Department of Health and Human Services
OFFICE OF 
   
INSPECTOR GENERAL 
 
 
 
 
 
 
CDC E P
S  THICS  ROGRAM FOR 
 
S G  E
PECIAL  OVERNMENT  MPLOYEES 
 
F A
ON   EDERAL  DVISORY 
 
C  
OMMITTEES
 
   
 
 
 
 
 
Daniel R. Levinson  
Inspector General 
 
December 2009 
OEI-04-07-00260    
Office of Inspector General 
http://oig.hhs.gov 
 
The mission of the Office of Inspector General (OIG), as mandated by Public Law 95-452, as 
amended, is to protect the integrity of the Department of Health and Human Services 
(HHS) programs, as well as the health and welfare of beneficiaries served by those 
programs.  This statutory mission is carried out through a nationwide network of audits, 
investigations, and inspections conducted by the following operating components: 
Office of Audit Services 
The Office of Audit Services (OAS) provides auditing services for HHS, either by conducting 
audits with its own audit resources or by overseeing audit work done by others.  Audits 
examine the performance of HHS programs and/or its grantees and contractors in carrying 
out their respective responsibilities and are intended to provide independent assessments of 
HHS programs and operations.  These assessments help reduce waste, abuse, and 
mismanagement and promote economy and efficiency throughout HHS. 
Office of Evaluation and Inspections 
The Office of Evaluation and Inspections (OEI) conducts national evaluations to provide 
HHS, Congress, and the public with timely, useful, and reliable information on significant 
issues.  These evaluations focus on preventing fraud, waste, or abuse and promoting 
economy, efficiency, and effectiveness of departmental programs.  To promote impact, OEI 
reports also present practical recommendations for improving program operations.  
Office of Investigations 
The Office of Investigations (OI) conducts criminal, civil, and administrative investigations 
of fraud and misconduct related to HHS programs, operations, and beneficiaries.  With 
investigators working in all 50 States and the District of Columbia, OI utilizes its resources 
by actively coordinating with the Department of Justice and other Federal, State, and local 
law enforcement authorities.  The investigative efforts of OI often lead to criminal 
convictions, administrative sanctions, and/or civil monetary penalties. 
Office of Counsel to the Inspector General 
The Office of Counsel to the Inspector General (OCIG) provides general legal services to 
OIG, rendering advice and opinions on HHS programs and operations and providing all 
legal support for OIGs internal operations.  OCIG represents OIG in all civil and 
administrative fraud and abuse cases involving HHS programs, including False Claims Act, 
program exclusion, and civil monetary penalty cases.  In connection with these cases, OCIG 
also negotiates and monitors corporate integrity agreements.  OCIG renders advisory 
opinions, issues compliance program guidance, publishes fraud alerts, and provides other 
guidance to the health care industry concerning the anti-kickback statute and other OIG 
enforcement authorities.   
   
 E X E C U T I V E   S U M M A R Y  
OBJECTIVE
 
To determine the extent to which the Centers for Disease Control and 
Prevention (CDC) and its special Government employees (SGE) on 
Federal advisory committees (committees) complied with ethics 
requirements.  
BACKGROUND 
Committees play an influential role in decisionmaking for the Federal 
Government.  Committee members (i.e., SGEs) are typically involved in 
work outside the Federal Government in the same areas as their 
committees work.  To protect the committees integrity and credibility, 
agencies must not permit SGEs with conflicts of interest to 
inappropriately influence their committees work. 
At CDC, committees address important public health topics.  For 
example, in 2007, one committee recommended the routine vaccination of 
young females in the United States to prevent cervical cancer.  In 2009, 
this same committee recommended that H1N1 influenza vaccination 
efforts focus on five target groups in the United States.      
CDC must obtain from SGEs Confidential Financial Disclosure Reports, 
Office of Government Ethics (OGE) Forms 450, containing information 
such as the SGEs assets, sources of income, and non-income-earning 
activities.  Before permitting SGEs to participate in committee meetings, 
CDC must review these forms and certify them to indicate that they are 
complete and that it has identified and resolved all conflicts of interest.  
CDC must create ethics agreements (e.g., waivers) to resolve SGEs 
conflicts of interest.  CDC collaborates with the Department of Health and 
Human Services (HHS) Office of the General Counsel to identify and 
resolve conflicts of interest.   
CDC must also provide initial and annual ethics training to SGEs within 
required timeframes and obtain ethics training certificates from SGEs to 
document that they received the training.  Finally, CDC must monitor 
SGEs compliance with ethics requirements during committee meetings.  
That is, SGEs must not participate in committee work during committee 
meetings without current, certified OGE Forms 450 or participate in 
committee work related to particular matters if their waivers prohibit 
such participation. 
We reviewed financial disclosure files (e.g., current, certified OGE  
Forms 450 and ethics agreements) for 246 SGEs on 17 CDC committees in 
 
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E X E C U T I V E   S U M M A R Y   
22000077..    WWee  ddeetteerrmmiinneedd  wwhheetthheerr  SSGGEEss  OOGGEE  FFoorrmmss  445500  wweerree  ccoommpplleettee  
aafftteerr  CCDDCC  cceerrttiiffiieedd  tthheemm..    TThheenn,,  wwee  ddeetteerrmmiinneedd  wwhheetthheerr  CCDDCC  iiddeennttiiffiieedd  
ppootteennttiiaall  ccoonnfflliiccttss  ooff  iinntteerreesstt  tthhaatt  wwee  iiddeennttiiffiieedd..    WWee  aallssoo  ddeetteerrmmiinneedd  tthhee  
eexxtteenntt  ttoo  wwhhiicchh  CCDDCC  ccrreeaatteedd  eetthhiiccss  aaggrreeeemmeennttss  aanndd  aaddeeqquuaatteellyy  
ddooccuummeenntteedd  tthheemm  ttoo  rreessoollvvee  ppootteennttiiaall  ccoonnfflliiccttss  ooff  iinntteerreesstt..    FFuurrtthheerr,,  wwee  
ddeetteerrmmiinneedd  wwhheetthheerr  CCDDCC  eennssuurreedd  tthhaatt  SSGGEEss  ffiinnaanncciiaall  ddiisscclloossuurree  ffiilleess  
ccoonnttaaiinneedd  eetthhiiccss  ttrraaiinniinngg  cceerrttiiffiiccaatteess  ttoo  ddooccuummeenntt  tthhaatt  SSGGEEss  rreecceeiivveedd  
eetthhiiccss  ttrraaiinniinngg  wwiitthhiinn  rreeqquuiirreedd  ttiimmeeffrraammeess..    FFiinnaallllyy,,  wwee  ddeetteerrmmiinneedd  
wwhheetthheerr  SSGGEEss  ccoommpplliieedd  wwiitthh  eetthhiiccss  rreeqquuiirreemmeennttss  dduurriinngg  ccoommmmiitttteeee  
mmeeeettiinnggss..      
FFIINNDDIINNGGSS  
For almost all special Government employees, CDC did not ensure 
that financial disclosure forms were complete in 2007.  CDC certified 
OGE Forms 450 with at least one omission in 2007 for 97 percent of 
SGEs.  Most of the forms had more than one type of omission. 
CDC did not identify or resolve potential conflicts of interest for  
64 percent of special Government employees in 2007.  Sixty-four 
percent of SGEs had potential conflicts of interest in 2007 that CDC did 
not identify and/or resolve before it certified their OGE Forms 450.  
Specifically, 58 percent of SGEs had potential conflicts of interest that 
CDC did not identify.  In addition, 32 percent of SGEs had potential 
conflicts of interest that CDC identified but did not resolve.  Twenty-six 
percent of SGEs had both CDC-unidentified and unresolved potential 
conflicts of interest. 
CDC did not ensure that 41 percent of special Government employees 
received required ethics training in 2007.  CDC did not ensure that  
41 percent of SGEs had ethics training certificates on file to document 
that SGEs received initial or annual ethics training within required 
timeframes in 2007. 
Fifteen percent of special Government employees did not comply with 
ethics requirements during committee meetings in 2007.  Fifteen 
percent of SGEs did not comply with ethics requirements during 
committee meetings in 2007.  Specifically, 13 percent of SGEs participated 
in committee meetings in 2007 without having current, certified          
OGE Forms 450 on file.  In addition, 3 percent of SGEs voted on 
particular matters when their waivers prohibited such participation.  
Four SGEs both participated in committee meetings without current, 
certified OGE Forms 450 on file and voted on particular matters when 
their waivers prohibited such participation. 
 
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RREECCOOMMMMEENNDDAATTIIOONNSS  
We found that CDC had a systemic lack of oversight of the ethics program 
for SGEs.   That is, CDC and its SGEs did not comply with ethics 
requirements in 2007.    
To address our findings, we recommend that CDC: 
Ensure that special Government employees Confidential Financial 
Disclosure Reports are complete before certifying them. 
Require special Government employees to disclose their involvement 
in grants and other relevant interests that could pose conflicts but 
that are not disclosed on the Confidential Financial Disclosure Report. 
Identify and resolve all conflicts of interest for special Government 
employees before permitting them to participate in committee 
meetings. 
Increase collaboration among CDC officials and with the HHS Office 
of the General Counsel. 
Ensure that special Government employees and CDC employees 
receive ethics training. 
Monitor special Government employee compliance with ethics 
requirements during committee meetings. 
Track special Government employee compliance with ethics 
requirements. 
AGENCY COMMENTS AND OFFICE OF INSPECTOR GENERAL 
RESPONSE 
CDC concurred with all seven of our recommendations.  Since the time of 
our review, CDC indicated that it has begun or plans to implement 
improvements that coincide with our recommendations.         
We made technical changes to the report based on CDCs comments.   
 
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 T A B L E   O F   C O N T E N T S  
EXECUTIVE SUMMARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i
 
I N T RO DUC T IO N. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 
 
F I N D IN G S. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 
For almost all special Government employees, CDC did not 
ensure that financial disclosure forms were complete in 2007 . . . 16 
CDC did not identify or resolve potential conflicts of interest 
for 64 percent of special Government employees in 2007. . . . . . . . 16 
CDC did not ensure that 41 percent of special Government 
employees received required ethics training in 2007. . . . . . . . . . . 21 
Fifteen percent of special Government employees did not comply 
with ethics requirements during committee meetings in 2007 . . . 21 
 
R E C O MMEN D A T ION S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 
Agency Comments and Office of Inspector General Response. . . . 28 
 
APPENDIXES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 
A:  Federal Advisory Committees at the Centers for Disease            
Control and Prevention, as of December 31, 2007 . . . . . . . . . . 30 
  B:  Detailed Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 
C:  Office of Government Ethics Guidance for Determining 
Whether 2007 Confidential Financial Disclosure Reports 
Are Complete. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 
D:  Details Regarding Number and Percentage of Certified 
2007 Confidential Financial Disclosure Reports That Were 
Incomplete, by Type of Omission . . . . . . . . . . . . . . . . . . . . . . . 40 
E:  Average and Range in Committee Meetings in Which 
Special Government Employees Participated in 2007 After 
Their Forms Were Certified, by Type of Vulnerability in 
Their Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 
  F:  Agency Comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 
 
A C K NO WL E D G M E N T S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 
 
     
II NN TT RR OO DD UU CC TT II OO NN   
 I N T R O D U C T I O N  
OBJECTIVE 
To determine the extent to which the Centers for Disease Control and 
Prevention (CDC) and its special Government employees (SGE) on 
Federal advisory committees (committees) complied with ethics 
requirements.  
BACKGROUND 
Committees provide expert advice, ideas, and diverse opinions to the 
Federal Government and play an influential role in public policy and 
decisionmaking.1, 2  To protect the committees integrity and credibility, 
Federal agencies must not permit committee members with conflicts of 
interest to inappropriately influence their committees work.3, 4  OGE 
issues regulations regarding conflicts of interest and oversees Federal 
agencies ethics programs.5 
SGEs are voting committee members who are temporary employees of 
the Federal Government.6  SGEs are subject matter experts and 
typically are actively involved in work outside the Government in the 
same areas as their committees work.7  Therefore, SGEs may have 
 
