Annual Program Performance Report
Office of Government Ethics for FY 2005
Mission:
The Office of Government Ethics exercises leadership in the executive branch to prevent conflicts of interest on the part of Government employees, and to resolve those conflicts of interest that do occur. In partnership with executive branch agencies and departments, we foster high ethical standards for employees and strengthen the public’s confidence that the government’s business is conducted with impartiality and integrity.
The strategic plan for the Office contains four strategic goals. In our FY 2005 annual performance plan, OGE set forth additional performance goals for each of these strategic goals. This report describes OGE’s success in meeting those performance goals.
Strategic Goal I: OGE will provide overall policy direction to the executive branch ethics program.
The four Performance Goals supporting this strategic goal focus upon OGE’s ability to develop, evaluate and promote ethics policies for employee conduct that protect executive branch processes from conflicts of interest, as well as appearances of conflicts of interest; ensure that these policies are consistent, reasonable, and understandable to employees; serve as the primary authoritative source of Federal executive branch ethics policy; and solicit the advice of agency ethics officials in policy-making processes.
1. Performance Goal: OGE will maintain a strong working relationship with OMB so that OGE advice is sought and used in 90% of legislative and policy issues having a substantial effect on the executive branch ethics program.
The Office continued to have a strong working relationship with OMB throughout the year, receiving 129 requests for OGE’s views on draft and pending legislation, draft testimony and enrolled bills. OGE’s views were utilized in all instances where there would be a substantial impact on the executive branch ethics program (although we were not successful at convincing a Department to seek the repeal of a long-standing exemption found outside the conflicts laws for a small number of special Government employees.) Regardless of the issues on which OGE’s views were sought, OGE met its responsibilities to this internal Governmental policy process by responding to each of the requests within the time set by OMB, thus allowing for a full opportunity for OGE’s views to be considered.
2. Performance Goal: OGE speaks continuously on a formal or informal basis to ethics officials, enforcement officials, the White House or Congress with regard to any recommendations for changes or additions to present policies or with regard to the recognition of any trends that serve as a precursor to a needed policy change.
Within six months of formally identifying a needed policy change, OGE will draft a proposal to implement that policy.
On a formal and informal basis throughout the year, OGE continued to meet with ethics officials, enforcement officials, policy makers and Congress. With regard to the ethics official community, OGE’s Acting Director met periodically with ethics officials to discuss ethics program and policy issues, and convened informal meetings on various subjects as the need arose. For example, OGE specifically sought input from ethics officials this year about two reports required of OGE to be submitted to the President and to Congress -- one on financial disclosure and the other on the criminal conflict of interest statutes -- and on the need and desirability of a tailored national interest exemption to 18 U.S.C. § 207 for the executive branch. OGE staff also attended the monthly interagency ethics council meetings to hear common concerns that raise policy considerations and held a three-day Government ethics conference that was attended by approximately 600 ethics officials rom throughout the executive branch.
With regard to the investigating community, OGE’s Acting Director participates as a member of the PCIE and the ECIE and either personally or with staff participated in seminars hosted by IG’s. These links of communication help to identify trends discussed within the investigative community as well as to provide venues for the discussion of common interests. With regard to prosecutors, OGE continued to survey annually all U.S. Attorneys’ offices and the Department of Justice’s Criminal and Civil Divisions for information on prosecutions being conducted and continued to work closely with the Public Integrity Section regarding matters referred to that section.
OGE’s Acting Director or OGE staff consulted with the White House and the Department of Justice on numerous matters relating to needed changes in ethics policies, including for example, exemptions to certain statutory prohibitions. In particular, during this year, the discussions helped inform OGE’s work on the report on the public financial disclosure system and its analysis of the conflicts of interest laws for a report to be completed in FY 2006.
3. Performance Goal: Within six months of determining to seek a needed statutory change, OGE has submitted it for clearance to OMB and, after clearance, pursues it to enactment within 18 months at least 75% of the time.
