2014 AGENCY ETHICS PROGRAM QUESTIONNAIRE

PART 1. INTRODUCTION

Executive branch agencies are required to submit an annual report to the United States Office of Government Ethics (OGE) concerning certain aspects of their ethics programs (Section 402(e)(1) of the Ethics in Government Act of 1978, as amended). Your response(s) to this Questionnaire serves as your annual report.

OGE uses the data collected by the Annual Questionnaire to compile information about the entire executive branch ethics program in order to share information about the program with the public, Congress, and the ethics community. OGE also uses the information to carry out its oversight role, to gain knowledge about individual programs as well the overall program, and to make informed decisions about resource allocations and priorities. Lastly, OGE will post responses, unedited, on OGE’s website. Therefore, please ensure your responses are suitable for publication.

OGE encourages each agency to use the annual completion of the Questionnaire as an opportunity to evaluate your ethics program.

DUE DATE: By regulation, the Questionnaire is due to OGE by February 2, 2015.
(5 CFR § 2638.602(a))

PART 2. INSTRUCTIONS

Your response to this Questionnaire should reflect the 2014 calendar year (i.e., 1/1/2014 through 12/31/2014), except where specified. The answers provided should reflect your agency in total. OGE will only accept one submission per an agency. Throughout the Questionnaire you will be offered an opportunity to provide comments. Please also use these sections to explain discrepancies between levels of required activity and actual activity or significant changes since last year. After OGE has reviewed your Questionnaire submission, you may be contacted for follow-up.

How do I save a draft of my response?

At a minimum, you must choose your agency from the drop down menu and add an email address in the point of contact section at the end of the Questionnaire. Then you can select “Click Exit and Save a Draft”. You will be prompted to click “Okay”. The next screen will have your unique link to the survey. You can either bookmark, save the link as a favorite, or copy the link and save it in a secure location.

How do I access my saved draft and edit the Questionnaire?

Copy and paste your unique hyperlink into your browser or choose the link from your favorites tab on your browser. Select “Edit Questionnaire”. You many now begin to edit your Questionnaire response.

If you have any questions, contact Nicole Stein, Program Analyst, at (202) 482-9255 or at nstein@oge.gov.

PART 3. DEFINITIONS

Agency Head: For purposes of this Questionnaire, in the case of an agency headed by more than one person, the chair or comparable member of such agency.

D.C Metro Area: For purposes of this Questionnaire, D.C. Metro Area means the District of Columbia, DC; Calvert County, MD; Charles County, MD; Prince George's County, MD; Arlington County, VA; Clarke County, VA; Culpeper County, VA; Fairfax County, VA; Fauquier County, VA; Loudoun County, VA; Prince William County, VA; Rappahannock County, VA; Spotsylvania County, VA; Stafford County, VA; Warren County, VA; Alexandria city, VA; Fairfax city, VA; Falls Church city, VA; Fredericksburg city, VA; Manassas city, VA; Manassas Park city, VA; Jefferson County, WV; Silver Spring-Frederick-Rockville, MD Metropolitan Division Frederick County, and Montgomery County.

Full-time Agency Employees: For purposes of this Questionnaire, the term full-time agency employees includes employees detailed to another agency. It also includes officers but does not include enlisted members of the uniformed services.

Special Government Employee (SGE): For purposes of this Questionnaire, the term “special Government employee” (SGE) means an officer or employee who is retained, designated, appointed, or employed to perform temporary duties either on a full-time or intermittent basis, with or without compensation, for not more than 130 days during any period of 365 consecutive days. The term “SGE” does not include enlisted members of the Armed Forces. It does, however, include these categories of officers or employees:
  • Part-time United States commissioners;
  • Reserve officers of the Armed Forces and officers of the National Guard of the United States (unless otherwise officers or employees of the United States) while on active duty solely for training or serving involuntarily.

PART 4. ORGANIZATION/RESOURCES

1. Agency

  • Commission on Civil Rights

2. Employees

  • Number of full-time agency employees as of December 31, 2014
37

3. Information about the DAEO

  • Vacant (As of December 31, 2014)?
No

  • When did the position become vacant? (enter Month/Year)
/

  • DAEO Name
Rorey Smith

  • DAEO Title
General Counsel

  • Time in current DAEO position
1 - 4 years

  • Total years performing ethics duties
4

  • DAEO Grade Level
GS15

  • Percent of time spent on ethics
0-25%

  • Was the DAEO eligible to retire as of December 31, 2014?
No

  • Is the DAEO
Career employee

4. Information about the ADAEO

  • Position Vacant (As of December 31, 2014)?
No

  • When did the position become vacant? (enter Month/Year)
/

  • ADAEO Name
Jennifer Cron Hepler

  • ADAEO Title
Senior Attorney

  • Time in current ADAEO position (years)
1 - 4 years

  • Total years performing ethics duties
15

  • ADAEO Grade Level
GS14 & Below

  • Percent of time spent on ethics
51-75%

  • Was the ADAEO eligible to retire as of December 31, 2014?
No

  • Is the ADAEO
Career employee

5. Number of employees who performed ethics program duties in 2014; e.g., financial disclosure, education and training, advice and counseling, program administration.

