2015 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 Agency Ethics Program Questionnaire (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 1, 2016. (5 CFR § 2638.602(a))

PART 2. INSTRUCTIONS

Your response to this Questionnaire should reflect the 2015 calendar year (i.e., 1/1/2015 through 12/31/2015), 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. The questionnaire application will also send an email with the link, but spam filtering may prevent the email from getting through. Please wait for the email before leaving the saved draft page if you have not otherwise saved the link.

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 Brandon Steele at (202) 482-9209 or at basteele@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, 2015
732

3. Information about the DAEO

  • Vacant (As of December 31, 2015)?
No

  • 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
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, 2015?
No

  • Is the DAEO
Career employee

4. Information about the ADAEO

  • Position Vacant (As of December 31, 2015)?
No

  • 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
31

  • ADAEO Grade Level
GS14 & Below

  • Percent of time spent on ethics
76-100%

  • Was the ADAEO eligible to retire as of December 31, 2015?
Yes

  • Is the ADAEO
Career employee

5. Number of employees who performed ethics program duties in 2015; 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*)
1-10 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
2
0
3
6
Outside the D.C. Metro area
0
0
1
0
0
1
TOTAL
0
1
3
0
3
7

* FTE = Full Time Equivalent

Example: The table below provides an example of an agency with 13 employees that performed ethics
program duties in 2015.

EXAMPLE
Approximate amount of time spent each week performing ethics duties
Duty Station
Less than 1 hour per week
(up to .025 FTE*)
1-10 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 (skip 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
    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 filing of OGE 450 reports by CFTC staff. In addition, the CFTC issued a contract for one attorney to support the General Law Branch in the Office of the General Counsel. The contracted attorney does not provide advice and counsel to employees, but rather assists staff attorneys with research on various ethics issues and drafting ethics policy documents. All work product produced by the contracted attorney is reviewed by a staff attorney in the General Law Branch

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. Please indicate the question number to which the comment corresponds.

  • Additional Comments
    #3-4: The CFTC is not part of the General Schedule (GS) pay system, but rather has its own pay system referred to as “CT.” #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 15 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 12/31/2015 and is a career employee. #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
5

    • Confidential financial disclosure program
5

    • Disciplinary process for violations
1

    • Education and training
4

    • Outside activity approval
3

    • Public financial disclosure program
5

    • Special Government employees' activities
2

    • 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, 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 2015?

  • 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 2015? Check all that apply.

  • Professional Development
    Mentoring
    Structured courses (e.g., classroom training, webinars, online modules, etc.)
      Provided by OGE

    • Specify Other
      NA

  • Programatic tools
    Job Aids, 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 2015?

  • Select Yes or No
Yes (go to #18)

18. What did you assess?

  • Check all that apply
Administration of confidential financial disclosure program, Administration of public financial disclosure program, Consistency of advice and counsel

    • 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 2015.

  • Significant accomplishments
    In 2015, the CFTC ethics program provided in-person training to all OGE 278 filers that was focused on providing in depth guidance on the Commission’s supplemental regulations prohibiting employees from engaging in certain transactions and holding certain assets. The CFTC Ethics program also provided all other CFTC employees with either in-person ethics training or mandatory online written ethics training. In addition, the CFTC successfully launched the use of Integrity for all OGE 278 filers. The CFTC ethics program successfully advocated for an additional full time attorney and a contract attorney to support the ethics program

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

  • Greatest challenges
    The CFTC ethics program will be faced with developing and implementing new supplemental standards for prohibited holdings and transactions that more directly address the agency's expanded jurisdiction. As a part of that effort, we will need to design and launch new training and will need to explore ways to better identify potential conflicts in real time. Additionally, the CFTC’s expanded jurisdiction over the swaps and derivatives markets has increased staff turnover and has resulted in significantly more employees joining the agency from the private sector with no previous government experience and leaving the agency to work at entities that the agency regulates. As a result, the CFTC ethics program will need to enhance onboarding ethics training and post employment guidance. With the growth of the CFTC ethics program, additional infrastructure for tracking filers and records, written policies, and additional communication and outreach will be essential for our success.

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 receive Initial Ethics Orientation (IEO) by December 31, 2015.