During the latter half of this fiscal year, OGE drafted, cleared through OMB and sent to Congress a bill that would reauthorize the Office until FY 2011. In addition, a large agency began the process to redefine various terms in 18 U.S.C. § 207 for some of its employees. Their underlying concern had also been expressed to OGE by other agencies. As it is OGE’s policy to promote continued uniformity in the application of the criminal conflict of interest laws, OGE worked with the most affected agencies and then drafted and cleared through OMB a provision that would establish a national interest waiver within section 207 in narrowly-specified circumstances for all employees of the executive branch. Both proposals are under discussion in this Congressional session and, if not acted upon, will continue to be pursued during the next session.
4. Performance Goal: OGE will maintain strong relationships with the Departments of State and Justice (and others) so that they seek and employ OGE advice and assistance in 90% of the international negotiations or agreements having an actual or potential effect on the executive branch ethics program.
This fiscal year was marked by OGE’s considerable participation at the request of and in conjunction with the Departments of State and Justice in U.S. international anti-corruption initiatives and with existing agreements containing mutual evaluation mechanisms in which the U.S. was or is soon to be evaluated. (Reports issued on the basis of those evaluations could contain recommendations to the U.S. regarding OGE’s programs.) The Departments relied upon OGE as a primary contributor to the U.S. written responses to the questionnaires for two multi-disciplinary mutual evaluation mechanisms: the second round evaluation of the Council of Europe’s Group of States Against Corruption (GRECO), and the first round of evaluation under the follow-up mechanism for the implementation of the Inter-American Convention Against Corruption (MESICIC). In addition, OGE served as the principal substantive U.S. representative in the evaluation and subsequent Committee of Experts discussion and adoption of the U.S. report by MESICIC and was the principal substantive evaluator of two other member countries on behalf of the U.S. (The second round GRECO evaluation will occur in FY 2006 and OGE is fully engaged in the U.S. preparations for that review.)
During this fiscal year an OGE employee, who was already serving as an onsite expert evaluator for other GRECO member states (2 in FY 2005) was also designated by the State Department as an Alternate U.S. representative to GRECO and as a U.S. expert for conflict of interest projects of the OECD Public Governance and Territorial Development Directorate. OGE assisted the Departments of State and Justice in an Initiative for Good Governance and Development in the Arab Countries and the U.S. participation in the Fourth Global Forum Against Corruption, a biennial ministerial level meeting initiated by and receiving continued support of the U.S. OGE also sent a representative to Peru, at the request of the Department of State, to participate in a week long anti-corruption program to conduct a seminar on financial disclosure for the Peruvian equivalent to the Government Accountability Office.
There were no negotiations of international agreements having an actual or potential effect on the executive branch ethics program during the fiscal year. The negotiations for the most wide-ranging and important agreement, the UN Convention Against Corruption, were concluded at the end of the previous fiscal year. Since that time at the request of the State Department, OGE has reviewed documents necessary for purposes of ratification of the Convention by the U.S and the implementation of the Convention world-wide.
Strategic Goal II: OGE will support the President, executive branch agency ethics heads and employees in administering effective, fair, and consistent ethics programs within the executive branch and individual agencies.
The six Performance Goals supporting this strategic goal focus upon OGE’s ability to: provide evaluations of agency ethics programs to agency heads and ethics officials which identify strengths and weaknesses of the program; make specific recommendations for program enhancements designed to help ensure integrity in Government operations; provide timely and accurate written and oral opinions and be available for informal consultations concerning matters involving the applications of the Standards of Conduct, criminal conflict of interest statutes, and other related statutes and regulations; provide technical assistance to agencies in order to implement well-run and employee-helpful agency ethics programs; provide expert review and conflict of interest analysis of the new, annual and termination financial disclosure reports filed by Presidential appointees requiring Senate confirmation in order to assist agencies in providing appropriate advice on and taking appropriate actions to prevent financial conflicts of interest by those appointees; evaluate follow-up by agencies and officials regarding ethics commitments made by nominees during the confirmation process; and promote the importance of the ethics program to department and agency heads and other Government officials in order to secure personal commitment and sufficient agency resources.
1. Performance Goal: Over a four year cycle, OGE will conduct ethics program evaluations of all Federal agencies focusing OGE’s legal, educational, and program assistance resources in assisting agencies in the development of better ethics systems and the resolution of outstanding ethics issues. OGE will also evaluate major ethics issues during single issue reviews to determine whether OGE and agencies are effectively meeting intended objectives.
