2019 AGENCY ETHICS PROGRAM QUESTIONNAIRE

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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 and 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, 2020. (5 C.F.R. 2638.207(a)). However, because February 1 falls on a Saturday, responses will be due February 3, 2020.

PART 2. INSTRUCTIONS

Your response to this questionnaire should reflect the 2019 calendar year (i.e., 1/1/2019 through 12/31/2019), except where specified. The answers provided should reflect the aggregate data for your agency. 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 2018 report. After OGE has reviewed your questionnaire submission, you may be contacted for follow-up.

FAQ's:

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If you have any further 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

  • Environmental Protection Agency

2. Employees

  • Number of full-time agency employees as of December 31, 2019
13889

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

a. Vacant (as of December 31, 2019)?
No

b. Time in current DAEO position
Less than 1 year

c. Total years performing ethics duties
1 - 4 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.
1

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

a. Vacant (as of December 31, 2019)?
No

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
76-100%

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 2019 (e.g., financial disclosure, education and training, advice and counseling, and 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
109
56
2
3
6
176
b. Outside the D.C. Metro area
71
66
6
1
4
148
TOTAL
180
122
8
4
10
324

* FTE = Full Time Equivalent

Example: The table below provides an example of an agency with 13 employees that performed ethics
program duties in 2019.

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.)


  • Please describe IT support (optional)
    For the first time, EPA Ethics utilized contractor support to develop an electronic filing system for confidential financial disclosure reports and to begin work to develop a web-based system for submitting and approving requests for approval of ethics travel. The previous electronic system had been developed in-house using a platform that is no longer supported by the Agency. In addition, for the second year in a row, EPA Ethics used the Agency's e-learning platform to host annual ethics training, which includes some contractor costs.

  • Please describe administrative support (optional)
    NA

  • Please describe substantive support (optional)
    NA

  • Specify Other
    NA

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

  • Select Yes or No
No

  • Please provide the name of the federal agency or entity:

  • Describe the services or support received:

8. Did your agency provide ethics program services or support for any board, commission, or agency that is independant of your agency?

  • Select Yes or No
No

  • Please provide the name of the board, commission, or agency:

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

  • Select type of resources

    Budgetary, Human Capital, Technology

  • Specify Other
    NA

10. Did the agency head meet with the ethics staff to discuss the strengths and weaknesses of the ethics program in 2019?

  • Select Yes, No, or Not Applicable
Yes

  • If Not applicable above, specify why
    NA

11. Did your agency (e.g., ethics office, Inspector General, General Counsel, etc.) evaluate any aspect of the ethics program in 2019 (5 C.F.R. 2638.104(c)(16))?

  • Select Yes or No
Yes

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

    Agency Head, DAEO, General Counsel

  • Specify Other
    NA

13. What kind of changes resulted from the assessment?

    Programmatic changes (please describe)

  • Please Describe: (Please describe programmatic or policy changes; Specify why no changes resulted; Specify why not applicable)
    EPA increased the number of dedicated ethics officials located in the Office of General Counsel. In 2019, the overall ceiling raised from 3.0 FTE to 6.0 permanent FTE.

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

Financial disclosure program, including for the filing, review, and when applicable, public availability of public financial disclosure reports (5 C.F.R. 2638.104(c)(8)(i)), Provision of initial ethics training (5 C.F.R. 2638.304)

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

  • Additional Comments

PART 5. EDUCATION AND TRAINING

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

    None of the offices provided the written confirmation to the DAEO (explain why not all offices then skip to #17)

  • Please Explain why not all offices:
    Due to insufficient resources and a reorganization of the human resources office, EPA was not able to implement fully this obligation in the past year. With more staff on board now, we have made this a priority for this year.

16. Did written offers of employment for positions covered by the Standards of Conduct include the information required by 5 C.F.R. 2638.303?

