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

  • Department of Justice

2. Employees

  • Number of full-time agency employees as of December 31, 2019
118118

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

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

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.
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
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 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
63
59
9
2
28
161
b. Outside the D.C. Metro area
8
283
0
0
1
292
TOTAL
71
342
9
2
29
453

* 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.)
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.)

  • Please describe IT support (optional)

  • Please describe administrative support (optional)

  • Please describe substantive support (optional)

  • 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
Yes

  • Please provide the name of the board, commission, or agency:
    OIG: Council of the Inspectors General on Integrity and Efficiency

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.

    Other

  • Specify Other
    Director, DEO, and Deputy DAEOs and General Counsels in certain components.

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)
    Among the components, the following changes were made: new ethics counselor positions, an ethics office became a stand alone unit, improved coordination with HR re: 278 filers, enhanced processes for guidance, authorization, and documentation, review of waiver process and policies, creation of post employment guide, improved Intranet resources.

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)), 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
    Q10: Component heads and ethics officials communicate regularly regarding ethics, not necessarily by holding specific meetings.

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?

    Some of the offices provided written confirmation to the DAEO (explain why not all offices then skip to #17)

  • Please Explain why not all offices:
    The deadline for the DAEO to receive this confirmation in CY2019 was during the government shutdown. After the government reopened, the requirement was implemented. Information was timely provided to the DAEO in CY2020.

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
34
    • a. How many of those leaders received their briefing within 15 days of their appointment?
34
    • 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.

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
9424
  • a. How many of those employees received IET within the 3-month requirement?
9018
  • b. How many of those employees received IET beyond the 3-month requirement?
96
  • c. How many of those employee have not received IET as of today?
310

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.
    Budgetary constraints, attorney trial schedules, scheduling difficulties, extended leave status. Outstanding IET will be completed in the first quarter of 2020.

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?

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

  • Please Explain why not all offices:
    The deadline for the DAEO to receive this confirmation in CY2019 was during the government shutdown. After the government reopened, the requirement was implemented. Information was timely provided to the DAEO in CY2020.

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)
0
0

    b. All other public filers (OGE Form 278e)
2561
2624

    c. Confidential filers (OGE Form 450 and OGE-approved alternative confidential financial disclosure forms)
20533
19892

    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
23094
22516

  • If applicable, please explain discrepancies between the number of employees who were required to receive training and the number of employees who received training:
    Counted as filers that required annual training, however left DOJ before the end of the year, military deployment and other extended overseas and remote assignments, extended leave, administrative delays, e.g. administrative mistake in training notification to filers, and due to IT delay in online training delivery, some filers had a limited window of time to take training. Wherever possible, outstanding annual training will be caught up in the first quarter of CY2020.

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):


Reviewed advice logs for common issues, 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.
Other (please specify)

  • Please explain other:
    Discussion among ethics staff regarding current and expected ethics topics for training. DEA: training work group includes ethics provisions.

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, Administered post-training evaluations to assess participants' perceptions of the training, Reviewed advice logs for increased activity after training presentations and communications, Held discussions with agency leaders and employees to evaluate whether the training and communications they received have supported them in managing ethics risks.

  • Please explain other:
    See checked responses.

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

  • Additional Comments
    Q16: nearly all written offers included the required information.
    General: Annual ethics training at DOJ was updated in 2019 with new technology in some components, and with more interactivity in most. DOJ provided annual ethics training to many more employees than that required for financial disclosure filers. For instance, all DOJ attorneys must receive annual ethics training under Professionalism Training requirements, and, many DOJ components and offices require annual ethics training by all employees, not only financial disclosure filers, in addition to IET the employees received.

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
Gift acceptance
  • Selection 3
Financial Disclosure Reporting

  • 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
141

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
7
7
    b. 208(b)(3) waivers
1
1

  • 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
    Q24. The frequency of ethics questions asked on these topics does not necessarily reflect the relative seriousness of ethics questions employees ask.

