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2020 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, 2021. (5 C.F.R. 2638.207(a)).

PART 2. INSTRUCTIONS

Your response to this questionnaire should reflect the 2020 calendar year (i.e., 1/1/2020 through 12/31/2020), 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 2019 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?

After I have submitted the questionnaire, how do I save a copy for my records?

Can I edit my response if I made an error?

Can I increase the font 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 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 Defense - Department of the Army

2. Employees

Number of full-time agency employees as of December 31, 2020

730730

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

a. Vacant (as of December 31, 2020)?

Yes (skip to #4a)

b. Time in current DAEO position

c. Total years performing ethics duties

d. Percent of time spent on ethics

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

f. Number of reporting levels between the DAEO and the agency head.

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

a. Vacant (as of December 31, 2020)?

b. Time in current ADAEO position

1 - 4 years

c. Total years performing ethics duties

10 or more years

d. Percent of time spent on ethics

26 -50%

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 2020 (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	27	58	15	6	21	127
b. Outside the D.C. Metro area	517	750	151	42	37	1497
TOTAL	544	808	166	48	58	1624

* FTE = Full Time Equivalent

Example: The table below provides an example of an agency with 13 employees that performed ethics
program duties in 2020.

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.)

Please describe IT support (optional)
National Guard Bureau uses contractors to manage ethics intake and databases.

Please describe administrative support (optional)
National Guard Bureau uses contractors to track filing and training requirements, send filing and training reminders, and perform data entry.

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

Please provide the name(s) 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(s) of the board, commission, or agency:
The Army’s Financial Disclosure Management (FDM) Program provided financial disclosure report filing support to the Office of the Secretary of Defense, Department of the Air Force, Department of the Navy, Armed Services Board of Contract Appeals, Defense Contract Audit Agency, Defense Counterintelligence and Security Agency, Defense Commissary Agency, State Department, Defense Finance Accounting Service, Department of Homeland Security, Defense Intelligence Agency, Defense Information Systems Agency, Defense Logistics Agency, Department of Defense Inspector General, Defense Threat Reduction Agency, National Credit Union Administration, National Geospatial-Intelligence Agency, Office of Government Ethics, Special Inspector General for Afghanistan Reconstruction, United States National Guard, Uniformed Services University of the Health Sciences, and the Veterans Administration.

Describe the services or support provided:
The Army’s Financial Disclosure Management (FDM) Program provided financial disclosure report filing support to the Office of the Secretary of Defense, Department of the Air Force, Department of the Navy, Armed Services Board of Contract Appeals, Defense Contract Audit Agency, Defense Counterintelligence and Security Agency, Defense Commissary Agency, State Department, Defense Finance Accounting Service, Department of Homeland Security, Defense Intelligence Agency, Defense Information Systems Agency, Defense Logistics Agency, Department of Defense Inspector General, Defense Threat Reduction Agency, National Credit Union Administration, National Geospatial-Intelligence Agency, Office of Government Ethics, Special Inspector General for Afghanistan Reconstruction, United States National Guard, Uniformed Services University of the Health Sciences, and the Veterans Administration.

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

Select type of resources

Human Capital, Technology
Other (specify below)

Specify Other
Improved technology to support innovative ethics training.

10. Did the agency head meet with the ethics staff to discuss the strengths and weaknesses of the ethics program in 2020?

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 2020 (5 C.F.R. 2638.104(c)(16))?

Select Yes or No

Yes

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

General Counsel, Other

Specify Other
ADAEO, Army Human Resources Leadership, Legal Advisors, Senior Leadership/Chain of Command of the organization assisted.

13. 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)
Programmatic changes included additional staffing to improve rate of financial disclosure reviews, improved coordination with Army Human Resources offices, improved procedures for issuing cautionary notices, addition of ethics offices to in and out-processing checklists, better documentation of OGE 450 conflict of interest and extension documentation, clarification of initial ethics training procedures, and creation of electronic repositories of prior ethics opinions. Policy changes included increased HR support to Army ethics programs, incorporation of ethics notice to new supervisors into the new supervisor’s final job offer, and Army-wide clarification of supervisor ethics notice issuance and initial ethics training procedures.