  • Please Explain why not all offers:
    -

  • Please Explain:

17. How many new agency leaders, as defined in 5 C.F.R. 2638.305(a), were required to receive ethics briefings by December 31, 2019?

Total Number
4
    • a. How many of those leaders received their briefing within 15 days of their appointment?
4
    • 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.
      Two of EPA's new agency leaders were confirmed in early January 2019, during the government shutdown, but still received their training within the 15-day requirement.

18. How many employees, including SGEs, were required to receive Initial Ethics Training (IET) by December 31, 2019 (5 C.F.R. 2638.304)? Include employees who were excluded, under 5 C.F.R. 2638.304(a)(2), from the requirement to receive the interactive portion of the IET.

Number required
1009
  • a. How many of those employees received IET within the 3-month requirement?
970
  • b. How many of those employees received IET beyond the 3-month requirement?
18
  • c. How many of those employee have not received IET as of today?
21

Example: If an employee started at the agency on December 15, 2019, 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, 2020, the employee has not completed IET, do not count that employee in your required numbers. Instead, include the employee in your 2020 questionnaire response to be filed in 2021.

  • If applicable, please explain why some employees received IET beyond the 3-month requirement or have yet to receive IET.
    EPA’s deputy ethics officials ensured that the bulk of their new employees received their initial ethics training within 90 days. We do note some exceptions: for example, one experienced regional ethics official was unexpectedly out of the office on extended medical leave, and one large EPA office underwent a massive reorganization that resulted in full scale changes from top to bottom. Approximately two-thirds of the ethics officials in that organization turned over, resulting in confusion on the part of the new deputy ethics officials and their roles. Unsure of their ethics administrative duties, the new ethics officials reported problems in identifying new filers and informing them of their training requirement and then trouble tracking training completion for their employees.

19. Did the office(s) delegated the responsibility for providing initial ethics training (IET) provide the required written confirmation to the DAEO, pursuant to 5 C.F.R. 2638.310?

    None of the offices provided the written confirmation to the DAEO (explain why not all offices)

  • Please Explain why not all offices:
    Due to previous staffing shortages, EPA Ethics has not yet effectively implemented this requirement. We will focus on making this a priority this year.

20. Did the head of the agency complete either initial ethics training and/or annual ethics training in 2019?

  • Select One
Yes

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

21. Required Annual Ethics Training

Type of covered employees (Include SGE filers)
# Required
# Received (of those required)

    a. Executive Schedule Level I or Level II public filers (OGE Form 278e)
1
0

    b. All other public filers (OGE Form 278e)
455
429

    c. Confidential filers (OGE Form 450 and OGE-approved alternative confidential financial disclosure forms)
7657
6596

    d. 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.)
0
0

TOTAL
8113
7025

  • If applicable, please explain discrepancies between the number of employees who were required to receive training and the number of employees who received training:
    EPA’s EX Level II employee was not able to complete training by 12/31/19 but did so promptly upon return to the office in early January 2020. As for any other discrepancies, we note that annual ethics training is not required of all employees but rather only for those who file financial disclosure reports. Consequently, EPA’s e-learning platform does not include ethics training on its menu of "mandatory training." Some employees failed to realize this and mistakenly concluded that they had fulfilled all of their training requirements. We also learned that some deputy ethics officials neglected to remind their filers to take annual ethics training by 12/31. (continued below)

22. If your agency assessed risk to help inform the content, format, and/or timing of ethics education and communications, select all that apply (see PA-19-05 for reference):


Discussed upcoming work and agency priorities with senior staff, Talked to program managers about risks inherent in their work, Talked to employees about the ethics concerns they encounter in the workplace.

