The Compliance Division (CD) administers the Executive Branch financial disclosure program and monitors and reviews agency ethics programs to ensure compliance with applicable ethics requirements established by statutes, rules, regulations, and Executive Orders. The Compliance Division has two branches: the Financial Disclosure Branch and the Program Review Branch. The two branches coordinate their monitoring activities to ensure agencies carry out their ethics program responsibilities.
Financial Disclosure Branch (FDB)
The Financial Disclosure Branch (FDB) manages the public financial disclosure reporting program that covers approximately 1,000 Presidential Appointees confirmed by the Senate (PAS positions) and over 130 Designated Agency Ethics Officials (DAEOs). FDB collects and analyzes new entrant, annual, termination and periodic transaction reports to ensure that they are complete and to resolve potential conflicts of interest. All reports are posted on the OGE website and can be downloaded by the public. FDB also monitors compliance with ethics agreements made by Presidential Appointees during their Senate confirmation process to ensure PAS financial disclosure commitments are timely met and conflicts of interest are appropriately resolved. In addition, FDB handles administrative aspects of the financial disclosure reporting program such as responding to agency requests for filing extensions, requests for waivers of the late filing fee and requests for waivers of the filing requirement for covered, non-policy making positions. FDB staff provides subject matter expertise and training to other OGE staff responsible for reviewing financial disclosure reports.
Program Review Division (PRB)
The Program Review Branch (PRB) monitors and evaluates ethics programs throughout the over 130 components of the Executive branch. PRB’s oversight activities are designed to assess the strengths and weaknesses of agency-level ethics programs, identify and disseminate model practices, recommend improvements, and monitor compliance with recommendations. PRB promotes compliance with statutory and regulatory requirements by conducting comprehensive on-site reviews, as well as special-focus reviews of selected agencies and program elements. PRB also analyzes compliance reports submitted annually by each agency; the annual reports provide detailed information about designated program elements. PRB identifies anomalies and other compliance issues that warrant agency-specific follow-up.
Joseph E. Gangloff, Deputy Director for Compliance
Barbara Mullen-Roth, Assistant Director for Compliance
Trish Zemple, Chief, Financial Disclosure Branch
Rashmi Bartlett, Chief, Program Review Division – Professional Staff 1
Doug Chapman, Chief, Program Review Division – Professional Staff 2