1 Federal Advisory Committee Act, 5 U.S.C. app. II  2(a) and 3(2)(c)(i). 
2 Office of Government Ethics (OGE) Memorandum to Designated Agency Ethics 
Officials, Federal Advisory Committee Appointments.  DO-05-012, August 18, 2005.  
Available online at 
http://www.usoge.gov/ethics_guidance/daeograms/dgr_files/2005/do05012.pdf.  Accessed on 
July 10, 2009.  
3 In this report, we will use the term committee work to include preliminary 
discussions, interim evaluations, votes, and final recommendations. 
4 In this report, we will use the term conflict of interest to refer to interests covered by 
the criminal conflict-of-interest statute (18 U.S.C.  208) and/or the Standards of Ethical 
Conduct for Employees of the Executive Branch (5 CFR  2635).  
5 Ethics in Government Act, 5 U.S.C. app. IV  401 and 402, 5 CFR pt. 2600.  
6 SGEs may serve in many roles in the Federal Government.  18 U.S.C.  202(a).  In this 
report, we will use the term SGE to refer only to SGEs on committees at CDC.   In the 
Department of Health and Human Services (HHS), most committee members are appointed 
as SGEs.  HHS, Office of the General Counsel Ethics Division. Ethics Rules for Advisory 
Committee Members and Other Individuals Appointed as Special Government Employees 
(SGE), p. 1, October 2004.  SGEs may serve multiyear terms on committees but may not 
serve in excess of 130 days during any 365-day period.  18 U.S.C.  202(a).   
7 OGE, Conflict of Interest and the Special Government Employee:  A Summary of 
Ethical Requirements Applicable to SGEs.  Attachment to the OGE Memorandum to 
Designated Agency Ethics Officials, DO-00-003, February 15, 2000.  Available online at 
http://www.usoge.gov/laws_regs/other_ethics_guidance/othr_gdnc/og_sge_coi_00.pdf.  
Accessed on July 10, 2008. 
 
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financial interests that conflict with their official duties as committee 
members. 
At CDC, committees address important public health topics, such as 
breast and cervical cancer, immunization, smoking, tuberculosis, and 
clinical laboratory improvement.  For example, in 2007, one committee 
recommended the routine vaccination of young females in the United 
States to prevent cervical cancer.8  In 2009, this same committee 
recommended that H1N1 influenza vaccination efforts focus on five 
target groups in the United States.9 
On December 31, 2007, 259 SGEs were serving on 17 CDC committees.  
The President, Congress, or the HHS Secretary may appoint SGEs to 
these committees.  See Appendix A for a list of the 17 committees.               
CDCs Ethics Program for Special Government Employees 
CDCs Management Analysis and Services Office (MASO) is responsible 
for managing CDCs ethics program for SGEs.10  MASO coordinates 
with each committees Designated Federal Official to ensure that SGEs 
comply with Federal ethics statutes and regulations, as well as CDC 
policy.  Hereinafter, we refer to Federal ethics statutes and regulations 
and CDC policy as ethics requirements.   
 
8 CDC, Morbidity and Mortality Weekly Report, Quadrivalent Human Papillomavirus 
Vaccine:  Recommendations of the Advisory Committee on Immunization Practices.   
March 23, 2007.   Available online at 
http://www.cdc.gov/mmwr/preview/mmwrhtml/rr5602a1.htm?s_cid=rr5602a1_e.  Accessed 
on September 9, 2009.   
9 CDC, Morbidity and Mortality Weekly Report.  Use of Influenza A (H1N1) 2009 
Monovalent Vaccine:  Recommendations of the Advisory Committee on Immunization 
Practices.  August 28, 2009.  Available online at 
http://www.cdc.gov/mmwr/preview/mmwrhtml/rr5810a1.htm?s_cid=rr5810a1_e.  Accessed 
on September 9, 2009.  
10 OGE requires each Department to assign a Designated Agency Ethics Official to 
establish, maintain, and carry out the Departments various ethics programs.                       
5 CFR  2638.201.   The HHS Designated Agency Ethics Official has delegated daily 
responsibility for administering HHSs ethics programs to Deputy Ethics Counselors in each 
operating division.  HHS Office of the General Counsel Ethics Division, Deputy Ethics 
Counselor HHS Ethics Program Statement of Functions, Responsibilities, and Authority, 
revised August 15, 2007.  HHS Office of the General Counsel, Ethics Division, Designated 
Agency Ethics Official, DAEO Supplemental Instruction No. 06-2, December 14, 2006.  
CDCs Deputy Ethics Counselor has further delegated certain aspects of the administration 
of CDCs SGE ethics program to the Director of MASO.  CDC Policy, CDC-GA-2001-05 
(formerly CDC-94), Financial Disclosure for Federal Advisory Committee Members 
Appointed as Special Government Employees, July 5, 2001.  Available online at 
http://www.cdc.gov/maso/FACM/pdfs/policy294.pdf.  Accessed on July 10, 2009.  
 
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The Designated Federal Official is not a committee member, but a CDC 
employee who serves as the committees Executive Secretary, attends 
each meeting, and manages the committees day-to-day operations.11, 12   
CDC (i.e., MASO and Designated Federal Officials) is responsible for:  
1.  ensuring that Confidential Financial Disclosure Reports            
(OGE Forms 450) are complete,  
2.  identifying and resolving SGEs conflicts of interest, 
3.  providing and documenting initial and annual ethics training to 
SGEs, and  
4.  monitoring SGEs compliance with ethics requirements during 
committee meetings.13  
The ethics program is based on a confidential financial reporting 
system.  This system enables CDC to identify SGEs conflicts of interest 
and assists them in avoiding conflicts between their official duties and 
financial interests or affiliations.14  SGEs must submit OGE Forms 450 
to CDC, on which they disclose all financial interests and positions held 
in the previous 12 months.15, 16  
SGEs must complete four sections of the form:   
  Part I - Assets and Income  
  Part II - Liabilities 
 
11 Federal Advisory Committee Act, 5 U.S.C. app. II  10(e).  CDC Policy,                     
CDC-GA-2001-05, loc. cit.   
12 At CDC, the Designated Federal Officials primary employment responsibilities exist 
outside the committee.  This official is usually employed in a CDC program related to 
particular matters addressed by the committee. 
13 CDC Policy, CDC-GA-2001-05, loc. cit. 
14 OGE, OGE Form 450: A Review Guide, September 1996, pp. 26 and 27.  Available 
online at http://www.usoge.gov/forms/oge450_pdf/rf450guide_96.pdf.  Accessed on July 10, 
2009.   
15 OGE, Memorandum to Designated Agency Ethics Officials, DO-03-021.  Financial 
Disclosure Reporting Requirements for Special Government Employees, October 23, 2003.  
Available online at 
http://www.usoge.gov/ethics_guidance/daeograms/dgr_files/2003/DO03021.HTML.  Accessed 
on September 9, 2009.  In January 2007, OGE issued an updated OGE Form 450.   
16 SGEs are required to report interests (e.g., assets, positions) held at any point in the 
previous 12 months, even if they are not held at the time of the filing.  SGEs must also 
report financial interests attributed to them on behalf of another person or entity (e.g., a 
spouse or dependent child).  For the purposes of this report, SGEs financial interests refer 
to both the SGEs own interests and those attributed to them during the reporting period.   
 
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  Part III - Outside Positions 
  Part IV - Agreements and Arrangements17   
CDC also requests (but does not require) SGEs to submit an updated 
curriculum vitae with the OGE Form 450.18  CDC uses the curriculum 
vitae to identify grants that pose potential conflicts of interest because 
this information is not required on the OGE Form 450.19  CDC also uses 
the curriculum vitae to identify other interests that could pose conflicts.   
CDC must maintain financial disclosure files for SGEs, by committee, 
including the current and prior OGE Forms 450 and supporting 
documentation (e.g., curriculum vitae).20  
Ensuring Complete Disclosure of Financial Information 
Once CDC receives an SGEs OGE Form 450, it must ensure that the 
form is complete before approving (i.e., certifying) it.21  MASO reviewers 
take the SGEs disclosures on OGE Forms 450 at face value. 22  That 
is, MASO reviewers assess the extent to which forms are complete 
based on omissions that they can identify given the interests that are 
disclosed by the SGEs anywhere in their financial disclosure files  
(e.g., curricula vitae, 2006 and 2007 OGE Forms 450).  MASO reviewers 
are not required to identify omissions that result from interests that the 
SGEs consistently fail to disclose anywhere in the file.   
If CDC determines that a form is incomplete, it must contact the SGE to 
obtain additional information.23  CDC then annotates the form with the 
additional information.24     
 
 
 
 
17 SGEs are not required to complete Part V  Gifts and Travel Reimbursement. 
18 A curriculum vitae is similar to a resume but is a more comprehensive account of an 
individuals professional history (e.g., education, employment, publications, grants).  
19 Information regarding SGEs involvement in grants that are awarded to their 
employers is not required to be disclosed on the OGE Form 450.  
20 CDC Policy, CDC-GA-2001-05, loc. cit.   
21 5 CFR  2634.605(b)(1)(i) and (b)(2).  OGE, OGE Form 450:  A Review Guide, loc. 
cit.     
22 5 CFR  2634.605(b)(2).   
23 CDC Policy, CDC-GA-2001-05, loc. cit. 
24 Ibid. 
 
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An OGE Form 450 is incomplete if, for example:  
 items are not fully described or listed in all appropriate sections of 
the form, according to OGE guidance and the forms instructions;25 
 the form does not contain all items that require disclosure;26 or 
 CDCs annotations to the form (i.e., amendments) do not indicate 
that the SGE authorized the changes or include the reviewers 
initials or the date of the changes.27 
Identifying Conflicts of Interest 
CDC reviews committee charters to determine the scope of the matters 
generally addressed by each committee.28  Then, CDC examines each 
SGEs OGE Form 450 and curriculum vitae in relation to the committee 
charter to identify potential conflicts of interest.29, 30  
If CDC identifies a potential conflict of interest, it obtains additional 
information or legal guidance to determine whether a conflict actually 
exists.  To do so, MASO consults with the SGE, the Designated Federal 
Official, and/or the HHS Office of the General Counsel.31  
 
25 For example, compensated non-Federal employment listed in Part II - Outside 
Positions must also be disclosed as a source of income in Part I - Assets and Income.  OGE, 
OGE Form 450:  Confidential Financial Disclosure Report, January 2007.   
26 For example, relevant items listed on the SGEs curriculum vitae or prior               
OGE Form 450 must also be listed on the current years form.  CDC Policy, CDC-GA-2001-
05, loc. cit. 
27 CDC Policy, CDC-GA-2001-05, loc. cit.  OGE, OGE Form 450:  A Review Guide, loc. cit.   
28 Committee charters outline the authority, purpose, and function of each committee. 
29 We use the term potential conflicts of interest to refer to interests that have not yet 
been deemed conflicts of interest.  Additional information is needed to determine whether 
these interests do, in fact, pose conflicts.  
30 MASO reviewers take the OGE Form 450 at face value.  5 CFR  2634.605(b)(2).  
Further, CDC (and the HHS Office of the General Counsel) must rely on SGEs self-reported 
interests (e.g., those on the curricula vitae and OGE Forms 450) to identify potential 
conflicts of interest.  Therefore, CDC cannot identify potential conflicts of interest that 
result from interests SGEs did not disclose on the current OGE Forms 450 if SGEs 
consistently fail to disclose these interests in other documents (e.g., curricula vitae and 
prior OGE Forms 450) in the financial disclosure files.  
31 Attorneys within the HHS Office of the General Counsel Ethics Division provide 
conflict-of-interest and ethics-program expertise.  Attorneys within the Public Health 
Division (i.e., program attorneys) provide expertise on program matters (i.e., knowledge of 
the committees work that is more extensive than the summary found in the charter).  HHS 
Office of the General Counsel Ethics Division, Deputy Ethics Counselor HHS Ethics 
Program Statement of Functions, Responsibilities, and Authority, revised August 15, 2007.      
 