  • Please explain other:

23. If your agency evaluated the effectiveness of your ethics education and/or communication, select all that apply (see PA-19-05 for reference):


Conducted self-assessments to ensure that required employees are receiving training

  • Please explain other:

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

  • Additional Comments
    Question 21 continued: In addition, other employees who did not complete the training cited extreme workload, computer connectivity issues, being out of the office on extended leave, and tracking completion errors. We also note that, like other federal agencies, EPA is experiencing attrition. When confidential filers leave EPA prior to 12/31/19, they may not actually take their annual ethics training, which adds to the discrepancy in numbers. Finally, please note that many employees who had failed to complete the 2019 training by 12/31 voluntarily completed it in early 2020, even knowing it will not count toward their 2020 training requirement. Those voluntary completions are not included in this report.

PART 6. ADVICE, COUNSELING, AND REMEDIES

24. From the list below, select the three topics that your employees most frequently sought guidance on in 2019. 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
Travel, subsistence, and related expenses from non-federal sources
  • Selection 3
Misuse of position, Government resources and information

  • 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 2019 (see 5 C.F.R. 2635.602(a)):

  • Enter total
42

26. Number of 18 U.S.C. 208 waivers granted in 2019:

Number Granted in 2019
Number Sent to OGE
    a. 208(b)(1) waivers
5
5
    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

PART 7. FINANCIAL DISCLOSURE PROGRAM MANAGEMENT AND ELECTRONIC FILING SYSTEMS

27. 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.
      NA

    • If "never" or "in some cases", please explain further:
      NA

    b. Confidential Filers
Not Applicable (specify why, below)

    • If not applicable, specify why.
      Typically, Human Resources notifies the direct supervisor (who may or may not be a Deputy Ethics Official), not EPA Ethics.

    • If "never" or "in some cases", please explain further:
      NA

28. 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 FilersIn Some Cases (specify why, below)

    • If not applicable, specify why.
      NA

    • If "never" or "in some cases", please explain further:
      EPA's executive servicing office is now located outside of the DC metropolitan area. They have improved some reporting of information to EPA Ethics (for which we are grateful) but we are still trying to find an efficient way to notify us about terminations of details.

29. Did your agency use an electronic financial disclosure filing system (e-filing system) in calendar year 2019? Note: This includes Integrity.

  • Select Yes or No
Yes

30. Which system did your agency use?

  • Select one
Integrity ONLY (skip to Additional Comments for this Part)

  • Specify Other
    NA

31. Indicate for which forms your agency used the other e-filing system.

  • Check all that apply

32. Indicate your fiscal year 2019 actual 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.

Public (do not include Integrity)Confidential
a. Amount paid to a non-federal vendor in FY 2019

b. Amount paid to a federal agency in FY 2019

c. Amount for all internal costs associated with operating an e-filing system (e.g., FTE, overhead, etc.) in FY 2019

  • Please explain "Don’t know/don’t track" answer above

33. Indicate the number of filers who filed electronically in fiscal year 2019.

    a. public financial disclosure filers (exclude filers in Integrity)

    b. confidential financial disclosure filers

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

  • Additional Comments

PART 8. PUBLIC FINANCIAL DISCLOSURE

34. Report the number of public financial disclosure reports (OGE Form 278e) required to be filed by December 31, 2019, excluding SGEs, and the number of reports actually filed (i.e., received) by December 31, 2019.

OGE Form 278e Reports
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
a. Nominee/New EntrantRequired
2
8
44
26
21
101
Filed
2
8
43
26
21
100
b. AnnualRequired
6
21
250
27
69
373
Filed
6
21
250
27
69
373
c. TerminationRequired
1
1
35
3
8
48
Filed
1
1
34
3
8
47
d. Combination1Required
1
3
11
2
5
22
Filed
1
3
11
2
5
22
    Total
Required
10
33
340
58
103
544
Filed
10
33
338
58
103
542

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 category in the chart, etc.


Example for new entrant and termination reports: If an employee joined/departed the agency on December 15, 2019, 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, 2020, 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 2020 questionnaire response to be filed in 2021.

  • If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
    Because one filer was still coming to closure on his new entrant report, EPA Ethics neglected to assign him an annual report. The other filer failed to complete his new entrant report timely but has since done so.

