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:

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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 Health and Human Services

2. Employees

  • Number of full-time agency employees as of December 31, 2020
81623

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)?
No

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
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 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
119
47
32
14
218
430
b. Outside the D.C. Metro area
63
15
5
2
22
107
TOTAL
182
62
37
16
240
537

* 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.)
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(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
No

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

  • Describe the services or support provided:

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

  • Select type of resources

    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 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.

    Agency Head, DAEO, General Counsel, Other

  • Specify Other
    Ethics program review reports go to the following individuals at the reviewed component: the component head, Deputy Ethics Counselor (DEC), and Ethics Coordinator (EC). Our procedures also allow the DAEO to send the reports to the HHS Secretary as needed.

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)
    Agency components continue to digitize and automate ethics programs for easy information storage, retrieval, and utilization. Examples include: improving the HHS ethics intranet site (with an overhaul in development), launching an electronic reporting system for outside activities, incorporating FACA SGEs into one component’s electronic filing system, building out internal tracking systems, and creating dynamic forms. Additional program improvements may be recommended on a case-by-case basis, including increases in staffing and staff cross-training, among others. Additional agency components have added requirements for all of the component's employees complete annual ethics training, regardless of financial disclosure filing status. Additionally the agency continues to update agency ethics policy based on regulatory updates and changes.

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
8282
  • a. How many of those employees received IET within the 3-month requirement?
7273
  • b. How many of those employees received IET beyond the 3-month requirement?
622
  • c. How many of those employee have not received IET as of today?
387

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.
    Some employees left before the end of the calendar year but after the 90 day deadline. Some employees confused the IET requirement with the AET requirement. COVID-19 and telework created many delays for onboarding employees, including delays related to obtaining computers and PIV cards, gaining access to the network and learning management system, complying with quarantine requirements, and recovering from illnesses. Other reasons include noncompliance with instructions, miscommunications between staff and the employee, delayed notification that new employees had onboarded, and extended leaves and deployments. SGEs were not permitted to conduct Department business until they completed it.

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?

    Written confirmation not required because all IET was provided by an office under the DAEO's supervision

  • 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)
2
2

    b. All other public filers (OGE Form 278e)
1463
1459

    c. Confidential filers (OGE Form 450 and OGE-approved alternative confidential financial disclosure forms)
31318
31221

    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
32783
32682

  • If applicable, please explain discrepancies between the number of employees who were required to receive training and the number of employees who received training:
    Some employees were transferred to another agency before the end of the year, others were on extended leave, others were activated for military service, some had access issues related to COVID-19 telework posture, and some were SGEs who did not participate in committee activity.

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 holds quarterly training meetings required for all DECs and ECs, and an annual day-long training workshop for all agency ethics officials. The DAEO has given the DECs authority to require all employees in their components to complete AET. Many DECs have done so. The DAEO did so for all components she served as DEC for. Due to COVID-19, the DAEO authorized the agency to provide live, real-time virtual AET for all political appointees instead of in-person training.

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.

  • Please explain other:

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.

  • Please explain other:

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

  • Additional Comments
    Q21: In past years we have included people in line d. who were not required by regulation or agency head to complete AET, but instead who were required by their respective DECs. We have omitted those employees from this line, but we had at least 26,400 additional employees complete AET in 2020.

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
Financial Disclosure Reporting
  • Selection 2
Post-employment restrictions
  • Selection 3
Outside employment/activities

  • 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
166

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
1
1
    b. 208(b)(3) waivers
329
307

  • If applicable, please explain discrepancies between the number of waivers granted and the number provided to OGE.
    For one component, waivers are sent to OGE on a quarterly basis, thus the number of waivers sent in FY20 includes those from Q4 of FY19 and Q1 – Q3 of 2020.