Approximate amount of time spent each week performing ethics duties
Duty Station
Less than 1 hour per week
(up to .025 FTE*)
2-10 hours per week
(up to .25 FTE*)
11-20 hours per week
(up to .5 FTE*)
21-30 hours per week
(up to .75 FTE*)
31-40 hours per week
(up to 1 FTE*)
TOTAL
D.C. Metro area
0
1
0
1
0
2
Outside the D.C. Metro area
6
0
0
0
0
6
TOTAL
6
1
0
1
0
8

* FTE = Full Time Equivalent

Example: The table below provides an example of an agency with 13 employees that performed ethics
program duties in 2014.

EXAMPLE
Approximate amount of time spent each week performing ethics duties
Duty Station
Less than 1 hour per week
(up to .025 FTE*)
2-10 hours per week
(up to .25 FTE*)
11-20 hours per week
(up to .5 FTE*)
21-30 hours per week
(up to .75 FTE*)
31-40 hours per week
(up to 1 FTE*)
TOTAL
D.C. Metro area
1
0
2
2
1
6
Outside the D.C. Metro area
1
3
3
0
0
7
TOTAL
2
3
5
2
1
13

6. Does the DAEO/ADAEO have supervisory authority over the employees identified in question #5?

  • Select Yes or No
No (go to #7)

7. Indicate which elements of the ethics program have been delegated outside of the supervisory chain of the DAEO or ADAEO.

  • Check all that apply
Confidential financial disclosure program, Ethics advice and counseling, Other (specify below)

  • Specify Other
    Please see the Commission’s responses to ADDITIONAL COMMENTS FOR PART 4 and question #22 about challenges below.

8. Do contractors support the ethics program?

  • Select Yes or No
No (go to #10)

9. Describe the extent of their support.

  • Describe

10. Identify the agency ethics officials who have ethics duties as a distinct element in their performance standards.

  • Check all that apply
DAEO, ADAEO

ADDITIONAL COMMENTS FOR PART 4.

  • Additional Comments
    Questions # 6 & 7 The DAEO oversees the Commission’s ethics program and supervises the ADAEO. However, the DAEO has no supervisory authority over regional offices staff, who serve as Deputy Ethics Counselors (DECs). The DECs are supposed to perform ethics duties for all state advisory committee members (a/k/a Special Government Employees or SGEs). Please see the Commission’s responses to question #22 below about the challenges of overseeing the regional offices ethics program.

PART 5. PROGRAM ADMINISTRATION

11. Use the following scale to rate the amount of time your agency spends to administer each item. The first six categories exclude time devoted to SGE’s.

  • Time Spent Scale:
1 = No time
2 = Limitedx
x3 = Moderate
4 = Significantx
5 = Very significant

    • Advice and counseling
4

    • Confidential financial disclosure program
3

    • Disciplinary process for violations
3

    • Education and training
4

    • Outside activity approval
2

    • Public financial disclosure program
4

    • Special Government employees' activities
5

    • Other (specify below, and rate at right)

12. Are additional resources needed for the ethics program? e.g. budgetary, human capital, technology?

  • Select Yes or No
No (go to #14)

13. If you answered YES to 12. above, which additional resources are needed? Select all that apply.

  • Select type of resources

  • Specify Other
    NA

14. My agency's leadership (e.g., the agency head, senior executives, and first-line managers) demonstrates support for the ethics program.

  • Select Yes or No
No

15. Did the agency head meet with the ethics staff to discuss the strengths and weaknesses of the ethics program in 2014?

  • Select Yes or No
Yes

16. Which of the following tools did your agency use to ensure short- and long-term continuity of operations (succession planning) of its ethics program in 2014? Check all that apply.

  • Professional Development
    Developmental assignments (e.g., detail assignments, cross training, job rotation, use of agency developmental programs such as interns, fellows, or leadership development)
    Structured courses
      Provided by OGE
    Other (specify below)

    • Specify Other
      The DAEO and ADAEO attended the 2014 National Government Ethics Summit.

  • Programatic tools
    Written standard operating procedures, Knowledge library (intranet, videos, shared drives)

    • Specify Other
      NA

17. Did your agency (e.g., ethics office, Inspector General, General Counsel) conduct a self-assessment to evaluate any aspect of the ethics program in 2014?

  • Select Yes or No
Yes (go to #18)

18. What did you assess?

  • Check all that apply
Employee knowledge after training, Employee knowledge of the ethics rules, Other (specify below)

    • Specify Other
      Other response emailed to OGE.

19. Do you have written policies procedures in place for the following?

  • Check all that apply
Collection of confidential financial disclosure reports, Collection of public financial disclosure reports, Following up with delinquent confidential financial disclosure filers, Following up with delinquent public financial disclosure filers, Public availability of public financial financial disclosure reports, Review/evaluation of confidential financial disclosure reports, Review/evaluation of public financial disclosure reports

20. Does your agency provide ethics program services for any board, commission, or agency that is independent of your agency?

  • Select Yes or No
No

    • If Yes (please provide the names of the boards and commissions)

21. Please list any significant accomplishments your ethics program achieved in 2014.

  • Significant accomplishments
    Accomplishments emailed to OGE.

22. Please list the greatest challenges facing your ethics program in the next 1-3 years.

  • Greatest challenges
    Challenges emailed to OGE.

ADDITIONAL COMMENTS FOR PART 5. Please indicate the question number to which the comment corresponds.

