Ethics
Newsgram
Office of Government Ethics
for the Executive Branch
Summer Issue 2002 Vol. 19 No. 3
Continuous communication and timely sharing of information are key factors in the success of the executive branch ethics program. One way of making communication more effective, and ethics opera-tions more efficient, is through a greater use of technology. A number of initiatives currently in place or under development at OGE seek to expand the use of information technology systems in order to make the ethics program work better, faster, cheaper.
* OGE is developing an electronic version of the SF 278 financial disclosure report that can be completed, submitted, reviewed, and stored on-line with an electronic signature. Initially, this Web-based system will be available for use by about 1,200 filers, mostly in Presidentially appointed, Senate confirmed positions. The system will eventually be expanded for use by all public filers. The start up phase is planned to be operational by October 2003.
* OGE expects to soon have an expanded email system that will allow the more than 8,000 ethics officials throughout the country to sign up on the mailing list and receive news of the latest ethics developments on a weekly basis. OGE has already been distributing ethics advisory memoranda electronically to approximately 225 ethics officials and has received favorable comment on this system.
* OGE recently acquired video conferencing capability. This new system provides another means of conducting ethics training and facilitating meetings between OGE staff and ethics officials and others. The system includes a document camera that can be used to transmit images of letters, forms, or objects to those who are viewing the transmission.
* OGE is also working on a system that will allow agencies to submit electronically certain reports to OGE. Eleven reportsor transactions (such as reports of travel payments accepted from a non-Federal source, and the annual agency ethics questionnaire) that are currently being submitted in paper format could be submitted electronically. This closed and secure Web-based system will allow for on-line entry of transactions and reports.
Other uses of technology that we are looking into include expanded computer-based training, new features on the OGE Web site, and an on-line forum for ethics officials to discuss ethics issues. I encourage ethics officials to develop new ways to use technology to advance your own programs and to share with me your ideas for using technology to improve the ethics program for the executive branch.
To the extent that we can use technology to reduce administrative burdens and perform operations more efficiently, we can free up resources for key functions like training and counseling which should be our primary tools for resolving conflicts.Thus, technology can help us better fulfill the goal of our program - keeping the public trust and fostering public confidence in Government leaders and employees.
Amy L. Comstock
Ethics News and Information Mailing List Coming Soon!
The Office of Government Ethics will launch an ethics community mailing list in September 2002. The Ethics News and Information email list service will be OGE's primary means of communicating with executive branch ethics officials and other Government employees. OGE will use the list to provide timely information to the ethics community about changes in ethics regulations, statutes, interpretations, guidance, etc., as well as upcoming events such as the conference and ethics training.
You can subscribe to the mailing list through OGE's Web site under the Ethics Community Services section. Any questions regarding this new service should be directed to Barbara Mullen-Roth at bamullen@oge.gov .
OGE Says Farewell to the Newsgram
The Summer 2002 edition will be the final issue of the Government Ethics News, otherwise known as the "Newsgram." OGE will be inaugurating the Ethics News and Information email list service in September 2002 to provide more timely information on the executive branch ethics program to the Government community (see article on page 2). As such, this service will replace the Newsgram. For those outside of Government, we invite you to visit the OGE Web site as we continually update it with the latest ethics news and information. If for any reason you feel you are not getting the information you need, please email us at newsgram@oge.gov .
OGE Provides Guidance on 18 U.S.C. § 205 and Outside Organizations
OGE issued DAEOgram DO-02-018, (July 15, 2002) to emphasize that 18 U.S.C. § 205, which prohibits an employee from serving as agent or attorney before the Government on behalf of another person, is not implicated by an employee's service as an officer or otherwise in an outside organization when that service does not include such representational activity. This guidance was issued in response to concerns recently expressed by several non-governmental groups that some agencies have been interpreting section 205 as preventing Federal employees from holding office in, or otherwise participating in the affairs of outside organizations, even in the absence of any representational activities. OGE's memorandum emphasizes that section 205 should rarely prevent a Federal employee from serving with an outside organization when no representational activities are anticipated.
OGE Delegates Filing Extension and Waiver Authorities
OGE has issued a final rule to amend the regulations describing procedures for granting filing extensions and late filing fee waivers under the public financial disclosure system. Effective September 3, 2002, agencies will have the authority to (1) grant public filers the additional extensions of time, which shall not exceed 45 days, to file their public financial disclosure reports; and (2) waive the late filing fee. Currently, only the OGE Director can grant additional 45-day extensions and late filing fee waivers. The late filing fee waiver revision also expands the definition of extraordinary circumstances to include administrative oversight culminating in the failure to notify a new entrant, first-time annual, or termination public filer of the filing requirement.
OGE believes that these delegations of authority will expedite both processes, will grant agencies additional authority to make determinations affecting their employees, and will free up OGE resources to pursue other important Government ethics responsibilities. See 67 FR 49856-49857 (August 1, 2002) and DAEOgram DO-02-019 (August 8, 2002) for further information on the technical amendments.
OLC Issues Opinion on Commencement of Officer or Employee Status
On May 8, 2002, the Office of Legal Counsel (OLC), Department of Justice, issued an opinion to OGE addressing the question of when an individual who has been appointed by the President after Senate confirmation becomes an "officer" or "employee" for purposes of Federal ethics requirements. See Memorandum of M. Edward Whelan III, Principal Deputy Assistant Attorney General, for Marilyn L. Glynn, General Counsel, Office of Government Ethics, "Application of Conflict-of-Interest Rules to Appointees Who Have Not Begun Service," May 8, 2002. The OLC opinion deals specifically with the question of whether such an individual becomes an officer or employee immediately upon appointment.
OLC concluded that "the conflict of interest rules do not apply by virtue of the appointment alone but instead apply only after the appointee has begun the duties of his office." Id. at 1. The opinion relies on the definitions of officer and employee in 5 U.S.C. §§ 2104 and 2105, which require, in addition to an appointment, the performance of a Federal function, subject to the supervision of a Federal official. According to OLC, an individual who has received an appointment but has not yet performed any Federal duties cannot be said to be engaged in the performance of any Federal function under Federal supervision. The opinion does not specify how to determine when a given official has begun the duties of his or her office, but states that such determinations "are identical to . . . the routine determination of the time when the official begins to accrue his salary." Id. at 8.