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 Most Cases

    • If not applicable, specify why.
      NA

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

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 FilersIn 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
    1. Electronic Financial Disclosure System (EFDS) 2. NIH: NIH Enterprise Ethics System (NEES) 3. CDC: Ethics Program Activity Tracking System (EPATS) and 4. CMS: CATS

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

  • Check all that apply
Public Financial Disclosure (OGE Form 278e), Periodic Transactions (OGE Form 278-T), 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
992493

b. Amount paid to a federal agency in FY 2020
0
697378

c. Amount for all internal costs associated with operating an e-filing system (e.g., FTE, overhead, etc.) in FY 2020
0
1953175

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

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

    a. public financial disclosure filers (exclude filers in Integrity)
664

    b. confidential financial disclosure filers
30507

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

  • Additional Comments
    Q28 & 29: HR does not notify the DAEO of onboarding political appointees. The DAEO is notified of these new public filers by the White House Liaison’s Office.
    Q33: Components with legacy filing systems do not break down costs between report types, so all costs are reported as confidential. Additionally, one component reports total combined cost for maintaining entire electronic filing system. This entire amount is reported under internal costs.

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 EntrantRequired
0
6
65
25
73
169
Filed
0
6
65
25
73
169
b. AnnualRequired
12
73
383
75
779
1322
Filed
12
73
383
75
778
1321
c. TerminationRequired
0
21
32
14
41
108
Filed
0
21
30
14
40
105
d. Combination1Required
0
1
5
0
17
23
Filed
0
1
5
0
17
23
    Total
Required
12
101
485
114
910
1622
Filed
12
101
483
114
908
1618

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.
    Some filers left without notice and the Department is trying to obtain those reports.

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 Entranti. How many reports did your agency certify or close in 2020?
0
6
63
25
65
159
ii. Of those certified or closed in 2020, how many were initially reviewed within 60 days?
0
6
63
25
65
159
iii. Of those certified or closed in 2020, how many were certified or closed within 60 days?
0
5
55
21
54
135
b. Annual
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2020?
12
73
381
75
738
1279
ii. Of those certified or closed in 2020, how many were initially reviewed within 60 days?
12
73
366
75
694
1220
iii. Of those certified or closed in 2020, how many were certified or closed within 60 days?
11
60
312
67
576
1026
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
18
30
14
33
95
ii. Of those certified or closed in 2020, how many were initially reviewed within 60 days?
0
18
29
14
33
94
iii. Of those certified or closed in 2020, how many were certified or closed within 60 days?
0
17
19
14
27
77
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
1
5
0
15
21
ii. Of those certified or closed in 2020, how many were initially reviewed within 60 days?
0
1
5
0
15
21
iii. Of those certified or closed in 2020, how many were certified or closed within 60 days?
0
1
4
0
13
18
    Total
i. How many reports did your agency certify or close in 2020?
12
98
479
114
851
1554
ii. Of those certified or closed in 2020, how many were initially reviewed within 60 days?
12
98
463
114
807
1494
iii. Of those certified or closed in 2020, how many were certified or closed within 60 days?
11
83
390
102
670
1256

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.
    One component had staffing changes within its ethics office which led to some delays. There were some late notifications of temporary appointments to filing positions in acting capacities.

  • 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
    Due to COVID-19, some filers had difficulty obtaining additional information from their financial institutions. One component had staffing changes within its ethics office which led to some delays. There were some late notifications of temporary appointments to filing positions in acting capacities.

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

    • Periodic Transaction Reports Filed
1289
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
1356
5
0
    b. Number of OGE Form 278-T Reports
43
28
8

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

  • Enter total
0

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
60

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

  • Additional Comments
    Question 38.a) Due to COVID-19, the DAEO granted an initial 45-day filing extension for all annual OGE Form 278e reports, so the number reported includes all annual reports plus extensions granted on any other report type.

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
30180
OGE Form 450
30167
OGE-approved alternate form
0
Total
30180
30167

    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
    Some filers were on extended medical leave some new entrant filers are still within extended deadlines.

