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

  • US Trade & Development Agency

2. Employees

  • Number of full-time agency employees as of December 31, 2014
44

3. Information about the DAEO

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

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

  • DAEO Name
Enoh Ebong

  • DAEO Title
General Counsel

  • Time in current DAEO position
1 - 4 years

  • Total years performing ethics duties
3

  • DAEO Grade Level
SES or equivalent

  • 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
Ziyang Fan

  • ADAEO Title
Assistant General Counsel

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

  • Total years performing ethics duties
5

  • ADAEO Grade Level
GS14 & Below

  • Percent of time spent on ethics
0-25%

  • 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
2
0
0
0
2
Outside the D.C. Metro area
0
0
0
0
0
0
TOTAL
0
2
0
0
0
2

* 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
Yes (go to #8)

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

  • Specify Other
    NA

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, All ethics officials

ADDITIONAL COMMENTS FOR PART 4.

  • Additional Comments

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
3

    • Confidential financial disclosure program
3

    • Disciplinary process for violations
1

    • Education and training
3

    • Outside activity approval
3

    • Public financial disclosure program
3

    • Special Government employees' activities
1

    • 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
Yes

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

    Structured courses
      Provided by OGE

    • Specify Other
      NA

  • Programatic tools
    Written standard operating procedures

    • 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
Compliance with applicable ethics laws and regulations, Consistency of advice and counsel, Employee satisfaction with training offered

    • Specify Other
      NA

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

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
    In 2014, the Office of the General Counsel continued to provide in-person live annual ethics training to the Agency. The training included interactive ethics exercises and received positive response from the Agency employees.

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

  • Greatest challenges
    Keep up with the new electronic filing technologies from a small agency's perspective.

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
1

    • a. How many of those employees received IEO within the 90 day requirement?
1

    • 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?
0

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


    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
Yes

25. How do you deliver IEO to new employees?

  • Check all that apply
Other (specify below)

    • Specify Other
      USTDA provides hardcopies of ethics training materials to new employee to study at his/her own pace.

26. Who developed the IEO 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

    • 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
1
1

    Public filers (OGE Form 278) - non-PAS
6
6

    Confidential filers (OGE Form 450, 450A, and OGE-approved alternative confidential financial disclosure forms)
37
36

    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
44
43

* 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
    One employee was on medical leave during the entire calendar year of 2014.

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

  • Check all that apply
Classroom instruction (in-person), Video, Satellite broadcast/videoconference

    • 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
No

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

  • Select Yes or No
Yes

  • Check all that apply
All agency personnel

    • Specify Other
      NA

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

  • Additional Comments

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
Gift acceptance (excluding awards and travel, subsistence, and related expenses from non-federal sources)
  • Selection 2
Post-employment restrictions
  • Selection 3
Outside employment/activities

  • 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
    Memorialize advice and counsel
      Some
    Use advice and counsel templates

  • 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
3

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

  • Check all that apply
Part of out-processing, 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
0
0
Filed
0
0
0
0
0
AnnualRequired
1
0
2
3
2
Filed
1
0
2
3
2
TerminationRequired
0
0
1
0
0
Filed
0
0
1
0
0
Combination1Required
0
0
0
0
0
Filed
0
0
0
0
0
    Total
Required
1
0
3
3
2
Filed
1
0
3
3
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
0
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
1

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
No

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

  • Select Yes or No
Yes

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

    • Specify Other
      NA

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

  • Select Yes or No
No (go to Part 9)

47. Which system does your agency use?

    • Enter system name

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
$

    b) Total FY 2015 projected costs
$

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

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

    e) amount paid to a federal agency in 2014
$

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

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

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

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

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

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

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

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

  • Check all that apply

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

  • Additional Comments

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
35
34
      OGE Form 450A
0
0
      OGE-approved alternative form
0
0
Total
35
34

    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
    One employee was on medical leave during the entire calendar year of 2014.

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
Repeated reminders to the filer

    • Specify Other
      NA

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
0

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
0

  • Divestitures
0

  • Resignations from outside positions
0

  • 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

    • 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

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
No (go to end)

67. Number of FACA advisory committees

  • Enter number

68. Number of FACA advisory committee members

  • Enter number

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

  • Enter number

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

  • Enter number

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

  • Enter number

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

  • Select Answer

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

  • Check all that apply

    • 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

76. Which office provides the training

  • Enter office

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)
Advisory Committee Members (non-FACA)
Experts/Consultants
Board Members
Commissioners
Other
TOTAL

    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.

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

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

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

  • Enter number

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

  • Additional Comments

ADDITIONAL QUESTIONNAIRE COMMENTS:

  • Additional Comments