  • Additional Comments

PART 6. EDUCATION AND TRAINING

23. How many employees (including Special Government Employees) were required to have received Initial Ethics Orientation (IEO) by December 31, 2014.

  • Number required
71

    • a. How many of those employees received IEO within the 90 day requirement?
54

    • b. How many of those employees received IEO beyond the 90 day requirement?
0

    • c. How many of those employee have not received IEO as of today?
17

  • If applicable, please explain why some employees received IEO beyond the 90 day requirement or have yet to receive IEO.
    Reason emailed to OGE.

    Example: An employee came on board December 15, 2014. You do not need to count the employee toward the number of employees who were required to have received IEO in calendar year 2014 because you have until March 2015 to provide the employee IEO.

24. Is IEO part of your agency’s in-processing process for new employees?

  • Select Yes or No
No

25. How do you deliver IEO to new employees?

  • Check all that apply
Classroom instruction (in-person), One-on-one briefings, Self-paced web-based

    • Specify Other
      NA

26. Who developed the IEO training materials?

  • Check all that apply
    My agency, OGE, Another agency
    • How did you access the training materials from Another Agency? Check all that apply.
      Other (specify below)
      • Specify Other
        Other agency's website

    • Specify Other
      NA

27. Required Annual Ethics Training* (verbal and written)

Type of covered employees (Include SGE filers)
# Required
Received (Of those Required)
    Public filers (OGE Form 278) – PAS
0
0

    Public filers (OGE Form 278) - non-PAS
18
17

    Confidential filers (OGE Form 450, 450A, and OGE-approved alternative confidential financial disclosure forms)
284
214

    Other employees required by 2638.705(a) (employees appointed by the President; employees of the Executive Office of the President; Contracting Officers; other employees designated by the head of the agency or his or her designee based on their official duties.)
0
0

TOTAL
302
231

* Note about counting: Only include those employees that were required by 5 C.F.R. § 2638.705 to receive annual ethics training, either verbal or written, during the calendar year.

  • If applicable, please explain discrepancies between the number of employees who were required to receive training and the number of employees who received training
    Reasons emailed to OGE.

28. How do you deliver annual ethics training to employees required to receive training?

  • Check all that apply
Classroom instruction (in-person), Self-paced web-based

    • Specify Other
      NA

29. Who developed the annual training materials?

  • Check all that apply
    My agency, OGE
  • How did you access the training materials from Another Agency? Check all that apply.
    • Specify Other
      NA

30. Did you provide annual ethics training to other employees not required to receive training?

  • Select Yes or No
Yes

31. Did you provide additional, specialized ethics training during 2014? If yes, which groups did you target?

  • Select Yes or No
No

  • Check all that apply

    • Specify Other
      NA

ADDITIONAL COMMENTS FOR PART 6. Please indicate the question number to which the comment corresponds.

  • Additional Comments
    Part 6 questions 23-31 The Commission’s response to Part 6 includes data from headquarters and three of the five regional offices. Two regional offices did not respond to Ethics Staff’s requests for 2014 ethics information regarding FACA advisory committees and members. Therefore, ethics data from those two regional offices is not included in this report.

    For additional information, please refer to the Commission’s response to question #22 below about the challenges of overseeing the regional offices ethics program.

PART 7. ADVICE AND COUNSELING

32. From the list below, select the three topics that your employees most frequently sought guidance on in 2014.

  • Awards
  • Conflicting financial interests
  • Gift acceptance (excluding awards and travel, subsistence, and related expenses from non-federal sources)
  • Financial Disclosure Reporting
  • Impartiality in performance of official duties
  • Misuse of position, Government resources and information
  • Outside employment/activities
  • Post-employment restrictions
  • Travel, subsistence, and related expenses from non-federal sources
  • Other (specify)

  • Selection 1
Misuse of position, Government resources and information
  • Selection 2
Outside employment/activities
  • Selection 3
Travel, subsistence, and related expenses from non-federal sources

  • Explain Other 1
NA
  • Explain Other 2
NA
  • Explain Other 3
NA

33. Does your agency conduct any of the following practices?

  • Check all that apply
    Discussion among staff, Memorialize advice and counsel
      Some
    Use advice and counsel templates, Use a database Check all that apply
      to track timeliness, searchable by category of question (keyword or advice topic), searchable by individual

  • Specify Other
    NA

34. Number of notification statements of negotiation or recusal under section 17(a) of the STOCK Act submitted to the ethics office in 2014?

  • Enter total
0

35. How do you make employees aware of the availability of post-employment counseling?

  • Check all that apply
Part of out-processing, Emails, Training

  • Specify Other
    NA

ADDITIONAL COMMENTS FOR PART 7. Please indicate the question number to which the comment corresponds.

  • Additional Comments

PART 8. FINANCIAL DISCLOSURE

36. Report the number of public financial disclosure reports (OGE Form 278) required to be filed by December 31, 2014, excluding SGEs, and the number of reports actually filed (i.e., received in hand) by December 31, 2014.