To meet this performance goal, OGE will conduct evaluations in 35 agencies and conduct a single-issue review or survey in FY 2005. OGE will make recommendations to improve the program when deficiencies are found in systems and procedures. OGE will also share with agencies the best practices and procedures found during program evaluations. These will be shared with agencies during program evaluations, and also publicized on OGE’s website and other forms of communication and outreach.
OGE continued to conduct agency program evaluations at a pace that meets a four year cycle, conducting 34 evaluations during this year. Prior to commencing eight of these evaluations, OGE also conducted a survey of the employees of each of the eight agencies to help assess the effectiveness of its program and the agency’s ethical climate from the employees’ perspective. The results from these surveys helped focus OGE’s on-site evaluations of those agencies and will provide useful benchmarks for subsequent evaluations of these agencies. The surveys also provide OGE with valuable information and insights concerning issues, trends, training needs and related matters of significance to the ethics community generally.
Agency evaluation reports, as appropriate, include recommendations with regard to deficiencies found as a result of evaluations. Six months after issuing a report to an agency that contains recommendations, OGE conducts a follow-up visit to review the agency’s progress in addressing those recommendations. Timely corrections by the agencies made in response to OGE recommendations fell short of our goal for the fiscal year, but fortunately were completed shortly into the current year.
2. Performance Goal: OGE will track and monitor the ethics agreements of Presidential appointees confirmed by the Senate concerning their financial interests and ensure that such agreements are satisfied within 90 days of confirmation or within time frames established during the confirmation process. Ethics agreements may call for divestitures, qualified trusts, recusals, seeking waivers of 18 U.S.C. § 208, or resignations from positions. OGE will take action to resolve cases where agreements have not been satisfied.
OGE redesigned and streamlined its oversight of the compliance component of the ethics agreement program and, as a result, has increased its efficiency and consistency in reminding agencies about providing notice to OGE regarding an appointee’s compliance with the steps necessary to avoid actual or apparent conflicts which the appointee agreed to during the nomination/confirmation process (ethics agreement). In FY 2005, OGE tracked 203 ethics agreements and in 95.5% of the agreements received from agencies information necessary to conclude that the appointees fully satisfied all promised actions within required timeframes. After follow-up by OGE, evidence of compliance was received from agencies for all remaining items.
3. Performance Goal: The Program Services Division staff will respond to a large number of requests for advice and information on administering an effective agency ethics program, applying the Standards of Conduct, the criminal conflict of interest statutes, financial disclosure regulations and other related rules and regulations. The advice and information will be adequate in 99% of the cases. The Program Services Division will initiate the dissemination of information and advice on administering an effective ethics program when necessary and appropriate.
The Program Services Division staff answered more than 8,000 questions from ethics officials: providing advice and counseling on the conflict of interest statutes, Standards of Conduct regulations, program operations, and instruction on reviewing financial disclosure reports. Based on the number of phone calls questioning the accuracy of answers provided, the advice and information was determined adequate in over 99% of the cases. In 90% of the requests, responses were provided within two days. During FY 2005, OGE also increased by 9% the number of subscriptions to our Ethics Information E-Mail Service (2,354 subscriptions representing 120 agencies). This service provides an effective way to communicate quickly and directly to a large number of ethics officials, especially those working outside the Washington, DC area. Forty-one announcements were made using this service, covering such topics as OGE’s program review plan, the OGE ethics conference, training opportunities, and reminders about various deadlines.
4. Performance Goal: The Office of General Counsel and Legal Policy will respond to a large number of requests from agency ethics officials, the Department of Justice, the White House, Inspectors General, Congress, executive branch employees, and members of the public for interpretations of the Standards of Conduct, the criminal conflict of interest statutes, and other related statutes and regulations. The interpretations will be adequate in 99% of the cases.
In 90% of the cases, OGE attorneys will respond to requests for information and for oral statutory and regulatory interpretations within two workdays of obtaining the information necessary to respond. In 75% of the cases, OGE attorneys will respond to requests for written statutory and regulatory interpretations within 20 workdays of obtaining the information necessary to respond. In addition, in order to measure the adequacy of the responses, the Office of General Counsel and Legal Policy will track the number of instances where a requester or other person contacts OGE questioning the adequacy of advice.
