2016 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 OGE’s Annual Ethics Program Questionnaire (Questionnaire) serve as your annual report.

OGE uses the data collected through the Questionnaire about the entire executive branch ethics program in many ways, including sharing 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 as the overall ethics program, and to make informed decisions about resource allocations and priorities. OGE posts a summary of Questionnaire responses as well as each agency’s unedited responses on OGE’s website. Therefore, please ensure your responses are suitable for publication.

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

DUE DATE: By regulation, the Questionnaire is due to OGE by February 1, 2017. (5 CFR § 2638.602(a)).

PART 2. INSTRUCTIONS

Your response to this Questionnaire should reflect the 2016 calendar year (i.e., 1/1/2016 through 12/31/2016), except where specified. The answers provided should reflect the aggregated numbers for your agency in total. OGE will only accept one submission per agency.

Throughout the Questionnaire you will be offered an opportunity to provide comments or explanations for your responses. Please use these comment sections to explain any discrepancies between levels of required activity and actual activity. These comment sections should also be used to explain significant changes from your 2015 report. After OGE has reviewed your Questionnaire submission, you may be contacted for follow-up.

If you have any questions, please contact Brandon Steele, Associate Counsel, at (202) 482-9209 or at basteele@oge.gov.

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.

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; and, 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

  • Department of Health and Human Services

2. Employees

  • Number of full-time agency employees as of December 31, 2016
88156

3. Information about the Designated Agency Ehics Official (DAEO):

  • Vacant (As of December 31, 2016)?
No

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

  • DAEO Name
Elizabeth J. Fischmann

  • DAEO Title
Associate General Counsel for Ethics (and Designated Agency Ethics Official)

  • Time in current DAEO position
1 - 4 years

  • Total years performing ethics duties
28

  • DAEO Grade Level
SES or equivalent

  • Percent of time spent on ethics
76-100%

  • Was the DAEO eligible to retire as of December 31, 2016?
No

  • Is the DAEO
Career employee

4. Information about the Alternate Designated Agency Ethics Official (ADAEO):

  • Position Vacant (As of December 31, 2016)?
No

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

  • ADAEO Name
Kathleen Silbaugh

  • ADAEO Title
Deputy Associate General Counsel for Ethics (and Alternate Designated Ethics Official)

  • Time in current ADAEO position (years)
Less than 1 year

  • Total years performing ethics duties
12

  • ADAEO Grade Level
SES or equivalent

  • Percent of time spent on ethics
76-100%

  • Was the ADAEO eligible to retire as of December 31, 2016?
No

  • Is the ADAEO
Career employee

5. Number of employees who performed ethics program duties in 2016; 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
45
87
39
30
152
353
Outside the D.C. Metro area
53
15
4
0
13
85
TOTAL
98
102
43
30
165
438

* FTE = Full Time Equivalent

Example: The table below provides an example of an agency with 13 employees that performed ethics
program duties in 2016.

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
No (go to #7)

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

  • Check all that apply
Assessment of program performance, Confidential financial disclosure program, Ethics advice and counseling, Ethics education and training, Public financial disclosure program

  • 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
    They provide administrative support and do not perform any inherently governmental functions.

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

  • Check all that apply
DAEO, ADAEO, Some ethics officials (excluding DAEO/ADAEO)

ADDITIONAL COMMENTS FOR PART 4. Please indicate the question number to which the comment corresponds.

  • Additional Comments
    With regard to Question #6, the DAEO/ADAEO have supervisory authority over 25 OGC Ethics Division employees in Question #5.

PART 5. PROGRAM ADMINISTRATION

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

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

    • Advice and counseling
4

    • Confidential financial disclosure program
5

    • Disciplinary process for violations
2

    • Education and training
4

    • Outside activity approval
3

    • Public financial disclosure program
4

    • Special Government employees' activities
3

    • Other (specify below, and rate at right)
      Developing IT applications for any aspect of the ethics program, and maintenance of the intranetpage
4

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

    • If No (please provide a comment or explanation)

15. Did the agency head meet with the ethics staff to discuss the strengths and weaknesses of the ethics program in 2016?

  • 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 2016? Check all that apply.

  • Professional Development
    Competency/skills gap assessment, Developmental assignments (e.g., detail assignments, cross training, job rotation, use of agency developmental programs such as interns, fellows, or leadership development), Individual development plans, Mentoring
    Structured courses (e.g., classroom training, webinars, online modules, etc.)
      Provided by OGE, Provided by my agency, Provided by another agency
    Other (specify below)

    • Specify Other
      Other tools include training, IEC meetings, DEC meetings and OGE and OGC Ethics seminars and webinar

  • Programatic tools
    Written standard operating procedures, Job Aids, Knowledge library (intranet, videos, shared drives), Resources assessment (personnel and/or financial), Other (specify below)

    • Specify Other
      Internal websites to dispense up-to-date ethics information, brochures, and HHS/OGC and OGE material

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 2016?

