| US OGE

2018 AGENCY ETHICS PROGRAM QUESTIONNAIRE

Status >>>

Submitted and Locked

<<< Status

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 to OGE’s Annual Ethics Program Questionnaire (Questionnaire) serves 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, 2019. (5 C.F.R. 2638.207(a)). However, because of the government shutdown, OGE has extended the deadline to March 15, 2019.

PART 2. INSTRUCTIONS

Your response to this Questionnaire should reflect the 2018 calendar year (i.e., 1/1/2018 through 12/31/2018), 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 2017 report. After OGE has reviewed your Questionnaire submission, you may be contacted for follow-up.

FAQ's:

Which Internet browser should I use?

How do I save a draft of my response?

How do I access my saved draft and edit the Questionnaire?

Why is the field highlighted yellow?

How do I save a copy of my Questionnaire for my records?

I submitted the Questionnaire but then realized I made an error. Can I still edit my response?

The font is small, can I increase the size?

Can more than one person work on the Questionnaire response?

I accidentally created more than one agency response. Which one should I use?

If you have any questions, please contact Wendy Pond at wgpond@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; 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 not 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 Justice

2. Employees

Number of full-time agency employees as of December 31, 2018

111698

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

a. Vacant (As of December 31, 2018)?

b. Time in current DAEO position

10 or more years

c. Total years performing ethics duties

10 or more years

d. Percent of time spent on ethics

0-25%

e. Is the DAEO a career employee or a political appointee?

Career employee

f. Number of reporting levels between the DAEO and the agency head. (Zero is not a valid response; there is always at least 1 level.)

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

a. Vacant (As of December 31, 2018)?

b. Time in current ADAEO position

10 or more years

c. Total years performing ethics duties

10 or more years

d. Percent of time spent on ethics

0-25%

e. Is the ADAEO a career employee or a political appointee?

Career employee

5. Number of employees, including the DAEO and ADAEO, who performed ethics program duties in 2018 (e.g., financial disclosure, education and training, advice and counseling, program administration).

	Number of employees by hours worked each week
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
a. D.C. Metro area	87	55	12	6	26	186
b. Outside the D.C. Metro area	18	283	0	0	1	302
TOTAL	105	338	12	6	27	488

* FTE = Full Time Equivalent

Example: The table below provides an example of an agency with 13 employees that performed ethics
program duties in 2018.

EXAMPLE	Number of employees by hours worked each week
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. In what areas did contractors support the ethics program? Select all that apply.

Check all that apply

IT services (e.g., developing or supporting electronic filing systems, applications, websites, and/or databases, etc.), Administrative support (e.g., tracking filing or training requirements, sending reminders, data entry, etc.), Substantive ethics support (e.g., providing training, initial review of financial disclosures, drafting advice for further review, etc.)

Specify Other
NA

7. Did another federal agency or federal entity provide ethics services or support to your agency? (Do not include contractors, OGE support, or OMB support of MAX.gov.)

Select Yes or No

Yes

If yes above, please provide the name of the federal agency or entity and describe the services or support provided.
OSC - Hatch Act Unit - opinions/guidance.

8. Does your agency's ethics program need additional resources? Check all that apply.

Select type of resources

Budgetary, Human Capital, Technology

Specify Other

9. Did the agency head meet with the ethics staff to discuss the strengths and weaknesses of the ethics program in 2018?

Select Yes, No, or Not Applicable

Yes

If Not applicable above, specify why

10. Did your agency (e.g., ethics office, Inspector General, General Counsel, etc.) conduct a self-assessment to evaluate any aspect of the ethics program in 2018?

Select Yes or No

Yes

11. To whom were the results reported? Select all that apply.

Agency Head, DAEO, Inspector General, Other

Specify Other
Chief Counsels and General Counsels in components

12. What kind of changes resulted from the assessment?

Programmatic changes (please describe), Policy changes (please describe)

Please Describe: (Please describe programmatic or policy changes; Specify why no changes resulted; Specify why not applicable)
Various components will implement some or all of the following: Programmatic: funding increase for additional staff, enhanced training development and program tracking/documentation, improved procedures, increased use of templates for Form 450 review and IET assignment, consideration of increased personnel needs. Policy: enhanced Form 278 review/certification, enhanced recusal obligations and implementation, enhanced advice and Form 201 tracking.

