July 14, 1993 DO-93-019 MEMORANDUM TO: Designated Agency Ethics Officials FROM: Stephen D. Potts Director SUBJECT: The Second Annual Ethics Training Plan Second Annual Ethics Training Plan Each Designated Agency Ethics Official (DAEO) is required to submit a written plan for annual ethics training (training plan) for calendar year 1994 to the Office of Government Ethics (OGE) by August 31, 1993. One of the major reasons for delayed reporting to OGE last year was unexpected delays in intra-agency review and approval of training plans. Therefore, OGE reminds agencies to permit sufficient time to obtain whatever approval is required within their own agency. Minimum Content of the Training Plan The training regulation identifies a general framework of the type of information the training plan should contain (5 C.F.R. § 2638.702(a)(3)). This framework consists of six items; five of the items are estimates: o the total number of agency employees who must be provided annual ethics training; o the number of agency employees to whom the annual ethics training course will be presented without the presence of a qualified individual, together with a written description of the basis for allowing an exception; o the number of special Government employees and the number of officers in the uniformed services who serve on active duty for 30 or fewer consecutive days to whom the annual ethics training course will be presented without the presence of a qualified individual; o the number of training classes to be provided during the calendar year; and o the average class size. _______________________________________________________________________ Designated Agency Ethics Officials Page 2 The remaining item is "any other information that the designated agency ethics official believes will facilitate OGE's review of the agency's planned program of ethics training." Outline Provides Additional Guidance OGE is providing additional administrative guidance to assist agencies in preparing their training plans. This guidance is based on OGE's review of agencies' 1993 training plans. OGE is not requiring information on initial ethics orientation unless it varies significantly from what was submitted and approved by OGE in the first annual ethics training plan. Agencies are reminded that even if employees receive an hour verbal briefing instead of an hour of official time to review the required ethics materials, a copy of the required ethics materials must be retained and readily accessible in the employee's immediate office or a personal copy of the required ethics materials must be provided for the employee. The attached outline provides the framework for the 1994 training plans. Agencies Determine the Format Each agency determines how to present the required information to OGE. Agencies are encouraged to use the attached outline format; however, they may use other methods of presentation. Special Reporting Requirements According to Executive Order 12674, as modified, all employees within the Executive Office of the President (EOP) must receive annual ethics training. Therefore, EOP DAEOs must report the total number of individuals employed in each component. Points of Contact (POCs) Jennifer Russell is OGE's primary POC for questions and concerns about the training plans. However, Lisa Deener will also handle calls regarding the training plans. Jennifer Russell 202-523-5757, ext. 1111 Lisa Deener 202-523-5757, ext. 1231 Attachment _______________________________________________________________________ (TEBBS note: Attachment line width adjusted to 80 characters.) Outline of Annual Ethics Training Plans Calendar Year 1994 I. Initial Ethics Orientation OGE is not requiring information on initial ethics orientation unless it varies significantly from what was submitted and approved by OGE in the first annual ethics training plan. Note:Even if employees receive an hour verbal briefing instead of an hour of official time to review the required ethics materials, a copy of the required ethics materials must be retained and readily accessible in the employee's immediate office or a personal copy of the required ethics materials must be given to the employee. II. Annual Ethics Training A. Provide an estimate of the total number of agency employees who must be provided annual ethics training. Note:This estimate should include a breakdown of covered employees and special Government employees (SGEs). See below sample. Agencies are reminded that 5 C.F.R. § 2638.701 defines "employee" to include SGEs and officers of the uniformed services. Covered Employees SGEs Total 12,053 25 12,078 1 _______________________________________________________________________ B. Report the estimated number of agency employees or group(s) of employees (other than SGEs and officers in the uniformed services) who will be provided the annual ethics training course without the presence of a qualified individual. Include a written description of the basis for allowing the exception. Note:This exception is meant to be interpreted narrowly; mere administrative inconveniences or cost to an agency, standing alone, will not justify a determination. C. Report the estimated number of SGEs who will be provided the annual ethics training course without the presence of a qualified individual. D. Report the estimated number of officers in the uniformed services who serve on active duty for 30 or fewer consecutive days and will be provided the annual ethics training course without the presence of a qualified individual. E. Identify the number of qualified individuals. III. Characteristics of the Training Classes A. Report the estimated number of training classes to be provided during 1994. B. Report the average class size. C. Report the class length. 2 _______________________________________________________________________ IV. Proposed Training Schedule Report the proposed training schedule for the annual training. This schedule will give OGE an idea of where classes are intended to be held. See below sample. Number of Proposed Location Proposed Date Proposed Classes Instructor(s) 3 Denver 1st Quarter Dennis 12 Washington, DC 5-20-94 to Carter 5-30-94 Reagan Bush 1 Iowa June Smith Total Number of Classes 16 V. Internal Control Measures Describe the method of tracking employees' completion of the annual ethics training requirement. Note:Providing this information will ensure that tracking systems remain in place. OGE program reviewers will use this information when they review agency ethics programs. VI. Other Information Provide any other information the DAEO believes will facilitate OGE's review of the agency's planned ethics training program. 3.