  • Select Yes or No
Yes (go to #18)

18. What did you assess?

  • Check all that apply
Accuracy of advice and counsel, Administration of confidential financial disclosure program, Administration of public financial disclosure program, Compliance with applicable ethics laws and regulations, Consistency of advice and counsel, Employee knowledge after training, Employee knowledge before training, Employee perceptions about the agency’s ethical culture, Employee perceptions about the ethics program, Knowledge and skills of ethics officials, Employee satisfaction with training offered, Employee knowledge of the ethics rules, Timeliness of advice and counsel, Other (specify below)

    • Specify Other
      Best practices, opportunities for improvement, and internal training systems and resources.

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

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

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

  • Select Yes or No
No

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

21. Please list any significant accomplishments your ethics program achieved in 2016.

  • Significant accomplishments
    Continued successful utilization of HHS EFEDS which facilitated submission, review, and certification of 278 and 450 forms electronically. Provided live IEO, AET and Post-employment training for non-career personnel.

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

  • Greatest challenges
    Retaining and recruiting qualified ethics staff continues to represent a major challenge for the HHS ethics community.

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, 2016.

  • Number required
7311

    • a. How many of those employees received IEO within the 90 day requirement?
6278

    • b. How many of those employees received IEO beyond the 90 day requirement?
316

    • c. How many of those employee have not received IEO as of today?
717

  • If applicable, please explain why some employees received IEO beyond the 90 day requirement or have yet to receive IEO.
    New hires at end of year, extended absence, access issues to online training, staffing shortages.

    Example: An employee came on board December 15, 2016. You do not need to count the employee toward the number of employees who were required to have received IEO in calendar year 2016 because you have until March 2016 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
Classroom instruction (in-person), Instructor-led web-based, One-on-one briefings, Self-paced web-based, 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 278e) – PAS
13
13

    Public filers (OGE Form 278e) - non-PAS
1382
1373

    Confidential filers (OGE Form 450, 450A, and OGE-approved alternative confidential financial disclosure forms)
32772
31069

    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.)
15927
15848

TOTAL
50094
48303

* 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
    Components reported some employees unable to take AET due to medical leave, admin leave, details etc

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

  • Check all that apply
Classroom instruction (in-person), Instructor-led web-based, One-on-one briefings, Self-paced web-based, Video, Satellite broadcast/videoconference, Written materials

    • Specify Other
      NA

29. Who developed the annual training materials?

  • Check all that apply
    My agency, OGE
  • 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 2016?

  • Select Yes or No
Yes (go to #32)

32. Which groups did you target?

  • Check all that apply
All agency personnel, HR Officials, IT personnel, Procurement Officials, Supervisors, Other (specify below)

    • Specify Other
      Contract specialists and SGEs.

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

  • Additional Comments
    Q#23: HHS components reported more than 500 new hires between November and December 2016 while other employees HHS-wide are on extended absence and have yet to complete training. Additionally, a component with numerous remote field offices reported difficulty in notifying employees of IEO requirement. Earlier in the year some employees had issues accessing HHS' LMS either because of technical issues or lack of computer access, so an updated version of the IEO was issued in June 2016 to reduce the technical issues. Furthermore, non-digital IEO training materials were created and circulated in June 2016 to reduce the electronic access-related issues. One component also reported ethics staffing shortages until October 31, 2016, making follow-up and IEO oversight difficult.
    Q#27: Some employees were unable to take the AET because they were on extended leave, etc. Some employees are inactive SGEs that do not have committee assignments and are not performing services for the US.

PART 7. ADVICE AND COUNSELING

33. From the list below, select the three topics that your employees most frequently sought guidance on in 2016.

  • Conflicting financial interests
  • Gift acceptance
  • 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
Outside employment/activities
  • Selection 3
Post-employment restrictions

  • 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
    Conduct customer satisfaction survey(s), 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, to conduct research, to identify topics for training
    Other (specify below)

  • Specify Other
    Conferring with the designated Attorney Advisor, OGC and HHS.

35. Number of notification statements of negotiation or recusal under section 17(a) of the STOCK Act submitted to the ethics office in 2016?