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
In Some Cases (specify why, below)

    • If not applicable, specify why.
      NA

    • If "never" or "in some cases", please explain further:
      HR is not necessarily the source of information to ethics officials as to confidential filers. HR does not track or implement confidential financial disclosure or collect reports.

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 Most Cases

    • If not applicable, specify why.
      NA

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

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 and Other (specify)

  • Specify Other
    Form 450 electronic filing system internal to agency.

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

  • Check all that apply
Confidential Financial Disclosure (OGE Form 450 or OGE-approved alternative form)

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
0		Don’t know/don’t track

b. Amount paid to a federal agency in FY 2019
0		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 2019
0		Don’t know/don’t track

  • Please explain "Don’t know/don’t track" answer above
    Unable to quantify. Two components have efiling systems for the OGE Form 450. One component uses some manhours of 2 FTEs, part time, and one component uses IT developer manhours, but is unable to quantify that use outside of regular IT expenditures.

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

    a. public financial disclosure filers (exclude filers in Integrity)
0

    b. confidential financial disclosure filers
2238

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
29
24
127
19
388
587
Filed
29
24
127
19
384
583
b. AnnualRequired
108
48
704
28
1559
2447
Filed
108
48
703
28
1558
2445
c. TerminationRequired
4
15
101
7
264
391
Filed
4
15
100
7
264
390
d. Combination1Required
1
3
26
0
27
57
Filed
1
3
26
0
27
57
    Total
Required
142
90
958
54
2238
3482
Filed
142
90
956
54
2233
3475

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.
    Collection efforts/referral for failure to file underway.

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?
29
18
117
16
311
491
ii. Of those certified/closed in 2019, how many were initially reviewed within 60 days?
5
16
113
13
273
420
iii. Of those certified/closed in 2019, how many were certified or closed within 60 days?
16
12
76
8
149
261
b. Annual
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports were certified or closed in 2019?
96
78
295
45
1027
1541
ii. Of those certified/closed in 2019, how many were initially reviewed within 60 days?
67
48
689
39
659
1502
iii. Of those certified/closed in 2019, how many were certified or closed within 60 days?
35
39
394
17
257
742
c. Termination
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports were certified or closed in 2019?
4
13
105
52
190
364
ii. Of those certified/closed in 2019, how many were initially reviewed within 60 days?
4
13
94
49
172
332
iii. Of those certified/closed in 2019, how many were certified or closed within 60 days?
2
11
83
32
136
264
d. Combination
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports were certified or closed in 2019?
1
2
26
0
23
52
ii. Of those certified/closed in 2019, how many were initially reviewed within 60 days?
1
2
25
0
23
51
iii. Of those certified/closed in 2019, how many were certified or closed within 60 days?
1
1
13
0
19
34
    Total
i. How many reports were certified or closed in 2019?
130
111
543
113
1551
2448
ii. Of those certified/closed in 2019, how many were initially reviewed within 60 days?
77
79
921
101
1127
2305
iii. Of those certified/closed in 2019, how many were certified or closed within 60 days?
54
63
566
57
561
1301

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.
    Responses reflect data collected in OGE's Integrity application, using the complex methodology provided by OGE to retrieve the information from the system. This data reflects the best responsive information available from the system, given the incomplete tools available. The methodology OGE provided to obtain the data from Integrity, such as analysis of Excel formulas and spreadsheets was extremely difficult to use and inadequate for an agency such as DOJ with a complex financial disclosure program. DOJ's response to Q35 does not necessarily accurately reflect the timeliness of DOJ's initial review or timeliness of certification of the 278 reports because the information is not easily captured or retrieved by the Integrity system which has contributed to unreliable results. When development of Integrity increases its functionality, the answers to Q35 will be more accurate. See additional comments below.

  • 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
    To the extent that some reports at DOJ have been reviewed and/or certified past 60 days after submission, the reasons include: the high volume of reports for each reviewer workload, waiting for additional information from filers, and the availability of certifying official to certify large volumes of reviewed reports.