13. Of the following required written procedures, which did you have in place?
Check all that apply.

Collection of confidential financial disclosure reports (5 C.F.R. 2638.104(c)(8)(i)), Collection of public financial disclosure reports (5 C.F.R. 2638.104(c)(8)(i)), Follow up with delinquent confidential financial disclosure filers (DA-09-03-92), Follow up with delinquent public financial disclosure filers (DA-09-03-92), Public availability of public financial disclosure reports (5 C.F.R. 2638.104(c)(8)(i)), Review/evaluation of confidential financial disclosure reports (5 C.F.R. 2638.104(c)(8)(i)), Review/evaluation of public financial disclosure reports (5 C.F.R. 2638.104(c)(8)(i)), Issuance of notice of ethical obligations in written offers of employment (5 C.F.R. 2638.303), Provision of initial ethics training (5 C.F.R. 2638.304), Issuance of ethics notice to new supervisors (5 C.F.R. 2638.306)

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

Additional Comments
5. DOJ has 31 attorneys serving as Deputy Designated Agency Ethics Officials (DDAEOs) in its Bureaus, Divisions and components. In addition, the Departmental Ethics Office (DEO) in the Justice Management Division (JMD) oversees the Department-wide ethics program and provides direct advice to DOJ's senior leadership, to JMD, and to certain components. DEO's programmatic functions include issuance of Department-wide guidance, providing ethics information, advice and counsel to DDAEOs, preparation of ethics training materials, delivery of ethics training, ethics program reporting, overall management of financial disclosure, and retention of ethics documents.

PART 5. EDUCATION AND TRAINING

14. Did all of the office(s) responsible for issuing ethics notices to prospective employees, pursuant to 5 C.F.R. 2638.303, provide the DAEO with the certification required pursuant to 5 C.F.R. 2638.310?

Some of the offices provided the certification to the DAEO (explain why not all offices)

Please Explain why not all offices:
DEO provides this information to the DAEO after receiving notification from Justice Management Division HR that all other DOJ HR Offices are using the notices.

15. How many new agency leaders, as defined in 5 C.F.R. 2638.305(a), were required to receive ethics briefings by December 31, 2018?

Total Number		58
a. How many of those leaders received their briefing within 15 days of their appointment?		58
b. How many of those leaders received their briefing beyond the 15-day requirement?		0
c. How many of those leaders have yet to receive their briefing as of today?		0

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

16. How many employees, including SGEs, were required to receive Initial Ethics Training (IET) by December 31, 2018 (5 C.F.R. 2638.304)? Include employees who were excluded, under 5 C.F.R. 2638.304(a), from the requirement to receive the interactive portion of the IET.

Number required

5920

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

5871

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

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

If applicable, please explain why some employees received IET beyond the 3-month requirement or have yet to receive IET.
The government shutdown complicated completion, tracking and documentation of IET as of year-end 2018. This is the best data available. Some year-end IET was cancelled due to the government shutdown and in order for employees to prepare for and facilitate it. Geographical and budgetary limitations can cause occasional delays in delivery of IET. All outstanding IET is being addressed and rescheduled for completion in the first quarter of 2019.

Example: If an employee started at the agency on December 15, 2018, and the employee completed IET prior to the end of the calendar year, include the employee in your required and received numbers. If, on January 1, the employee has not completed IET, do not count that employee in your required numbers. Instead, include the employee in your 2019 Questionnaire’s numbers in 2020.

17. How many non-supervisory positions at or below the GS-8 grade level, or the equivalent, were excluded from the requirement to receive the interactive portion of their initial ethics training during 2018, pursuant to 5 C.F.R. 2638.304(a)? (i.e., they received only written materials)

Number

18. Did all of the office(s) delegate the responsibility for providing initial ethics training (IET) provide the required certification to the DAEO, pursuant to 5 C.F.R. 2638.310?

