2017 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 in many ways, including sharing information about the entire executive branch ethics 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, 2018. (5 CFR § 2638.207(a)).

PART 2. INSTRUCTIONS

Your response to this Questionnaire should reflect the 2017 calendar year (i.e., 1/1/2017 through 12/31/2017), 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 2016 report. After OGE has reviewed your Questionnaire submission, you may be contacted for follow-up.

If you have any questions, please contact Wendy Pond at wgpond@oge.gov.

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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

  • Office of the Secretary of Defense Office of the Inspector General

2. Employees

  • Number of full-time agency employees as of December 31, 2017
1585

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

  • Vacant (As of December 31, 2017)?
No

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

  • DAEO Name
Henry C. Shelley, Jr.

  • DAEO Title
General Counsel

  • Time in current DAEO position
5 - 9 years

  • Total years performing ethics duties
30

  • DAEO Grade Level
SES or equivalent

  • Percent of time spent on ethics
0-25%

  • Was the DAEO eligible to retire as of December 31, 2017?
Yes

  • Is the DAEO
Career employee

  • Has OGE been provided a copy of the DAEO's designation letter? (response required only for DAEOs who have served less than 1 year in the current DAEO position)

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

  • Position Vacant (As of December 31, 2017)?
No

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

  • ADAEO Name
Brian G. Yonish

  • ADAEO Title
Deputy General Counsel

  • Time in current ADAEO position (years)
10 or more years

  • Total years performing ethics duties
30

  • ADAEO Grade Level
GS15

  • Percent of time spent on ethics
0-25%

  • Was the ADAEO eligible to retire as of December 31, 2017?
Yes

  • Is the ADAEO
Career employee

  • Has OGE been provided a copy of the ADAEO's designation letter? (response required only for ADAEOs who have served less than 1 year in the current ADAEO position)

5. Number of employees who performed ethics program duties in 2017; 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
14
3
0
1
1
19
Outside the D.C. Metro area
0
0
0
0
0
0
TOTAL
14
3
0
1
1
19

* FTE = Full Time Equivalent

Example: The table below provides an example of an agency with 13 employees that performed ethics
program duties in 2017.

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
No (go to #10)

9. Describe the extent of their support.

  • Describe

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

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

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

  • Additional Comments
    All attorneys in OIG OGC are ethics counselors.

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
1

    • Other (specify below, and rate at right)
      Ethics Program Management
4

12. Please estimate the percentage of time your agency spends on administering the following:

    a. Confidential financial disclosure program
25

    b. Public financial disclosure program
25

    c. 201 Requests
0

13. Are additional resources needed for the ethics program? (e.g. budgetary, human capital, technology, etc.)

  • Select Yes or No
No (go to #15)

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

  • Select type of resources

  • Specify Other
    NA

15. Describe one concrete action the head of your agency took in 2017 to support or strengthen the agency’s ethics program:


  • Action taken

16. Did the agency head meet with the ethics staff to discuss the strengths and weaknesses of the ethics program in 2017?

  • Select Yes or No
Yes

17. 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 2017? 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 another agency

    • Specify Other
      NA

  • Programmatic tools
    Job Aids, Knowledge library (intranet, videos, shared drives, etc.), Resources assessment (personnel and/or financial)

    • Specify Other
      NA

18. Did your agency (e.g., ethics office, Inspector General, General Counsel) conduct a self-assessment to evaluate any aspect of the ethics program in 2017?

  • Select Yes or No
Yes (go to #19)

19. What did you assess?

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

    • Specify Other
      File management/record disposal

20. 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 disclosure reports, Review/evaluation of confidential financial disclosure reports, Review/evaluation of public financial disclosure reports, Issuance of notice of ethical obligations in written offers of employment, Provision of initial ethics training, Issuance of ethics notice to new supervisors

21. 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)

22. Please list any significant accomplishments your ethics program achieved in 2017.

  • Significant accomplishments
    Certified or initially reviewed 98% of OGE Form 450 reports within OGE 60 day standard. Published 4 Standard Operating Procedures to address new requirements established by 2017 CFR changes. Publish ethics articles in the IG News as a training mechanism.

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

  • Greatest challenges
    Although we have established procedures with Human Resources to notify us of Form 450 filers, we must be vigilant in ensuring the procedures work.