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MASOs practice is to maintain in the SGEs financial disclosure files 
documentation of email and phone correspondences with the SGEs, 
Designated Federal Officials, and the HHS Office of the General 
Counsel pertaining to the identification and resolution of SGEs conflicts 
of interest.32  
There are two main types of conflicts of interest that apply to SGEs on 
CDCs committees.  SGEs may have conflicts of interest covered by the 
criminal conflict-of-interest statute, 18 U.S.C.  208, or by the 
Standards of Ethical Conduct for Employees of the Executive Branch 
(i.e., the Standards of Ethical Conduct), 5 CFR  2635.   
Conflicts of interest covered by the criminal conflict-of-interest statute.  
SGEs must not participate in committee work regarding particular 
matters that could have a direct and predictable effect on their financial 
interests.33  A particular matter will have a direct effect on a financial 
interest if there is a close causal link between any decision or action to 
be taken in the matter and any anticipated effect of the matter on the 
financial interest.  The effect does not need to be immediate to be direct.  
A particular matter will have a predictable effect if there is a real, as 
opposed to a speculative, possibility that the matter will affect the 
financial interest. The effect does not need to be of a specific magnitude 
or dollar amount to be direct.   
For example, in certain cases, SGEs may not participate in committee 
work that would affect a company if they hold that companys publicly 
traded stock in excess of certain minimal (i.e., de minimis) values.34, 35   
Specifically, an SGE who holds stock in excess of $15,000 in a company 
is prohibited from participating in committee work that could affect that 
 
32 There is no statutory or regulatory requirement that CDC maintain this 
documentation.  However, CDC policy requires MASO to maintain official files for each 
committee, which includes OGE Forms 450 and other pertinent information in accordance 
with the CDC Records Schedule.  CDC Policy, CDC-GA-2001-05, loc. cit. 
33 5 CFR  2635.402.    
34 We will use the term particular matter to refer to committee work that involves the 
interests of a specific entity (e.g., a company) or a class of entities (e.g., a sector of similar 
companies).  5 CFR  2640.103 (a)(1). 
35 18 U.S.C.  208.  5 CFR  2640.202.  OGE, Memorandum to Designated Agency Ethics 
Officials, DO-02-006.  Publication of Final Rule Amending 5 CFR pt. 2640.  March 19, 2002.  
Available online at 
http://www.usoge.gov/ethics_guidance/daeograms/dgr_files/2002/do02006.html.  Accessed on 
July 10, 2009. 
 
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specific company.36  Further, if an SGE holds stock with a value 
exceeding $25,000 in a company or an aggregate of stock exceeding 
$50,000 in a sector (i.e., a group of companies in a related industry), the 
SGE is prohibited from participating in committee work that could 
affect all companies within that sector.37   
SGEs are required to list names of certain stock holdings, but not 
values, on the OGE Form 450.  When CDC identifies a stock that poses 
a potential conflict of interest, it should contact the SGE to determine 
whether it exceeds de minimis values.  Further, CDC should determine 
whether it must prohibit the SGE from participating in committee work 
involving individual companies or an entire sector of companies. 
In addition, SGEs are prohibited from participating in committee 
work that would affect their employment, grants, assets, or board 
membership.  For example, an SGEs employment with a vaccine 
manufacturer may pose a conflict of interest covered by the criminal 
conflict-of-interest statute if committee work could directly and 
predictably affect that specific vaccine manufacturer.38  However, an 
SGEs grant, for example, would normally not pose a conflict of 
interest covered by the criminal conflict-of-interest statute if the 
committee deliberates on a particular grant or contract held by a 
different vaccine manufacturer.   
Conflicts of interest covered by the Standards of Ethical Conduct.  SGEs 
must not participate in committee work regarding particular matters 
if a reasonable person would question their impartiality on these 
matters.  Such impartiality concerns could arise because of SGEs own 
interests or those attributed to them on behalf of persons or entities 
with which SGEs have certain personal or business relationships.39  
For example, SGEs impartiality may be questioned if they receive 
 
36 5 CFR  2640.202(a).      
37 5 CFR  2640.202 (c) provides de minimis exemptions for values of stock owned by 
employees who participate in particular matters of general applicability.     
38 SGEs serving on committees have a regulatory exemption to participate in committee 
work regarding particular matters of general applicability that would affect their employer 
to the same extent that similarly situated entities would be affected.  However, an SGE 
must not participate in committee work that would affect the financial interests of his or 
her specific employer but not similarly situated entities.  5 CFR  2640.203(g). 
39 5 CFR 2635.501 et seq. sets forth the relevant prohibitions and identifies the five 
applicable covered relationships. 
 
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consulting fees, honoraria, or speaking fees from companies that could 
be affected by the committees work. 
Resolving Conflicts of Interest  
CDC may resolve SGEs conflicts of interest with ethics agreements, 
including 18 U.S.C.  208(b)(3) waivers (i.e., waivers).40, 41  If CDC does 
not resolve a conflict of interest with an ethics agreement, it should not 
certify the SGEs OGE Form 450 or permit the SGE to participate in 
committee work.42   
Waivers acknowledge that a conflict of interest exists but that the need 
for the SGEs services outweighs the risk posed by the conflict.  CDC 
collaborates with the HHS Office of the General Counsel to develop 
waivers.   
Adequately documented waivers must, among other requirements, 
reflect the SGEs unique conflict(s) of interest.43  For example, CDC 
must specify in a waiver:    
  the specific interest(s) that pose a conflict(s),  
  the general matter(s) in which CDC permits the SGE to participate, 
and  
 
40 In this report, we use the term ethics agreements to include waivers, recusal plans, 
divestitures, and authorizations, which may all be used to resolve SGEs conflicts of 
interest.  5 CFR  2634.802(a) and 2635.502(d).  Most ethics agreements that CDC issues 
are limited waivers, which contain a section that describes the particular matters in which 
CDC prohibits the SGE from participating (i.e., recusal plans).  However, CDC can 
document these recusal plans for an SGE separately from a waiver in cases where it 
determines that the SGE should be prohibited from participating in particular matters but 
should not be granted a waiver to participate in general committee matters.                       
See 5 CFR  2635.402(c) and 2634.804(b)(1).  In cases where an SGE owns stock that 
exceeds established de minimis values, the SGE may be directed to sell (i.e., divest) the 
portion of the stock that exceeds de minimis values.  5 CFR  2635.402(e).   MASO must 
document in the SGEs file that the divestiture occurred.  5 CFR  2634.804(b)(2).  An 
agency can determine that impartiality concerns pursuant to Subpart E of the Standards of 
Ethical Conduct require an employees recusal from participating in a particular matter.     
5 CFR  2635.502(c)(1).  If the agency believes that the SGE should participate in a 
particular matter despite impartiality concerns, then the agency may grant the SGE an 
authorization to participate in that particular matter.  5 CFR  2635.502(d).   
41 5 CFR part 2634 Subpart H (Ethics Agreements) defines these agreements to include 
any oral or written promise by a reporting individual to undertake specific actions in order 
to alleviate an actual or apparent conflict of interest. Furthermore, Subpart H of this part 
applies to both the public and confidential reporting systems.  5 CFR 2634.909(c). 
42 CDC Policy, CDC-GA-2001-05, loc. cit. 
43 5 CFR  2640.302 sets forth requirements for adequately documented waivers. 
 
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  any particular matter(s) in which CDC prohibits the SGE from 
participating.  
In addition, CDC must ensure that the SGE signs the waiver to confirm 
and acknowledge the terms of the waiver.44   
Providing and Documenting Ethics Training  
CDC must provide ethics training to ensure that SGEs are familiar with 
ethics requirements and their responsibilities not to participate in 
committee work regarding particular matters related to their conflicts of 
interest.45  New SGEs must receive initial ethics training within          
90 days of their appointment.46  Incumbent SGEs must receive annual 
ethics training anytime in the calendar year.47  CDC requires SGEs to 
submit signed and dated training certificates to document that they 
completed the training and understood their ethics obligations.48   
Monitoring Compliance With Ethics Requirements During Committee 
Meetings 
CDC must prohibit SGEs from participating in committee meetings if 
they do not have current, certified OGE Forms 450 on file.49  That is, 
new SGEs must file OGE Forms 450 within 30 days of their 
appointment.50  Incumbent SGEs must file forms annually within 1 
year  
 
 
 
 
 
44 CDC Policy, CDC-GA-2001-05, loc. cit.  In addition, pursuant to 5 CFR  2640.302 
(a)(6), SGEs with conflicts of interest may not participate in official duties related to their 
conflicts of interest until they are granted a waiver.   
45 Ibid. 
46 5 CFR  2638.703. 
47 5 CFR  2638.705 and CDC Policy, CDC-GA-2001-05, loc. cit. 
48 CDC Policy, CDC-GA-2001-05, loc. cit. 
49 OGE requires the SGE to file before any advice is rendered by the employee to the 
agency, or in no event, later than the first committee meeting.  5 CFR  2634.903(b)(3).  
OGE also requires CDC to review and certify the form as complete.  5 CFR  2634.605(b).  
Additionally, CDC requires that SGEs file and MASO certify the OGE Form 450 before the 
  
SGE participates in committee meetings.  CDC Policy, CDC-GA-2001-05, loc. cit.     
50 5 CFR  2634.903(b)(1). 
 
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of the dates CDC received their prior forms.51, 52  CDC must certify 
current forms before SGEs participate in committee meetings.     
Additionally, SGEs must not participate in committee work regarding 
particular matters if their waivers prohibit such participation.53     
MASO must notify the Designated Federal Official when an SGE is 
prohibited from participating in committee work.54  The Designated 
Federal Official is responsible for actively monitoring committee 
meetings to ensure that SGEs do not violate ethics requirements.55   
SGEs who participate in committee meetings without current, certified 
OGE Forms 450 on file are not in compliance with OGE regulations 
and/or CDC policy.  SGEs who do not comply with the terms of their 
waivers while participating in committee meetings may violate the 
criminal conflict-of-interest statute and/or the Standards of Ethical 
Conduct, depending on the nature of their conflict(s) of interest.  
SGEs who do not comply with OGE regulations or CDC policy are 
subject to agency administrative action.56  In addition, SGEs who 
allegedly violate the criminal conflict-of-interest statute are subject to 
prosecution by the Department of Justice.57  In HHS, alleged violations 
 
51 5 CFR  2634.903(b).  OGE, Memorandum to Designated Agency Ethics Officials,    
DO-95-019.  Confidential financial disclosure and special Government employees serving in 
a position for more than one year, April 11, 1995.  Available online at 
http://www.usoge.gov/ethics_guidance/daeograms/dgr_files/1995/do95019.txt.  Accessed on 
July 10, 2009.  CDC Policy, CDC-GA-2001-05, loc. cit.  Therefore, according to CDC policy, 
each SGE has a unique filing deadline for submitting OGE Forms 450.   
52 Incumbent SGEs submit new forms each year, regardless of whether their financial 
interests have changed.  SGEs are also required to update the forms during the year if their 
financial interests change.  CDC Policy, CDC-GA-2001-05, loc. cit. 
53 OGE, Memorandum to Designated Agency Ethics Officials, DO-04-012.  Effective 
Screening Arrangements for Recusal Obligations, June 1, 2004.  Available online at 
http://www.usoge.gov/ethics_guidance/daeograms/dgr_files/2004/do04012.html.  Accessed on 
July 10, 2009.  
54 CDC Policy, CDC-GA-2001-05, loc. cit. 
55 Ibid. 
56 Pursuant to 5 CFR  2635.106, a violation of OGE regulations justifies appropriate 
corrective or disciplinary action. 
57 Violations of the criminal conflict-of-interest statute remain allegations until the SGE 
is prosecuted and the judicial system determines that the SGE has actually violated the 
statute.  18 U.S.C.  216 and 18 U.S.C.  208. 
 