  • Number required
201

    • a. How many of those employees received IEO within the 90 day requirement?
201

    • 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, 2015. You do not need to count the employee toward the number of employees who were required to have received IEO in calendar year 2015 because you have until March 2015 to provide the employee IEO.

24. Is IEO part of your agency’s on-boarding 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, Written materials

    • Specify Other
      NA

26. Who developed the the IEO training materials?

  • Check all that apply
    My agency, OGE
    • How did you access the training materials? 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
4
3

    Public filers (OGE Form 278) - non-PAS
190
181

    Confidential filers (OGE Form 450, 450A, and OGE-approved alternative confidential financial disclosure forms)
536
499

    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.)
43
38

TOTAL
773
721

* 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 (1) of the CFTC Commissioners, a PAS official, left the agency prior to the time that annual ethics training was provided by the CFTC ethics program. Additionally, one (1) OGE 278 filer was on long-term medical leave and has not yet returned to duty, and eight (8) OGE 278 filers left the CFTC prior to the time that annual ethics training was provided by the CFTC ethics program. Thirty-seven (37) OGE 450 filers did not received annual ethics training in 2015. Of those thirty-seven (37), two (2) employees are on detail to another agency, four (4) employees are on extended medical leave, and thirty-one (31) employees left the CFTC prior to the time that annual ethics training was provided by the CFTC ethics program. Finally, five (5) employees required by 2638.705(a) to file the alternative form, CFTC Form 185, left the agency prior to the time that annual ethics training was provided by the CFTC ethics program

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, Self-paced web-based, Written materials

    • Specify Other
      NA

29. Who developed the annual training materials?

  • Check all that apply
    My agency
  • How did you access the training materials? Check all that apply.
    • Specify Other
      NA

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

  • Select Yes or No
Yes

31. Did you provide additional, specialized ethics training during 2015?

  • Select Yes or No
Yes (go to #32)

32. Which groups did you target?

  • Check all that apply
Other (specify below)

    • Specify Other
      New Integrity users were provided training on how to access and submit reports through Integrity as well as training on how to complete the OGE 278.

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

  • Additional Comments
    #25: In addition to one-on-one briefings for senior agency employees 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. CFTC ethics program staff also provide supplemental one-on-one briefings to any staff upon request.

PART 7. ADVICE AND COUNSELING

33. From the list below, select the three topics that your employees most frequently sought guidance on in 2015.

  • 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
Conflicting financial interests
  • Selection 2
Gift acceptance (excluding awards and travel, subsistence, and related expenses from non-federal sources)
  • Selection 3
Financial Disclosure Reporting

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

34. Has your agency ethics program implemented any of the following practices?

  • Check all that apply
    Periodic supervisory review of advice given, Guided discussion among staff, Memorialize advice and counsel
      Some
    Use advice and counsel templates, Use a database Check all that apply
      to track timeliness

  • Specify Other
    NA

35. Number of notification statements of negotiation or recusal under section 17(a) of the STOCK Act submitted to the ethics office in 2015?

  • Enter total
20

36. 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

37. Report the number of public financial disclosure reports (OGE Form 278) required to be filed by December 31, 2015, excluding SGEs, and the number of reports actually filed (i.e., received in hand) by December 31, 2015.

OGE Form 278 Reports Required to be Filed in CY 2015

OGE Form 278 Reports
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
Nominee/New EntrantRequired
1
0
0
1
15
Filed
1
0
0
1
14
AnnualRequired
3
0
0
6
167
Filed
3
0
0
6
167
TerminationRequired
1
0
0
1
10
Filed
1
0
0
0
7
Combination1Required
0
0
0
0
9
Filed
0
0
0
0
1
    Total
Required
5
0
0
8
201
Filed
5
0
0
7
189

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, 2015, 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 2016 Questionnaire’s new entrant numbers in 2017.

  • If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
    One (1) new entrant filer was previously at another agency and did not file a new entrant report with the CFTC. Instead, this filer provided the CFTC ethics program with a copy of the financial disclosure form filed by the employee at his prior agency for conflicts review. Additionally, two (2) termination filers went to covered positions at other federal agencies and were not required to file termination reports with the CFTC. The agency also failed to receive two (2) termination reports due during the reporting period however, the agency is exercising best efforts to contact those filers in order to obtain the missing reports. Lastly, due to administrative oversight, the CFTC ethics program did not receive timely notification of eight (8) promotions. The CFTC ethics program is working with the eight (8) filers to facilitate their submission of late, combined New Entrant and Annual reports and will waive any applicable late filing fees as appropriate.