OGE Form 278 Reports Required to be Filed in CY 2014

OGE Form 278 Reports
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
Nominee/New EntrantRequired
0
0
0
3
1
Filed
0
0
0
3
1
AnnualRequired
0
1
0
6
1
Filed
0
1
0
6
1
TerminationRequired
0
0
0
1
0
Filed
0
0
0
1
0
Combination1Required
0
0
0
0
0
Filed
0
0
0
0
0
    Total
Required
0
1
0
10
2
Filed
0
1
0
10
2

1 Includes reports filed to satisfy both annual and termination requirements, as well as new entrant and termination requirements.
2 Presidential appointees confirmed by the Senate.
3 Senior Executive Service, Senior Foreign Service, Senior Cryptologic Service, Defense Intelligence Senior Executive Service, etc.
4 Includes members of the Uniformed Services, Administrative Law Judges, Senior Level employees (SES Equivalent), etc.


Example: For new entrant and termination reports: If an employee starts/ leaves the agency on December 15, 2014, and s/he files a new entrant/termination report prior to the end of the calendar year, then you can include the report in your required and filed numbers. If, on January 1, the employee has not filed a new entrant/termination report, then you do not have to count that report in your required numbers, because it was was not required to be filed until January 15. You instead would include the employee in your 2015 Questionnaire’s new entrant numbers in 2016.

  • If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed

37. Extension and late fees for new entrant, annual, termination, and combination public financial disclosure reports, excluding SGEs*

Granted filing extension
Granted waivers of late filing fee
Paid late filing fee
  • Number of OGE Form 278 Reports
1
0
0

38. Number of periodic transaction reports filed, excluding SGEs*

  • Periodic Transaction Reports Filed
0
* Note about counting: Count the total number of periodic transaction reports filed. Example 1: If two employees each file 5 periodic transaction reports during the calendar year, report “10” in the table above. Example 2: If an employee files one report each month, each report is counted separately. Report “12” in the table.

39. Extensions and late fees for periodic transaction reports, excluding SGEs

Granted filing extension
Granted waivers of late filing fee
Paid late filing fee
  • Number of OGE Form 278 T Reports
0
0
0

40. Number of public financial disclosure filers reported to the Attorney General for failure to file.

  • Enter total
0

41. Number of individual public financial disclosure reports requested to be released in 2014.

  • Enter total
0

42. Does your agency use an automated system (e.g., Excel, Access, custom database) to track the administration of the financial disclosure program?

  • Select Yes or No
Yes

43. Do you receive timely notification of all new entrant employees required to file financial disclosure reports?

  • Select Yes or No
No

44. Does your agency require an intermediate review by someone other than ethics staff (e.g., supervisors and team leads) for public financial disclosure reports?

  • Select Yes or No
No

45. What steps do you take to collect delinquent public financial disclosure reports? Check all that apply.

  • Check all that apply
Repeated reminders to the filer, Notify agency head or other senior official

    • Specify Other
      NA

46. Does your agency use an electronic financial disclosure filing system (e-filing system)?

  • Select Yes or No
Yes (go to 47)

47. Which system does your agency use?

    • Enter system name
      FDONLINE

48. Indicate your fiscal year 2014 actual and fiscal year 2015 projected costs for using the e-filing system.

    a) Total FY 2014 actual costs
$900

    b) Total FY 2015 projected costs
$900

    c) amount paid to a non-federal vendor in 2014
$0

    d) amount projected to be paid to a non-federal vendor in 2015
$0

    e) amount paid to a federal agency in 2014
$900

    f) amount projected to be paid to a federal agency in 2015
$900

    g) amount for all internal costs associated with operating an e-filing system (e.g., FTE, overhead, etc.) in FY 2014
$0

    h) amount projected for all internal costs associated with operating an e-filing system (e.g., FTE, overhead, etc.) in FY 2015
$0

    i) number of public financial disclosure filers who filed in electronically in 2014
20

    j) number of public financial disclosure filers projected to file electronically in FY 2015
20

    k) number of confidential financial disclosure filers who filed electronically in FY 2014
3

    l) number of confidential financial disclosure filers projected to file electronically in FY 2015
3

49. Indicate which forms your agency uses the e-filing system for.

  • Check all that apply
Public Financial Disclosure (OGE Form 278), Periodic Transaction (OGE Form 278-T), Confidential Disclosure Forms (OGE Form 450, 450A, or OGE-approved alternative form)

ADDITIONAL COMMENTS FOR PART 8. Please indicate the question number to which the comment corresponds.

  • Additional Comments
    #48
    Indicate your fiscal year 2014 actual and fiscal year 2015 projected costs for using the e-filing system. g) amount for all internal costs associated with operating an e-filing system (e.g., FTE, overhead, etc.) in FY 2014 - not available h) amount projected for all internal costs associated with operating an e-filing system (e.g., FTE, overhead, etc.) in FY 2015 - not available

PART 9. CONFIDENTIAL FINANCIAL DISCLOSURE

50. Report the number of confidential financial disclosure reports required to be filed by December 31, 2014, excluding SGEs, and the number of reports actually filed by December 31, 2014.

  • Confidential financial disclosure reports required to be filed in CY 2014:

# Required to File
(By December 31)
#Filed
      OGE Form 450
3
3
      OGE Form 450A
0
0
      OGE-approved alternative form
0
0
Total
3
3

    Example: For new entrant reports: If an employee starts the agency on December 15, 2014, and files a new entrant report prior to the end of the calendar year, then you can include the report in your required and filed numbers. If, on January 1, the employee has not filed a new entrant report, then you do not have to count that report in your required numbers, because it was was not required to be filed until January 15. You instead would include the employee in your 2015 Questionnaire’s new entrant numbers in 2016.