35. Note the number of public financial disclosure reports certified or otherwise closed during the calendar year. Exclude reports of SGEs. Of those reports, indicate how many were initially reviewed within 60 days and how many were certified within 60 days. “Initially reviewed within 60 days” means having completed a full technical review and conflicts analysis. See 5 C.F.R. 2634.605.

OGE Form 278e Reports
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
a. Nominee/New Entranti. How many reports were certified or closed in 2019?
2
7
39
24
19
91
ii. Of those certified/closed in 2019, how many were initially reviewed within 60 days?
2
6
16
15
9
48
iii. Of those certified/closed in 2019, how many were certified or closed within 60 days?
2
7
17
14
6
46
b. Annual
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports were certified or closed in 2019?
6
20
247
27
66
366
ii. Of those certified/closed in 2019, how many were initially reviewed within 60 days?
3
7
80
5
26
121
iii. Of those certified/closed in 2019, how many were certified or closed within 60 days?
2
10
201
17
49
279
c. Termination
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports were certified or closed in 2019?
1
1
33
2
6
43
ii. Of those certified/closed in 2019, how many were initially reviewed within 60 days?
0
1
9
3
4
17
iii. Of those certified/closed in 2019, how many were certified or closed within 60 days?
0
1
25
3
6
35
d. Combination
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports were certified or closed in 2019?
1
3
10
2
4
20
ii. Of those certified/closed in 2019, how many were initially reviewed within 60 days?
1
1
2
1
3
8
iii. Of those certified/closed in 2019, how many were certified or closed within 60 days?
0
2
8
2
4
16
    Total
i. How many reports were certified or closed in 2019?
10
31
329
55
95
520
ii. Of those certified/closed in 2019, how many were initially reviewed within 60 days?
6
15
107
24
42
194
iii. Of those certified/closed in 2019, how many were certified or closed within 60 days?
4
20
251
36
65
376

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 category in the chart, etc.

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    In CY 2018 and 2019, EPA Ethics faced a number of work challenges that ultimately resulted in gaining additional staff by the end of FY 2019. Some of the new ethics officials had no previous experience in INTEGRITY or reviewing public financial disclosure reports. We invested time and resources to ensure that staff members learned not only how to perform a technical review but also how to identify and resolve conflicts issues, including sending cautionary notes and following up with filers. We find that finders do not respond with alacrity to questions and comments about their reports without a lot of pestering and reminding. To encourage public filers about their obligations to file timely and to answer questions and clarifications promptly, the Acting DAEO issued an ethics advisory in September 2019 to all public filers. We now include that advisory in all notifications to new entrant filers.

  • If applicable, please explain why some reports were certified/closed more than 60 days after submission. Check all that apply.
    additional information was being sought
    other (specify)

  • Specify Other
    Workload issues for ethics staff. Learning curve for new ethics officials. Filers not responding timely to questions or requests for clarification.

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

    • Periodic Transaction Reports Filed
281
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.

37. 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
106
1
0
    b. Number of OGE Form 278-T Reports
0
1
0

38. Number of public financial disclosure filers reported in calendar year 2019 to the Attorney General for failure to file.

  • Enter total
0

39. How many requests for public financial disclosure reports did you receive in 2019? Count each OGE Form 201 as one request, even if it contains a request for documents for multiple individuals.

  • Enter total
15

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

  • Additional Comments

PART 9. CONFIDENTIAL FINANCIAL DISCLOSURE

40. Report the number of confidential financial disclosure reports required to be filed by December 31, 2019, excluding SGEs, and the number of reports actually filed by December 31, 2019.

a. Required
b. Filed
7942
450
7912
OGE-approved alternate form
0
Total
7942
7912

    Example for new entrant reports: If an employee started at the agency on December 15, 2019, 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, 2020 the employee has not filed a new entrant report, do not count that report in your required numbers. Instead, include the employee in your 2020 questionnaire response to be filed in 2021.