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of criminal ethics statutes must be reported to the Office of Inspector 
General (OIG).58   
Previous Office of Inspector General Work 
In 1994, OIG reported on the National Institutes of Healths (NIH) 
ethics program for SGEs.59  OIG found that NIH did not review 
financial disclosure forms to identify conflicts of interest or have          
up-to-date guidance on identifying and resolving conflicts of interest.   
In response to OIGs recommendations, NIH implemented corrective 
actions to improve internal controls over conflicts of interest.  For 
example, NIH developed a process to require ongoing updates of 
financial disclosure information and review of SGEs financial interests.  
NIH also developed an alternate financial disclosure form to allow SGEs 
to disclose non-Federal grants and contracts.  Further, NIH developed 
updated guidance to responsible NIH officials for identifying conflicts of 
interest and determining when waivers should be issued.   
METHODOLOGY 
Scope  
We reviewed financial disclosure files for 246 of 259 SGEs on all 17 CDC 
committees in 2007.60  See Appendix B for additional details on our 
methodology, including reasons for excluding 13 SGEs.  
Data Sources and Collection 
We reviewed ethics requirements and OGE guidance documents.   
We collected 2007 data from the following sources:  
 SGE financial disclosure files (e.g., OGE Forms 450 and supporting 
documentation, which include waivers and curricula vitae); 
 committee meeting minutes; and 
 committee charters. 
We reviewed financial disclosure files for SGEs, meeting minutes, and 
committee charters.  Once we reviewed all the documents that 
 
58 HHS, General Administration Manual, chapter 5-10, Responsibility and Procedures 
for Reporting Misconduct and Criminal Offenses, December 26, 2006.   
59 OIG, Review of the National Institutes of Healths Controls Over Advisory 
Committees Potential Conflicts-of-Interest, A-15-93-00020.    
60 As of December 31, 2007, CDC had assigned SGEs to 17 committees.    
 
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pertained to one committee, we met with MASO to request all missing 
documentation for that committee (e.g., OGE Forms 450, ethics training 
certificates, and meeting minutes).   
Data Analysis 
We classified the 246 SGEs as new or incumbent committee members 
based on their appointment dates.61  In 2007, 79 percent (195 of 246) of 
SGEs were incumbents.  We accounted for different timeframes for 
completing ethics requirements (e.g., submitting OGE Forms 450) for 
new and incumbent SGEs.   
We reviewed documents in the financial disclosure files to determine 
whether SGEs OGE Forms 450 were complete after CDC certified 
them.62  Then, we identified potential conflicts of interest and 
determined whether CDC identified all those that we identified.  We 
also determined the extent to which CDC created and adequately 
documented ethics agreements to resolve potential conflicts of interest 
that it identified.  Further, we determined whether SGEs financial 
disclosure files contained ethics training certificates.  Finally, we 
determined whether SGEs complied with ethics requirements during 
committee meetings.   
Complete disclosure of financial information.  We determined whether 
SGEs OGE Forms 450 were complete after CDC certified them in 2007.  
We used OGE review criteria to assess a forms completeness (see 
Appendix C).  That is, we determined the extent to which reportable 
items were fully described and listed in appropriate sections of the 
certified forms.  We also determined whether relevant items on SGEs 
curricula vitae or the prior OGE Forms 450 were disclosed on the 
certified 2007 forms.  In addition, we determined whether reviewers 
adequately documented their amendments to the forms.      
We then counted the number of SGEs with incomplete OGE Forms 450 
and determined how many of these SGEs were new and incumbents.  
Finally, we determined the number of meetings that SGEs with 
certified, incomplete OGE Forms 450 attended in 2007. 
 
61 OIG analysis of CDCs 2007 SGE financial disclosure files, 2008. 
62 CDC certified OGE Forms 450 for 86 percent (212 of 246) of SGEs in 2007.       
Seventy-six percent (161 of 212) of the SGEs with certified forms were incumbents.  (OIG 
analysis of CDCs 2007 SGE financial disclosure files, 2008.) 
 
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Identification of potential conflicts of interest.  We reviewed committee 
meeting minutes, charters, and financial disclosure files to identify 
potential conflicts of interest for SGEs with OGE Forms 450 certified by 
CDC in 2007.  We compared these potential conflicts of interest to those 
CDC identified.  If CDC did not document any contact with the SGE, 
Designated Federal Official, or HHS Office of the General Counsel 
regarding those interests, we classified them as potential conflicts of 
interest not identified by CDC.     
We then counted the number of SGEs with at least one potential conflict 
of interest that we identified but CDC did not.  We also determined how 
many of those SGEs were new and incumbents.  We consulted with the 
HHS Office of Counsel to the Inspector General to confirm CDC-
unidentified potential conflicts of interest.   
Finally, we determined the number of meetings attended by SGEs in 
2007 whose OGE Forms 450 had been certified by CDC even though it 
had not identified potential conflicts of interest.  
Resolution of potential conflicts of interest.  We determined the extent to 
which CDC created ethics agreements to resolve the potential conflicts 
of interest that it identified in 2007.  If CDC did not create an ethics 
agreement for a potential conflict of interest that it identified, we 
determined whether the documentation in the SGEs file supported 
CDCs conclusion that an ethics agreement was unnecessary.  If CDC 
did create an ethics agreement (i.e., waiver), we determined whether it 
was adequately documented.  If the documentation in an SGEs file did 
not support CDCs conclusion regarding a conflict of interest or if the 
SGEs waiver was inadequately documented, we classified the SGE as 
having an unresolved potential conflict of interest.   
We then counted the number of SGEs with at least one unresolved 
potential conflict of interest.  We also determined how many of those 
SGEs were new and incumbents.  We consulted with the HHS Office of 
Counsel to the Inspector General to confirm unresolved potential 
conflicts of interest.   
Finally, we determined the number of meetings attended by SGEs in 
2007 whose OGE Forms 450 had been certified by CDC even though it 
had not resolved the potential conflicts of interest that it had identified.   
Documentation of ethics training.  We determined whether CDC ensured 
that SGEs financial disclosure files contained ethics training 
certificates to document that SGEs received ethics training within 
 
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required timeframes.  For SGEs with training certificates in their files, 
we determined whether they were signed by new SGEs within 90 days 
of their appointment and by incumbents at any time within the 2007 
calendar year.   
We then counted the number of SGEs who did not have signed 
certificates on file within the required timeframes.  For new SGEs, we 
also calculated the average and range in the number of days late they 
signed their ethics training certificates.   
Finally, we determined the number of meetings that new SGEs without 
training certificates on file attended in 2007.  We then calculated the 
average and range of meetings that these SGEs attended in 2007.   
Compliance with ethics requirements during committee meetings.  We 
reviewed meeting minutes to identify SGEs who attended the meetings, 
the dates of the meetings, and the particular matters in which SGEs 
voted.   
First, we determined whether SGEs participated in committee meetings 
without current OGE Forms 450 on file.  To do so, we determined 
whether SGEs submitted their forms within required timeframes in 
2007.  For new SGEs, we determined whether they participated in 
committee meetings after their appointment dates and before 
submitting their OGE Forms 450.  For incumbents, we determined 
whether they participated in committee meetings after the forms were 
due and before they submitted the forms.  Second, we determined 
whether SGEs participated in committee meetings while having current 
OGE Forms 450 on file, but before CDC certified the forms.     
Then, we determined the number of meetings that SGEs without 
current, certified forms on file attended in 2007.  We also calculated the 
average and range of meetings that these SGEs attended in 2007.    
Finally, we determined whether SGEs complied with the terms of their 
waivers.  To do so, we compared the subjects of SGEs votes with the 
particular matters in which they were prohibited from participating, 
according to the terms of their waivers.  We then counted the number of 
SGEs who voted on particular matters even though the terms of their 
waivers prohibited such participation.         
 
 
 
 
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Limitations 
We did not attempt to identify all potential conflicts of interest that 
CDC did not identify or resolve for each SGE.  We reported one 
unidentified and one unresolved potential conflict per SGE, even if we 
found that the SGE had additional potential conflicts of interest.    
We classified CDC-identified potential conflicts of interest based on 
documented correspondence between CDC and the SGE, the Designated 
Federal Official, or the HHS Office of the General Counsel.  MASO 
reviewers may have identified, without documenting, potential conflicts of 
interest that we classified as unidentified.  While there is no statutory or 
regulatory requirement that CDC maintain this documentation, without 
it, CDC cannot demonstrate that MASO identified an SGEs conflict of 
interest.  
We determined whether CDC ensured that SGEs received ethics 
training within required timeframes based on the existence of ethics 
training certificates.  MASO is required to collect these certificates from 
SGEs.  We did not search for other indicators that SGEs received 
required training.      
Further, we based our assessment of SGEs compliance with ethics 
requirements on a review of meeting minutes.  However, CDC was 
unable to provide minutes for two committee meetings.     
We reported when SGEs did not comply with the terms of their waivers 
only if they voted on particular matters in which they were prohibited 
from participating, according to the terms of their waivers.  However, 
SGEs may have participated in prohibited committee work in ways 
other than voting (e.g., preliminary discussions, interim evaluations, 
final recommendations).   
Standards 
This study was conducted in accordance with the Quality Standards for 
Inspections approved by the Council of the Inspectors General on 
Integrity and Efficiency. 
 
 
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For almost all special Government employees, 
CDC certified OGE Forms 450 
CDC did not ensure that financial disclosure 
with at least one omission in 2007 
forms were complete in 2007  for 97 percent (205 of 212) of SGEs 
with certified forms on file.63  
Most (186 of 212) of the OGE Forms 450 had more than one type of 
omission.  Seventy-seven percent (157 of 205) of the incomplete, certified 
2007 OGE Forms 450 were submitted by incumbent SGEs.   
Table 1 lists the number and percentage of certified 2007 OGE Forms 450 
that were incomplete, by type of omission.  Appendix D contains 
additional details about the types of omissions on the forms.   
Table 1:  Of 212 Certified 2007 Confidential Financial Disclosure Reports, Number and 
Percentage That Were Incomplete, by Type of Omission   
Number of  Percentage of 
Type of Omission  Certified Forms  Certified Forms 
Disclosure not made according to the forms instructions  190  90% 
Relevant items on other documents not on form  167  79% 
Improper amendments to form  34   16% 
   Total*  205  97% 
Source:  OIG review of CDCs 2007 SGE financial disclosure files, 2008. 
* Numbers in columns do not sum to total because some forms contained multiple types of omissions.   
 
Seventy-two percent (147 of 205) of SGEs with incomplete, certified forms 
participated in committee meetings in 2007 after CDC certified their forms.  
These SGEs participated in an average of 2 committee meetings after CDC 
certified the forms, ranging from 1 to 16 meetings.         
If CDC does not ensure that SGEs submit complete financial disclosure 
information prior to certifying the OGE Forms 450, it cannot ensure that it 
has identified and resolved all of the SGEs potential conflicts of interest 
before permitting them to participate in committee meetings.         
 