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)

Explain what steps you are taking to implement the required written procedures:
NA

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?

All of the offices provided the written confirmation to the DAEO (skip to #17)

Please Explain why not all offices:
NA

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:
NA

Please Explain:
NA

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, 2020? Exclude SGEs that were expected to serve less than 60 days on a board, commission, or committee.

Total Number		1
a. How many of those leaders received their briefing within 15 days of their appointment?		1
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, 2020 (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		143090
a. How many of those employees received IET within the 3-month requirement?		142099
b. How many of those employees received IET beyond the 3-month requirement?		558
c. How many of those employee have not received IET as of today?		433

Example: If an employee started at the agency on December 15, 2020, 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, 2021, the employee has not completed IET, do not count that employee in your required numbers. Instead, include the employee in your 2021 questionnaire response to be filed in 2022.

If applicable, please explain why some employees received IET beyond the 3-month requirement or have yet to receive IET.
All employees who have not received IET as of today will receive this training within the next 60 days. The COVID pandemic was the main reason for late and missed 2020 initial entry training. Many offices that had previously performed this training in-person took time to adjust to virtual or on-line training methods. Contributing factors included untimely HR notice and HR coordination issues, personnel turnover, staffing issues, employees missing the first training session after their hire which put them outside of 90 day window, and seasonal employees on a leave without a pay status during the winter.

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?

All of the offices provided the written confirmation to the DAEO

Please Explain why not all offices:

20. Did the head of the agency complete either initial ethics training and/or annual ethics training in 2020?

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)

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

830

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

41339

41100

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.)

961

TOTAL

43131

42892

If applicable, please explain discrepancies between the number of employees who were required to receive training and the number of employees who received training:
The COVID pandemic played a part. Ethics offices that had previously given this training in person had to adjust to on-line methods. Contributing factors include filers who departed the agency before the end of the year but were not removed from FDM, end-of-the-year new entrants, illness, deployments, and long-term leaves.

22. Did your DAEO establish additional requirements for the agency's ethics education program, beyond those described in 5 CFR 2638.303-308? For example, did your DAEO establish specific government ethics training requirements for groups of agency employees?

Select Yes or No

Yes

Please Describe:
The DAEO established a requirement for annual continued education of all Army ethics counselors via OGE webinars or other applicable methods. Army leadership mandated Army-wide Political Activities Training (Hatch Act and Department of Defense policy) and Leader-Led Ethics Training for all agency leaders. Other Army officials mandated ethics training for senior official staffs, incoming commanders, government credit card holders, Inspector General personnel, and safety personnel.

23. 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, Conducted surveys to identify common and emerging ethics risks, Talked to employees about the ethics concerns they encounter in the workplace.
Other (please specify)

Please explain other:
Assessed the content of ethics training instruction during ethics staff assistance visits, reviewed attorney outside practice of law requests to assess conflict of interest and representational violation risks, assessed risk of election year political activities and provided additional training, discussed common and emerging ethics risks with the Chief of Internal Review and Compliance and with the Chief of Management Employee Relations, created an ethics specific email mailbox, and reviewed internal investigations for trends.

24. 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.
Other (please specify)

Please explain other:
Held discussions with Highly Qualified Expert Senior Mentor Filers on ethics areas about which they felt they needed more training.

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

Additional Comments
Question 16 did not permit me to respond that all of the written offers of employment for positions covered by the Standards of Conduct included the information required by 5 C.F.R. 2638.303.

PART 6. ADVICE, COUNSELING, AND REMEDIES

25. From the list below, select the three topics that your employees most frequently sought guidance on in 2020. Please rate them in order, so that the first topic is the topic on which the 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	Gift acceptance
Selection 2	Financial Disclosure Reporting
Selection 3	Post-employment restrictions

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

26. Number of notification statements of negotiation or recusal under section 17(a) of the STOCK Act submitted to the ethics office in 2020 (see 5 C.F.R. 2635.602(a)):

Enter total

27. Number of 18 U.S.C. 208 waivers granted in 2020:

	Number Granted in 2020	Number Sent to OGE
a. 208(b)(1) waivers	0	0
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

28. 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:
Individual HR office reluctance or ignorance of OGE/DoD/Army directive to provide this information to the relevant ethics offices.