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

  • Additional Comments
    16. The DAEO meets with the agency head weekly where ethics issues are addressed. 18. Self-assessments conducted via weekly DAEO meetings with Ethics Team.

PART 6. EDUCATION AND TRAINING

24. How many employees (including Special Government Employees) were required to receive Initial Ethics Training (IET) by December 31, 2017?

  • Number required
191

    • a. How many of those employees received IET within the 3-month requirement?
191

    • b. How many of those employees received IET beyond the 3-month requirement?
0

    • c. How many of those employee have not received IET as of today?
0

  • If applicable, please explain why some employees received IET beyond the 3-month requirement or have yet to receive IET.


    Example: An employee came on board December 15, 2017. You do not need to count the employee toward the number of employees who were required to have received IET in calendar year 2017 because you have until March 2017 to provide the employee IET.

25. Did the office(s) responsible for issuing ethics notices to prospective employees, pursuant to 5 CFR 2638.303, provide the DAEO with the certification required pursuant to 5 CFR 2638.310?

  • Select Yes or No (response required only from agencies with 1,000 or more full-time employees – see Q2)
Yes


  • Please explain



26. Did any office not under the direct supervision of the DAEO provide initial ethics training, pursuant to 5 CFR 2638.304?

  • Select Yes or No (response required only from agencies with 1,000 or more full-time employees – see Q2)
No

  • Did that office provide the certification required pursuant to 5 CFR 2638.310?

  • Please explain

27. How many non-supervisory positions at or below the GS-8 grade level, or the equivalent, were excluded from the requirement to receive IET during 2017?

  • Number
0

28. Did the head of the agency complete either initial ethics training or annual ethics training in 2017?

  • Select Yes or No
Yes


  • Please explain


29. Did the deputy head of the agency (e.g., Deputy Secretary, Deputy Administrator, etc.) complete either initial ethics training or annual ethics training in 2017?

  • Select Yes or No
Yes


  • Please explain


30. How do you deliver IET to new employees?

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

    • Specify Other
      NA

31. Who developed the IET training materials?

  • Check all that apply
    My agency, Another agency
    • How did you access the training materials? Check all that apply.
      Directly from the agency
      • Specify Other
        NA
    Other (specify below)

    • Specify Other
      OIG uses an interactive web-based training module produced by SkillSoft, an OIG.

32. How many new appointees were required to receive ethics briefings by December 31, 2017 (5 CFR 2638.305)?

  • Total Number
0
    • a. How many of those appointees received their briefing no later than 15 days after the leader(s) appointment?
0
    • b. How many of those employees received their briefing beyond the 15 day requirement?
0
    • c. How many of those employees have yet to receive their briefing as of today?
0

    • If applicable, please explain why some appointees received their briefing beyond the 15 day requirement or have yet to receive their briefing.


33. Who provided the briefings to the appointees?

    • Specify

34. Required Annual Ethics Training

Type of covered employees (Include SGE filers)
# Required
# Received (of those required)
    Public filers (OGE Form 278e) – Executive Schedule Level I or Level II
0
0

    Public filers (OGE Form 278e) - Non-Executive Schedule Level I or Level II
21
21

    Confidential filers (OGE Form 450, 450A, and OGE-approved alternative confidential financial disclosure forms)
428
427

    Other employees required by 2638.307(a) (employees appointed by the President; employees of the Executive Office of the President; Contracting Officers; or, other employees designated by the head of the agency.)
1136
1123

TOTAL
1585
1571


  • 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 comments

35. How do you deliver annual ethics training to Executive Schedule Level I or Level II employees?

  • Check all that apply
Classroom instruction (in-person)

    • Specify Other
      NA

36. How do you deliver annual ethics training to non-– Executive Schedule Level I or Level II public filers?

  • Check all that apply
Self-paced web-based

    • Specify Other
      NA

37. How do you deliver annual ethics training to confidential filers and other covered employees not required to file a public report?

  • Check all that apply
Self-paced web-based

    • Specify Other
      NA

38. Who developed the annual training materials?

  • Check all that apply
    My agency, Another agency
  • How did you access the training materials? Check all that apply.
    Other (specify below)
    • Specify Other
      SkillSoft, an OIG training vendor.

