2021 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, 2022. (5 C.F.R. 2638.207(a)).

PART 2. INSTRUCTIONS

Your response to this questionnaire should reflect the 2021 calendar year (i.e., 1/1/2021 through 12/31/2021), 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 and to explain significant changes from your 2020 report. After OGE has reviewed your questionnaire submission, you may be contacted for follow-up.

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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 Treasury

2. Employees

  • Number of full-time agency employees as of December 31, 2021
87434

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

a. Vacant (as of December 31, 2021)?
No

b. Time in current DAEO position
5 - 9 years

c. Total years performing ethics duties
5 - 9 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.
3

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

a. Vacant (as of December 31, 2021)?
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 2021 (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
28
62
13
2
7
112
b. Outside the D.C. Metro area
65
33
3
0
4
105
TOTAL
93
95
16
2
11
217

* FTE = Full Time Equivalent

Example: The table below provides an example of an agency with 13 employees that performed ethics
program duties in 2021.

EXAMPLE
Number of employees by hours worked each week
Duty Station
Less than 1 hour per week
(up to .025 FTE*)
1-10 hours per week
(up to .25 FTE*)
11-20 hours per week
(up to .5 FTE*)
21-30 hours per week
(up to .75 FTE*)
31-40 hours per week
(up to 1 FTE*)
TOTAL
D.C. Metro area
1
0
2
2
1
6
Outside the D.C. Metro area
1
3
3
0
0
7
TOTAL
2
3
5
2
1
13

6. In what areas did contractors support the ethics program? Select all that apply.

  • Check all that apply

IT services (e.g., developing or supporting electronic filing systems, applications, websites, and/or databases, etc.)


  • Please describe IT support (optional)

  • Please describe administrative support (optional)
    NA

  • Please describe substantive support (optional)
    NA

  • Specify Other
    NA

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

  • Select Yes or No
No

  • Please provide the name(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 2021?

  • 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.) or any entity outside of your agency (e.g., GAO or private auditing firm) evaluate any aspect of the ethics program in 2021 (5 C.F.R. 2638.104(c)(16))? Exclude program reviews conducted by OGE. Select all that apply.

    My agency (e.g., ethics office, Inspector General, General Counsel, etc.) conducted an evaluation

  • Please Describe:

12. What kind of changes resulted from the evaluation?

    Programmatic changes (please describe)

  • Please Describe: (Please describe programmatic or policy changes; Specify why no changes resulted; Specify why not applicable)
    DO/HQ: Implemented automated one and two-week email reminders to filers for confidential financial disclosure reports that are due, to help improve OGE 450 filing timeliness and dedicate staff resources to other ethics matters enhanced new employee template/form and added questions to identify potential conflicts further refined process for pre-vetting new employees hired for specific duties and programs (e.g., CARES , American Rescue Plan) in connection with Transition and refined pre-vetting process for non-PAS.
    Continued at Comments.

13. 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
    Q3f: We counted DAEO to GC as 1 GC to Dep/Sec as 2 and Dep Sec to Sec as 3.
    Q5: Because of increased telework options, some personnel that supported ethics staff moved duty locations during the year. Numbers reflect the duty station where personnel spent most of the calendar year.
    Q6: IT services for some bureaus, including DO/HQ, but N/A for most.
    Q9: no for most bureaus but 4 indicated Human Capital and 1 indicated Tech.
    Q11: About half of the bureaus conducted an internal audit. One had an external financial audit.
    Q12: One bureau is still evaluating opportunities for training and outreach to employees beyond its standard mandatory annual training. A second found program to be in compliance a third bureau improved guidance provided to employees regarding outside activities and service on boards or organizations, specifically including a more thorough discussion of required recusals and use of official title or Government resources in connection with such activities a fourth bureau implemented changes to designated filing positions and a fifth implemented a bureau-specific ethics policy/SOP.