The Office of General Counsel and Legal Policy (OGC) received, and responded to, over 2,000 inquiries during FY 2005. Most of the advice rendered by OGC involved interpretations of complex issues stemming from application of the criminal conflict of interest laws, as well as the administrative Standards of Conduct. Examples of the types of issues handled included: when does a senior appointee serving as an advisor to the Administration become a regular Government employee; what post-employment rules apply to a former employee who worked on the Yucca Mountain project; and when do the conflict of interest rules apply to a Government official who serves on the Board of a private organization that lobbies the Government on behalf of its members.
OGC’s advice was consistently well-received, and rarely challenged. It was also provided on a timely basis: Almost 90% of the requests for oral advice received a response within two working days. Nearly three quarters of requests for written opinions were issued within 20 working days.
5. Performance Goal: The Director or a member of the staff shall meet with Members of Congress or their staffs on each OGE legislative initiative, on each bill which would amend or add to direct (core) ethics provisions, on each OGE appropriations bill and on at least half of bills seriously considered which contain agency specific ethics measures.
The Director shall meet with the head of each agency when the agency is to receive or has recently received a notice that the agency’s ethics program is not properly performing. The Director shall inform the White House Counsel of any findings by OGE when a corrective action order has been sent to an agency head that the agency’s ethics program is not properly performing.
Open and direct communications within the executive branch ethics program and with those outside the branch who can affect the program is always a critical aspect of helping to maintain an effective, fair and consistent program. Fortunately OGE did not need to seek a meeting with an agency head because no programs were found to be significantly deficient. However we did meet with agency heads and individuals in the White House and OMB on a variety of issues of interest including supplemental regulations and legislation. We also kept an open line of communication with Congressional staff, through the telephone and e-mail, and through personal meetings, when the issue was of significance to OGE as an agency or to the ethics program, i.e., financial disclosure legislation, amendments to the conflicts laws and appropriations. We also worked closely with the White House staff on the financial disclosure portion of the nominee clearance process, particularly as this was the first year of a new Presidential term.
6. Performance Goal: Track, collect, review, and certify the nominee, annual and termination financial disclosure statements of approximately 1,000 Presidential appointees confirmed by the U.S. Senate to assure Senate confirmation committees and executive branch agencies that appointees’ financial interests are free from conflicts of interest with the position to which they are appointed. OGE will assist filers in fashioning appropriate remedies to alleviate an actual or apparent conflict of interest. Filers may be advised to consider undertaking several different types of actions which are tailor-made to suit the circumstances. These actions, such as commitments to divest, create a qualified trust, recuse in certain circumstances, resign from certain positions or seek waivers of conflicts or impartiality standards, will be memorialized in ethics agreements that are approved by OGE.
One of OGE’s most important functions is the review of financial disclosure statements submitted by individuals nominated by the President to positions that required Senate confirmation. OGE devotes significant resources to analyzing draft financial disclosure reports, and to devising appropriate remedies to resolve potential conflicts of interest. This nominee review system ensures that the highest level appointees in the executive branch will be in compliance with applicable ethics rules. The system also ensures that the administration of ethics rules is consistent across the entire executive branch. OGE also monitors continued compliance with ethics rules by these top level officials: we monitor compliance with any ethics agreements that were entered into, and we review annual and termination financial disclosure statements submitted by these top appointees to determine whether any newly acquired interests might pose a conflict of interest.
In FY 2005, OGE reviewed a total of nearly 1,500 statements. Of this number, well over 300 were nominee statements, and the remainder were annual and termination reports. Of the nominee statements, over 96% were certified and sent to the Senate within two weeks of the nomination or receipt of the certified form from the appropriate agency. In addition, over 200 of the individuals who submitted nominee forms entered into ethics agreements. Of the annual and termination statements, over 86% were reviewed within 60 days of receipt, a 15% increase in timeliness over FY 2004.
Strategic Goal III: OGE will develop and make available to agencies innovative training and ethics education materials and promote and provide quality education and training experiences for agency ethics officials and employees.
The three performance goals supporting this strategic goal focus on OGE’s ability to provide quality education and training courses for agency ethics officials; provide accurate, consistent, beneficial and cost effective materials for agencies to use in their ethics education and training programs for employees; and create opportunities for inter-agency educational programs to disseminate information and encourage the sharing of ideas and knowledge.
