United States
(more than 1,200) that they form a body of detailed guidance that can prove useful for filers and agencies alike. These advisory opinions are not, strictly speaking, legally precedential. In practice, similar factual cases are likely to be decided in the same manner, and thus these cases do offer insight into interpretation of the law and regulations. However, from a legal perspective, the OGE is not making “common law” with these advisory opinions. Instead, administrative law judges will apply the law de novo to each case presented before them. These advisory opinions from OGE are an effective means of offering informal (though highly reasoned) advice to filers and DAEOs regarding specific questions of interpretation about how to comply with the IAD system regulations.
Managing Submission Compliance The OGE is the primary recipient of the financial disclosure reports of the president, vice president, and the OGE director; it is also the secondary review agency for the financial disclosures of the most senior officials of all the agencies. Each agency is designated as the primary recipient and reviewer of its employees’ disclosures. Filers of public financial disclosures are identified by position and level of pay, while filers of confidential financial disclosures are midlevel employees who hold positions that pose a higher risk of conflicts of interest. The risk level is based on an agency’s determination using criteria issued by the OGE. Approximately 25,000 high-level officials are required to file form OGE 278 with their agencies for certification by the agency. The OGE manages the nominee and new entrant annual and termination public financial disclosure reporting system for approximately 1,100 presidential appointees confirmed by the Senate (PAS positions) and 133 DAEOs. The filing forms clearly reflect the statutory requirements. The forms are available in both hard copy and electronically, although PAS forms are submitted to the OGE in hard copy. Individual agencies have either electronic or hardcopy submission processes in place. Each agency is responsible for managing and annually updating the internal filers list. Obligated parties receive official notices regarding submissions, amendments, and consultations. This is required by the regulations, and each agency is responsible for its filers. All income and asset declarations are subject to review. Reports are not “audited”; they are reviewed for completeness, internal consistency, and actual or potential conflicts of interest.
Content Verification Neither the OGE nor the agencies audit or verify the financial disclosures for accuracy. The reports are reviewed for completeness and actual or potential conflicts of interest. As we have repeatedly noted, the purpose of the IAD system in the United States is to detect and prevent potential conflicts of interest; thus the system is designed to check only for completeness and to identify potential conflicts of interest. In fact, the legislative history of the Ethics in Government Act specifically says that these disclosures will not be audited. Income and Asset Disclosure • http://dx.doi.org/10.1596/978-0-8213-9796-1
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