29. 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.
NA

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

30. Did your agency use an electronic financial disclosure filing system in calendar year 2020? Note: This includes Integrity, but would not include a mere digital signature of a PDF fillable form.

Select Yes or No

Yes

31. Which system did your agency use?

Select one

Integrity and Other (specify)

Specify Other
Financial Disclosure Management (FDM)

32. 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)

33. Indicate your fiscal year 2020 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 2020	0	0

b. Amount paid to a federal agency in FY 2020

904556

c. Amount for all internal costs associated with operating an e-filing system (e.g., FTE, overhead, etc.) in FY 2020

35545

Please explain "Don’t know/don’t track" answer above
FDM financial information regarding the 21 remaining Federal agencies serviced by FDM will be sent separately to OGC, Ms. Pond.

34. Indicate the number of filers who filed electronically in fiscal year 2020.

a. public financial disclosure filers

(exclude filers in Integrity)

b. confidential financial disclosure filers

45375

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

Additional Comments

PART 8. PUBLIC FINANCIAL DISCLOSURE

35. Report the number of public financial disclosure reports (OGE Form 278e) required to be filed by December 31, 2020, excluding SGEs, and the number of reports actually filed (i.e., received) by December 31, 2020.

OGE Form 278e Reports		PAS²	Non-Career SES³	Career SES³	Schedule C	Other⁴	TOTAL
a. New Entrant	Required	0	1	43	5	60	109
a. New Entrant	Filed	0	1	42	5	60	108
b. Annual	Required	7	8	317	7	331	670
b. Annual	Filed	7	8	317	7	331	670
c. Termination	Required	0	1	20	0	34	55
c. Termination	Filed	0	1	20	0	34	55
d. Combination¹	Required	0	0	15	0	9	24
d. Combination¹	Filed	0	0	15	0	9	24
Total	Required	7	10	395	12	434	858
Total	Filed	7	10	394	12	434	857

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, 2020, 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, 2021, the employee has not filed a new entrant/termination report, do not count that report in your required numbers. Instead, include the report in your 2021 questionnaire response to be filed in 2022.

If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
One mid-year new entrant has yet to file: we are ensuring he does so soon. The Army’s numbers for this question do not include Army officials assigned to non-Army units. This category includes one career new entrant who was required to file but did not 14 “other” new entrants required to file who indeed filed 13 career employees required to file annual report who indeed filed 88 “other” employees required to file annual reports, one of whom did not one career employee required to file a termination report who indeed filed and seven “other” employees required to file termination report who indeed filed.

36. Note the number of public financial disclosure reports certified or otherwise closed by your agency 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 technical review and conflicts analysis. See 5 C.F.R. 2634.605 and section 4.02 of the Public Financial Disclosure Guide.

OGE Form 278e Reports		PAS²	Non-Career SES³	Career SES³	Schedule C	Other⁴	TOTAL
a. New Entrant	i. How many reports did your agency certify or close in 2020?	0	1	42	5	59	107
	ii. Of those certified or closed in 2020, how many were initially reviewed within 60 days?	0	1	41	5	52	99
	iii. Of those certified or closed in 2020, how many were certified or closed within 60 days?	0	1	38	5	51	95
b. Annual		PAS²	Non-Career SES³	Career SES³	Schedule C	Other⁴	TOTAL
	i. How many reports did your agency certify or close in 2020?	7	8	317	7	331	670
	ii. Of those certified or closed in 2020, how many were initially reviewed within 60 days?	7	8	292	7	253	567
	iii. Of those certified or closed in 2020, how many were certified or closed within 60 days?	7	7	288	7	249	558
c. Termination		PAS²	Non-Career SES³	Career SES³	Schedule C	Other⁴	TOTAL
	i. How many reports did your agency certify or close in 2020?	0	1	20	1	34	56
	ii. Of those certified or closed in 2020, how many were initially reviewed within 60 days?	0	1	20	1	31	53
	iii. Of those certified or closed in 2020, how many were certified or closed within 60 days?	0	1	20	1	23	45
d. Combination		PAS²	Non-Career SES³	Career SES³	Schedule C	Other⁴	TOTAL
	i. How many reports did your agency certify or close in 2020?	0	0	15	0	9	24
	ii. Of those certified or closed in 2020, how many were initially reviewed within 60 days?	0	0	13	0	7	20
	iii. Of those certified or closed in 2020, how many were certified or closed within 60 days?	0	0	13	0	7	20
Total	i. How many reports did your agency certify or close in 2020?	7	10	394	13	433	857
	ii. Of those certified or closed in 2020, how many were initially reviewed within 60 days?	7	10	366	13	343	739
	iii. Of those certified or closed in 2020, how many were certified or closed within 60 days?	7	9	359	13	330	718