PART 5. EDUCATION AND TRAINING

14. 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 #16)

  • Please Explain why not all offices:
    NA

15. 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

16. Initial Ethics Briefing

a. How many agency leaders, as defined in 5 C.F.R. 2638.305(a), were required to receive ethics briefings by December 31, 2021? Exclude SGEs that were expected to serve less than 60 days on a board, commission, or committee.
Total Number
9
    i. How many new agency leaders received their briefing within 15 days of their appointment?
9
    ii. How many of those leaders received their briefing beyond the 15-day requirement?
0
    iii. How many new agency 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.

17. Initial Ethics Training

a. How many employees, as defined in 5 C.F.R. 2638.304(a), were required to receive Initial Ethics Training (IET) by December 31, 2021 (5 C.F.R. 2638.304)? Exclude SGEs that were expected to serve less than 60 days on a board, commission, or committee. (Note: Include employees who were not required to receive the interactive portion of the IET, as provided in 5 C.F.R. 2638.304(a)(2).)
Total Number
5461
    i. How many of those employees received IET within the 3-month requirement?
5341
    ii. How many of those employees received IET beyond the 3-month requirement?
108
    iii. How many of those employee have not received IET as of today?
12

Example: If an employee started at the agency on December 15, 2021, 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, 2022, the employee has not completed IET, do not count that employee in your required numbers. Instead, include the employee in your 2022 questionnaire response to be filed in 2023.

  • If applicable, please explain why some employees received IET beyond the 3-month requirement or have yet to receive IET.
    At one bureau, some employees were not able to access the online training during the pandemic as they were not issued computers however, they were provided ethics orientation materials some employees are on extended leave and one employee is in a non-duty status. At one bureau, two police officers were at off-site mandatory introductory federal law enforcement training and took initial ethics training upon assuming their duties. Some employees were late in taking the training despite reminders.

18. 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:

19. Did the head of the agency complete either initial ethics training and/or annual ethics training in 2021?

  • Select One
Yes

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

20. Required Annual Ethics Training

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

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

    b. All other public filers (OGE Form 278e)
406
403

    c. Confidential filers (OGE Form 450 and OGE-approved alternative confidential financial disclosure forms)
9068
8961

    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
9474
9364

  • 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 delayed in completing because of illness/extended leave some employees were granted extensions and completed in January technical difficulties at one bureau delayed launch of confidential training until very late in 2021. Follow-up continues for a small number of employees.

21. Did your agency establish additional requirements for the agency's ethics education program, pursuant to 5 C.F.R. 2638.309?

    My agency established additional training requirements for other groups of employees, beyond those described in 5 C.F.R. 2638.303-308 (notices to new employees and supervisors, initial ethics training, ethics briefings, annual ethics training) Please describe.

  • Please Describe
    DO/HQ: As a refresher, we required new entrant public filers who onboarded before August 1, 2021 and confidential filers who onboarded before June 1 to attend annual ethics training, in addition to new employee ethics training. Five bureaus require all employees to take annual training, regardless of filing status.

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, 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:
    Implemented automated one and two-week email reminders for confidential financial disclosure reports that are due to help improve OGE 450 filing timeliness and dedicate staff resources to other ethics matters.

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.
Other (please specify)

  • Please explain other:
    After sending Global electronic guidance on topics including cryptocurrency and holiday gifts, DO/HQ had an influx of follow-up questions, showing that people are reading the guidance and it is effective.

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

  • Additional Comments
    Q19: The Secretary received required new entrant/initial ethics training, and we also provided an annual briefing as a refresher.
    Q22: Some bureaus did not assess risk.
    Q23: Some bureaus did not evaluate effectiveness of ethics education.

PART 6. ADVICE, COUNSELING, AND REMEDIES

24. From the list below, select the three topics that your employees most frequently sought guidance on in 2021. 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
Outside employment/activities
  • Selection 3
Gift acceptance

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

25. Number of notification statements of negotiation or recusal under section 17(a) of the STOCK Act submitted to the ethics office in 2021 (see 5 C.F.R. 2635.602(a)):

  • Enter total
50

26. Number of 18 U.S.C. 208 waivers granted in 2021:

Number Granted in 2021
Number Sent to OGE
    a. 208(b)(1) waivers
6
6
    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
    Q24: For DO and a couple of bureaus, conflicts of interest rank in the top two categories.