38. 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
76
3
0

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

  • Periodic Transaction Reports Filed
131
* 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.

40. 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
2
23
0

41. Number of public financial disclosure filers reported in calendar year 2015 to the Attorney General for failure to file.

  • Enter total
0

42. How many requests for public financial disclosure reports did you receive in 2015.

  • Enter total
1

43. 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

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

  • Select Yes or No
No

45. 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

46. 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

47. Does your agency use an electronic financial disclosure filing system (e-filing system)? Note: This includes Integrity.

  • Select Yes or No
Yes (go to 48)

48. Which system does your agency use?

  • Select one
Integrity AND Other (specify below)

    • Specify Other
      Ethics Management and Tracking System (EMAT)

49. Indicate your fiscal year 2015 actual and fiscal year 2016 projected costs for using the e-filing system. Note: Do not include costs to operate Integrity.

    a) Total FY 2015 actual costs
$0

    b) Total FY 2016 projected costs
$0

    c) amount paid to a non-federal vendor in 2015
$80407

    d) amount projected to be paid to a non-federal vendor in 2016
$121977

    e) amount paid to a federal agency in 2015
$0

    f) amount projected to be paid to a federal agency in 2016
$0

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

    h) amount projected for all internal costs associated with operating an e-filing system (e.g., FTE, overhead, etc.) in FY 2016
$0

    i) number of public financial disclosure filers who filed in electronically in 2015
181

    j) number of public financial disclosure filers projected to file electronically in FY 2016
195

    k) number of confidential financial disclosure filers who filed electronically in FY 2015
524

    l) number of confidential financial disclosure filers projected to file electronically in FY 2016
530

50. 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

PART 9. CONFIDENTIAL FINANCIAL DISCLOSURE

51. Report the number of confidential financial disclosure reports required to be filed by December 31, 2015, excluding SGEs, and the number of reports actually filed by December 31, 2015.

  • Confidential financial disclosure reports required to be filed in CY 2015:

# Required to File
(By December 31)
#Filed
      OGE Form 450/450A
524
450: 340 450A: 178
      OGE-approved alternative form
38
32
Total
562
550

    Example: For new entrant reports: If an employee starts the agency on December 15, 2015, 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 2016 Questionnaire’s new entrant numbers in 2017.

    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
    The Commodity Futures Trading Commission will be submitting a separate Word document, explaining the discrepancy above. The text box could not accommodate the agency's answer.

52. Number of OGE 450, 450A, or OGE-approved alternative forms granted filing extensions in 2015.

  • Enter number
13

53. 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

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

54. 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 2015.

  • Enter number

Don’t know/don’t track

55. Number of individual remedial actions taken because of information on a new entrant, annual, or termination public financial disclosure (OGE Form 278) report in 2015.

  • Recusals

  • Divestitures

  • Resignations from outside positions

  • Reassignments

  • Other not listed (please specify below)

  • Specify Other
    NA

Don’t know/don’t track

56. 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 2015.

  • Enter number

Don’t know/don’t track

57. Number of remedial actions taken because of information on a periodic transaction report in 2015.

  • Recusals

  • Divestitures

  • Reassignments

  • Other not listed (please specify below)

  • Specify Other
    NA

Don’t know/don’t track

58. Number of § 208(b)(1) waivers granted in 2015.

  • Enter number
0

59. Number of § 208(b)(1) waivers provided to OGE in 2015.

  • Enter number
0

60. Number of § 208(b)(3) waivers granted in 2015.

  • Enter number
0

61. Number of § 208(b)(3) waivers provided to OGE in 2015.

  • Enter number
0

62. Number of disciplinary actions taken based wholly or in part upon violations of the Standards of Conduct provisions (5 CFR part 2635) in 2015. For purposes of this question, disciplinary actions include removals, demotions, suspensions, and written reprimands or their equivalents.