Some of the offices provided the certification to the DAEO (specify why)

Please Explain why not all offices:
DEO provides ethics training information to the DAEO

19. Did the head of the agency complete either initial ethics training and/or annual ethics training in 2018?

Select One

Yes

Please specify why if "No" or "Not Applicable"

20. Required Annual Ethics Training

Type of covered employees (Include SGE filers)

# Required

# Received (of those required)

Executive Schedule Level I or Level II public filers (OGE Form 278e)

All other public filers (OGE Form 278e)

2700

2683

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

19488

19306

Other employees required by 5 C.F.R. 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.)

TOTAL

22191

21992

If applicable, please explain discrepancies between the number of employees who were required to receive training and the number of employees who received training:
Extended leave and military deployment, some employees left DOJ prior to attending training. The government shutdown cancelled some year end training sessions and has complicated documentation/tracking of annual training. Some make up sessions are still being held. All outstanding 2018 annual training is being pursued, completed and documented in the first quarter of 2019.

21. Did you provide annual ethics training to other employees not otherwise required by regulation to receive training (i.e., any other employees not covered by the chart above)?

Select Yes or No

Yes (please specify who)

If Yes above, please specify who:
Some components and offices of DOJ require annual ethics training for all employees whether or not they are financial disclosure filers and in addition to IET they may have received during the year. In prior Questionnaires, DOJ has included many of those employees within the response to part d. of Question 20. However, to better reflect annual ethics training required by 2638.307(a), the training provided to those employees is instead described in response to Question 23, below.
DOJ attorneys must receive 1 hour of annual ethics training as a component of Professionalism Training. Most DOJ attorneys are financial disclosure filers, but not all are. The number of attorneys who receive ethics training under this annual professionalism requirement is approximately 10,000.

22. Did you provide additional, specialized ethics training during 2018 (i.e., beyond any required initial ethics training or annual ethics training)?

Select Yes or No

Yes

23. Which groups did you target for additional, specialized ethics training?

Check all that apply

HR Officials, Supervisors
Other (specify all)

Specify Other
Antitrust Division: paralegals. Criminal Division: Personnel with overseas duty stations. Exec Office of US Attorneys: Ethics Advisors Conference, US Attorney Leadership, Ethical Interaction with Contractors. DEA: employees approved for outside employment, attendees of retirement seminars. FBI: Forensic Accountants, Legal Attaches assigned to US Embassies. Office of Justice Programs: FACA members. Tax Division: Section meetings. US Marshals Svc: Operational employees.
DOJ attorneys must receive 1 hour of annual ethics training as a component of Professionalism Training. Administrative and Executive Officers received targeted ethics training.
Many DOJ components and offices require all employees to attend annual ethics training independent of financial disclosure status or whether they are an attorney, and in addition to IET and other ethics training they may have received during the year.

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

Additional Comments

PART 6. ADVICE, COUNSELING, AND REMEDIES

24. From the list below, select the three topics that your employees most frequently sought guidance on in 2018. Please rate them in order, such that the first topic on which employees sought guidance the most frequently.

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	Outside employment/activities
Selection 2	Financial Disclosure Reporting
Selection 3	Gift acceptance

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

25. Number of notification statements of negotiation or recusal under section 17(a) of the STOCK Act submitted to the ethics office in 2018?

Enter total

127

26. Number of public financial disclosure filers who, in 2018, took specific remedial actions (e.g., divestiture, resignation from outside position, written disqualification, 18 U.S.C. § 208 waiver, reassignment, etc.) because of information on a new entrant, annual, periodic transaction, or termination report.

