plan who is responsible for your
agency. Irvin Williams (ext. 1150) and Gerald Chaffinch
(ext. 1157) may also be reached at the number listed above. Should
you wish, they will schedule a time to meet with you to discuss our
review procedures, our expectations, and any concerns you may have.
_______________________________________________________________________
Designated Agency Ethics Officials,
General Counsels and Inspectors General
Page 3
In the past we have found the review process to operate very
smoothly. In many instances agencies use our report to get more
support, staffing and funding for the ethics program. Please alert
us to problems you may have in this regard, as such problems will
be brought to the attention of the agency head.
We hope that this answers some of your questions concerning
our program review process. Should you have any questions or need
assistance other than that listed above, please call
Jack Covaleski, Associate Director for Program Assistance and
Review, at (202) 523-5757, ext. 1120.
Attachments
_______________________________________________________________________
PROGRAM REVIEW SCHEDULE
JANUARY - MARCH 1994
AUDIT MANAGER - IRVIN WILLIAMS
1. Internal Revenue Service (Treasury)
--Include regional offices in New York and Philadelphia
2. Tennessee Valley Authority (Oak Ridge, TN)
3. Army Missile Command (Redstone Arsenal, Alabama)
4. Federal Deposit Insurance Corporation
--Include Resolution Trust Corporation
5. Department of Health and Human Services
6. Hill Air Force Base (Clearfield, UT)
AUDIT MANAGER - GERALD CHAFFINCH
1. Federal Aviation Administration (Transportation)
--Include regional offices in Kansas City, MO
and Des Plaines, IL
2. Centers for Disease Control (Atlanta, GA)
3. U.S. Coast Guard (Transportation)
4. Air University Command (Maxwell AFB, AL)
5. Securities and Exchange Commission
--Include regional offices in New York and Chicago
6. White Sands Missile Range (White Sands, NM)
_______________________________________________________________________
PROGRAM REVIEW SCHEDULE
APRIL - JUNE 1994
AUDIT MANAGER - IRVIN WILLIAMS
1. Single Issue Audit: Agency Determinations as to Positions
Required to File Confidential Financial Disclosure Reports
2. Defense Intelligence Agency
3. Patent and Trademark Office (Commerce)
4. Fort Huachuca (Sierra Vista, AZ)
5. Central Intelligence Agency
6. National Security Agency
7. Federal Bureau of Investigation (Justice)
--Include field offices in Washington, DC and New York
AUDIT MANAGER - GERALD CHAFFINCH
1. Army / Air Force Exchange System (Dallas, TX)
2. Federal Election Commission
3. Department of State
4. National Defense University (Ft. McNair)
5. U.S. Information Agency
6. Consumer Product Safety Commission
--Include regional offices in New York and Chicago
7. Puget Sound Naval Shipyard (Bremerton, WA)
_______________________________________________________________________
PROGRAM REVIEW SCHEDULE
JULY - SEPTEMBER 1994
AUDIT MANAGER - IRVIN WILLIAMS
1. Peace Corps
2. Letterkenny Army Depot (Chambersburg, PA)
3. Robins Air Force Base (Warner Robins, GA)
4. Federal Energy Regulatory Commission (Energy)
5. Fort Detrick (Frederick, MD)
6. Rock Island Arsenal (Rock Island, IL)
AUDIT MANAGER - GERALD CHAFFINCH
1. Commodity Futures Trading Administration
--Include regional offices in Chicago and Kansas City
2. Naval Air Station (Pensacola, FL)
3. National Oceanic and Atmospheric Administration (Commerce)
--Include the regional office in Seattle
4. Navy Weapons Support Center (Crane, Indiana)
5. Federal Mediation and Conciliation Service
6. Railroad Retirement Board (Chicago, IL)
_______________________________________________________________________
PROGRAM REVIEW SCHEDULE
OCTOBER - DECEMBER 1994
AUDIT MANAGER - IRVIN WILLIAMS
1. Federal Emergency Management Agency
2. U.S. Postal Service
3. Small Business Administration
--Include regional offices in Dallas and Atlanta
4. Comptroller of the Currency (Treasury)
5. U.S. Army Engineering Center (Ft. Belvoir, VA)
6. Interstate Commerce Commission
AUDIT MANAGER - GERALD CHAFFINCH
1. Postal Rate Commission
2. Naval Investigative Service
3. Social Security Administration (HHS)
4. National Institutes of Health (HHS)
5. Fort Benning (Columbus, GA)
6. Fort Bragg (Fayetteville, NC)