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.
The transition from FDM to Integrity is the main reason for the lengthened Army processing times. The COVID pandemic played a contributory role as well. The responses to Question 36 do not include Army officials assigned to non-Army units. These officials include 12 “other” new entrant reports certified in 2020, of which 7 were initially reviewed and certified within 60 days 13 career annual reports certified, of which 12 were initially reviewed and certified within 12 days 87 “other” annual reports certified in 2020, of which 68 were initially reviewed and certified within 60 days 1 career termination report certified in 2020 which was initially reviewed and certified within 60 days and 7 “other” termination reports certified in 2020, all of which were initially reviewed and certified within 60 days.

If applicable, please explain why some reports were certified or 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
Difficulty in accessing senior leaders to review reports - the Department of Defense Joint Ethics Regulation mandates supervisory review of all financial disclosure reports.

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

Periodic Transaction Reports Filed		508
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	93	14	0

b. Number of OGE Form 278-T Reports

39. Number of public financial disclosure filers reported in calendar year 2020 to the Attorney General for failure to file.

Enter total

40. How many requests for public financial disclosure reports did you receive in 2020? 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
Question 37 does not include 40 periodic transaction reports filed by Army officials assigned to non-Army units. Question 39 does not include 3 late fee waivers for OGE 278 reports filed by Army officials assigned to non-Army units, and 1 late fee waiver for a periodic transaction report filed by an Army official assigned to a non-Army unit.

PART 9. CONFIDENTIAL FINANCIAL DISCLOSURE

41. Report the number of confidential financial disclosure reports required to be filed by December 31, 2020, excluding SGEs, and the number of reports actually filed by December 31, 2020.

	a. Required	b. Filed
	45179	OGE Form 450	45019
		OGE-approved alternate form	0
Total	45179		45019

Note: If a 450 filer leaves the filing position before the due date, the report is not required per 5 C.F.R. 2634.903(a).

Example for new entrant reports:

If an employee started at the agency on December 15,

2020

, 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,

2021

the employee has not filed a new entrant report, do not count that report in your required numbers. Instead, include the report in your

2021

questionnaire response to be filed in

2022

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

Explain, if applicable
Assignment error, transfers and departures inaccurately noted in FDM, combat zone extensions.

42. Note the number of confidential financial disclosure reports certified or otherwise closed by your agency 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 technical review and conflicts analysis. See 5 C.F.R. 2634.605 and the Certification Requirements section of the Confidential Financial Disclosure Guide.

	a. How many reports did your agency certify or close in 2020?	b. Of those certified or closed in 2020, how many were initially reviewed within 60 days?	c. Of those certified or closed in 2020, how many were certified or closed within 60 days?
OGE Form 450 and OGE-approved alternative	44731	40856	40828

If applicable, please explain why some reports were reviewed more than 60 days after submission.
The COVID pandemic and its ramifications played a large role, as did ethics personnel shortfalls and combat zone extensions.

If applicable, please explain why some reports were certified or 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
COVID-necessitated transition to telework and related issues, supervisory review delays (the Department of Defense Joint Ethics Regulation requires supervisory review of all financial disclosure reports), illnesses, personnel turnover, high operational tempo, and ethics personnel shortages.

43. Number of OGE 450 or OGE-approved alternative forms granted filing extensions in 2020.

Enter number

209

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

44. Number of disciplinary actions taken in 2020 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

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)

Subpart H (Outside Activities)

Agency's supplemental Standards of Conduct

45. Number of disciplinary actions taken in 2020 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

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)

46. Number of referrals made in 2020 to the Department of Justice of potential violations 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

DOJ Referrals Status

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,

2020

Agency Disciplinary Action Status

a. Of the cases referred to DOJ, how many resulted in disciplinary or corrective action?

b. Of the cases referred to DOJ, how many resulted in a determination not to take disciplinary or corrective action?

c. Of the cases referred to DOJ, how many are pending a determination as to whether disciplinary or corrective action will be taken?