Enter number

Don’t know/don’t track

27. Number of individual remedial actions taken in 2018 because of information on a new entrant, annual, periodic transaction, or termination public financial disclosure report.

a. Recusals

Don’t know/don’t track

b. Divestitures

Don’t know/don’t track

c. Resignations from outside positions

Don’t know/don’t track

d. Reassignments

Don’t know/don’t track

e. Other not listed (specify)

Don’t know/don’t track

Specify Other
NA

28. Number of 18 U.S.C. 208 waivers granted in 2018:

	Number Granted in 2018	Number Sent to OGE
a. 208(b)(1) waivers	3	3
b. 208(b)(3) waivers	0	0

If applicable, please explain discrepancies between the number of waivers granted and the number provided to OGE.

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

Additional Comments
27. Remedial actions are not usually taken based on information disclosed on a Form 278 but rather in conjunction with ethics official advice and consultation, and, therefore, they are not counted or tracked in this manner.

PART 7. FINANCIAL DISCLOSURE PROGRAM MANAGEMENT AND ELECTRONIC FILING SYSTEMS

29. How often, within the 15-day deadline, did the human resources office(s) notify the DAEO of appointments to public and confidential financial disclosure filing positions (5 C.F.R. 2638.105(a)(1))?

a. Public Filers

In Most Cases

If not applicable, specify why.

b. Confidential Filers

In Some Cases

If not applicable, specify why.

30. How often, within the 15-day deadline, did the human resources office(s) notify the DAEO of terminations from public financial disclosure filing positions (5 C.F.R. 2638.105(a)(2))?

Public Filers

In Most Cases

If not applicable, specify why.

31. Did your agency use an electronic financial disclosure filing system (e-filing system) in calendar year 2018? Note: This includes Integrity.

Select Yes or No

Yes

32. Which system did your agency use?

Select one

Integrity AND Other (specify)

Specify Other
DOJ uses only Integrity for public financial disclosure. ATF and the US Marshals Service have efiling systems for confidential financial disclosure, but costs are not able to be reported or projected in the manner being asked here in Part 7 because they are included in general IT and contractor costs.

33. Indicate for which forms your agency used the other (non-Integrity) e-filing system.

Check all that apply

Confidential Financial Disclosure (OGE Form 450, 450A, or OGE-approved alternative form)

34. Indicate your fiscal year 2018 actual costs for using the other (non-Integrity) e-filing system. Note: Because OGE does not charge fees to use Integrity, there are no reportable costs associated with the use of Integrity.

	Public (do not include Integrity)	Confidential
a. Amount paid to a non-federal vendor in FY 2018	0	Don’t know/don’t track

b. Amount paid to a federal agency in FY 2018

Don’t know/don’t track

c. Amount for all internal costs associated with operating an e-filing system (e.g., FTE, overhead, etc.) in FY 2018

Don’t know/don’t track

Please explain "Don’t know/don’t track" answer above
Costs are not able to be reported or projected in this manner because they are included in general IT and contractor costs.

35. Number of financial disclosure filers, not reports, who filed electronically in fiscal year 2018, excluding filers in Integrity.

a. public financial disclosure filers

b. confidential financial disclosure filers

2003

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

Additional Comments

PART 8. PUBLIC FINANCIAL DISCLOSURE

36. Report the number of public financial disclosure reports (OGE Form 278e) required to be filed by December 31, 2018, excluding SGEs, and the number of reports actually filed (i.e., received in hand) by December 31, 2018.

OGE Form 278e Reports		PAS²	Non-Career SES³	Career SES³	Schedule C	Other⁴	TOTAL
a. Nominee/New Entrant	Required	76	46	122	11	373	628
a. Nominee/New Entrant	Filed	76	46	121	11	373	627
b. Annual	Required	57	47	768	35	1373	2280
b. Annual	Filed	57	47	767	35	1373	2279
c. Termination	Required	10	47	107	6	256	426
c. Termination	Filed	10	47	105	6	256	424
d. Combination¹	Required	0	6	28	0	15	49
d. Combination¹	Filed	0	5	28	0	15	48
Total	Required	143	146	1025	52	2017	3383
Total	Filed	143	145	1021	52	2017	3378

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), administratively-determined positions, officials in the Executive Office of the President who do not otherwise meet the criteria of another section, etc.
Example for new entrant and termination reports: If an employee started/left the agency on December 15, 2018, and the employee filed a new entrant/termination report prior to the end of the calendar year, include the report in your required and filed numbers. If, on January 1, the employee has not filed a new entrant/termination report, do not count that report in your required numbers. Instead, include the employee in your 2019 Questionnaire numbers in 2020.