    If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
  • Explain, if applicable
    Some filers left federal service, transferred to other offices or agencies, retired prior to the filing deadline, or were on extended leave. In addition, two EPA offices merged in 2019 and one underwent a full-scale reorganization. As a result, there has been turnover in the ranks of the deputy ethics officials that may have resulted in some inexperience or technical errors in tracking and designating filers.

41. Note the number of confidential financial disclosure reports certified or otherwise closed during the calendar year. Exclude reports of SGEs. Of those reports, indicate how many were initially reviewed within 60 days and how many were certified within 60 days. "Initially Reviewed within 60 days" means having completed a full technical review and conflicts analysis. See 5 C.F.R. 2634.605.

a. How many reports were certified or closed in 2019?
b. Of those certified/closed in 2019, how many were initially reviewed within 60 days?
c. Of those certified/closed within 2019, how many were certified/closed within 60 days?
450 and OGE-approved alternative
7923
7859
6907

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    EPA has a decentralized confidential financial disclosure system, so more than 120 deputy ethics officials review these reports. As previously noted, one large EPA office reorganized, resulting in a certain amount of administrative disruption. New DEOs did not necessarily know how to review reports. EPA has experienced a number of retirements among the ranks of experienced ethics officials. In one region and one headquarters office, experienced ethics officials were unexpectedly out of the office due to extended medical leave.

  • If applicable, please explain why some reports were certified/closed more than 60 days after submission. Check all that apply.
    additional information was being sought, remedial action was being taken
    other (specify)

  • Specify Other
    Among the reasons reported by EPA’s deputy ethics officials: having new ethics administrative duties due to reorganization or changes in staffing assignments press of other competing duties and increased workload and demands, sometimes in part to lingering issues following the government shutdown. We note that an increasing number of experienced ethics officials have been reassigned to other duties, retired or left EPA, or been on extended medical leave. Ethics officials reported that some employees simply fail to respond timely to requests for clarification or follow up. EPA Ethics notes that many of these tardy reports have in fact been reviewed and ethics officials were engaged in counseling employees and determining remedies, if necessary and appropriate.

42. Number of OGE 450 or OGE-approved alternative forms granted filing extensions in 2019.

  • Enter number
36

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 in 2019 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). For purposes of this question, disciplinary actions include removals, demotions, suspensions, and written reprimands or their equivalents.

  • Enter number
5

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

    Subpart A (General Provisions)
4

    Subpart B (Gifts from Outside Sources)
0

    Subpart C (Gifts between Employees)
0

    Subpart D (Conflicting Financial Interests)
0

    Subpart E (Impartiality in Performing Official Duties)
0

    Subpart F (Seeking Other Employment)
0

    Subpart G (Misuse of Position)
0

    Subpart H (Outside Activities)
1

    Agency's supplemental Standards of Conduct
0

44. Number of disciplinary actions taken in 2019 based wholly or in part upon violations of the criminal conflict of interest statutes (18 U.S.C. sections 203, 205, 208, and 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 (5 U.S.C. app. section 501), or outside activities (5 U.S.C. app. section 502). For purposes of this question, disciplinary actions include removals, demotions, suspensions, and written reprimands or their equivalents:

  • Enter number
0

    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)

    5 U.S.C. app. section 104 or 18 U.S.C. section 1001 (Failure to file or filing false public financial disclosures)

    5 U.S.C. app. section 501 (outside earned income)

    5 U.S.C. app. section 502 (outside activities)

45. Number of referrals made to the Department of Justice of potential violations in 2019 of the 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 (5 U.S.C. app. section 501), or outside activities (5 U.S.C. app. section 502).