1. Performance Goal: During the first half of the fiscal year, the Education Division will be completing course development and educational products begun in the previous fiscal year.
Within the second quarter of the fiscal year, the Education Division will perform an annual ethics training and education needs analysis executive branch wide to: (1) identify subjects ethics officials feel need to be emphasized in training courses and educational products developed by OGE for employees and ethics officials; and (2) identify agencies’ logistical needs, i.e., locations for conducting OGE ethics training courses and the types, media and distribution of educational products.
During the third quarter of the fiscal year, the Education Division will determine what topics and the types of courses and products it will begin to develop during the next fiscal year. During the fourth quarter of the fiscal year, the Education Division will develop a plan and schedule to produce these courses and educational products and will follow that schedule.
By the beginning of the fiscal year, the Education Division will have developed an instrument to evaluate each of the OGE conducted training courses during the fiscal year. The Education Division will collect and analyze the evaluations completed by students attending the courses. The Education Division will use the results of the analysis to monitor the effectiveness of the courses and to identify areas where improvement is warranted or that have been especially effective.
The Education Division will encourage agencies which use OGE developed training products (such as web based training, pamphlets or videos) to train employees, to evaluate the effectiveness of those products. The Education Division will supply agencies that agree to administer an evaluation with a short evaluation instrument.
During the first half of the year the Education Division completed development of two instructor-led courses. The Initial Ethics course is an employee course and is the foundation for the employee curriculum. It was designed to help agencies meet their requirement to provide ethics training to new employees within 90 days of the employee’s starting to work for the Federal Government. The Misuse of Position course was designed for ethics officials and addressed an area that, through our agency program surveys, we identified as the standard most frequently reported as a basis for administrative sanctions. The Misuse course rounded out the program of eight basic training courses offered to ethics officials.
The needs analysis was suspended in FY 2005 because the division was addressing issues raised in the FY 2004 analysis. In FY 2006, the division will revise its need analysis. The new analysis will be designed to better identify the tasks that lend themselves to training and expand the focus of training mediums the Office offers to to better capitalize on recent developments in technology.
OGE assessed the 53 training courses conducted in FY 2005 to determine whether the training was effective in meeting the needs of the ethics community. OGE also identified areas where the course materials needed to be revised and where the instructors needed to improve their delivery. The evaluations (with an average rating of 4.5 out of 5 in FY 2005 vs. 4.16 out of 5 in FY 2004) demonstrated that in spite of the changes needed, the courses and materials were well received by ethics officials.
In an effort to better assess the effectiveness of the training programs the ethics officials use to train their employees, the Education Division now incorporates evaluation instruments into the training. For the online courses, the evaluation instruments are built directly into the new web-based courses. This addition gives employees who complete the training ready access to the evaluations. The instruments developed for all the instructor-led courses are part of the instructional package distributed to ethics officials.
Materials produced by OGE continue to be in demand as OGE’s website had 21,223 visits to ethics educational products and over 2,000 videos were duplicated and distributed by OGE or through a vendor to ethics officials.
2. Performance Goal: Annually OGE will develop, administer, and analyze an executive branch-wide survey to determine the state of the ethics program, identifying trends and areas of weakness/strength which OGE will incorporate into and address in its policy-making, interpretation and opinion functions.
OGE sent an annual survey to 126 executive branch agencies and received completed surveys from all. The information in these surveys was used to analyze issues and trends in the ethics program and to help respond to questionnaires the U.S. was required to complete for purposes of mutual evaluation under international anti-corruption agreements. Survey results also provided a secondary needs analysis for additional training materials. Before conducting an evaluation of an individual agency’s program OGE analysts also used the information provided by the agency to help focus the evaluation.
3. Performance Goal: OGE will plan, develop, host and conduct an annual ethics conference for approximately 450 executive branch ethics officials where attendees will have an opportunity to participate in working sessions on the most current and common ethics issues, receive updates from OGE on all aspects of the ethics program and hear from outside sources and each other on the administration of their ethics programs. Immediately after the annual conference, OGE will identify from among the best rated concurrent sessions those that would be relevant for presentation to the regions. These sessions will be offered to ethics officials at selected regional locations as well as in Washington, DC.