CDC did not identify or resolve potential  In 2007, 64 percent (136 of 212) of 
conflicts of interest for 64 percent of special  SGEs had potential conflicts of 
interest that CDC did not identify 
Government employees in 2007  
and/or resolve before it certified  
 
 
63 We analyzed 212 forms because 212 of 246 SGEs had certified forms on file in 2007.   
 
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their OGE Forms 450.  Specifically, 58 percent (124 of 212) of SGEs had 
potential conflicts of interest that CDC did not identify.  In addition,  
32 percent (67 of 212) of SGEs had potential conflicts of interest that CDC 
identified but did not resolve.  Twenty-six percent (55 of 212) of SGEs had 
both CDC-unidentified and unresolved potential conflicts of interest.  
Seventy percent (95 of 136) of the SGEs with CDC-unidentified and/or 
unresolved potential conflicts of interest were incumbents.     
Nearly three-fourths (97 of 136) of SGEs with CDC-unidentified and/or 
unresolved potential conflicts of interest participated in at least one 
committee meeting in 2007 after their OGE Forms 450 were certified.  
These SGEs participated in an average of 3 meetings, ranging from 1 to 
16 meetings.  Appendix E shows the average and range in number of 
meetings in which these SGEs participated, by type of vulnerability.     
Permitting SGEs with unidentified or unresolved conflicts of interest to 
participate in committee work creates vulnerabilities.  That is, the SGEs 
may inadvertently violate ethics requirements during committee meetings 
because they are not aware that the conflicts of interest exist.  Further, 
permitting such participation could compromise the integrity of the 
committees work if committees make recommendations to the 
Government that do not best serve the publics interest.   
Fifty-eight percent of special Government employees with certified 
Confidential Financial Disclosure Reports had potential conflicts of interest 
that CDC did not identify 
Fifty-eight percent (124 of 212) of SGEs with certified forms had at least 
one potential conflict of interest that CDC did not identify in 2007.  For 
these SGEs, CDC did not document any contact with the SGE, the 
Designated Federal Official, or the HHS Office of the General Counsel to 
discuss at least one interest that we identified as a potential conflict and 
determine whether it did pose a conflict.  Seventy-one percent (88 of 124) 
of these SGEs were incumbents.  
Potential conflicts of interest that we identified but CDC did not fall into 
three general categories:  employment and grants, equity ownership, and 
consulting.  Table 2 provides the number and percentage of SGEs with 
CDC-unidentified potential conflicts of interest, by category. 
 
 
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Table 2:  Of 212 Special Government Employees With Certified Confidential Financial 
Disclosure Reports, Number and Percentage With CDC-Unidentified Potential Conflicts of 
Interest, by Category 
Number  Percentage 
Category  of SGEs  of SGEs 
Employment and grants  85  40% 
Equity ownership   28  13% 
Consulting   11  5% 
   Total   124  58% 
Source:  OIG review of CDCs 2007 SGE financial disclosure files, 2008.  
 
The most common category was employment and grants (e.g., employment 
with a potential CDC or HHS grantee or contractor, recipient of CDC-
funded grant).  In 2007, 40 percent (85 of 212) of SGEs had potential 
conflicts of interest in this category that CDC did not identify.  For 
example, over half (7 of 11) of SGEs on one committee were employed by 
research institutions that conducted grant-funded studies related to 
committee work.  These research institutions were potential CDC grant 
recipients.  However, CDC did not identify the SGEs employment as an 
interest that could conflict with committee work for any of these seven 
SGEs.  As a result, CDC did not inform the SGEs that they would violate 
the criminal conflict-of-interest statute if they participated in committee 
work regarding particular matters affecting their specific employers 
financial interests.    
Equity ownership (e.g., stocks, patents, business partnership) was the 
second most common category.  In 2007, 13 percent (28 of 212) of SGEs 
had potential conflicts of interest in this category that CDC did not 
identify.  For example, most (26 of 28) of these SGEs held stock in 
companies related to committee work, and CDC did not identify 
ownership of the stock as potential conflicts of interest.  As a result, CDC 
did not contact these SGEs regarding the stocks to determine whether 
they exceeded de minimis values.  Further, CDC did not determine, based 
on the value of the stock, whether it must prohibit the SGE from 
participating in committee work involving individual companies or an 
entire sector. 
Finally, consulting (e.g., advisory board memberships, honoraria, 
speaking engagements, and expert witness activities) was the least 
common category.  In 2007, 5 percent (11 of 212) of SGEs had potential 
conflicts of interest in this category that CDC did not identify.    
 
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Nearly one-third of special Government employees with certified 
Confidential Financial Disclosure Reports had potential conflicts of interest 
that CDC identified but did not resolve 
In 2007, 32 percent (67 of 212) of SGEs with certified forms had at least 
one potential conflict of interest that CDC identified but did not resolve.  
Sixty-seven percent (45 of 67) of the SGEs were incumbents.  For these  
67 SGEs, CDC contacted the SGE, the Designated Federal Official, and/or 
the HHS Office of the General Counsel about the interests.  However, 
CDC did not sufficiently resolve these potential conflicts of interest.   
CDC did not create ethics agreements to resolve potential conflicts of interest 
for 23 percent (49 of 212) of SGEs.  In 2007, CDC identified potential 
conflicts of interest for 49 SGEs but did not create ethics agreements to 
resolve them.   
For 25 of the 49 SGEs, our review of the SGEs files indicated that 
conflicts of interest clearly existed and ethics agreements were necessary, 
but CDC had not developed ethics agreements to resolve the conflicts.  For 
example, one SGE was a member of a committee that reviewed CDC grant 
applications.  This SGE listed a CDC-funded grant, which was active in 
2007, related to committee work on his curriculum vitae.  CDC contacted 
the SGE regarding this grant, but it did not create an ethics agreement to 
resolve this conflict of interest.  Further, CDC did not notify this SGE that 
he was prohibited from participating in particular matters regarding his 
specific employer and/or grant.64  
For the remaining 24 of the 49 SGEs, our review of the SGEs files 
indicated that conflicts of interest may have existed, but CDC did not 
gather the necessary information to support its conclusion that conflicts 
did not exist.  For example, one SGE emailed CDC indicating that she 
likely owned stock in a company related to committee work in excess of 
$25,000.  The Designated Federal Official and a program attorney within 
the HHS Office of the General Counsel advised MASO that ownership of 
stock in that company did not pose a conflict because the SGEs committee 
would not likely discuss that specific company.  However, CDC should 
prohibit an SGE with stock in excess of $25,000 from participating in 
committee work that could affect the entire sector of companies.  CDC 
documented its determination that there was no conflict of interest 
without first confirming whether the stock was above $25,000.   
 
 
64 CDC subsequently issued an ethics agreement for this SGE, citing this grant, in March 
2008.  
 
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CDC created waivers but did not adequately document them for 8 percent 
(18 of 212) of SGEs.  Eight percent (18 of 212) of SGEs had waivers on file 
in 2007.  However, CDC certified these SGEs OGE Forms 450 in 2007 
without adequately documenting their waivers.  Specifically, all (18 of 18) 
of these SGEs had waivers that did not specify the SGEs conflicts of 
interest, the general matters in which they were permitted to participate, 
or the particular matters in which they were prohibited from 
participating.  
That is, CDC used general language in these waivers covering broad 
categories of interests to describe the SGEs conflicts that it identified 
during its review of the OGE Forms 450 and curricula vitae.  Identical 
language was often repeated in different SGEs waivers.  For example:   
  [e]mployment or consulting with, and honoraria or other 
compensation from, research institutions, state and local government, 
pharmaceutical companies, health care industries, or other 
organizations . . . ; 
   [g]rants, contracts, or other funding for research or other services 
that he may receive from the Federal government and from non-
Federal sources; and 
  [e]xpert witness, litigation or advocacy services. 
CDC did not specify each SGEs unique conflicts of interest by stating, for 
example, that an SGEs employment with university X, a current CDC 
grantee, creates a conflict of interest.    
Additionally, CDC stated, for example, that the SGE would be granted a 
waiver under 18 U.S.C.  208(b)(3), permitting him to participate in the 
deliberations and recommendations of [the committee].  However, CDC 
did not specify the general matters related to the conflicts of interest in 
which the SGE was permitted to participate.   
Further, CDC did not specify the particular matters in which the SGE 
was prohibited from participating.  For example, CDC did not state that 
the SGE is prohibited from participating in committee work addressing 
radiation exposure at facility X.   
Finally, CDC certified 2007 OGE Forms 450 for 7 of these 18 SGEs with 
waivers without ensuring that the SGEs signed their waivers to indicate 
that they were informed of the terms of the waiver and any limitations on 
 
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their participation in committee work because of their conflicts of 
interest.65   
 
CDC did not ensure that 41 percent 
CDC did not ensure that 41 percent of special 
(101 of 246) of SGEs had ethics 
Government employees received required 
training certificates on file to 
ethics training in 2007 
document that SGEs received ethics 
training within required timeframes 
in 2007.66   
Thirteen percent (13 of 101) of these SGEs were new committee members 
who did not have ethics training certificates on file to demonstrate that 
they received initial ethics training within 90 days of their appointment.  
On average, these SGEs completed the training 183 days late, ranging 
from 21 to 288 days late.   
Nine of the thirteen new SGEs participated in committee meetings prior 
to completing initial ethics training in 2007.  These SGEs participated in 
an average of 4 committee meetings before the dates of their training 
certificates, ranging from 1 to 14 meetings.  These SGEs participation 
poses a vulnerability because they had not received initial ethics training 
prior to participating in committee meetings and were not informed about 
their ethics obligations as an SGE.  
The remaining 87 percent (88 of 101) of the SGEs without training 
certificates were incumbents.  These SGEs did not have ethics training 
certificates on file to demonstrate that they received annual ethics 
training at any point in 2007.  
If CDC does not document SGEs receipt of ethics training, it cannot 
demonstrate that SGEs were aware of their ethics requirements when 
participating in committee work.    
 
Fifteen percent of special Government  In 2007, 15 percent (36 of 246) of 
employees did not comply with ethics  SGEs did not comply with ethics 
requirements during committee 
requirements during committee meetings  
meetings.  Specifically, 13 percent  
in 2007  
 
65 In addition, one SGE signed, but did not date, the waiver.  We did not count this SGE 
among the seven who did not sign their waivers before CDC certified their OGE Forms 450.   
66 We analyzed the entire sample of 246 SGEs rather than only 212 SGEs with certified 
OGE Forms 450 on file because the existence of a training certificate in an SGEs file is 
independent of a certified OGE Form 450.  
 
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(33 of 246) of SGEs participated in committee meetings in 2007 without 
having current, certified OGE Forms 450 on file.  In addition, 3 percent   
(7 of 246) of SGEs voted on particular matters when the terms of their 
waivers prohibited such participation.  Four SGEs both participated in 
committee meetings without current, certified OGE Forms 450 on file and 
voted on particular matters when their waivers prohibited such 
participation. 
Thirteen percent of special Government employees participated in 
committee meetings without having current, certified Confidential Financial 
Disclosure Reports on file   
Thirteen percent (33 of 246) of SGEs participated in at least one meeting 
without having current, certified OGE Forms 450 on file in 2007.67  
Almost all (31 of 33) of these SGEs were incumbents.   
Specifically, 7 percent (17 of 246) of SGEs participated in at least one 
committee meeting before submitting 2007 OGE Forms 450.  Almost all 
(16 of 17) of these SGEs were incumbents and, at the time of their 
participation, had not submitted OGE Forms 450 within 12 months of 
their prior submissions.  One SGE was new and did not submit an        
OGE Form 450 within 30 days of appointment.  These 17 SGEs 
participated in an average of one meeting without having current forms 
on file, ranging from one to two meetings.   
In addition, 7 percent (18 of 246) of SGEs participated in at least one 
committee meeting before CDC certified their 2007 OGE Forms 450.68  
Almost all (17 of 18) of the SGEs were incumbents.  The 18 SGEs 
participated in an average of two meetings without having certified forms 
on file, ranging from one to eight meetings.   
To prevent SGEs from participating in committee meetings without 
current, certified OGE Forms 450, we shared detailed information 
regarding these 33 SGEs with CDC and the HHS Office of the General 
Counsel in April 2009. 
Three percent of special Government employees voted on particular 
matters in which they were prohibited from participating   
Three percent (7 of 246) of SGEs voted on particular matters when the 
terms of their waivers prohibited such participation.  All seven of these 
SGEs were on one committee, and five were incumbents.   
 