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 Most Cases

    • If not applicable, specify why.
      NA

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

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

Public FilersIn Most Cases

    • If not applicable, specify why.
      NA

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

29. Which electronic filing system(s) does your agency use?

  • Select one
Integrity and Other (specify)

  • Specify Other
    Internally developed systems at DO/HQ + 4 bureaus (OGE 450 filing via Ethics database disclosure (Salesforce application + Ethics Management System e-filing created in Sharepoint.))

30. Indicate for which forms your agency uses the "Other" e-filing system.

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

  • Provide the name of the other system:
    Ethics Management Systems e-filings created in Sharepoint Salesforce OCC Ethics Management System

31. Indicate your fiscal year 2021 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 2021
0		Don’t know/don’t track

b. Amount paid to a federal agency in FY 2021
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 2021
0		Don’t know/don’t track

  • Please explain "Don’t know/don’t track" answer above
    Q31: It is not possible to break out filing costs from ethics database/tracking costs.

32. Indicate the number of filers who filed electronically in fiscal year 2021.

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

    b. confidential financial disclosure filers
4379

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

  • Additional Comments
    Q32: Numbers reported may reflect calendar year for some bureaus.


PART 8. PUBLIC FINANCIAL DISCLOSURE

33. Report the number of public financial disclosure reports (OGE Form 278e) required to be filed by December 31, 2021, excluding SGEs, and the number of reports actually filed (i.e., received) by December 31, 2021.

OGE Form 278e Reports
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
a. New EntrantRequired
0
32
67
33
17
149
Filed
0
32
66
33
17
148
b. AnnualRequired
8
0
477
0
75
560
Filed
8
0
477
0
75
560
c. TerminationRequired
14
26
56
31
21
148
Filed
14
26
56
31
21
148
d. Combination1Required
0
0
5
0
1
6
Filed
0
0
5
0
1
6
    Total
Required
22
58
605
64
114
863
Filed
22
58
604
64
114
862

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 (or departed) the agency on December 15, 2021, and the employee filed a new entrant (or termination) report prior to the end of the calendar year, include the report in your required and filed numbers. If, on January 1, 2022, the employee has not filed a new entrant (or termination) report, do not count that report in your required numbers. Instead, include the report in your 2022 questionnaire response to be filed in 2023.

  • If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
    An employee acting in an SES position for more than 60 days did not file promptly after notification but after being appointed to SES in late December filed in early January.

34. 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 2021?
0
28
59
32
19
138
ii. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
0
26
48
25
11
110
iii. Of those certified or closed in 2021, how many were certified or closed within 60 days?
0
20
35
16
15
86
b. Annual
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2021?
5
4
459
0
74
542
ii. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
4
4
315
0
22
345
iii. Of those certified or closed in 2021, how many were certified or closed within 60 days?
4
3
237
0
58
302
c. Termination
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2021?
15
31
41
34
24
145
ii. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
15
31
40
32
21
139
iii. Of those certified or closed in 2021, how many were certified or closed within 60 days?
12
27
39
32
21
131
d. Combination
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2021?
0
0
9
0
0
9
ii. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
0
0
7
0
0
7
iii. Of those certified or closed in 2021, how many were certified or closed within 60 days?
0
0
6
0
0
6
    Total
i. How many reports did your agency certify or close in 2021?
20
63
568
66
117
834
ii. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
19
61
410
57
54
601
iii. Of those certified or closed in 2021, how many were certified or closed within 60 days?
16
50
317
48
94
525

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.
    Presidential Transition workstream stemming from CARES/ARP pandemic implementation staffing/workload issues.

  • 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
    other (specify)

  • Specify Other
    workload/staffing

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

    • Periodic Transaction Reports Filed
779
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.

36. 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
161
4
4
    b. Number of OGE Form 278-T Reports
22
22
0

37. Number of public financial disclosure filers reported in calendar year 2021 to the Attorney General for failure to file.