OGE’s FY 2005 Ethics Conference was attended by 600 ethics officials representing 74.6% of the executive branch agencies. The conference continues to be a key element in educating and training ethics officials. In the conference, OGE expanded its traditional focus by including topics (such as appropriations law) that also must be considered by ethics officials to fully answer questions received from employees. OGE also offered its internally developed training courses at a pre-conference for ethics officials who had less than four years experience. During a plenary session, the Counsel to the President communicated the Administration’s goals for the ethics community. This session provided ethics officials with an opportunity to exchange information and ideas, an approach that was utilized throughout the conference and facilitated networking between ethics officials and other stakeholders, such as Inspectors General and Department of Justice officials. The conference received a score of 3.54 (on a 1-4 point scale) from attendees, which exceeded our target of 3 points.
Strategic Goal IV: OGE will administer an effective outreach program.
The three Performance Goals supporting this strategic goal focus upon OGE’s ability to foster a greater appreciation on the part of the public and future employees of the fact that there is a strong ethics program for employees of the executive branch and that ethics standards are enforced, as well as to share the programmatic and policy development experiences of OGE with other governments, non-profit organizations, corporations, professional and trade associations, and institutions of higher education who are pursuing the deveopment or enhancement of their own educational or ethics programs.
1. Performance Goal: OGE will seek to participate in 20 in-person or electronic presentations where the public will be able to hear about the executive branch ethics program and will pursue the publication of one article or speech by an OGE employee about the program (with a circulation of at least 2000.)
At the end of one and the start of another Presidential term, OGE’s resources are more focused on providing information within the Government on such issues as negotiating for employment, post-employment and financial disclosures of Presidential nominees. This fiscal year was no exception and while not meeting our target of 20, OGE personnel did provide 12 presentations to domestic audiences that were not current Government officials. The audiences were clearly within the targeted groups: graduate law and public policy students who may choose the Government as a career, professional associations whose members represent clients before the Government, and trade associations whose members seek to do business with the Government.
2. Performance Goal: OGE will establish target levels of responsiveness to requests for information under the Freedom of Information and Privacy Acts, as well as requests for public financial disclosure forms (SF 278), ethics agreements, waivers issued under 18 U.S.C. § 208(b), certificates of divestiture, blind trust documents and reports of agency acceptance of travel reimbursement under 31 U.S.C. § 1353. To meet this Performance Goal, OGE will establish internal response deadlines and meet them in 90% of the cases.
Transparency and responsiveness of Government to requests from the public for information is a fundamental part of good governance. Recognizing this, OGE established clear written standards for timeliness for its responses to requests from the public for documents maintained by OGE -- at least 90% of the requests would be filled within 20 working days of their receipt. This year we met that standard for all requests under the Freedom of Information and Privacy Acts and for all other requests for documents required to be maintained by the Ethics in Government Act or other specific law.
3. Performance Goal: OGE’s provision of technical assistance and information to representatives of foreign countries results in a positive, tangible response from recipients of more limited informational briefings at least 10% of the time and from recipients who receive more extensive (possibly in-country) assistance 50% of the time.
Addressing corruption and promoting integrity requires prevention, detection, investigation and prosecution. OGE administers one of the longest continual “prevention” programs in the world, and consequently continues to receive a number of requests from foreign governments and international organizations to provide technical assistance as they develop anti-corruption and integrity programs. In addition, the expertise of the Office continues to be sought within the USG for programs designed to meet US obligations under various international agreements and to promote anti-corruption foreign policy initiatives world wide.
With regard to assistance for those outside the U.S., the Department of State has recognized OGE’s expertise and the value of its assistance in promoting U.S. foreign policy initiatives and has provided OGE with funds in order to meet the travel expenses, translation costs and video conferencing expenses this assistance sometimes requires. OGE, typically, however, is able to utilize electronic means of communication for much of its assistance. OGE has reviewed and made comments on 21 documents relating to the establishment or modification of a country’s or international organization’s ethics or corruption prevention program. Internal to the USG it has also taken a leading role in reviewing draft country reports as a part of the more general U.S. obligations under mutual evaluation agreements. Where more substantial, ongoing assistance was provided, OGE has been able, where there has been time for it to occur, to see a real effect as a result of the assistance. Finally, both the Departments of State and Justice continue to request that OGE provide briefings to delegations of visitors to the U.S. During the fiscal year, OGE personnel briefed 37 such delegations with a total of 287 participants representing 55 countries.