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

  • Select Yes or No
Yes

40. Did you provide additional, specialized ethics training during 2017?

  • Select Yes or No
Yes (go to #41)

41. Which groups did you target?

  • Check all that apply
All agency personnel (i.e., including individuals who were not required by regulation to receive annual training), Supervisors, Other (specify below)

    • Specify Other
      Joint IG Course designed to train Department IG's worldwide.
      Provided visiting Foreign Dignitaries briefing on ethics because they were interested in establishing their own ethics program.

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

  • Additional Comments
    34. The employees required to file confidential financial disclosure reports that did not complete their training by December 31, 2017 were new employees who entered federal service with OIG between the dates of November 1, 2017 and December 31, 2017. In accordance with the Government Ethics Education guidance (5 CFR 2638.304), new employees must complete initial ethics training within three months of their appointment. OIG new employees are required to complete the interactive annual ethics training module within three months of their appointment. Completion of the annual ethics training module within three months of their appointment counts for both initial and annual ethics training. Those new employees not completing their annual ethics training by December 31 were employees whose appointment dates were in Nov and Dec 2017 and whose three month due date for initial ethics training fell in Jan and Feb 2018.
    41. OGC provided ethics briefing during the DoD Supervisor's Course.

PART 7. ADVICE AND COUNSELING

42. From the list below, select the three topics that your employees most frequently sought guidance on in 2017.

  • 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
Financial Disclosure Reporting
  • Selection 2
Gift acceptance
  • Selection 3
Conflicting financial interests

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

43. 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
    Use a database Check all that apply
      to track timeliness

  • Specify Other
    NA

44. Number of notification statements of negotiation or recusal under section 17(a) of the STOCK Act submitted to the ethics office in 2017?

  • Enter total
0

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

  • Check all that apply
Part of out-processing, Training, Regulation or policy

  • Specify Other
    NA

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

  • Additional Comments

PART 8. FINANCIAL DISCLOSURE

46. Report the number of public financial disclosure reports (OGE Form 278e) required to be filed by December 31, 2017, excluding SGEs, and the number of reports actually filed (i.e., received in hand) by December 31, 2017.

OGE Form 278e Reports Required to be Filed in CY 2017

OGE Form 278e Reports
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
Nominee/New EntrantRequired
0
0
1
0
0
Filed
0
0
1
0
0
AnnualRequired
0
0
18
0
2
Filed
0
0
18
0
2
TerminationRequired
0
0
0
0
0
Filed
0
0
0
0
0
Combination1Required
0
0
0
0
0
Filed
0
0
0
0
0
    Total
Required
0
0
19
0
2
Filed
0
0
19
0
2

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


Example: For new entrant and termination reports: If an employee starts/ leaves the agency on December 15, 2017, 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 not required to be filed until January 15. You instead would include the employee in your 2018 Questionnaire’s new entrant numbers in 2019.

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

47. Does the human resources office(s) notify the DAEO of all appointments to and terminations from public filing positions?

  • Select Yes or No
Yes

    • Please explain.

48. 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
0
0
0

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

  • Periodic Transaction Reports Filed
9
* 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.

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

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

51. Number of public financial disclosure filers reported in calendar year 2017 to the Attorney General for failure to file.

  • Enter total
0

52. How many requests for public financial disclosure reports did you receive in 2017?

  • Enter total
0

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

  • Select Yes or No
No

54. Did you receive timely notification of all employees required to file a new entrant financial disclosure report?

  • Select Yes or No
Yes

55. 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

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

  • Check all that apply


Not Applicable

    • Specify Other
      NA

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

  • Select Yes or No
Yes (go to 58)

58. Which system does your agency use?

  • Select one
Integrity AND Other (specify below)

    • Specify Other
      Financial Disclosure Management (FDM) Electronic Filing System

59. Indicate your fiscal year 2017 actual and fiscal year 2018 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 2017 actual costs
$0

    b) Total FY 2018 projected costs
$0

    c) amount paid to a non-federal vendor in FY 2017
$0

    d) amount projected to be paid to a non-federal vendor in FY 2018
$0

    e) amount paid to a federal agency in FY 2017
$0

    f) amount projected to be paid to a federal agency in FY 2018
$0

    g) amount for all internal costs associated with operating an e-filing system (e.g., FTE, overhead, etc.) in FY 2017
$0

    h) amount projected for all internal costs associated with operating an e-filing system (e.g., FTE, overhead, etc.) in FY 2018
$0

    i) number of public financial disclosure filers who filed in electronically in FY 2017
21

    j) number of public financial disclosure filers projected to file electronically in FY 2018
20

    k) number of confidential financial disclosure filers who filed electronically in FY 2017
428

    l) number of confidential financial disclosure filers projected to file electronically in FY 2018
350