  • Enter total
182

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

  • Check all that apply
Part of out-processing, Emails, Training, Regulation or policy, Other (specify below)

  • Specify Other
    The Ethics Division held post-employment brownbag sessions that were available for employees.

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

  • Additional Comments
    Q#36, Employees are also made aware of post-employment counseling through information letters, certified mail, blogs, newsletters, consultation, and phone calls.

PART 8. FINANCIAL DISCLOSURE

37. Report the number of public financial disclosure reports (OGE Form 278e) required to be filed by December 31, 2016, excluding SGEs, and the number of reports actually filed (i.e., received in hand) by December 31, 2016.

OGE Form 278e Reports Required to be Filed in CY 2016

OGE Form 278e Reports
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
Nominee/New EntrantRequired
1
3
95
1
87
Filed
1
3
95
1
87
AnnualRequired
11
76
469
62
611
Filed
11
76
468
62
611
TerminationRequired
8
22
42
21
33
Filed
8
21
39
21
33
Combination1Required
1
3
9
9
11
Filed
1
3
9
9
11
    Total
Required
21
104
615
93
742
Filed
21
103
611
93
742

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, 2016, 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 2017 Questionnaire’s new entrant numbers in 2018.

  • If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
    Components reported some employees transferred to other agencies or left the Government.

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 278e Reports
327
10
4

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

  • Periodic Transaction Reports Filed
847
* 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
26
65
3

41. Number of public financial disclosure filers reported in calendar year 2016 to the Attorney General for failure to file.

  • Enter total
0

42. How many requests for public financial disclosure reports did you receive in 2016.

  • Enter total
44

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, Certified letter to the filer, Notify agency head or other senior official, Referral to Department of Justice, Other (specify below)

    • Specify Other
      Other steps include restricting official travel, meeting face to face, revoking computer access.

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
      Electronic Financial Disclosure System (EFDS). Some components use other systems, such as: Ethics Program Activity Tracking System and Financial Disclosure Management System CATS and the NIH Enterprise Ethics System.

49. Indicate your fiscal year 2016 actual and fiscal year 2017 projected costs for using the e-filing system. Note: Because OGE does not charge fees to use Integrity, there are no reportable costs associated with the use of Integrity.

    a) Total FY 2016 actual costs
$2598697

    b) Total FY 2017 projected costs
$2556997

    c) amount paid to a non-federal vendor in 2016
$50000

    d) amount projected to be paid to a non-federal vendor in 2017
$0

    e) amount paid to a federal agency in 2016
$1853197

    f) amount projected to be paid to a federal agency in 2017
$1852497

    g) amount for all internal costs associated with operating an e-filing system (e.g., FTE, overhead, etc.) in FY 2016
$838808

    h) amount projected for all internal costs associated with operating an e-filing system (e.g., FTE, overhead, etc.) in FY 2017
$838808

    i) number of public financial disclosure filers who filed in electronically in 2016
1419

    j) number of public financial disclosure filers projected to file electronically in FY 2017
1430

    k) number of confidential financial disclosure filers who filed electronically in FY 2016
27835

    l) number of confidential financial disclosure filers projected to file electronically in FY 2017
28104

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
    Q# 37, Components also had new entrant and termination filers with recent start and exit dates that are still within the window to submit reports on time.

PART 9. CONFIDENTIAL FINANCIAL DISCLOSURE

51. Report the number of confidential financial disclosure reports required to be filed by December 31, 2016, excluding SGEs, and the number of reports actually filed by December 31, 2016.

  • Confidential financial disclosure reports required to be filed in CY 2016:

# Required to File
# Filed
# Filed
# Filed
# Filed
(by 12/31)
OGE Form 450
OGE Form 450A
OGE approved alternate form
Total
28576
28564
0
0
28564

    Example: For new entrant reports: If an employee starts the agency on December 15, 2016, 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 2017 Questionnaire’s new entrant numbers in 2018.

    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
    Extended leave, employees resigning before submitting forms and some are within the filing window.

52. Number of OGE 450, 450A, or OGE-approved alternative forms granted filing extensions in 2016.

  • Enter number
1063

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

  • Check all that apply
Repeated reminders to the filer, Notify supervisor, Notify agency head or other senior official, Other (specify below)

    • Specify Other
      Restricting official travel, using the DEC POCs to email and contact supervisors and EOs.

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 2016.

  • Enter number
143

55. Number of individual remedial actions taken because of information on a new entrant, annual, or termination public financial disclosure (OGE Form 278e) report in 2016.

  • Recusals
58

  • Divestitures
15

  • Resignations from outside positions
70

  • Reassignments
0

  • Other not listed (please specify below)
0

  • Specify Other

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 2016.