Schedule of Performance Indicators
Comparing FY 2002-2005
FY 02
Actual
FY 03
Actual
FY 04
Actual
Actual
STRATEGIC GOAL I Performance Goal 1 PERFORMANCE INDICATORS How often OMB requests input 205 197 125 129 Percentage of timely inputs 99% 97% 94% 100% Percentage of input employed on direct 100% 100% 100% 100% Performance Goal 2 PERFORMANCE INDICATORS How often ethics policy is discussed
with Presidents Council of Integrity
and Efficiency (PCIE) and the Executive Council of Integrity Efficiency (ECIE)
Once a year
with eachOnce a year
with eachOnce a year
with eachOnce a year
with eachHow often OGE seeks information from
IG's or DOJ on types of alleged
misconduct investigated
50-75 times a year 50-75 times a year 50-75 times a year Regularly with OMB White House, DOJ How often OGE creates an opportunity
for discussion of a regulation or
discusses a proposed Executive Order
with Office of Legal Counsel, White
House Officials or OMB
Each draft or proposal Each draft or proposal Each draft or proposal Each draft or proposal Length of time between formal
identification of needed policy
change and internal implementing
draft
90% of instances
time is < 6 months90% of instances
time is < 6 months90% of instances
time is < 6 months90% of instances
time is < 6 monthsPercentage of time OGE was not
consulted or asked to draft ethics
Executive orders
0% 0% 0% 0% Page A
FY 02
Actual
FY 03
Actual
FY 04
Actual
FY 05
Actual
Performance Goal 3 PERFORMANCE INDICATORS Number of proposals submitted to OMB 1 2 2 2 Percentage cleared for transmittal 50% 100% 100% Length of time between transmittal
and enactment18 months na Performance Goal 4 (new for FY 04) PERFORMANCE INDICATORS Number of Negotiations 2 Number of required U.S. responses to
existing agreements with corruption
prevention or ethics program elements
7 Percentage of negotiations in which
OGE assistance is sought
Percentage of USG corruption prevention
or ethics program actions required by
international agreements in which OGE
assistance is sought
STRATEGIC GOAL II Performance Goal 1 PERFORMANCE INDICATORS Number of agencies reviewed 30 39 33 34 Number of recommendations 41
33 50 32 Percent of Follow-up Reviews
(WHERE RECOMMENDATIONS ARE MADE)Correction of program deficiencies by agencies 86% 80% 81% 72% Number of single-issue reviews 1 2 0 0 Page B
FY 02
Actual
FY 03
Actual
FY 04
Actual
Actual
Best practices shared with agency during program reviews
84% 95% 93% 804 Performance Goal 2 PERFORMANCE INDICATORS Number of appointees w/ethics agreements 220 86 86 170 Number of ethics agreements 341 132 141 203 Percent of ethics agreements completed within established time frames
82% 75.6% 80% 95.5% Percent of cases resolved after OGE took action 100% 100% 100% 100% Performance Goal 3 PERFORMANCE INDICATORS Number of requests for advice 6280 3280 2600 8000 Number of contacts concerning adequacy
of advice
<1% 1% 1% 1% Time expended to adequately satisfy requests for advice and information 99% within one day within 2 days for
90% of requests
FY 03
Projectedwithin 2 days for
90% of requests
FY 04
Projectedwithin 2 days for
Performance Goal 4 PERFORMANCE INDICATORS Number of inquiries 853 735 2694 2694 Number of contacts concerning adequacy of advice <1% <1% <1% <1% Length of time to respond to requests for information and for oral statutory and regulatory interpretations 99.6% within two work
days
90% of the request2 work days
91% of the request2 work days
87% of the requestPage C
FY 02
Actual
FY 03
Actual
FY 04
Actual
Actual
Length of time to respond to requests for written statutory and regulatory interpretations 88% 20 work days
85.7% of the requests20 work days
75% of the requests20 work days
74% of the requestsPerformance Goal 5 PERFORMANCE INDICATORS Percentage of agency heads met following issuance of a a corrective action order None issued None issued New resources devoted to the program by agency head to correct problems after OGE finding Eliminated Indicator Percentage of White House ethics initiatives on which OGE met with White House staff Eliminated Indicator Percentage of meetings held with White House after they expressed concerns for an OGE proposed regulation Eliminated Indicator Numbers of meetings with members/staff for purposes of seeking support of program 10 Meetings held with