  • Enter total
0

38. How many requests for public financial disclosure reports did you receive in 2021? Count each OGE Form 201 as one request, even if it contains a request for documents for multiple individuals.

  • Enter total
18

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

  • Additional Comments
    Q33 & 34: Integrity numbers from the data pull may not be entirely accurate so we also relied on internal data.
    Q36: Integrity may reflect differences in late fee numbers for 278s and 278-Ts because these may have been incorrectly categorized—e.g., waivers for a 278-T were noted on a 278 that was timely filed. Some of the late fee waivers were issued for transactions that were reported late on OGE Form 278e reports, rather than on actual 278-T reports. They are reported in this section, however, because the 278e reports that listed the late transactions were timely filed, and filers were not always required to file separate 278-T reports after reporting the transactions on their 278e reports.

PART 9. CONFIDENTIAL FINANCIAL DISCLOSURE

39. Report the number of confidential financial disclosure reports required to be filed by December 31, 2021, excluding SGEs, and the number of reports actually filed by December 31, 2021.

a. Required
b. Filed
10086
OGE Form 450
6955
OGE-approved alternate form
3125
Total
10086
10080

    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, 2021, 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, 2022 the employee has not filed a new entrant report, do not count that report in your required numbers. Instead, include the report in your 2022 questionnaire response to be filed in 2023.

    If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
  • Explain, if applicable
    Despite reminders sent for these reports that were due in November and December, filers had not complied. As of 2/1/22, one report is outstanding, and the filer is expected to submit imminently.

40. 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 2021?
b. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
c. Of those certified or closed in 2021, how many were certified or closed within 60 days?
OGE Form 450 and OGE-approved alternative
9932
9816
9783

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    Pandemic and administrative-related issues staffing changes at one bureau additional information sought and questions concerning some reports.

  • 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
    other (specify)

  • Specify Other
    administrative delays change in supervisor who could readily identify conflict issues vacancy of supervisor position, especially during transition and some office reorganization change in employee duties tech glitches with or supervisor reluctance to use/follow e-filing process.

41. Number of OGE 450 or OGE-approved alternative forms granted filing extensions in 2021.

  • Enter number
132

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

  • Additional Comments
    Q40: In DO/HQ, the e-filing was not initially designed to capture the initial review date if a report was returned to the filer. An enhancement was made to the e-filing system to capture the initial review date and the return date of an OGE 450.

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

42. Number of disciplinary actions taken in 2021 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.

a. Total number of disciplinary actions that met the above criteria
85

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

    i. Subpart A (General Provisions)
0

    ii. Subpart B (Gifts from Outside Sources)
0

    iii. Subpart C (Gifts between Employees)
0

    iv. Subpart D (Conflicting Financial Interests)
4

    v. Subpart E (Impartiality in Performing Official Duties)
0

    vi. Subpart F (Seeking Other Employment)
0

    vii. Subpart G (Misuse of Position)
69

    viii. Subpart H (Outside Activities)
12

    iv. Agency's supplemental Standards of Conduct
0

43. Number of disciplinary actions taken in 2021 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:

a. Disciplinary actions taken based on violation of ethics laws
0

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

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

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

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

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

    v. 5 U.S.C. app. section 104 or 18 U.S.C. section 1001 (Failure to File or Filing False Public Financial Disclosures)

    vi. 5 U.S.C. app. section 501 (Outside Earned Income)

    vii. 5 U.S.C. app. section 502 (Outside Activities)

44. Number of referrals made in 2021 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).

a. Referrals to Department of Justice
1

b. DOJ Referrals Status
Of the referrals to DOJ (line a.), please note the DOJ referral status:

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

    ii. How many of those referrals were declined for prosecution?
1

    iii. How many of those referrals were pending DOJ’s decision as of December 31, 2021?
0

c. Agency Disciplinary Action Status
Of the referrals to DOJ (line a.), please note the agency disciplinary status:

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

    ii. Of the cases referred to DOJ, how many resulted in a determination not to take disciplinary or corrective action?
0

    iii. Of the cases referred to DOJ, how many are pending a determination as to whether disciplinary or corrective action will be taken?
0

    iv. 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

    v. Of the cases referred to DOJ, how many involved 18 U.S.C. 207, such that there was no option for disciplinary action?
1

45. 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 (Executive Order 13989 ("Ethics Pledge"))

46. 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, 2021? Note: For guidance on what constitutes a full-time non-career appointee for purposes of the Ethics Pledge, LA-21-07

  • Select answer
Yes

47. For each category of appointee, provide the number of full-time non-career appointees appointed between January 20 and December 31, 2021, 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
    01/20 - 12/31/2021
9
1
30
37
0
77
    i. Signed the Ethics Pledge in 2021
5
1
30
37
0
73
    ii. Required to sign the Pledge in 2021 but signed in 2022
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
4
0
0
0
0
4
    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.

48. Holdover appointments

    a. How many individuals appointed in a prior administration stayed on in their position ("holdover appointees") beyond 100 days? Note: For guidance on what constitutes a "holdover appointee" for purposes of the Ethics Pledge, see DO-09-010, DO-09-014, LA-21-05, and LA-21-07. (If zero, skip to Q49)
0

    b. Of the holdover appointees who stayed beyond 100 days, how many signed the Pledge?

    c. For those who did not sign the Pledge, please explain why not:

49. How many appointees were registered lobbyists and/or registered under the Foreign Agents Registration Act during the two years prior to their appointment? For purposes of this question, please include individuals appointed between January 20 and December 21, 2021, and subject to the Ethics Pledge, as well as holdover appointees subject to the Pledge. (if 0 skip to Q52)

  • Enter number
0

50. How many appointees identified in your response to the previous question as registered lobbyists and/or registered under the Foreign Agents Registration Act during the two years prior to their appointment have an ethics agreement addressing their obligations under paragraph 3 of the Ethics Pledge?

  • Enter number

51. For any appointee identified in your response to question 49 who does not have an ethics agreement, please provide their name and an explanation (e.g., Pledge paragraph 3 not reasonably expected to limit participation in any agency matters because appointee's duties sufficiently unrelated to prior lobbying activities.)

52. Section 3 of Executive Order 13989 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 2021, the names of these individuals granted waivers in 2021, 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

53. Were there any violations of Executive Order 13989 during 2021?

  • Select Yes or No
No

54. Please provide information on enforcement actions taken in 2021 as a result of violations of the Executive Order 13989 Pledge.

  • Please type in the box below.
    0

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)

55. How many Special Government Employees (SGEs) did your agency have, in total, during calendar year 2021? (If zero, skip to Additional Comments for this Part.)

  • Enter number
36

56. Initial Ethics Briefing

a. 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, 2021 (5 C.F.R. 2638.304(b)(2))?

Total number
19

    i. How many of those SGEs received IET before or at the beginning of the first meeting?
19

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

    iii. 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.

57. Report the number of SGE public and confidential financial disclosure reports required to be filed by December 31, 2021 and the number of reports actually filed by December 31, 2021.

Confidential Reports
(OGE Form 450 or OGE- Approved Alternative Form)
Public Reports
(OGE Form 278e)
required
filed
required
filed
a. Advisory Committee Members (FACA)
30
30
0
0
b. Advisory Committee Members (non-FACA)
0
0
0
0
c. Experts/Consultants
4
4
1
1
d. Board Members
0
0
0
0
e. Commissioners
0
0
0
0
f. Other
0
0
1
1
TOTAL
34
34
2
2

    Example for new entrant and termination reports: If an employee joined (or departed) the agency on December 15, 2021, and filed a new entrant (or 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 (or termination) report, do not count that report in your required numbers. Instead, include the report in your 2022 questionnaire response to be filed in 2023.

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

58. 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 2021?
34
2
b. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
34
2
c. Of those certified or closed in 2021, how many were certified or closed within 60 days?
34
2

  • 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

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

  • Enter number
0

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

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

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

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

  • Additional Comments

ADDITIONAL QUESTIONNAIRE COMMENTS:

  • Additional Comments