May 7, 1998
DO-98-017
MEMORANDUM
TO: Designated Agency Ethics Officials
FROM: Stephen D. Potts
Director
SUBJECT: Update of Listing of Executive Branch Agency Officials
Subject to Annual Public Financial Disclosure Report
Filing with the Office of Government Ethics (OGE) for
CY 1997
Title I of the Ethics in Government Act of 1978, as amended,
requires annual public financial disclosure reports to be filed
with the appropriate department or agency no later than May 15.
Attached is a list of the names and positions of Presidential
appointees confirmed by the Senate (PAS), and Designated Agency
Ethics Officials (DAEO) who were required to submit either an
annual or new entrant SF 278 for CY 1996 to this Office for final
review and certification. The list also includes PAS officials who
worked less than 60 days in CY 1996 and were not required to
complete an annual report covering that year.
Please annotate this list to reflect any changes to (additions
or deletions) the officials named or positions identified. For
example, please note whether an official has terminated or
transferred from the position and the termination or transfer date.
For transfers, please indicate whether the official transferred
within 30 days to another covered position (PAS or non-PAS)
requiring SF 278 reporting. If not, a termination report is
required within 30 days of the transfer. In addition, please
indicate which officials did not work more than 60 days in CY 1997
and are not required to file an annual report. Conversely, please
add to the list the names of any PAS special Government employees
who actually worked in excess of 60 days in CY 1997 at an annual
rate of basic pay equivalent to 120 percent of GS-15, step 1, which
equaled $85,073 or ($326.10 per day) in CY 1997. However, do not
include the names of officials serving in PAS positions in an
acting capacity, because those officials do not go through Senate
confirmation. Finally, while Schedule C employees do not submit
their reports to this Office, they are required to file SF 278s
with their agencies, unless they have received filing exclusions
from the Director of OGE.
Please return the list, as annotated, to this Office by
May 27, 1998.
Designated Agency Ethics Officials
Page 2
The annual SF 278s for the PAS officials and DAEOs identified
on this list should be submitted to OGE as soon as approved by the
department or agency, but not later than September 15, 1998. This
date allows for agency review and approval of the reports and takes
into account any possible filing extensions. In instances where
the report cannot be approved by the agency and submitted to this
Office by September 15, due to pending resolution of a conflict of
interest, or the need for additional information or clarification,
we ask that you notify us, in writing, by September 15, of the
names and positions of the officials involved, the nature of the
problems, and the date you expect to transmit the report to this
Office.
This Office will be following up on the late filing of reports
submitted by PAS officials and DAEOs. To assist us in this effort,
we ask that you note any agency-granted filing extensions on the
officials' SF 278 cover sheet. Finally, we request your assistance
in providing us with changes to this list as they occur throughout
the year. Although agencies are not required to provide such
periodic information, we have found that the receipt of this
information on an ongoing basis enables us to compile more accurate
annual filing lists.
For your convenience, we have provided the 1998 due dates for
annual reports as well as the 45-day and 90-day filing extensions
as shown below:
1998 Due Dates
Report Late if $200 Fee Due if
Filed After Report Filed After
______________________________________________________________
Annual Reports May 15 June 15
45-Day Extension June 29 July 29
90-Day Extension August 13 September 14
As a reminder, the DAEOgram of January 29, 1996 (DO-96-006),
provided information regarding new reporting categories for
SF 278s filed on or after January 1, 1996. Section 20 of the
Lobbying Disclosure Act of 1995 (Public Law 104-65) amended the
Ethics in Government Act of 1978 to require new categories of
amount or value on public financial disclosure reports for assets,
income and liabilities exceeding $1 million (except for interests
of a spouse or dependent child, unless jointly held with the
filer). Please ensure that all reports are appropriately annotated
on the SF 278 or on an attachment, if filers have disclosable
interests that fall within these high-value categories.
Designated Agency Ethics Officials
Page 3
If you have any questions, please contact Tom Zorn, Chief,
Financial Disclosure Division, or Mike Shifrin at 202-208-8000,
extension 1123, or extension 1155, respectively.
Attachment (not included with this file)