2014 AGENCY ETHICS PROGRAM QUESTIONNAIRE

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

Commodity Futures Trading Commission

2. Employees

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

688

3. Information about the DAEO

Vacant (As of December 31, 2014)?

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

DAEO Name

Jonathan Marcus

DAEO Title

General Counsel

Time in current DAEO position

1 - 4 years

Total years performing ethics duties

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?

Is the DAEO

Career employee

4. Information about the ADAEO

Position Vacant (As of December 31, 2014)?

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

ADAEO Name

John Dolan

ADAEO Title

Counsel

Time in current ADAEO position (years)

10 or more years

Total years performing ethics duties

ADAEO Grade Level

GS14 & Below

Percent of time spent on ethics

76-100%

Was the ADAEO eligible to retire as of December 31, 2014?

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	1	0	2	5
Outside the D.C. Metro area	0	0	1	0	0	1
TOTAL	0	2	2	0	2	6

* 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

Yes (go to #9)

9. Describe the extent of their support.

Describe
See additional comments.

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

Check all that apply

None

ADDITIONAL COMMENTS FOR PART 4.

Additional Comments
#4: In 2013, the CFTC Chairman appointed Heather Gottry, Deputy General Counsel for General Law as a second ADAEO for the CFTC. Ms. Gottry has served as an ADAEO for CFTC for 1-4 years, has spent 14 total years performing ethics duties, and currently spends approximately 26-50% of her time on ethics. She is a CT-16, which is a SES or equivalent employee at the CFTC. Ms. Gottry was not eligible to retire as of 12/31/2014 and is a career employee. Question 9. Contractors working under contract with the Office of Data and Technology support the Ethics Management and Tracking (EMAT) System for the ethics program. Contractor staff work with the ethics program staff to address technical issues related to the online OGE 450 and OGE 278 filing system. Question 10. CFTC has implemented standard performance elements for all staff and managers across the agency. Therefore, ethics duties are not listed as a performance element for any CFTC staff. However, any ethics work performed by staff is reviewed and assessed in quarterly and annual performance appraisals against the standard performance elements.

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

Confidential financial disclosure program

Disciplinary process for violations

Education and training

Outside activity approval

Public financial disclosure program

Special Government employees' activities

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

Yes (go to #13)

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

Select type of resources
Budgetary, Human Capital, Technology

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

Competency/skills gap assessment, Individual development plans, Mentoring

Structured courses

Provided by OGE

Specify Other
NA

Programatic tools
Knowledge library (intranet, videos, shared drives), Resources assessment (personnel and/or financial)

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

Accuracy of advice and counsel, Compliance with applicable ethics laws and regulations

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

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 CFTC ethics program provided in-person training to all staff at the agency, expanded the ethics guidance and reference materials made available to staff on the agency intranet, developed video training available online for all staff, and implemented a new post employment guidance process that provides written guidance to all departing employees. These improvements were possible due to increased staffing support made available by the OGC General Law group. Attorneys in the General Law group were cross-trained on financial disclosure review, conflicts, and other ethics areas and were able to provide additional part-time support for the ethics program. As a result, the ethics program significantly expanded the level of service provided to agency staff and leadership. This led to enhanced ethics compliance by staff, more timely response to ethics issues and questions, and a stronger financial disclosure review program.

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

Greatest challenges

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

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

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

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

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

One-on-one briefings, Video

Specify Other
NA

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

Public filers (OGE Form 278) - non-PAS

206

180

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

545

519

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.)

TOTAL

758

703

* 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
See Overall Comments

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

Check all that apply

Classroom instruction (in-person), One-on-one briefings, Satellite broadcast/videoconference

Specify Other
NA

29. Who developed the annual training materials?

Check all that apply My agency
	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

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
Question 25. In addition to requested one-one-one briefings and an introductory ethics video, the agency provides all new employees with the Standards of Ethical Conduct for Executive Branch Employees, the agency’s supplemental regulations, and a list of ethics officials. Employees are directed to spend one hour of official time reviewing the regulations and must certify that they have been provided the materials and completed the appropriate review.
Question 27. The former Chairman of the agency and two former Commissioners, all PAS officials, left the agency prior to annual ethics training. Additionally, one OGE-278 filer was on long-term medical leave and subsequently retired from the agency, while the remaining twenty-five OGE 278 filers either departed the agency prior to the start of ethics training or joined the agency, after the completion of ethics training. Lastly, twenty-six OGE-450 filers either departed the agency prior to the start of annual ethics training or joined the agency after the completion of training. Question 31. The Office of the Special Counsel provided in-person mandatory Hatch Act training to all Commission employees and the training included a briefing on misuse of position, time and official resources.