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
33677
26268
20840

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    One component with almost 900 filers was still using a paper-based filing system, and many of the forms were inaccessible in locked offices once that component moved to 100% telework due to COVID-19. That component is switching to an electronic filing system this year. Another component was, at the time, still catching up from delays caused by staffing shortages and the partial government shutdown in 2019, so 2020 reviews were delayed. That component has worked to resolve those problems. Other delays were due to technical issues, staffing shortages, and slower processing times due to COVID-19 telework and new staff who were being trained. Some pending reports are still within review timeframes.

  • 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
    One component with almost 900 filers was still using a paper-based filing system, and many of the forms were inaccessible or difficult to move to certifying officials once that component moved to 100% telework due to COVID-19. That component is switching to an electronic filing system this year. Other delays were due to technical issues, staffing shortages, and slower processing times due to COVID-19 telework and new staff who were being trained. Some pending reports are still within review timeframes.

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

  • Enter number
1580

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

  • Additional Comments
    Q42: The agency certified more reports than it received in 2020 because one component was resolving a backlog of 2019 annual reports. Because of the partial government shutdown and staffing shortages, that component certified/closed approximately 3000 2019 reports in 2020. That component has cleared its backlog.

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
22

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

    Subpart A (General Provisions)
7

    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)
13

    Subpart H (Outside Activities)
2

    Agency's supplemental Standards of Conduct
0

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
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)

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
4

DOJ Referrals Status

    a. How many of those referrals were accepted for prosecution?
0

    b. How many of those referrals were declined for prosecution?
3

    c. How many of those referrals were pending DOJ’s decision as of December 31, 2020?
1

Agency Disciplinary Action Status

    a. Of the cases referred to DOJ, how many resulted in disciplinary or corrective action?
0

    b. Of the cases referred to DOJ, how many resulted in a determination not to take disciplinary or corrective action?
3

    c. Of the cases referred to DOJ, how many are pending a determination as to whether disciplinary or corrective action will be taken?
1

    d. 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?
0

    e. Of the cases referred to DOJ, how many involved 18 U.S.C. 207, such that there was no option for disciplinary action?
0

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
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

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
PAS
PA
Non- career SES
Schedule C
Other
Total
a. Appointed 01/01/2020 - 12/31/2020
1
1
6
25
0
33
i. Signed the Ethics Pledge in 2020
0
1
6
25
0
32
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
1
0
0
0
0
1
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.

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

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

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
2

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
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
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.
    None.

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
7857

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
466

    a. How many of those SGEs received IET before or at the beginning of the first meeting?
460

    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?
6

    • If applicable, please explain why some SGEs received IET after the first meeting or have yet to receive IET.
      Some new SGEs have not completed the IET yet one SGE is on medical leave. SGEs who have not completed IET did not participate in agency business.

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)
3486
3391
0
0
b. Advisory Committee Members (non-FACA)
14
14
0
0
c. Experts/Consultants
33
33
0
0
d. Board Members
0
0
0
0
e. Commissioners
0
0
0
0
f. Other
127
127
0
0
TOTAL
3660
3565
0
0

    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.
    SGEs who have not filed reports were not permitted to participate in any agency meetings or business.

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?
3382
0
b. Of those certified or closed in 2020, how many were initially reviewed within 60 days?
3313
0
c. Of those certified or closed in 2020, how many were certified or closed within 60 days?
2945
0

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    There were some technical difficulties related to changes in submission procedures due to COVID-19, some offices experienced delays due to staffing changes, and some pending reports are still within the review timeframe.

  • 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
    Due to COVID-19, there were difficulties moving paper forms between reviewers and some technical difficulties related to changes in submission procedures. Some offices experienced delays due to staffing changes, and some pending reports are still within the review timeframe.

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

  • Enter number
5578

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
14

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

  • Additional Comments
    Q58: One component maintains a pool of SGEs ready to serve on FACA committees. Beginning in 2020, these SGEs are exempt from confidential financial disclosure filing requirements until they are actually placed on a committee. This explains the increase in exempt SGEs. Other exempt SGEs are primarily employed through the National Disaster Medical System to respond to major disasters.

ADDITIONAL QUESTIONNAIRE COMMENTS:

  • Additional Comments

      OGE Form 450A
0
hidden element