    If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed below.
  • Explain, if applicable

51. Number of OGE 450, 450A, or OGE-approved alternative forms granted filing extensions in 2014.

  • Enter number
0

52. What steps do you take to collect delinquent confidential financial disclosure reports?

  • Check all that apply
Other (specify below)

    • Specify Other
      There were no delinquent OGE 450 forms in 2014.

ADDITIONAL COMMENTS FOR PART 9. Please indicate the question number to which the comment corresponds.

  • Additional Comments

PART 10. REMEDIES AND ENFORCEMENT OF STANDARDS OF CONDUCT, CRIMINAL, AND CIVIL STATUTES

53. Number of public financial disclosure filers who took specific remedial actions because of information on a new entrant, annual, or termination report (e.g., divestiture, resignation from outside position, written disqualification, 18 U.S.C. § 208 waiver, reassignment, etc.) in 2014

  • Enter number
2

54. Number of individual remedial actions taken because of information on a new entrant, annual, or termination public financial disclosure (OGE Form 278) report in 2014

  • Recusals
1

  • Divestitures
0

  • Resignations from outside positions
1

  • Reassignments
0

  • Other not listed (please specify below)
0

  • Specify Other

55. Number of public financial disclosure filers who took specific remedial actions because of information on periodic transaction reports (e.g., divestiture, resignation from outside position, written disqualification, U.S.C. § 208 waiver, reassignment, etc.) in 2014

  • Enter number
0

56. Number of remedial actions taken because of information on a periodic transaction report in 2014

  • Recusals
0

  • Divestitures
0

  • Reassignments
0

  • Other not listed (please specify below)
0

  • Specify Other

57. Number of § 208(b)(1) waivers granted in 2014

  • Enter number
0

58. Number of § 208(b)(1) waivers provided to OGE in 2014

  • Enter number
0

59. Number of § 208(b)(3) waivers granted in 2014

  • Enter number
0

60. Number of § 208(b)(3) waivers provided to OGE in 2014

  • Enter number
0

61. Number of disciplinary actions taken based wholly or in part upon violations of the Standards of Conduct provisions (5 CFR part 2635) in 2014. For purposes of this question, disciplinary actions include removals, demotions, suspensions, and written reprimands or their equivalents.

  • Enter number
0

62. Number of disciplinary actions taken based wholly or in part upon violations of the criminal conflict of interest statutes, 18 U.S.C. §§ 203, 205, 207, 208, and 209 in 2014. For purposes of this question, disciplinary actions include removals, demotions, suspensions, and written reprimands or their equivalents.

  • Enter number
0

63. Number of referrals made to the Department of Justice of potential violations of the criminal conflict of interest statutes in 2014

  • Enter number
0

    a. How many of those referrals were accepted for prosecution
0

    b. How many of those referrals were declined for prosecution
0

    c. How many of those referrals resulted in discliplanary or corrective action
0

64. Which individual(s) is responsible for filing the Notification of Conflict of Interest Referral (Form 202)?

  • Check all that apply
DAEO/ADAEO, General Counsel

    • Specify Other
      NA

65. Did you submit all referral(s) and disposition(s) of the referral(s) to OGE via
OGE Form 202 (as required by 5 CFR 2638.603(c))

  • Select
Not Applicable

ADDITIONAL COMMENTS FOR PART 10. Please indicate the question number to which the comment corresponds.
  • Additional Comments
    # 64 The Commission does not have an Inspector General, or a written policy or procedure about who should refer possible criminal matters to DOJ. Therefore, in accordance with 28 U.S.C. 535 and 5 CFR §2635.107, the General Counsel/DAEO and ADAEO are responsible for referring possible criminal matters to DOJ. Likewise, the General Counsel/DAEO and ADAEO are responsible for filing the Notification of Conflict of Interest Referral (Form 202) with OGE.

PART 11. ADVISORY COMMITTEES & SPECIAL GOVERNMENT EMPLOYEES (SGEs)
66. Does your agency have any FACA or Non-FACA advisory committees, boards, or commissions, or any SGEs (including those not on committees, boards, or commissions)?

  • Select Yes or No
Yes (go to #67)

67. Number of FACA advisory committees

  • Enter number
46

68. Number of FACA advisory committee members

  • Enter number
297

69. Number of non-FACA advisory committees, boards, or commissions

  • Enter number
0

70. Number of non-FACA advisory committee, board, or commission members

  • Enter number
0

71. Number of Special Government Employees (SGEs) as of December 31, 2014

  • Enter number
305

72. Does your agency have written policies or procedures for designating SGE status

  • Select Answer
Yes

73. Which office at your agency makes a determination that an individual is an SGE

  • Check all that apply
Ethics Office

    • Specify Other
      NA

74. If that office is not the ethics office, what is the role of the ethics office in that determination

  • Enter answer

75. Does the ethics office provide training to SGEs prior to attendance at their first committee or board meeting

  • Select Answer
No (go to # 76)

76. Which office provides the training

  • Enter office
    Response emailed to OGE.

77. Report the number of SGE public and confidential financial disclosure reports required to be filed by December 31, 2014 and the number of reports actually filed by December 31, 2014.