If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
2 Term filers and 1 annual filer have not submitted their reports. Their collection is underway by their ethics officials. For Term filers, this involves updating their Integrity accounts through coordination with the Integrity Helpdesk so that they can access the system using their personal email address.

37. Number of periodic transaction reports filed, excluding those filed by SGEs

Periodic Transaction Reports Filed		1960
Note: 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.

38. Extension and late fees for new entrant, annual, termination, and combination public financial disclosure reports, and periodic transaction reports, excluding those for reports filed by SGEs.

	Granted filing extension	Granted waiver of late filing fee	Paid late filing fee
a. Number of OGE Form 278e Reports	764	17	4

b. Number of OGE Form 278-T Reports

39. Number of public financial disclosure filers reported in calendar year 2018 to the Attorney General for failure to file.

Enter total

40. How many requests for public financial disclosure reports did you receive in 2018? Count each OGE Form 201 as one request, even if it contains a request for documents for multiple individuals.

Enter total

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

Additional Comments

PART 9. CONFIDENTIAL FINANCIAL DISCLOSURE

41. Report the number of confidential financial disclosure reports required to be filed by December 31, 2018, excluding SGEs, and the number of reports actually filed by December 31, 2018.

	Required	Filed
	19773	450	14797
		450A	0
		OGE-approved alternate form	4939
Total	19773		19736

Example for new entrant reports:

If an employee started at the agency on December 15,

2018

, and filed a new entrant report prior to the end of the calendar year, include the report in your required and filed numbers. If, on January 1, the employee has not filed a new entrant report, do not count that report in your required numbers. Instead, include the employee in your

2019

Questionnaire’s new entrant numbers in

2020

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

Explain, if applicable
Extended leave and military deployment, details, promotion to public filing positions, administrative mistake causing delayed collection.

42. Number of OGE 450, 450A, or OGE-approved alternative forms granted filing extensions in 2018.

Enter number

119

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

Additional Comments

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

43. Number of disciplinary actions taken based wholly or in part upon violations of the Standards of Conduct provisions (5 C.F.R. part 2635) or your agency's supplemental Standards (if applicable) in 2018. For purposes of this question, disciplinary actions include removals, demotions, suspensions, and written reprimands or their equivalents.

Enter number

241

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

Subpart A (General Provisions)

Subpart B (Gifts from Outside Sources)

Subpart C (Gifts between Employees)

Subpart D (Conflicting Financial Interests)

Subpart E (Impartiality in Performing Official Duties)

Subpart F (Seeking Other Employment)

Subpart G (Misuse of Position)

177

Subpart H (Outside Activities)

44. Number of disciplinary actions taken based wholly or in part upon violations of the criminal conflict of interest statutes, 18 U.S.C. sections 203, 205, 208, and 209, in 2018. For purposes of this question, disciplinary actions include removals, demotions, suspensions, and written reprimands or their equivalents.

Enter number

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

18 U.S.C. section 203 (Compensation in Matters Affecting the Government)

18 U.S.C. section 205 (Claims Against and Matters Affecting the Government)

18 U.S.C. section 208 (Acts Affecting a Personal Financial Interest)

18 U.S.C. section 209 (Supplementation of Salary)

45. Number of referrals made to the Department of Justice of potential violations of the criminal conflict of interest statutes (18 U.S.C. sections 203,205, 207, 208, 209), failure to file or filing false public financial disclosures (5 U.S.C. app. section 104 or 18 U.S.C. section 1001), a civil matter involving outside earned income under 5 U.S.C. app. section 501, or outside activities under 5 U.S.C. app. section 502 in 2018.