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

  • Check all that apply
Public Financial Disclosure (OGE Form 278e), 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

61. Report the number of confidential financial disclosure reports required to be filed by December 31, 2017, excluding SGEs, and the number of reports actually filed by December 31, 2017.

  • Confidential financial disclosure reports required to be filed in CY 2017:

# Required to File
# Filed
# Filed
# Filed
# Filed
(by 12/31)
OGE Form 450
OGE Form 450A
OGE approved alternate form
Total
428
428
0
0
428

    Example: For new entrant reports: If an employee starts the agency on December 15, 2017, 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 not required to be filed until January 15. You instead would include the employee in your 2018 Questionnaire’s new entrant numbers in 2019.

    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

62. Number of OGE 450, 450A, or OGE-approved alternative forms granted filing extensions in 2017.

  • Enter number
0

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

  • Check all that apply


Not Applicable

    • 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

64. 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 2017.

  • Enter number
0

65. Number of individual remedial actions taken because of information on a new entrant, annual, or termination public financial disclosure (OGE Form 278e) report in 2017.

  • Recusals
0

  • Divestitures
0

  • Resignations from outside positions
0

  • Reassignments
0

  • Other not listed (please specify below)
0

  • Specify Other

66. 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 2017.

  • Enter number
0

67. Number of remedial actions taken because of information on a periodic transaction report in 2017.

  • Recusals
0

  • Divestitures
0

  • Reassignments
0

  • Other not listed (please specify below)
0

  • Specify Other

68. Number of § 208(b)(1) waivers granted in 2017.

  • Enter number
0

69. Number of § 208(b)(1) waivers provided to OGE in 2017.

  • Enter number
0

70. Number of § 208(b)(3) waivers granted in 2017.

  • Enter number
0

71. Number of § 208(b)(3) waivers provided to OGE in 2017.

  • Enter number
0

72. Number of disciplinary actions taken based wholly or in part upon violations of the Standards of Conduct provisions (5 CFR part 2635) in 2017. 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
0

    Subpart B
0

    Subpart C
0

    Subpart D
0

    Subpart E
0

    Subpart F
0

    Subpart G
0

    Subpart H
0


73. 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 2017. 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
0

    18 U.S.C. §205
0

    18 U.S.C. §208
0

    18 U.S.C. §209
0


74. Number of referrals made to the Department of Justice of potential violations of the criminal conflict of interest statutes (including 18 U.S.C. §207) in 2017.

  • 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 were pending DOJ’s decision as of December 31, 2017?
0

    d. How many of those referrals resulted in disciplinary or corrective action?
0

    e. How many of those referrals resulted in a determination not to take disciplinary or corrective action?
0

    f. How many of those referrals are pending a determination as to whether disciplinary or corrective action will be taken?
0

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

  • Check all that apply
Other (specify below)

    • Specify Other
      Defense Criminal Investigative Service (DCIS)

76. Did your agency submit all referral(s) and disposition(s) of the referral(s) to OGE via OGE Form 202 (as required by 5 CFR 2638.206(a)).

  • Select answer
Not Applicable

ADDITIONAL COMMENTS FOR PART 10. Please indicate the question number to which the comment corresponds.
  • Additional Comments

PART 11. ETHICS PLEDGE ASSESSMENT

77. Were any full-time non-career appointees (e.g., Presidentially Appointed Senate Confirmed (PAS), Presidentially Appointed (PA), non-career Senior Executive Service (SES), Schedule C, etc.) appointed to or by your agency from January 1 through December 31, 2017? NOTE: For guidance on what constitutes a full-time non-career appointee for purposes of the Ethics Pledge see LA 17-03 available at www.oge.gov.