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	Financial Disclosure Reporting
Selection 3	Post-employment restrictions

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
Periodic supervisory review of advice given, Discussion among staff, Memorialize advice and counsel
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

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 Entrant	Required	3	0	0	4	20
Nominee/New Entrant	Filed	3	0	0	4	20
Annual	Required	2	0	0	1	166
Annual	Filed	2	0	0	1	166
Termination	Required	2	0	0	2	20
Termination	Filed	2	0	0	2	20
Combination¹	Required	1	0	0	0	0
Combination¹	Filed	1	0	0	0	0
Total	Required	8	0	0	7	206
Total	Filed	8	0	0	7	206

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	24	0	0

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

Periodic Transaction Reports Filed		100
* 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	11	11	0

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

Enter total

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

Enter total

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

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

Yes

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 supervisor

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
Ethics Management and Tracking (EMAT) System

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

$20000

b) Total FY 2015 projected costs

$20000

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

$16000

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

$16000

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

$20000

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

$20000

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

197

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

200

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

488

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

505

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
Question 47: All CFTC employees file electronic financial disclosure report forms on the Ethics Management and Tracking (EMAT) System that was developed by the CFTC and is maintained and supported by in-house staff and contractors.
Question 49: In addition to the OGE 278, the OGE 278-T, and the OGE 450, CFTC’s electronic filing system includes the CFTC Form 185. CFTC employees, who do not file either an OGE 278 or an OGE 450, file a CFTC 185 to ensure compliance with our supplemental regulations.

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

497

278

OGE Form 450A

213

OGE-approved alternative form

Total

535

529

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
See Additional Comments

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

Enter number

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

Check all that apply

Repeated reminders to the filer, Notify supervisor

Specify Other
NA

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

Additional Comments
#50:
Five OGE Form 450 filers left the agency, prior to the 2/17/14 due date. Additionally, a filer was required to submit a new entrant OGE Form 450, and failed to do so, and subsequently left the agency.

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

Don’t know/don’t track

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

Divestitures

Resignations from outside positions

Reassignments

Other not listed (please specify below)

Specify Other
NA

Don’t know/don’t track

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

Don’t know/don’t track

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

Recusals

Divestitures

Reassignments

Other not listed (please specify below)

Specify Other
NA

Don’t know/don’t track

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

Enter number

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

Enter number

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

Enter number

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

Enter number

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

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

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

Enter number

a. How many of those referrals were accepted for prosecution

b. How many of those referrals were declined for prosecution

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

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

Check all that apply

DAEO/ADAEO, IG, General Counsel, Other (specify below), Agency Head

Specify Other
Commission

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
Questions 53, 54, 55 and 56. CFTC currently tracks remedial actions for its PAS Chairman and Commissioners. For all other staff, information about remedial actions is maintained in individual files for each employee along with financial disclosure reports and is not currently centralized.
Question 57: CFTC did not issue any 208(b)(1) waivers in 2014. However, the Counsel to the White House issued a 208(b)(1) waiver to the Chairman of the CFTC which allows the Chairman to participate in particular matters of general applicability affecting his financial interests in ExxonMobil Corporation.

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

68. Number of FACA advisory committee members

Enter number

106

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

Yes

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

Check all that apply

Ethics Office, Other (specify below)

Specify Other
Office of the General Counsel

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

Enter answer
Not applicable.

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

Select Answer

Yes (skip to #77)

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)	1	1	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	0	0
Other	0	0	0	0
TOTAL	1	1	0	0

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	0	0	0

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
Question 75: When a SGE is appointed to any CFTC board or committee, the ethics program ensures the filing and review of the appropriate finical disclosure pursuant to the requirements of 41 C.F.R. §102-3.105 and the Standards of Conduct. The ethics program provides ethics training with instruction on the Standards of Conduct, and the CFTC’s Code of Conduct and Supplemental Regulations. Additionally, the ethics program is a part of the CFTC’s Federal Advisory Committee Act process and engages in a review of members before they are appointed by the Commission.

ADDITIONAL QUESTIONNAIRE COMMENTS:

Additional Comments