Congressional staff11 meetings Page D
FY 02
Actual
FY 03
Actual
FY 04
Actual
FY 05
Actual
Performance Goal 6 PERFORMANCE INDICATORS Number of nominee statements received 389 219 236 320 Percentage of nominee statements certified, opinions rendered to Senate within 2 weeks of receiving final certified form from agency after nomination 95.9% 95% 96.2% 96.3% Number of annual and termination financial disclosure statements received 862 950 979 1163 Percentage of annual and termination statements reviewed within 60 days of receipt
86.3% 77.8% 80.9% 86.2% Page E
Actual
Actual
Actual
Actual
STRATEGIC GOAL III Performance Goal 1 PERFORMANCE INDICATORS Number of Needs Analyses conducted 1 1 1 Discontinued Number of agencies providing input for the Needs Analysis 87 79 78 Discontinued Number of training courses conducted for ethics officials 44 50 115 59 Number of training courses conducted for employees at agency request 34 35 17 8 Number of new educational products developed 4 4 4 3 Number of evaluation instruments requested (training courses) na 8430 2178 1266 Number of evaluation instruments received from ethics official training na 886 1103 1048 Overall rating of training courses for ethics officials 3.57
(on a 4 pt. scale)4.43
(on a 5 pt. scale)4.16
(on a 5 pt. scale)4.5
(on a 5 pt. scale)Number of evaluation instruments received for OGE educational products 8851 7440 1549 1165 Number of educational products downloaded from the web site na 139135 10718 7624 Number of visitors to the web site 9975725 15688000 85720006 5055104 Page F
FY 02
Actual
FY 03
Actual
FY 04
Actual
Actual
Performance Goal 2 PERFORMANCE INDICATORS Number of surveys distributed 127 127 125 126 Number of completed surveys received 100% compliance 100% compliance 100% compliance 100% compliance Performance Goal 3 PERFORMANCE INDICATORS Number of conference attendees 445 465 529 603 Number of agencies represented 75% 72% 75% 74.6% Evaluations of the conference
(scale of 1 to 4)3.37 3.42 3.67 3.54 Page G
FY 02
Actual
FY 03
Actual
FY 04
Actual
Actual
STRATEGIC GOAL IV Performance Goal 1 PERFORMANCE INDICATORS Numbers of presentations to private groups 20 13 20 12 Numbers of articles or speeches published 1 1 1 2 Performance Goal 2 PERFORMANCE INDICATORS (NEW FOR FY 04) Number of subscriptions 2134 2354 Number of messages transmitted per year 43 41 Number of agencies represented in total subscriptions 125 120 Page H
Actual
Actual
Actual
Actual
Performance Goal 3 PERFORMANCE INDICATORS In 90% of the cases the number of days to respond to requests for the following: documents under the Freedom of Information Act
20 working days
20 working days
20 working days
20 working daysand Privacy Act
20 working days
20 working days
20 working days
20 working daysethics agreements waivers under 18 U.S.C. § 208(b) certificates of divestiture blind trust documents agency 1353 reports Performance Goal 4 (new for FY 04) PERFORMANCE INDICATORS Number of accepted invitations (Through or approved by USG foreign policy agencies/entities to participate in international anti-corruption/ethics programs Number of requests filled by OGE that come from USG foreign policy agencies/ organizations for OGE briefings of foreign officials during visits to Washington
Number of specific long-term programs supported by INL/State Page I
FY 02
Actual
FY 03
Actual
FY 04
Actual
Actual
Number of specific foreign government document (e.g. draft codes of conduct) reviews requested by USG foreign policy agencies/entities 3 21 Percentage of recipients of briefings responding in a positive, tangible manner 10% 25% Percentage of recipients of more extensive assistance responding in a positive manner evidenced by some action within the country 100% 75% Page J
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Management Discussion and Analysis
Audited Financial Statements