Enter number

DOJ Referrals

a. How many of those referrals were accepted for prosecution?

b. How many of those referrals were declined for prosecution?

c. How many of those referrals were pending DOJ’s decision as of December 31,

2018

Disciplinary Action

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

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

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

46. Did your agency submit all referral(s) and disposition(s) of the referral(s) to OGE via OGE Form 202 (as required by 5 C.F.R. 2638.206(a))?

Select answer

Not Applicable (specify why)

Please Specify Why
No referrals in 2018.

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

Additional Comments

PART 11. ETHICS PLEDGE ASSESSMENT

47. 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, 2018? 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

Yes

48. For each category of appointee, provide the number of full-time non-career appointees appointed between January 1 and December 31, 2018, 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
Number of Full-Time Non-Career Appointees	PAS	PA	Non- career SES	Schedule C	Other	Total
a. Appointed 01/01/2018 - 12/31/2018	63	4	21	18	0	106
i. Signed the Ethics Pledge	63	4	20	17	0	104
ii. Did not sign the Ethics Pledge	0	0	1	1	0	2

If applicable, please explain discrepancies between the number appointed and the number who signed or did not take the Pledge.
2 employees were not required to sign the Pledge.

49. 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
Rationale for Not Signing 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)	0	0	0	1	0	1
b. Appointed without break in service after serving in another position for which the Ethics Pledge was already signed	0	0	1	0	0	1
c. Other (explain below)	0	0	0	0	0	0

If other, please explain.

50. How many appointees appointed between January 1 and December 31, 2018 and subject to the Ethics Pledge were registered lobbyists during the two years prior to their appointment?

Enter number

51. 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 to appointees in your agency in 2018, the names of these individuals granted waivers in 2018, 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
		Name(s) of Individual(s) Granted Ethics Pledge Waivers
Paragraph 1	0
Paragraph 2	0
Paragraph 3	0
Paragraph 4	0
Paragraph 5	0
Paragraph 6	5	Jesse Panuccio, Brian Benczkowski, Jeffrey Wall, Noel Francisco
Paragraph 7	0
Paragraph 8	0
Paragraph 9	0
Other (please explain)	0

If other, please explain

52. Were there any violations of the Ethics Pledge during 2018?

Select Yes or No

No (skip to next part)

53. Please provide information on enforcement actions taken as a result of violations of the Ethics Pledge.

Please type in the box below.

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

Please type in the box below.

PART 12. SPECIAL GOVERNMENT EMPLOYEES (SGEs)

54. How many Special Government Employees (SGEs) did your agency have, in total, during calendar year 2018?

Enter number

55. How many SGEs serving on a board, commission, or committee were required to receive Initial Ethics Training (IET) by December 31, 2018 (5 C.F.R. 2638.304(b)(2))?

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.
First meeting was cancelled due to Fed holiday for late Pres. Bush's funeral.

56. Report the number of SGE public and confidential financial disclosure reports required to be filed by December 31, 2018 and the number of reports actually filed by December 31, 2018.

Type of SGE	Confidential Reports (OGE Form 450 or OGE- Approved Alternative Form)		Public Reports (OGE Form 278e)
	required	filed	required	filed
a. Advisory Committee Members (FACA)	11	11	0	0
b. Advisory Committee Members (non-FACA)	0	0	0	0
c. Experts/Consultants	10	10	0	0
d. Board Members	4	4	0	0
e. Commissioners	3	3	0	0
f. Other	0	0	1	1
TOTAL	28	28	1	1

Example for new entrant and termination reports: If an employee started with the agency on December 15,

2018

2019

Questionnaire numbers in

2020

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

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

Enter number

58. Extensions and late filing fees for SGE financial disclosure reports.

	Granted filing extension	Granted waivers of late filing fee	Paid late filing fee
a. Number of OGE Form 278e Reports	1	0	0


b. Number of OGE Form 450 or OGE-Approved Alternative Forms	0

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

Additional Comments

ADDITIONAL QUESTIONNAIRE COMMENTS:

Additional Comments