  • Financial disclosure reports required to be filed by SGEs in CY 2014:

Confidential Reports
Public Reports
required
filed
required
filed
Advisory Committee Members (FACA)
248
213
0
0
Advisory Committee Members (non-FACA)
0
0
0
0
Experts/Consultants
0
0
0
0
Board Members
0
0
0
0
Commissioners
0
0
10
10
Other
0
0
0
0
TOTAL
248
213
10
10

    Example: For new entrant reports: If an employee starts with the agency on December 15, 2014, and files a new entrant report prior to the end of the calendar year, then you can include the report in your required and filed numbers. If, on January 1, the employee has not filed a new entrant report, then you do not have to count that report in your required numbers, because it was was not required to be filed until January 15. You instead would include the employee in your 2015 Questionnaire’s new entrant numbers in 2016.
  • If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
    Reasons emailed to OGE.

78. Number of SGEs excluded from all or a portion of the confidential filing requirements per 5 C.F.R. 2634.904(b)

  • Enter number
0

79. Extensions and late filing fees for SGE financial disclosure reports

Granted filing extension
Granted waivers of late filing fee
Paid late filing fee
  • Number of OGE Form 278 Reports
3
0
1

80. Number of OGE Form 450 Report or OGE-Approved Alternative Form filers granted filing exenstions

  • Enter number
12

ADDITIONAL COMMENTS FOR PART 11. Please indicate the question number to which the comment corresponds.

  • Additional Comments
    Part 11, questions 66-80 The Commission’s response to Part 11 includes data from headquarters and three of the five regional offices. Two regional offices did not respond to Ethics Staff’s requests for 2014 ethics information regarding FACA advisory committees and members. Therefore, ethics data from those two regional offices is not included in this report. For additional information, please refer to Commission’s response to question #22 about challenges regarding the regional offices ethics program.

ADDITIONAL QUESTIONNAIRE COMMENTS:

  • Additional Comments
    18. Other
    Ethics Staff conducted a periodic review of the regional offices’ ethics training and financial disclosure programs. 21. Please list any significant accomplishments your ethics program achieved in 2014.
    The Commission’s significant accomplishment for 2014 is that all political employees (excluding five Commissioners) and all headquarters career staff (including non-filers) attended live, comprehensive ethics training, for the first time in years. In 2014, Ethics Staff prepared and presented live comprehensive ethics training. The basic training was the same for all political and career staff, with modifications for Commissioners, other political employees, and OGE 278 filers.
    The comprehensive training was about an hour and a half long and included the following:
    • Criminal laws
    • 14 Ethical Principles
    • Standards of Conduct regulations
    • Commission’s Supplemental Outside Employment regulations - 5 CFR Part 7801 (not applicable to Commissioners)
    • STOCK Act (only for OGE 278 filers)
    • Ethics Pledge (for political employees excluding the Commissioners)
    • Safe Harbor provisions
    • DAEO/ADAEO responsibilities
    • OGE YouTube video on “Integrity in Public Service”
    Audience participation was required during the presentation. In addition, there were exercises to assess each attendee’s knowledge of the ethics rules after the training. Based on attendees’ answers to the exercises, almost all understood basic ethics authorities after the training.
    (Five Commissioners, as well as regional staff did not attend the live comprehensive ethics training in 2014. For additional information, please refer to the Commission’s response to question #22 below about ethics challenges. )  
    22. Please list the greatest challenges facing your ethics program in the next 1-3 years.
    The ethics program faces challenges related to Leadership Changes, Regional Office Ethics Programs, and Commissioners. OGE’s Ethics Program Review Report #15-05, dated November 2014 (hereinafter referred to as the “Report”) mentions all of these challenges, which are discussed in more detail below.
    Leadership Changes
    According to the Report:
    In 2011, OGE examined the Commission’s ethics program. Because the Commission was undergoing major transitions in leadership and staff, OGE decided that a consultation review would be more appropriate than a compliance-based plenary review. (page 6)
    At the time of OGE’s on-site examination in June 2013, the Commission was again under the direction of new leadership, and was again working to overcome profound management challenges, which have developed over a period of many years, to address longstanding concerns voiced by Congress, the Government Accountability Office (GAO), and others about the agency’s management. (page 6)
    OGE offered the following recommendation in the Report:
    Recommendation 1
    OGE recommends that the Commission ensure that specific ethics leadership strategies are developed and incorporated into the day-to-day management of the Commission’s ethics program.
    Recently, the current Staff Director informed staff that she will be leaving in February 2015, so the Commission will be without an agency head in the very near future. It is unknown as to when another Staff Director will be appointed by the President, so the Commission could be without an agency head for months or even years. (Most recently, from January 2011 to June 2013, the Commission was without a permanent Staff Director.)
    It will be a challenge for Ethics Staff to maintain a viable ethics program without a permanent Staff Director to provide leadership support.
    Regional Office Ethics Programs
    The DAEO and ADAEO oversee the Commission’s ethics program. However, neither the DAEO nor ADAEO have supervisory authority over regional offices staff, who serve as Deputy Ethics Counselors (DECs). The DECs are supposed to perform ethics duties for all SAC members (a/k/a Special Government Employees or SGEs). Specifically, DECs are responsible for collecting and reviewing SAC members financial disclosure forms, ensuring that SAC member complete ethics training, and providing ethics guidance and advice to SAC members.
    According to the Report:
    OGE’s examination found deficiencies in the provision of ethics-related services provided to the Commission’s State Advisory Committee (SAC) members. OGE did not find consistency in the filing of financial disclosure reports or the completion of annual ethics training among the SACs examined. Lack of adequate staffing within some of the regions was also cited as a contributing factor. OGE found this to be the weakest element of the Commission’s ethics program.
    OGE offered the following recommendations:
    Recommendation 3
    Ensure that the OGE-approved alternative financial disclosure form used to help screen SAC Board members for potential conflicts is filed in a timely manner.
    Recommendation 4
    Ensure that all SAC Board members receive annual ethics training in accordance with the exception at 5 CFR § 2638.705(d)(2).
    Recommendation 5
    Provide stronger oversight and compliance monitoring of the ethics program services provided to all SACs.
    It is a challenge for Ethics Staff to oversee the regional office ethics program, because they do not have supervisory authority over regional offices and management support, so they cannot require regional staff to comply with ethics requirements. Below are some specific examples, which demonstrate this challenge.
    Oversight & Compliance Monitoring
    In order to prepare this 2014 Agency Ethic Program Questionnaire for OGE, Ethics Staff requested ethics information from all five of the regional office regarding SAC members filing of financial disclosure form in a timely manner and ethics training. According to Commission procedures, the regional offices are required to provide ethics information for the annual questionnaire. However, as noted in the “Additional Comments” section for Parts 6 and 11, Ethics Staff only received a response from three regional offices.
    Ethics Staff notified both the supervisor of all the regional offices and the Staff Director, and asked for their assistance obtaining the information from the other two regions.
    It is a challenge for Ethics Staff to provide stronger oversight and compliance monitoring of the ethics program services provided to all SAC members, when they cannot obtain ethics information from all of the regional offices and have management support.
    Ethics Education and Training
    Ethics Staff prepared the Commission’s annual ethics training plan for 2014 that set forth the initial and annual ethics training requirements for headquarters and regional offices. All regions were informed in writing about the 2014 training requirements. According to Commission procedures, the regional offices are required to follow the ethics training plan. However, based upon information provided by the three regional offices that submitted ethics information, two of the three offices did not follow the plan’s requirements for new SAC members’ initial ethics orientation.
    It is a challenge for Ethics Staff to ensure that all SAC Board members receive ethics training when regional offices do not follow the annual ethics training plan.
    The Commission’s significant accomplishment in #21 above was that all political staff (except for five Commissioners) and all headquarters career staff attended live comprehensive annual ethics training in 2014. Regional offices staff did not attend the 2014 training, but were supposed to receive the same ethics presentation in January 2015, with supplemental ethics guidance about regional offices ethics responsibilities, along with other training at headquarters in Washington, DC. The training has been postponed.
    Commissioners Enforcement of Ethics Authorities The Commission has eight part-time Commissioners. The President, with the concurrence of a majority of the Commission's members, appoints a Chairperson and Vice Chairperson. Neither the Chairperson nor Vice Chairperson has any statutory duties or authorities under the Commission’s legislation, the "Civil Rights Commission Amendments Act of 1994" (42 USC 1975).
    The President with the concurrence of a majority of the Commission appoints a full-time Staff Director who serves as the “administrative head” of the Commission. The Staff Director has supervisory control over career staff and can enforce ethics authorities among those employees. (Recently, the current Staff Director announced that she will leave the Commission in February 2015.) The Chairperson, Vice Chairperson, and Staff Director do not have any supervisory authority over other Commissioners. Likewise, the DAEO and ADAEO do not have supervisory authority over Commissioners. Therefore, no one at the Commission has authority to enforce or ensure Commissioners compliance with ethics authorities. (Pursuant to 28 U.S.C. 535 and 5 CFR §2635.107, the DAEO and ADAEO are required by to report information relating to a Commissioner’s criminal ethics violation to the U.S. Department of Justice.)
