5 C.F.R. Subpart D—Correction of Executive Branch Agency Ethics Programs
Title 5 - Administrative Personnel
Source: 55 FR 1666, Jan. 18, 1990, unless otherwise noted.
The Director of the Office of Government Ethics has authority under subsections 402(b)(9) and 402(f)(1) of the Ethics in Government Act to order action to correct deficiencies in agency ethics programs. These procedures are intended to be used to correct deficiencies in agency ethics programs that are not being addressed adequately by the agency. They are not intended to be used to deal with cases involving individual employees or former employees. See subpart E of this part. For purposes of this section, an agency ethics program shall include those matters that are the responsibility of agency heads and designated agency ethics officials under subpart B of this part and shall include the requirements under part 2634 of this chapter and part 735 of this title to establish public and nonpublic financial disclosure systems. In implementing these procedures, the Director may use any authority contained in the Ethics Act. (a) Notice. Where the Director has information indicating that an agency ethics program is not in full compliance with the requirements set forth in applicable statutes or regulations, the Director may issue a Notice of Deficiency to the designated agency ethics official and request an agency report under paragraph (b) of this section. (b) Agency report. Within such time as may be set forth in the Notice of Deficiency, the designated agency ethics official shall provide a written report to the Director that shall include relevant information about the agency's ethics program. The ethics official's report may include: (1) Information establishing that there is no deficiency; (2) An explanation of how any deficiency is being corrected; or (3) A plan for correcting any deficiency within a reasonable period of time. (c) Director's determination. The Director will make a determination based on the agency report. (1) If the Director determines that there is no deficiency, the designated agency ethics official will be so notified. (2) If the Director determines that appropriate steps are being taken or that the agency has presented an adequate plan for correcting the deficiency, the Director will so notify the designated agency ethics official and, in consultation with the designated agency ethics official, establish requirements for status reports, if necessary, and for notification when the deficiency has been corrected. (3) If the Director determines that a deficiency is not being corrected, the Director will issue an Order under paragraph (d) of this section. (d) Orders. An order issued by the Director will be addressed to the head of the agency with a copy to the designated agency ethics official and shall specify: (1) The deficiency in the agency ethics program that requires correction; (2) The basis upon which the Director has determined that a deficiency exists; (3) The corrective action required to remedy the deficiency; and (4) Any reporting requirements necessary to establish that corrective action has been accomplished. Within such time as may be set forth in the order, the agency head shall file a report with the Director detailing the corrective action taken. If corrective action cannot be accomplished within that time, the agency head shall submit a plan of corrective action for approval by the Director providing for appropriate status reports and notification of compliance. In either case, if the agency report or plan is deemed satisfactory, the Director will so inform the agency head. If the agency report or plan is insufficient, but only in minor respects, the Director may inform the agency head of the adjustments needed to bring the report or plan into compliance and a timeframe therefor; otherwise, the procedures under §2638.404 of this subpart will be invoked. If the agency fails to comply with an order issued under §2638.402(d), the Director shall: (a) Notify the head of the agency of intent to furnish a report of noncompliance to the President and the Congress; (b) Provide the agency 14 calendar days within which to furnish written comments for submission with the report of noncompliance; and (c) Report the agency's noncompliance to the President and to the Congress.
Title 5: Administrative Personnel
PART 2638—OFFICE OF GOVERNMENT ETHICS AND EXECUTIVE AGENCY ETHICS PROGRAM RESPONSIBILITIES
Subpart D—Correction of Executive Branch Agency Ethics Programs
§ 2638.401 In general.
§ 2638.402 Corrective orders.
§ 2638.403 Agency compliance.
§ 2638.404 Report of noncompliance.