  • Enter number
7

57. Number of remedial actions taken because of information on a periodic transaction report in 2016.

  • Recusals
5

  • Divestitures
2

  • Reassignments
0

  • Other not listed (please specify below)
0

  • Specify Other

58. Number of § 208(b)(1) waivers granted in 2016.

  • Enter number
1

59. Number of § 208(b)(1) waivers provided to OGE in 2016.

  • Enter number
1

60. Number of § 208(b)(3) waivers granted in 2016.

  • Enter number
219

61. Number of § 208(b)(3) waivers provided to OGE in 2016.

  • Enter number
223

62. Number of disciplinary actions taken based wholly or in part upon violations of the Standards of Conduct provisions (5 CFR part 2635) in 2016. For purposes of this question, disciplinary actions include removals, demotions, suspensions, and written reprimands or their equivalents.

  • Enter number
56

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

    Subpart A

    Subpart B
1

    Subpart C
4

    Subpart D
2

    Subpart E
1

    Subpart F

    Subpart G
9

    Subpart H
5


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, 208, and 209 in 2016. For purposes of this question, disciplinary actions include removals, demotions, suspensions, and written reprimands or their equivalents.

  • Enter number
2

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

    18 U.S.C. §203
0

    18 U.S.C. §205
0

    18 U.S.C. §208
2

    18 U.S.C. §209
0


64. Number of referrals made to the Department of Justice of potential violations of the criminal conflict of interest statutes in 2016.

  • Enter number
1

    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
IG, Other (specify below)

    • Specify Other
      IG coordinates with the OGC Ethics Division when filing Form 202.

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
Yes

ADDITIONAL COMMENTS FOR PART 10. Please indicate the question number to which the comment corresponds.
  • Additional Comments
    Q #61: HHS provides waivers to OGE on a quarterly basis, so the waivers provided to OGE in CY 2016 include those granted in the 4th quarter of FY 2015 and quarters 1-3 of FY 2016. The waivers granted in the 4th quarter of FY 2016 were provided in January 2017. Q #62: A component reported 34 disciplinary actions taken based wholly or in part upon violations of the Standards. However, the specific subparts for those 34 violations was not reported.

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
215

69. Number of FACA advisory committee members.

  • Enter number
2512

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

  • Enter number
4

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

  • Enter number
42


72. Does your agency have any SGEs (as of December 31, 2016)?

  • Select Yes or No
Yes (go to #73)


73. Number of Special Government Employees (SGEs) as of December 31, 2016.

  • Enter number
10001

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
Yes (go to #77)

77. If yes, which office provides the training?

  • Enter office
    OGC Ethics Division and agency components' ethics offices.

78. Report the number of SGE public and confidential financial disclosure reports required to be filed by December 31, 2016 and the number of reports actually filed by December 31, 2016.

  • Financial disclosure reports required to be filed by SGEs in CY 2016:

Type of SGE
Confidential Reports
(OGE Form 450 or OGE- Approved Alternative Form)
Public Reports
(OGE Form 278e)
required
filed
required
filed
Advisory Committee Members (FACA)
5884
4260
0
0
Advisory Committee Members (non-FACA)
0
0
0
0
Experts/Consultants
7
5
0
0
Board Members
5
5
0
0
Commissioners
0
0
0
0
Other
83
83
0
0
TOTAL
5979
4353
0
0

    Example: For new entrant reports: If an employee starts with the agency on December 15, 2016, 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 2017 Questionnaire’s new entrant numbers in 2018.
  • If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
    See Additional Comments section below.

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
5465

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 278e Reports
1
0
0

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

  • Enter number
49

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

  • Additional Comments
    Q#77, Committee management staff also provide training with OGC Ethics Division material. Q#78, The reason for the difference between the number of reports required to be filed and the number of reports varies. The vast majority of non-filers are inactive SGEs that do not have committee assignments and are not performing services for the United States. Their status is under review. Several SGEs are within the allowable timeframe to submit reports. Also, some components reported a change in the update schedule as well as an increase in newly appointed members due to set term end dates. Q#79 It was determined pursuant to 5 CFR 2634.904(b)that the services provided by SGEs in two components are unlikely to directly and predictably affect any of their individual or imputed financial interests. Moreover, HHS has determined that the nature of their official duties makes "remote the possibility that [they] will be involved in a real or apparent conflict of interest."

ADDITIONAL QUESTIONNAIRE COMMENTS:

  • Additional Comments

      OGE Form 450A
0
hidden element