  • Enter number
0

    a. Of those, how many were disciplinary actions taken based wholly or in part upon violations of:

    Subpart A

    Subpart B

    Subpart C

    Subpart D

    Subpart E

    Subpart F

    Subpart G

    Subpart H


63. 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 2015. For purposes of this question, disciplinary actions include removals, demotions, suspensions, and written reprimands or their equivalents.

  • Enter number
0

    a. Of those, how many were disciplinary actions taken based wholly or in part upon violations of:

    18 U.S.C. §203

    18 U.S.C. §205

    18 U.S.C. §207

    18 U.S.C. §208

    18 U.S.C. §209


64. Number of referrals made to the Department of Justice of potential violations of the criminal conflict of interest statutes in 2015.

  • 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

65. 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
      The CFTC Chairman and Commissioners

66. 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 answer
Not Applicable

ADDITIONAL COMMENTS FOR PART 10. Please indicate the question number to which the comment corresponds.
  • Additional Comments
    #54-57: CFTC currently monitors remedial actions for its PAS Chairman and Commissioners through screening arrangements. For all other staff, information about remedial actions is maintained in individual files for each employee along with financial disclosure reports and tracking of this information is not currently centralized. #58: CFTC did not issue any 208(b)(1) waivers in 2015. However, the Counsel to the White House issued a 208(b)(1) waiver to the Chairman of the CFTC in 2014 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)
67. Does your agency have any FACA or Non-FACA advisory committees, boards, or commissions?

  • Select Yes or No
Yes (go to #68)

68. Number of FACA advisory committees.

  • Enter number
4

69. Number of FACA advisory committee members.

  • Enter number
103

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

  • Enter number
1

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

  • Enter number
9


72. Does your agency have any SGEs (as of December 31, 2015)?

  • Select Yes or No
Yes (go to #73)


73. Number of Special Government Employees (SGEs) as of December 31, 2015.

  • Enter number
2

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

  • Select Answer
Yes

    • Specify why
      NA

75. Does the written policy or procedure include consultation with the ethics office?

  • Select Answer
Yes

    • Specify why
      NA

76. Does the ethics office provide training to SGEs, who serve on committees or participate in board meetings, prior to attendance at their first committee or board meeting?

  • Select Answer
Not Applicable (skip to #78)

77. If yes, which office provides the training?

  • Enter office

78. Report the number of SGE public and confidential financial disclosure reports required to be filed by December 31, 2015 and the number of reports actually filed by December 31, 2015.

  • Financial disclosure reports required to be filed by SGEs in CY 2015:

Type of SGE
Confidential Reports
(OGE Form 450 or OGE- Approved Alternative Form)
Public Reports
(OGE Form 278)
required
filed
required
filed
Advisory Committee Members (FACA)
0
0
0
0
Advisory Committee Members (non-FACA)
0
0
0
0
Experts/Consultants
2
0
0
0
Board Members
0
0
0
0
Commissioners
0
0
0
0
Other
0
0
0
0
TOTAL
2
0
0
0

    Example: For new entrant reports: If an employee starts with the agency on December 15, 2015, 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.
    Two (2) SGEs were hired in 2015 as experts to consult with the CFTC Office of Chief Economist. However, due to administrative oversight, the CFTC Human Resources Office did not notify the CFTC Ethics Office about the SGE appointments as required by the procedures. The problem was identified, and we are working closely with Human Resources to remedy the oversight going forward. The CFTC Ethics Office has also granted extensions to these two SGEs. One SGE has filed the OGE Form 450 in 2016 and the second SGE anticipates completing her filing by February 19, 2016.

79. 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

80. 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

81. Number of SGE OGE Form 450 Reports or OGE-Approved Alternative Form filers granted filing exenstions.

  • Enter number
2

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

  • Additional Comments
    #72: The CFTC does not currently have any SGEs serving on a CFTC board or committee. The CFTC’s two (2) SGEs are experts hired to consult with the Office of Chief Economist. The ethics program provides ethics training with instruction on the Standards of Conduct, and the CFTC’s Code of Conduct and Supplemental Regulations to SGEs. #80: The CFTC does not currently have SGEs onboard that are required to file an OGE 278.

ADDITIONAL QUESTIONNAIRE COMMENTS:

  • Additional Comments
    The Commodity Futures Trading Commission will be submitting a Word document, with responses to questions #44, #49 and #51. The agency responses would not fit into the text boxes.