Of the cases referred to DOJ, how many of those referrals involved employees who left the agency before the agency determined whether or not to take disciplinary action?

e. Of the cases referred to DOJ, how many involved 18 U.S.C. 207, such that there was no option for disciplinary action?

47. Did your agency notify OGE of all referral(s) and disposition(s) of the referral(s) 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
In 2020, the ADAEO issued a policy mandating that Question 45 responses include only those reports of disciplinary action that were explicitly based on violations of ethics provisions.

PART 11. ETHICS PLEDGE ASSESSMENT

48. 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, 2020? 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

49. For each category of appointee, provide the number of full-time non-career appointees appointed between January 1 and December 31, 2020, and indicate the number who did and did not sign the Ethics Pledge.

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 01/01/2020 - 12/31/2020	0	0	1	5	0	6
i. Signed the Ethics Pledge in 2020	0	0	1	5	0	6
ii. Required to sign the Pledge in 2020 but signed in 2021	0	0	0	0	0	0
iii. Required to sign the Pledge, but did not sign (please explain)	0	0	0	0	0	0
iv. Not required to sign the Pledge because occupied an exempt non-policymaking position (Schedule C or other comparable authority)	0	0	0	0	0	0
v. Not required to sign the Pledge because appointed without break in service after serving in another position for which the Ethics Pledge was already signed	0	0	0	0	0	0
vi. Not required to sign for another reason (please explain)	0	0	0	0	0	0

For each appointee identified in line iii, please explain why that appointee did not sign the Pledge.
n/a

For each appointee identified in line vi, please explain why that appointee was not required to sign the Pledge.
n/a

If applicable, please explain discrepancies between the number appointed and the number who signed or did not sign the Pledge.
n/a

50. How many appointees appointed between January 1 and December 31, 2020 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 2020, the names of these individuals granted waivers in 2020, 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	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 2020?

Select Yes or No

53. Please provide information on enforcement actions taken in 2020 as a result of violations of the Pledge (regardless of whether the violation itself took place in 2020 or earlier).

Please type in the box below.
n/a

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 2020? (If zero, skip to Additional Comments for this Part.)

Enter number

360

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, 2020 (5 C.F.R. 2638.304(b)(2))?

Enter number

311

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

302

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.
One FACA never met in 2020.

56. Report the number of SGE public and confidential financial disclosure reports required to be filed by December 31, 2020 and the number of reports actually filed by December 31, 2020.

	Confidential Reports (OGE Form 450 or OGE- Approved Alternative Form)		Public Reports (OGE Form 278e)
	required	filed	required	filed
a. Advisory Committee Members (FACA)	82	81	0	0
b. Advisory Committee Members (non-FACA)	69	67	0	0
c. Experts/Consultants	160	160	0	0
d. Board Members	0	0	0	0
e. Commissioners	0	0	0	0
f. Other	0	0	49	49
TOTAL	311	308	49	49

Example for new entrant and termination reports: If an employee joined/departed the agency on December 15,

2020

, 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 report in your

2021

questionnaire response to be filed in

2022

If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
Problems obtaining information from the filers.

57. Note the number of SGE disclosure reports certified or otherwise closed by your agency 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 technical review and conflicts analysis. See 5 C.F.R. 2634.605, section 4.02 of the Public Financial Disclosure Guide, and the Certification Requirements section of the Confidential Financial Disclosure Guide.

	Confidential Reports	Public Reports
a. How many reports did your agency certify or close in 2020?	309	49
b. Of those certified or closed in 2020, how many were initially reviewed within 60 days?	309	49
c. Of those certified or closed in 2020, how many were certified or closed within 60 days?	309	49

If applicable, please explain why some reports were reviewed more than 60 days after submission.

If applicable, please explain why some reports were certified or closed more than 60 days after submission. Check all that apply.

Specify Other
NA

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

Enter number

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	18	4	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.