67 In 2007, 42 percent (103 of 246) of SGEs did not submit their OGE Forms 450 by the 
filing deadline.  These SGEs submitted their forms an average of 75 days late, ranging from  
1 to 361 days late.   
68 Two of these eighteen SGEs also participated in at least one meeting before submitting 
their 2007 OGE Forms 450.   
 
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To prevent continued noncompliance at subsequent committee meetings, 
we shared detailed information regarding these seven SGEs with CDC 
upon discovery and with the HHS Office of the General Counsel in April 
2009.  These cases were also forwarded to OIGs Office of Investigations 
for review and evaluation to determine the appropriate course of action.69     
 
 
 
69 The cases were forwarded to the OIG Office of Investigations because the waivers were 
created pursuant to the criminal conflict-of-interest statute.  The OIG Office of Investigations 
reviewed information regarding these seven SGEs and determined, largely as a result of 
CDCs systemic lack of oversight of the ethics program for SGEs identified in this report, that 
the actions of the seven SGEs did not rise to the level of criminal violations of the conflict-of-
interest statute.  
 
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RR EE RCC EOO CMM OMM MEE MNN DDE AAN TTD II AOO TNN I SSO   N S  
 
 
SGEs on CDC Federal advisory committees are voting members who may 
have conflicts of interest with their committee work.  To protect the 
committees integrity and credibility, SGEs with conflicts of interest must 
not inappropriately influence their committees work.  However, we found 
that CDC had a systemic lack of oversight of the ethics program for SGEs.  
That is, for almost all SGEs, CDC did not ensure that they submitted 
complete financial information in 2007.  Additionally, CDC did not 
identify or resolve potential conflicts of interest for 64 percent of SGEs.  
CDC also did not ensure that 41 percent of SGEs had ethics training 
certificates on file to indicate that they received initial or annual ethics 
training and were informed about their ethics obligations.  Finally,         
15 percent of SGEs did not comply with ethics requirements during 
committee meetings.   
Therefore, we recommend that CDC: 
Ensure that special Government employees Confidential Financial Disclosure 
Reports are complete before certifying them 
During its review of the OGE Forms 450, CDC should ensure that all items 
are complete and listed in all relevant sections of the form, according to the 
forms instructions and OGE guidance.  In addition, CDC should compare 
the OGE Form 450 with the SGEs curriculum vitae and the prior           
OGE Form 450 to ensure that all relevant items disclosed on these 
documents are contained on the current OGE Form 450.  For all items 
requiring amendments, CDC should ensure that MASO reviewers document 
the SGEs authorization of the changes.  Further, CDC should ensure that 
MASO reviewers initial and date their amendments.  CDC could also 
implement an automated system for SGEs to submit their OGE Forms 450.   
Require special Government employees to disclose their involvement in 
grants and other relevant interests that could pose conflicts but that are not 
disclosed on the Confidential Financial Disclosure Report 
The OGE Forms 450 do not require SGEs to disclose all interests that could 
pose conflicts.  For example, information about SGEs grant activities and 
patents are not required to be disclosed on the OGE Forms 450.  However, 
CDC should obtain information regarding SGEs interests that could pose 
conflicts, such as their involvement in grants, to identify conflicts of interest 
posed by these interests.  To accomplish this, CDC could require, rather  
 
 
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than request, SGEs to submit updated curricula vitae.  However, SGEs do 
not disclose all necessary information consistently, or at all, on the curricula  
vitae.  Therefore, CDC could also request OGE to approve an alternate  
OGE Form 450 that requires SGEs to disclose their involvement in grants 
and other relevant interests that are not disclosed on the OGE Form 450.  
Identify and resolve all conflicts of interest for special Government employees 
before permitting them to participate in committee meetings 
CDC should thoroughly review each SGEs financial disclosure file to 
identify conflicts of interest covered by the criminal conflict-of-interest 
statute or the Standards of Ethical Conduct.  CDC should thoroughly review 
the OGE Forms 450, curricula vitae, committee charters, and meeting 
minutes to become more familiar with topics covered by the committees and 
identify interests that could pose a conflict of interest with committee work.   
Additionally, CDC could seek SGEs input on what interests could pose 
conflicts.  That is, for each committee, CDC could develop targeted 
questionnaires to elicit information from the SGEs to help CDC identify 
potential conflicts of interest.  By virtue of their expertise in the field related 
to committee work, SGEs may be better positioned to identify potential 
conflicts of interest with committee work than MASO reviewers.  For 
example, to determine if an SGE who holds stock in a pharmaceutical 
company has a potential conflict of interest, MASO reviewers would need to 
be familiar with the drugs currently marketed and under development by 
the company and all uses for these drugs.  While MASO reviewers are 
typically not as knowledgeable in these areas, SGEs are considered experts.   
Alternatively, CDC could implement a system whereby, before each meeting, 
CDC program staff would generate and share with MASO a list of potential 
conflicts of interest that pertain to matter(s) that will be discussed during 
that meeting.  Additionally, SGEs would disclose their interests before each 
meeting so that MASO could identify potential conflicts of interest based on 
the most up-to-date disclosures.  At the meeting, MASO would provide each 
SGE with a list of his or her own potential conflicts of interest as well as the 
more general list of potential conflicts of interest developed by CDC program 
staff prior to the meeting.     
Once CDC determines that a conflict of interest does exist, it should resolve 
it with a properly documented ethics agreement.  CDC should ensure that 
SGEs sign their ethics agreements, especially when the documents describe 
particular matters in which SGEs are prohibited from participating.  CDC 
should ensure that SGEs sign these ethics agreements before it certifies the 
OGE Forms 450 and before the SGEs participate in committee meetings.   
 
 
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When CDC develops a waiver for an SGE, it should ensure that the 
document describes the specific conflict of interest, general matters in which 
that SGE is permitted to participate, and particular matters in which the 
SGE is prohibited from participating.       
If CDC determines that an interest does not pose a conflict, it should ensure 
that the documentation in the SGEs file supports this conclusion.   
Increase collaboration among CDC officials and with the HHS Office of the 
General Counsel  
To improve CDCs ability to identify and resolve conflicts of interest, MASO 
should increase its collaboration with the Designated Federal Officials and  
the HHS Office of the General Counsel.  For example, when CDC requests 
additional information from the Designated Federal Official or the HHS 
Office of the General Counsel, it could request a written explanation to 
support their conclusion regarding the conflict.   
Additionally, CDC should coordinate with both ethics attorneys and program 
attorneys from the Office of the General Counsel to ensure ethics 
agreements include language to comply with ethics statutes and regulations, 
as well as specific language to address particular matters in which SGEs are 
prohibited from participating. 
Ensure that special Government employees and CDC employees receive 
ethics training 
CDC should ensure that all SGEs receive required initial and annual ethics 
training and that receipt of the training is documented in the SGEs files.  
To ensure that SGEs receive ethics training as required, CDC should 
prohibit new SGEs from participating in committee meetings until they 
submit the training certificates.  To facilitate its ability to identify SGEs who 
have received ethics training, CDC could implement a computer-based 
training system to automatically generate ethics training certificates and 
track whether SGEs completed their ethics training.   
Further, CDC should develop additional training for SGEs on how to submit 
complete OGE Forms 450.  For example, CDC could identify common 
technical and substantive errors on the OGE Forms 450 and provide 
training to SGEs in these areas. 
Finally, CDC should also provide training for MASO reviewers and 
Designated Federal Officials in reviewing forms for completeness, 
identifying conflicts of interest, and determining when ethics agreements 
should be developed.   
 
 
 
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Monitor special Government employee compliance with ethics requirements 
during committee meetings 
CDC should prohibit SGEs from participating in any committee meetings if 
they do not have current, certified OGE Forms 450 on file.  MASO should 
notify the Designated Federal Official when an SGE has not submitted an 
OGE Form 450 by the filing deadline and advise that the SGE is prohibited 
from participating in committee meetings.  When the SGE subsequently  
submits the form and CDC certifies it, MASO should notify the Designated 
Federal Official that the SGE is permitted to participate in committee 
meetings.   
In addition, CDC should ensure that SGEs comply with the terms of their 
ethics agreements during committee meetings.  To do this, CDC could 
review ethics agreements and remind each SGE about the matters in which 
they are prohibited from participating before each meeting.  Further, CDC 
should ensure that the Designated Federal Officials prohibit SGEs from 
participating in particular matters when their ethics agreements prohibit 
their participation on such matters.  To facilitate their ability to monitor the 
SGEs compliance with ethics agreements, CDC should ensure that, during 
committee meetings, the Designated Federal Officials have a list of SGEs 
and the particular matters in which they are prohibited from participating.    
CDC could also have MASO reviewers attend committee meetings to ensure 
SGEs compliance with ethics requirements during the meetings.   
Track special Government employee compliance with ethics requirements 
CDC officials, independent of those who attend the committee meetings, 
should regularly review meeting minutes to determine whether SGEs 
complied with ethics requirements.  Specifically, CDC officials should track 
whether SGEs participate in committee meetings without certified          
OGE Forms 450 on file.  Additionally, qualified CDC officials should track 
whether SGEs with ethics agreements participate in particular matters 
when their ethics agreements prohibit such participation.   
Finally, if an SGE does not comply with the criminal conflict-of-interest 
statute, CDC should notify the SGE and the Designated Federal Official and 
report the case to the HHS OIG.  If an SGE does not comply with the 
Standards of Ethical Conduct or CDC policy during committee meetings, 
CDC should notify the SGE and the Designated Federal Official and take 
appropriate administrative action.  
 
 
 
 
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AGENCY COMMENTS AND OFFICE OF INSPECTOR GENERAL 
RESPONSE 
CDC concurred with all seven of our recommendations.  Since the time of 
our review, CDC indicated that it has begun or plans to implement 
improvements that coincide with our recommendations.  Specifically, CDC 
noted that (1) CDC has strengthened its controls to ensure that there are 
no omissions related to reportable information required by the              
OGE Form 450; (2) CDC will work with HHS and OGE to develop a 
means of collecting information on interests (e.g., grants) that are not 
currently required on the OGE Form 450; (3) CDC has implemented a 
Record of Analysis to document that MASO has performed an analysis 
of potential conflicts of interest; (4) MASO has established a workgroup, 
which includes the Designated Federal Officials and the HHS Office of the 
General Counsel Ethics Division, to raise and/or resolve matters relating 
to the management of CDCs committees including issues related to 
financial disclosure and conflicts of interest; (5) CDC is revising its 
process to allow SGEs to electronically report their receipt and review of 
ethics training; (6) CDC will consult with other HHS agencies to 
determine best practices that could be implemented to enhance its 
program and improve its process for monitoring SGE compliance with 
ethics requirements during committee meetings; and (7) MASO will have 
a greater presence at committee meetings and audit minutes to track SGE 
compliance with ethics requirements.    
However, CDC expressed concerns with fully implementing our 
recommendation to ensure that OGE Forms 450 are complete.  That is, 
CDC indicated that it is impractical to follow up with SGEs to verify 
interests not found on the OGE Forms 450 if these interests can be found 
through a comprehensive review of supplementary documents, such as the 
curricula vitae.  CDC indicated that, through this review, it is able to 
accomplish the primary purpose of financial disclosure, which is to 
identify and resolve potential conflicts of interest.  However, pursuant to 
Federal regulation, all required information must be documented on the 
OGE Form 450.  Therefore, we recommend that CDC ensure that each 
required item is disclosed on the OGE Form 450.  Accordingly, in 
assessing OGE Form 450 completeness, CDC should not consider 
supplemental documents (e.g., the curriculum vitae) to be part of the  
OGE Form 450.  Further, we determined that CDC did not identify and 
resolve all potential conflicts of interest that we identified based on our 
review of all the information in the financial disclosure files, including the 
SGEs curricula vitae.   
 