  • Enter number
1

DOJ Referrals

    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, 2019?
1

Disciplinary Action

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

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

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

    d. How many of those referrals involved employees who left the agency before the agency determined whether or not to take disciplinary action
1

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
Yes

  • Please Specify Why

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, 2019? 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, 2019, 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
a. Appointed 01/01/2019 - 12/31/2019
0
0
9
37
0
46
i. Signed the Ethics Pledge in 2019
0
0
8
34
0
42
ii. Required to sign the Pledge in 2019 but signed in 2020
0
0
0
1
0
1
iii. Did not sign the Ethics Pledge
0
0
1
2
0
3

  • If applicable, please explain discrepancies between the number appointed and the number who signed or did not take the Pledge.
    Three political appointees came to EPA in 2019 from other federal agencies without a break in service, and had already signed the Ethics 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
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
0
0
0
b. Appointed without break in service after serving in another position for which the Ethics Pledge was already signed
0
0
1
2
0
3
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, 2019 and subject to the Ethics Pledge were registered lobbyists during the two years prior to their appointment?

  • Enter number
1

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 2019, the names of these individuals granted waivers in 2019, 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
0
Paragraph 2
0
Paragraph 3
0
Paragraph 4
0
Paragraph 5
0
Paragraph 6
0
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 2019?

  • Select Yes or No
Yes

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

  • Please type in the box below.
    In 2019, EPA Ethics learned of 2 apparent pledge violations that occurred in 2018. In both cases, EPA leadership consulted with the White House and determined that direct counseling of the political appointees was the effective course of action. The appointees subsequently received the counseling.

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 2019? (If zero, skip to Additional Comments for this Part.)

  • Enter number
438

55. How many SGEs who were expected to serve for 60 days or less on a board, commission, or committee were required to receive Initial Ethics Training (IET) by December 31, 2019 (5 C.F.R. 2638.304(b)(2))?

  • Enter number
150

    a. How many of those SGEs received IET before or at the beginning of the first meeting?
150

    b. How many of those SGEs received IET after the first meeting?
0

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

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

56. Report the number of SGE public and confidential financial disclosure reports required to be filed by December 31, 2019 and the number of reports actually filed by December 31, 2019.

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)
306
305
1
1
b. Advisory Committee Members (non-FACA)
2
1
0
0
c. Experts/Consultants
42
42
0
0
d. Board Members
0
0
0
0
e. Commissioners
0
0
0
0
f. Other
0
0
0
0
TOTAL
350
348
1
1

    Example for new entrant and termination reports: If an employee joined/departed the agency on December 15, 2019, and 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 2020 questionnaire response to be filed in 2021.

  • If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
    1 FACA member resigned before filing report. 1 non-FACA member had medical issues.

57. Note the number of SGE disclosure reports certified or otherwise closed during the calendar year. Of those reports, indicate how many were initially reviewed within 60 days and how many were certified within 60 days. “Initially reviewed within 60 days” means having completed a full technical review and conflicts analysis. See 5 C.F.R. 2634.605.

Confidential Reports
Public Reports
a. How many reports were certified or closed in 2019?
348
1
b. Of those certified/closed in 2019, how many were initially reviewed within 60 days?
342
1
c. Of those certified/closed within 2019, how many were certified/closed within 60 days?
340
0

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    Among the reasons reported by EPA’s deputy ethics officials: confusion over use of the 450 or the alternate 450 for SGEs (by new ethics officials) and press of other competing duties and increased workload and demands. Regarding the public report: the SGE was under consideration for a FACA committee in one of EPA’s offices. That office initially reviewed the public report within 60 days of receipt, but did not forward it to OGC/Ethics staff for certification within that 60 day period.

  • If applicable, please explain why some reports were certified/closed more than 60 days after submission. Check all that apply.
    additional information was being sought, remedial action was being taken
    other (specify)

  • Specify Other
    Among the reasons reported by EPA’s deputy ethics officials: confusion over use of the 450 or the alternate 450 for SGEs (by new ethics officials) and press of other competing duties and increased workload and demands.

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

  • Enter number
0

59. 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
0
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

      OGE Form 450A
0
hidden element