ONDCP Processs for Confidential Financial Disclosure Report Filers

I. Identification Filers

A. OGE regulations provide general criteria for who should file confidential forms (5 CFR § 2634.904.) These criteria include involvement in contracting or regulating or auditing any nonfederal entity, and other activities in which the final decision will have a direct substantial economic effect on the interests of any nonfederal entity.

B. The Ethics office provides this guidance to the divisions which in turn determine which positions meet the filing requirements. Based on the guidance, divisions will identify on the position requisition form the filing status of the position (that is, filer/non-filer). Ethics officers will meet with division administrators as needed to go over the criteria and assist in their application. This information is then entered into the Human Resource ASAP PeopleSoft database, which, in turn, is downloaded into the Ethics Program's FDDTRACS.

C. The Ethics Coordinator, in consultation with the DAEO, will review the determinations of the divisions to ensure that designated employees meet the regulatory criteria and that the divisions have applied the criteria consistently. For example, if a division identifies a new employee as a filer, but another employee having the same grade and job title is not required to file, the Ethics Coordinator may need to question the decision. Frequently there is a valid explanation for the difference in treatment based on different job responsibilities. However, the Ethics Coordinator will make a note of the explanation. Should disagreements over filer status occur between the Ethics Coordinator and the division administrator, disagreements will be resolved by the DAEO. Once agreement has been reached on the filing status of all employees, the Ethics Coordinator will notify the HR-ASAP contact any changes to a position's filing status. The Ethics Coordinator will review FDDTRACS to ensure that the change in status has occurred.

D. Any individual or class of individuals, including SGEs may be excluded from all or a portion of the confidential reporting requirements, if an interest is remote. See 5 CFR § 2634.905.

II. New Entrant Filers (either new Board employees or current Board employees who move into a filing position)

A daily PeopleSoft e-mail from the Management Division that provides data on all employee actions is sent to the Designated Agency Ethics Official, the Deputy Designated Agency Ethics Official and the Ethics Coordinator. This PeopleSoft e-mail contains the type of action, name, social security number, grade, etc. of employees who received a salary action on that day.

B. The Ethics Coordinator reads the e-mail. Looking for new confidential financial disclosure filers. Any promotion or new hires are noted.

C. After reviewing the e-mail, the Ethics Coordinator prepares an e-mail memo to the division/office administrator listing the employee(s) who have experienced a salary action. The e-mail will list the name of the employee, the employee's position, grade, and his or her filing designation (Y/N). The e-mail asks that the administrator verify the filing designation, if accurate. If the filing designation is inaccurate, the administrator changes it on the memo. In all cases, the e-mail is returned to the Ethics Coordinator.

D. After receiving the e-mail form the administrators, the Ethics Coordinator will prepare a package for all new confidential filers. The package includes a new entrant memo, a blank form and a return envelope. The package is sent to the new filer's Division Administrator with instructions to deliver the package to the new filer and the Administrator is also informed of the date the report should be returned.

E. If there is a change to be made to the filing status of any employee, the Ethics Coordinator will notify HR-ASAP to make the change in PeopleSoft. The Ethics Coordinator will then check the master list in FDDTRACS to verify that the new filers' name is included on the filing list.

F. Periodically, the memos should be used by the Ethics Coordinator to verify that the master list of filers is accurate.

III. Annual Filers

A. On or about December 15, the Ethics Coordinator will run a complete list from FDDTRACS of all employees by division and then highlight those employees who file a confidential financial disclosure report. This list and a memo stating the filing criteria are sent to each division for verification of the list's accuracy. Any changes are reviewed by the Ethics Coordinator. Any differences in opinion about the filing status of an employee are discussed between the Ethics Coordinator and the office in charge of the employee. All agreed-upon changes are given to the Ethics Coordinator so that the mater list of filers can be updated.

B. On or about January 10 th of each year, the Ethics Coordinator will hand deliver or send inter office mail to all administrators a sealed package for each filer in the division. The package will contain the following items;

Upon receipt of the packages, the Administrator will distribute them to the appropriate filers.

C. After completing the financial disclosure forms, employees return the forms to the Ethics Coordinator. All must be returned no later than February 15. For good cause shown, the Deputy DAEO may grant an extension. No extension or series of extensions) can total more than 90 days .

D. As forms are received, the Coordinator will note the date of receipt on the form and compare the forms to the master list, ensuring that all filers have returned a financial disclosure report. Five days before the due date, the Ethics Coordinator will e-mail reminder to all employees who have not yet submitted their reports.

E. The Coordinator will perform an initial review of reports, following the process described in section IV below.

F. After the initial review is completed, the Ethics Coordinator will forward the forms to the DAEO and other reviewers. The reviewers will perform the review following the procedures described in section IV below.

G. All forms are to receive an initial review within 60 days of filing. Explanatory notes by the Ethics Coordinator should accompany any forms that do not meet this deadline.

IV. Forms Review

A. As part of the initial review of all reports, the Ethics Coordinator will perform the following steps:

The Ethics Coordinator will then forward complete forms to the DAEO and other reviewers for review.

B. The DAEO performs the review of the reports of all new filers. The DAEO will contact each filer by telephone or e-mail if, within her judgment, the filer's financial holdings or duties raise potential issues.

C. The reviewers will review all other forms for potential conflicts of interest consulting, when necessary, with the division or the individual employee to find out more about the scope of the employee's duties.

D. For forms that require further follow up, the employee will be contacted. The reviewer will call or e-mail the employee and note the change on the form where possible, or will detail the question(s) that need to be addressed in the e-mail. A copy of the e-mail is placed in the employee's file or the telephone discussion is noted on the form.

E. For forms that present issues under applicable laws and regulations, the reviewer will notify the filer, giving the filer a reasonable opportunity to respond verbally or in writing. After the response is received, the reviewer will determine whether or not the filer is in compliance with applicable law and regulations. If the response does fulfill the requirements, the reviewer will sign and date the report. If the response does not fulfill the requirements, the DAEO will determine what remedial action should be taken. Once the action is determined, the filer will be notified in writing of the action needed and the date by which such action should be taken. The remedial action will include such things as divestiture, resignation of a position, restitution, etc.

F. After the forms have been completely reviewed and signed of by the reviewer, the Ethics Coordinator will enter the date received, the initial review date, and the final review date into FDDTRACS.

V. Record Retention

After forms have been signed, the Ethics Coordinator will file them (and any accompanying documentation) in the individual's file which is maintained alphabetically by the division. These reports, which are maintained in locked cabinets, will be retained for 6 years.