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We made technical changes to the report based on CDCs comments.  For 
the full text of CDCs comments, see Appendix F.   
 
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  A P PA EP NP DEI NX D~ IA X  ~ A  
Federal Advisory Committees at the Centers for Disease Control and 
Prevention, as of December 31, 2007 
Office of the Director 
Advisory Committee on Immunization Practices 
Advisory Committee to the Director, Centers for Disease Control and 
Prevention (CDC) 
Coordinating Center for Environmental Health and Injury Prevention 
Advisory Committee on Childhood Lead Poisoning Prevention 
Board of Scientific Counselors, National Center for Environmental 
Health/Agency for Toxic Substances and Disease Registry 
Board of Scientific Counselors, National Center for Injury Prevention 
and Control70 
Coordinating Center for Health Information and Service 
Board of Scientific Counselors, National Center for Health Statistics 
National Committee on Vital and Health Statistics 
Coordinating Center for Health Promotion 
Breast and Cervical Cancer Early Detection and Control Advisory 
Committee 
Interagency Committee on Smoking and Health 
Coordinating Center for Infectious Diseases 
Advisory Council for the Elimination of Tuberculosis 
Board of Scientific Counselors, Coordinating Center for Infectious 
Diseases 
CDC/Health Resources and Services Administration Advisory 
Committee on Human Immunodeficiency Virus and Sexually 
Transmitted Disease Prevention and Treatment 
Clinical Laboratory Improvement Advisory Committee 
Healthcare Infection Control Practices Advisory Committee 
 
70 This committee was previously chartered as the Advisory Committee for Injury 
Prevention and Control.  73 Fed. Reg. 80412 (Dec. 31, 2008).  Available online at 
http://edocket.access.gpo.gov/2008/E8-31111.htm.  Accessed on July 10, 2009.    
 
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  AA PP PP EE NN DD II XX ~~ AA   
National Institute for Occupational Safety and Health 
Advisory Board on Radiation and Worker Health 
Board of Scientific Counselors, National Institute for Occupational 
Safety and Health 
Mine Safety and Health Research Advisory Committee 
 
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   A P P E N D I X ~ B  
DETAILED METHODOLOGY 
Scope 
We reviewed financial disclosure files for 246 of 259 special Government 
employees (SGE) on all 17 Federal advisory committees (committees) to 
which the Centers for Disease Control and Prevention (CDC) had 
assigned SGEs.  The 246 SGEs were active as of December 31, 2007, 
(i.e., they were listed on a January 22, 2008, printout from CDCs 
committee database and were appointed prior to January 1, 2008).   
We did not review files for 9 of the 259 SGEs because they were 
assigned to a committee sponsored jointly by CDC and the Health 
Resources and Services Administration.  These SGEs were technically 
employed by the Health Resources and Services Administration.   
We also excluded an additional four SGEs who were appointed in late 
2007 and had not submitted Confidential Financial Disclosure Reports 
(Office of Government Ethics (OGE) Forms 450) in 2007.  These forms 
were not due until 2008.   
Data Sources and Collection 
We reviewed conflict-of-interest statutes, OGE regulations and 
guidance documents, and CDC policy regarding SGE ethics 
requirements.  Hereinafter, we refer to conflict-of-interest statutes, 
OGE regulations, and CDC policy as ethics requirements.  
We collected 2007 data from the following sources:  
 SGE financial disclosure files (i.e., SGEs current and prior         
OGE Forms 450; curricula vitae; official correspondence between 
CDC and SGEs, Designated Federal Officials, and/or the 
Department of Health and Human Services (HHS) Office of the 
General Counsel; ethics agreements; and ethics training 
certificates); 
 committee meeting minutes; and 
 committee charters. 
We reviewed financial disclosure files for SGEs, meeting minutes, and 
committee charters.  Once we reviewed all the documents that 
pertained to one committee, we met with the Management Analysis and 
Services Office to request all missing documentation for that committee 
(e.g., OGE Forms 450, ethics training certificates, and meeting 
minutes).   
 
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  A P P E N D I X ~ B  
 
Data Analysis 
We classified the 246 SGEs as new or incumbent committee members 
based on their appointment dates.  We defined new SGEs as those 
appointed in 2007 or appointed within the last 30 days of 2006.  All 
other SGEs were incumbents.  In 2007, 21 percent (51 of 246) of CDCs 
SGEs were new; 79 percent (195 of 246) were incumbents. 71   We 
accounted for different timeframes for completion of ethics requirements 
imposed on new and incumbent SGEs.   
CDC certified OGE Forms 450 for 86 percent (212 of 246) of SGEs in 
2007.  Twenty-four percent (51 of 212) of the SGEs with certified forms 
were new; 76 percent (161 of 212) were incumbents.72    
We reviewed financial disclosure files for 212 SGEs with certified 2007 
OGE Forms 450 to determine whether their forms were complete after 
CDC certified them.  Then, we identified potential conflicts of interest 
and determined whether CDC identified all those that we identified.   
We reviewed financial disclosure files for all 212 SGEs to determine the 
extent to which CDC created ethics agreements and adequately 
documented them to resolve potential conflicts of interest that it 
identified.  Further, we determined whether SGEs financial disclosure 
files contained ethics training certificates.  Finally, we determined 
whether SGEs complied with ethics requirements during committee 
meetings.   
Complete disclosure of financial information.  We determined whether 
SGEs OGE Forms 450 were complete after CDC certified them in 2007.  
Upon receipt, CDC has 60 days to review OGE Forms 450, and it should 
certify them shortly thereafter.73  By December 31, 2007, CDC had 
received 224 OGE Forms 450 from its 246 SGEs.  The 12 forms that 
CDC did not certify by the end of 2007 were received between June 14 
and December 31, 2007.  Nine of the twelve forms were submitted 
within the last 60 days of 2007. 
To determine whether a certified form was complete, we used relevant 
criteria from OGEs guide for reviewing OGE Forms 450 (see    
Appendix C).  That is, we determined the extent to which reportable 
 
71 OIG analysis of CDCs 2007 SGE financial disclosure files, 2008. 
72 Ibid.  
73 HHS Office of the General Counsel, Ethics Division, Designated Agency Ethics Official 
(DAEO).  DAEO Supplemental Instruction No. 06-2, loc. cit.    
 
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A P P E N D I X ~ B  
 
items were fully described and listed in appropriate sections of the form, 
according to the OGE Form 450 instructions.  We also determined 
whether relevant items on curricula vitae or the prior OGE Form 450 
were disclosed on the 2007 certified form.  Finally, we reviewed        
OGE Forms 450 for reviewers annotations and determined whether the 
amendments indicated that the SGEs authorized the changes and 
contained the reviewers initials and the dates of the changes.  That is, 
we determined whether there was evidence that SGEs approved 
changes made by MASO to the forms (e.g., email correspondence 
between MASO and the SGE or MASO documentation indicating that a 
phone conversation had taken place with the SGE regarding the 
change).  We also determined whether the amendment contained the 
reviewers initials and the date of the change.     
We then counted the number of SGEs with incomplete forms.  We also 
determined how many of those SGEs were new and incumbents.  
Finally, we determined the number of meetings that SGEs with 
certified, incomplete OGE Forms 450 attended in 2007.  We counted the 
number of meetings these SGEs attended between the dates CDC 
certified their 2007 OGE Forms 450 and December 31, 2007.   
Identification of potential conflicts of interest.  To assess CDCs 
identification and resolution of conflicts of interest, we reviewed 
meeting minutes and committee charters to ascertain the scope of the 
matters generally discussed by each committee.  We then reviewed 
financial disclosure files for SGEs with OGE Forms 450 certified by 
CDC in 2007 to identify potential conflicts of interest.     
We reviewed the certified OGE Forms 450 and determined whether 
CDC identified all potential conflicts of interest that we identified before 
it certified them.  If CDC did not document any contact with the SGE, 
Designated Federal Official, or HHS Office of the General Counsel 
regarding interests we identified as potential conflicts, we classified the 
interests as not identified by CDC.   
We then counted the number of SGEs with at least one interest that we 
identified but CDC did not.  We also determined how many of those 
SGEs were new and incumbents.  We consulted with the HHS Office of 
Counsel to the Inspector General to confirm the CDC-unidentified 
potential conflicts of interest. 
Finally, we determined the number of meetings attended by SGEs in 
2007 whose OGE Forms 450 had been certified by CDC even though it 
 
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A P P E N D I X ~ B  
 
had not identified the potential conflicts of interest.  We counted the 
number of meetings these SGEs attended between the dates CDC 
certified their 2007 OGE Forms 450 and December 31, 2007.   
Resolution of potential conflicts of interest.  We determined the extent to 
which CDC resolved potential conflicts of interest that it identified 
before certifying OGE Forms 450.  If the documentation in an SGEs file 
did not support CDCs conclusion regarding a conflict of interest or if the 
SGEs waiver was inadequately documented, we classified the SGE as 
having an unresolved potential conflict of interest.   
If CDC did not create an ethics agreement for an interest that it 
identified, we determined whether the documentation in the SGEs file 
supported CDCs conclusion that an ethics agreement was unnecessary.  
For example, CDC documented advice from Designated Federal Officials 
to support its determination that a conflict of interest did not exist.  In 
some cases, the documented advice contained only a statement by the 
Designated Federal Official indicating that he or she did not see a 
conflict of interest, but the Designated Federal Official did not provide 
any facts or analysis to support this conclusion.  In these cases, we 
determined that the conclusory statement alone was not sufficient to 
outweigh other facts in the file suggesting that a potential conflict of 
interest existed.  Additionally, if documented advice was based on an 
inaccurate interpretation of ethics requirements, we determined that 
the potential conflict of interest was not resolved.  
If CDC did create an ethics agreement to resolve an SGEs conflict of 
interest, we determined whether it was adequately documented.  We 
classified 18 U.S.C. 208  (b)(3) waivers (i.e., waivers) as adequately 
documented if they specified (1) the item(s) that posed the conflict(s) of 
interest, (2) any general matters in which the SGE was permitted to 
participate in committee meetings, and (3) particular matters in which 
the SGE was prohibited from participating.  In addition, we determined 
whether SGEs signed and dated their waivers.   
We then counted the number of SGEs with at least one unresolved 
conflict of interest.  We did not consider potential conflicts of interest 
that CDC did not identify in our count of unresolved potential conflicts 
of interest.  We also determined how many of those SGEs were new and 
incumbents.  We consulted with the HHS Office of Counsel to the 
Inspector General to confirm that the SGEs had at least one unresolved 
potential conflict of interest.  
 