  • Select answer
No (skip to #83)

  • Additional Comments

78. For each category of appointee, provide the number of full-time non-career appointees appointed between January 1 and December 31, 2017, and indicate the number who did and did not sign the Ethics Pledge. (NOTE: Please include all appointees who did not sign, regardless of whether or not they were required to sign. Additional explanatory information is requested in the next question.)

Number of Full-Time Non-Career Appointees
Type of Full-Time Non-Career Appointees
by Category
PAS
PA
Non- career SES
Schedule C
Other
Total
Appointed 01/01/2017 - 12/31/2017
Signed the Ethics Pledge
Did not sign the Ethics Pledge

  • If for any field above you are unable to provide a complete response, please explain in the box below. You may also add additional comments.

79. For each appointee who did not sign the Ethics Pledge, find the appropriate rationale(s) and indicate the total number of appointees who fit into that category.

Rationale for Not Signing the Ethics Pledge
Number and Type of Full-Time Non-Career Appointees
Who Did Not Sign the Ethics Pledge
PAS
PA
Non- career SES
Schedule C
Other
Total
a. Occupy an exempt non-policymaking position (Schedule C or other comparable authority)
b. Appointed without break in service after serving in another position for which the Ethics Pledge was already signed
c. Other (explain below)

  • If other, explain here. You may also use the box below to provide a complete response or to add additional comments.

80. How many appointees appointed between January 1 and December 31, 2017 and subject to the Ethics Pledge were registered lobbyists during the two years prior to their appointment?

  • Enter number

  • Please type comments in the box below.

81. Section 3 of Executive Order 13770 provides a waiver mechanism for the restrictions contained in the Ethics Pledge. Indicate below how many waivers were granted; the names of individuals granted waivers by your agency in 2017; and which of the Pledge paragraphs were implicated.

Number of Ethics Pledge Waivers Granted
By Pledge Paragraph
Name(s) of Individual(s) Granted Ethics Pledge Waivers
Paragraph 1
Paragraph 2
Paragraph 3
Paragraph 4
Paragraph 5
Paragraph 6
Paragraph 7
Paragraph 8
Paragraph 9
Other
(explain below)

  • If other, please explain here. Other comments may also be provided in the box below.

82. If applicable, please provide information on any violations of the Ethics Pledge and enforcement actions taken as a result.

  • Please type in the box below.

PART 12. ADVISORY COMMITTEES & SPECIAL GOVERNMENT EMPLOYEES (SGEs)
83. Does your agency have any FACA or Non-FACA advisory committees, boards, or commissions?

  • Select Yes or No
No (go to #88)

84. Number of FACA advisory committees.

  • Enter number

85. Number of FACA advisory committee members.

  • Enter number

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

  • Enter number

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

  • Enter number


88. Does your agency have any SGEs (as of December 31, 2017)?

  • Select Yes or No
No (go to end)


89. Number of special Government employees (SGEs) as of December 31, 2017.

  • Enter number

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

  • Select Answer

    • Specify why
      NA

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

  • Select Answer

    • Specify why
      NA

92. How many SGEs serving on a board, commission, or committee were required to receive IET by December 31, 2017?

  • Enter number

    a. How many of those SGEs received IET before or at the beginning of the first meeting?

    b. How many of those SGEs received IET after the first meeting?

    c. How many of those SGEs have not received IET as of today?

    • If applicable, please explain why some SGEs received IET after the first meeting or have yet to receive IET.

93. If yes, which office provides the training?

  • Enter office

94. Report the number of SGE public and confidential financial disclosure reports required to be filed by December 31, 2017 and the number of reports actually filed by December 31, 2017.

  • Financial disclosure reports required to be filed by SGEs in CY 2017:

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

    Example: For new entrant reports: If an employee starts with the agency on December 15, 2017, 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 not required to be filed until January 15. You instead would include the employee in your 2018 Questionnaire’s new entrant numbers in 2019.
  • If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.

95. Number of SGEs excluded from all or a portion of the confidential filing requirements per 5 CFR 2634.904(b).

  • Enter number

96. 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

97. Number of SGE OGE Form 450 Reports or OGE-Approved Alternative Form filers granted filing extensions.

  • Enter number

ADDITIONAL COMMENTS FOR PART 12. Please indicate the question number to which the comment corresponds.

  • Additional Comments

ADDITIONAL QUESTIONNAIRE COMMENTS:

  • Additional Comments