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

    • Periodic Transaction Reports Filed
2014
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
712
21
8
    b. Number of OGE Form 278-T Reports
74
11
4

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

  • Enter total
1

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
23

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
26680
450
15068
OGE-approved alternate form
6179
Total
26680
21247

    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
    Explanation for reports not filed: extended leave including military deployment, illness/disability, parental leave, mass workforce restructuring/employee relocations, natural disasters, and emergency responses.
    Note: The line Assistant US Attorneys are required to file the OGE-approved alternative form (the GCO-01 Certification of No Conflict form) for each matter/case they are assigned. The number of forms filed is not counted as they are retained in each individual case file. There are approx. 5,049 AUSAs, and we counted 1 alternative form per AUSA, although AUSAs are typically assigned to more than one case per year.
    -Antitrust Division: 241 attorneys submitted 901 OGE-approved alternative forms in matter/cases assigned

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
15015
15013
14949

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    Due to this being a new data point and given DOJ's more than 15K filers in decentralized programs throughout the components, the review and certification timeliness was not able to be precisely calculated in this manner. Review and certification timeliness will be more precisely tracked for the 2020 Annual Questionnaire. However, the USMS efiling system cannot produce this calculation for its more than 1,500 reports. DOJ's components have reported to DEO overall compliance with Form 450 filing and review requirements. The response to Q41 reflects the best estimated information available.

  • 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
    See above explanation/comment.

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

  • Enter number
187

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

  • Additional Comments
    Q41. The efling system in use does not have a tool to produce this information, however, most reports were reviewed within 60 days. The remaining required additional information from filers or the review was delayed due to reviewer workload.

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
211

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

    Subpart A (General Provisions)
49

    Subpart B (Gifts from Outside Sources)
0

    Subpart C (Gifts between Employees)
1

    Subpart D (Conflicting Financial Interests)
1

    Subpart E (Impartiality in Performing Official Duties)
2

    Subpart F (Seeking Other Employment)
2

    Subpart G (Misuse of Position)
140

    Subpart H (Outside Activities)
32

    Agency's supplemental Standards of Conduct
1

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
0

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, 2019?

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?

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

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 because no covered referrals were made to DOJ

  • 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
31
0
27
42
0
100
i. Signed the Ethics Pledge in 2019
31
0
27
33
0
91
ii. Required to sign the Pledge in 2019 but signed in 2020
0
0
0
0
0
0
iii. Did not sign the Ethics Pledge
0
0
0
9
0
9

  • If applicable, please explain discrepancies between the number appointed and the number who signed or did not take the Pledge.
    Exempt, non policy making positions.

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
9
0
9
b. Appointed without break in service after serving in another position for which the Ethics Pledge was already signed
0
0
0
0
0
0
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
0

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
4
Benczkowski (2 waivers), Barr, Levi
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
No (skip to Additional Comments for this 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 2019? (If zero, skip to Additional Comments for this Part.)

  • Enter number
39

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
3

    a. How many of those SGEs received IET before or at the beginning of the first meeting?
0

    b. How many of those SGEs received IET after the first meeting?
3

    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.
      Component's ethics officer was not available to attend the first meeting, but they have received IET as of now. All other SGEs received IET prior to 2019.

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)
11
11
0
0
b. Advisory Committee Members (non-FACA)
0
0
0
0
c. Experts/Consultants
8
8
0
0
d. Board Members
3
3
0
0
e. Commissioners
2
2
0
0
f. Other
0
0
4
4
TOTAL
24
24
4
4

    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.

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?
24
4
b. Of those certified/closed in 2019, how many were initially reviewed within 60 days?
24
3
c. Of those certified/closed within 2019, how many were certified/closed within 60 days?
24
2

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    Filers were SGEs, and thus worked limited hours and had limited availability to ethics officials to finalize reports.

  • 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
    See above explanation/comment.

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

  • Enter number
11

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
4
0
0

      b. Number of OGE Form 450 or OGE-Approved Alternative Forms
2

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