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  A P P E N D I X ~ B  
Finally, we determined the number of meetings attended by SGEs in 
2007 whose OGE Forms 450 had been certified by CDC even though it 
had not resolved the potential conflicts of interest that it had identified.  
We counted the number of meetings these SGEs attended between the 
dates CDC certified their 2007 OGE Forms 450 and December 31, 2007.   
Documentation of ethics training.  We determined whether CDC ensured 
that SGEs financial disclosure files contained ethics training 
certificates to document that SGEs received ethics training within 
required timeframes.  For SGEs with training certificates in their files, 
we determined whether they were signed by new SGEs within 90 days 
of their appointment and by incumbents at any time within the 2007 
calendar year.  
We then counted the number of SGEs who did not have signed 
certificates on file within the required timeframes.  For new SGEs, we 
also calculated the average and range in the number of days late they 
signed their ethics training certificates.  
One new SGE was appointed less than 90 days prior to the end of 2007 
and did not have a training certificate on file.  We did not include this 
SGE in our count of SGEs without training certificates on file because 
the training certificate was not yet due.    
Finally, we determined the number of meetings that new SGEs without 
training certificates on file attended in 2007.  We counted the number of 
meetings these SGEs attended between the dates their training 
certificates were due and the dates they signed their training 
certificates or December 31, 2007.  We then calculated the average and 
range of meetings that these SGEs attended in 2007.    
Compliance with ethics requirements during committee meetings.  We 
reviewed meeting minutes to identify SGEs who attended the meetings, 
the dates of the meetings, and the particular matters in which SGEs 
voted.   
First, we determined whether SGEs participated in committee meetings 
without current OGE Forms 450 on file.  To do so, we determined 
whether SGEs submitted their forms within required timeframes in 
2007.   That is, we determined the extent to which new SGEs submitted 
their forms within 30 days of their appointment and incumbent SGEs 
submitted their forms within 1 year of their prior filing.   
 
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  A P P E N D I X ~ B  
For new SGEs, we determined each SGEs appointment date based on 
the SGEs official appointment records.  We then compared this date to 
the SGEs 2007 OGE Form 450 submission date to determine whether 
the SGE submitted the form within the required 30 days.  For 
incumbent SGEs, we determined whether SGEs submitted the 2007 
OGE Forms 450 within 1 year of the dates CDC received their prior     
OGE Forms 450.  Eight SGEs each submitted two OGE Forms 450 in 
2007.  In these cases, we reviewed the most recently submitted         
OGE Forms 450 in 2007 that CDC had certified by the time of our 
review (i.e., spring 2008).  For these SGEs, we used the prior 2007 OGE 
Forms 450 to serve as the prior forms. 
One SGE submitted an illegible OGE Form 450 in 2007.  CDC did not 
accept this form as a valid submission, so we classified this SGE as not 
submitting a form in 2007.     
We then determined whether SGEs participated in committee meetings 
before submitting their current OGE Forms 450.  For new SGEs, we 
determined whether they participated in committee meetings after their 
appointment dates and before submitting their OGE Forms 450.  For 
incumbents, we determined whether they participated in committee 
meetings after the forms were due and before they submitted the forms.   
Second, we determined whether SGEs participated in committee 
meetings before CDC certified their current OGE Forms 450.  That is, 
we determined whether SGEs participated in committee meetings after 
submitting their current forms and before CDC certified them.     
Then, we determined the number of meetings that SGEs without 
current, certified forms on file attended in 2007.  We also calculated the 
average and range of meetings that these SGEs attended in 2007.    
Finally, we determined whether SGEs complied with the terms of their 
waivers.  To do so, we compared the subjects of SGEs votes with the 
particular matters in which they were prohibited from participating, 
according to their waivers.  We reviewed meeting minutes to identify 
particular matters in which SGEs voted.  We compared the subjects of 
these votes with the particular matters in which the SGEs were 
prohibited from participating, as outlined in the SGEs waivers.  We 
counted the number of SGEs who voted on particular matters even 
though the terms of their waivers prohibited such participation.      
 
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 A P P E N D I X ~ C  
Office of Government Ethics Guidance for Determining Whether 2007 
Confidential Financial Disclosure Reports Are Complete74   
To determine whether Confidential Financial Disclosure Reports    
(OGE Forms 450) were complete, we used the following criteria from the 
Office of Government Ethics (OGE) guidance and instructions on the             
OGE Form 450.75   
For Part I  Assets and Income  
 Was specific employer listed? 
 Were specific names of sector-specific mutual funds listed? 
 Were specific names of publicly traded stock disclosed? 
 Was type of income indicated (i.e., stock)?  
 For honoraria, were dates shown (month and year that services were 
provided)? 
 If sources of income are from outside employment, have they been 
described in Part III - Outside Positions? 
For Part II - Liabilities  
 Is the name and location (city and State) for all reportable creditors 
indicated? 
 Is the type of liability (debt) shown, such as promissory note, 
mortgage, or loan? 
 For mortgages, are there corresponding rental properties reported in 
Part I? 
For Part III - Outside Positions 
 Are name and location (city and State) for the organization indicated? 
 Is the organizations purpose or function stated? 
 Has the filer indicated the specific position held or nature of activity 
with the organization? 
 
74 OGE, OGE Form 450: A Review Guide, op. cit., beginning on p. 30.     
75 The OGE guidance was issued in 1996.  Because of changes to the OGE Form 450 in 
January 2007, we excluded some of OGEs original criteria, which no longer apply.  An 
attorney from the Office of Counsel to the Inspector General confirmed that the criteria 
listed in this Appendix reflect the current review requirements for the January 2007 OGE 
Form 450. 
 
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  A P P E N D I X ~ C  
 For positions that would ordinarily produce reportable earned 
income, such as an employee, consultant, or director, check to see 
that an entry is shown in Part I - Assets and Income. 
For Part IV - Agreements and Arrangements 
 Are the basic elements of the agreement or arrangement stated, such 
as employment terms, effective dates, etc.? 
 Are the parties identified, with location (city and State)? 
 Is a date (month and year) for the agreement or arrangement shown? 
 If the agreement or arrangement is for a pension or for other 
payments due from a former or current employer, is that asset or 
source of income reported in Part I - Assets and Income? 
 
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 A P P E N D I X ~ D  
Details Regarding Number and Percentage of Certified 2007 Confidential Financial 
Disclosure Reports That Were Incomplete, by Type of Omission   
Number of  Percentage of 
Type of Omission  Certified Forms  Certified Forms 
Disclosure not made according to forms instructions  190  90% 
Items were not fully described (e.g., full name, location, or  120  57% 
type of position was not listed in Part III - Outside Positions)
Items were not listed in all appropriate sections (e.g.,  170  80% 
income-earning positions in Part III  Outside Positions 
were not listed as sources of income in Part I  Income) 
   Relevant items on other documents not on form  167  79% 
Relevant item was on curriculum vitae  123  58% 
Relevant item was on prior form  103  49% 
Improper amendments to form  34   16% 
Special Government employees (SGE) authorization of 
change was not documented  34  16% 
Reviewer did not initial the change  11  5% 
Reviewer did not date the change  11  5% 
Total*  205  97% 
Source:  Office of Inspector General review of the Centers for Disease Control and Preventions 2007 SGE financial 
disclosure files, 2008. 
* Numbers in columns do not sum to total because some forms contained multiple types of omissions.   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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 A P P E N D I X ~ E  
 
This table provides the number and percentage of special Government 
employees (SGE) who had vulnerabilities in their files and who 
participated in committee meetings in 2007, by type of vulnerability and 
average and range in meeting participation.  
Average and Range in Committee Meetings in Which Special Government Employees 
Participated in 2007 After Their Forms Were Certified, by Type of Vulnerability in Their Files 
Average   Range in 
Number of  Percentage of  Meeting  Meeting 
Type of Vulnerability  SGEs  SGEs  Participation  Participation 
File contained potential conflicts of 
interest that the Centers for Disease 
124  58%  2  1-16 
Control and Prevention (CDC) did not 
identify 
File contained potential conflicts of 
67  32%  2  1-14 
interest that CDC did not resolve 
   Total*   136  64 %  2  1-16 
Source:  Office of Inspector General review of CDCs 2007 SGE financial disclosure files and committee meeting minutes, 
2008. 
* Numbers in columns do not sum to total because some forms contained multiple types of omissions. 
 
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  A P P E N D I X ~ F  
 
          AGENCY COMMENTS 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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A P P E N D I X ~ F  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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A P P E N D I X ~ F  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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Page 5 -Page 4 - Daniel R. Levinson 
It is critical to note that MASO ensures that all new SGEs receive initial Ethics Training upon 
appointment, and distributes Annual Ethics Training to all SGEs as required. In addition, MASO 
attends certain advisory committee meetings to provide ethics training. Additionally, MASO 
employees who work with advisory committees are provided ongoing instruction and coaching 
on ethics requirements; DFOs are provided the same materials that are sent to SGEs for Annual 
Ethi.cs training. 
Office ofInspectol' General (DIG) Recommendation: Monitor special GovclUmcnt employee 
compliance witheLhics requirements during committee meetings. 
CDC Response: CDC concurs \vlth this recommendation. MASO collaborates with DFOs and 
HHS Ethics advisors to detemline when SGEs should not participate in certain matters. As 

subject maILer experts for their respective advisory committees, the DFOs are actively engaged 

from the onset in helping to identify real and apparent conflicts ofinterest and to recommend 

ways to resolve the conflict (disqualification, recusal, divestiture, 18 U.S.C.  208(b)(3) waiver, 

authorization under 5 C.F.R.  2635.S02(a)). CDC wiII continue to seek methods for 

improvement, by consulting with other HHS agencies to detennine best practices that could be 

implemented to enhance our program. 

Office ofInspector General (DIG) Recommendation: Track special Government employee 
compliance with ethics requirements. 
CDC Response: CDC concurs with this recommendation. Recognizing the role that DFOs hold 
in this process, MASO also acIalowledges its oversighirespollsibility for SGEs compliance \vith 
financial disclosure and ethics requiremcnts. MASO continues to collaborate with internal 
partners (DFOs, OGC Ethics) involved in the confidential financial disclosure process to track 
and document SGEs compliance with ethics requirements. MASO will have a greater presence 
at advisory committee meetings, audit meeting minutes, and continually seek methods to 
improve and enforce of CDC's Financial Disclosure policy for SOEs. 
CDC Summary Comments to DIG Findings: 
In summary, CDC concurs with the recommendations ofthe OIG report. Over the past (wo 
years, CDC has implemented measures that coincide with these recommendations. Regarding 
OIG findings, CDC's technical comments on the draft report, previously submitted, are also 
attached. We appreciate your consideration of the comments contained in this memo ancl the 
technical comments as you develop the final report.  We are happy to discuss any ofthese 
comments with you. Please direct any questions regarding these comments to Mr. Shaun Ratliff 
by telephone at (404) 639-2809 or by email at iggao@cdc.gov. 
Thomas R. FJied"~n, M.D., M.P.H. 
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  AACPKPNEON WD LI EX D~ GE  M E N T S  
 
This report was prepared under the direction of Dwayne Grant, 
Regional Inspector General for Evaluation and Inspections in the 
Atlanta regional office.  
Jaime Durley served as the team leader for this study, and Leila Samy 
served as lead analyst.  Other principal Office of Evaluation and 
Inspections staff who contributed to this report include Starr Daniell, Al 
Olson, Shaun Owens, Gerius Patterson, and Mina Zadeh from the 
Atlanta regional office and Robert A. Vito from the Philadelphia 
regional office; central office staff who contributed include Talisha 
Searcy.  We would also like to acknowledge the contributions of Melinda 
Golub and Pamela Langer from the Office of Inspector Generals Office 
of Counsel to the Inspector General.  
 
 
 
 
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