    Overall, the Commissioners do not appear to support the agency’s ethics program, which staff have noticed. (Examples are Commissioners using agency letterhead for personal matters, untimely filing of financial disclosure reports, and not attending ethics training.) In fact, at 2014 ethics training sessions, career staff often asked why they have to follow ethics rules when the Commissioners are not required to follow them. It is difficult for Ethics Staff to answer this question and only makes enforcement and compliance more challenging. Ethics Staff tried to address ethics issues with Commissioners. Instead of supporting the ethics program, some Commissioners require written legal authorities for ethics requirements such as financial disclosure reporting and training.
    It is a challenge for Ethics Staff to ensure Commissioners compliance with ethics authorities, when Commissioners do not appear to support the agency’s ethics program.
    Ethics Training
    As stated in #21 above, the Commission’s significant accomplishment in 2014 was that all political staff (except for five Commissioners) and all headquarters career staff attended live comprehensive annual ethics training in 2014. Originally, the comprehensive ethics training was targeted for Commissioners, so they were aware of applicable ethics authorities. Alarmingly, only three out of eight attended the live training.
    Ethics Staff emailed the Commissioners advance notice of the live ethics training sessions, which were scheduled after two different monthly business meetings. They were asked to select which month they planned to attend the ethics training. Unfortunately, although some did choose a training session, they did not attend the training. Others did not reply to attend at all.
    As a last minute option, Ethics Staff sent emails to the five Commissioners asking them to satisfy annual ethics training requirements by taking OGE’s Ethics Training for Special Government Employees course at: http://www.oge.gov/Education/Education-Resources-for-Federal-Employees/Ethics-Training-for-Special-Government-Employees-WBT. The emails stated Commissioners were supposed to complete the online course by 12/31/2014 and email Ethics Staff a copy of the completion certificate or a freeze shot of the last page as proof of completion. One Commissioner did not timely complete the online course. Another Commissioner did not provide proof of completion stating the completion certificate was optional (not according to Ethics Staff’s email), his printer was low on ink, so he did not print it, and he did not know how do a freeze shot.
    It is a challenge for Ethics Staff to ensure Commissioners compliance with ethics training requirements when Commissioners do not appear to support the agency’s ethics program.
    Commissioners Use of Their Government Titles/Position/Authority
    According to the Report: …certain Commissioners have used their government titles/position/authority and Commission resources to promote their personal views both on matters before the Commission and on matters not before the Commission. (page 3)
    OGE offered the following recommendation:
    Recommendation 6
    Develop a formal policy that documents when a Commissioner may speak or write in his/her official capacity. This policy should also make clear that when a Commissioner is speaking or writing in his/her personal capacity, the Commissioner may not use his/her official title, the agency seal, agency letterhead or otherwise leave a third party to think that the speaking or writing has the sanction of the Commission. When expressing a personal view in an official capacity, Commissioners should make clear that he/she is not speaking for the Commission.
    Several Commissioners have used his/her official government title/position/authority, the agency seal, agency letterhead, or government resources for his/her personal capacity. For example, a couple of Commissioners are members of New American Civil Right Project, a group of present and former members and staff of the Commission and its state advisory committees. The group’s website is: http://www.newamericancivilrightsproject.org
    On the website, these Commissioners posted letters using agency letterhead, which express personal views on matters that are not within the agency’s business, such as a letter to “DC City Council Regarding Religious Liberty (November 2014).” (http://www.newamericancivilrightsproject.org/letters/#sthash.xohzTd3O.pdf )
    The letter is in regards to D.C. City Council’s Proposed Bill 20-790, known as the “Reproductive Health Non-Discrimination Amendment Act of 2014,” and states:
    Based on the statements of Rep. Grosso, one of the co-sponsors of the bill, it appears that this bill will be interpreted to require religiously-objecting employers to provide contraceptives, and perhaps elective abortions, as part of their health insurance plans.
    Currently, the Commission does not have any projects regarding reproductive health. Furthermore, the Commission’s statute specifies that the Commission, its advisory committees, or any other person under its supervision or control, is NOT authorized to study and collect, make appraisals of, or serve as a clearinghouse for any information about laws and policies of the Federal Government or any other governmental authority in the United States, with respect to abortion. (42 USC 1975a (f)) Clearly, the Commissioner’s letter is personal and not related to his government position, so it should not be on agency letterhead.
    The website contains more letters on agency letterhead that are of a similar personal nature. In fact, some letters state that if the addressee has any questions or concerns, he/she may contact the Commissioner’s special assistant at an official government email address.” This demonstrates a misuse of official government title/position/authority, government time, and resources (special assistant, government email and IT equipment) for personal matters.
    Ethics Staff tried to educate the Commissioners about these issues through formal ethics training. The 2014 live comprehensive ethics training covered misuse of title/position/authority, time, and government resources, as well as the differences between official duty and personal activities. However, only three of eight Commissioners attended the live training (see Ethics Training above). For the most part, the Commissioners who did not attend the live training are the ones who misuse position, time, and government resources.
    It will be a challenge for the Commission to follow OGE’s recommendation that the Commission implement a formal policy that cover the areas listed in the recommendation, as well as enforce the policy. First, some of the Commissioners take the position that they are not subject to policies developed by the Staff Director or career staff. Secondly, if the Commissioners implement a policy, it may allow them to use letterhead and resources for their personal matters. In fact, Ethics Staff have been informed that prior to their arrival at the Commission, the Commissioners tried to establish a policy allowing them to use agency letterhead in their personal capacities. Third, even if the Commission implements a formal policy, then the challenge will be who can enforce the policy (see Enforcement of Ethics Authorities above). Fourth, the Staff Director will leave the Commission in February 2015.

    23. If applicable, please explain why some employees received IEO beyond the 90 day requirement or have yet to receive IEO.
    Regional offices reported the following reason why some employees received IEO beyond the 90 day requirement or have yet to receive IEO: State Advisory Committee (SAC) members/ SGEs missed orientation meeting. 27. If applicable, please explain discrepancies between the number of employees who were required to receive training and the number of employees who received training.
    At headquarters, an OGE 278 filer did not complete online ethics training by 12/31/2014, even though he had been notified of the due date. Instead, he completed the training in January 2015. Regional offices reported the following reasons why some employees did not receive annual ethics training in 2014: □ Did not respond to multiple requests from regional office
    □ Reasons unknown to regional office 76. Which office provides the training?
    Each regional office is supposed to ensure that SGEs completes online training before attending a meeting. 77. If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
    Regional offices reported the following reasons to explain discrepancies between the number of reports required to be filed and the actual number of reports filed: □ Filing extensions granted until 2015
    □ Reasons unknown to regional office