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 Defense - Department of the Air Force

2. Employees

  • Number of full-time agency employees as of December 31, 2021
483155

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

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

b. Time in current DAEO position
1 - 4 years

c. Total years performing ethics duties
10 or more years

d. Percent of time spent on ethics
0-25%

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

f. Number of reporting levels between the DAEO and the agency head.
1

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

a. Vacant (as of December 31, 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
0-25%

e. Is the ADAEO a career employee or a political appointee?
Career employee

5. Number of employees, including the DAEO and ADAEO, who performed ethics program duties in 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
14
28
6
3
10
61
b. Outside the D.C. Metro area
322
390
100
32
32
876
TOTAL
336
418
106
35
42
937

* 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.)
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.)
Other (please describe)

  • Please describe IT support (optional)
    FDM Help

  • Please describe administrative support (optional)
    Tracking of OGE 450’s in FDM, added filers, identified correct supervisors, reminding filers when reports were due, annotated ethics training in FDM, and fulfilled other OGE 450 POC duties

  • Please describe substantive support (optional)

  • Specify Other
    Attending ethics meetings

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

  • 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
No

  • 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
    An entity outside of my agency, other than OGE, (e.g., GAO or a private auditing firm) conducted an evaluation (please describe)

  • Please Describe:
    Outside entity - Entity-level Controls Audit hosted by Financial Management and Comptroller contracted out to Deloitte Financial Advisory Services, LLP)

12. What kind of changes resulted from the evaluation?

    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)
    Outside entity evaluation: no changes resulted - Evaluation is ongoing
    Programmatic changes:
    - Developed updated memorandums
    - Created new handouts to supplement ethics training program
    - Created new process by which annual ethics training is given to OGE Form 450 filers
    - Investigating creation and implementation of an automated way to engage with clients and gather necessary data to implement the program for distantly located units
    - Adjusted format of initial ethics training
    - Updated new employee ethics training presentations
    - Identified better means of proving new employee training
    - Improved record-keeping
    - Ensured SAF/GC and DoD SOCO ethics information provided to new civilian employees during initial ethics training
    Policy changes:
    - Opted to incorporate policies to foster greater efficiency and organization by way of a new record system for maintaining completed initial ethics training

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

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
2
    i. How many new agency leaders received their briefing within 15 days of their appointment?
2
    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
17208
    i. How many of those employees received IET within the 3-month requirement?
15603
    ii. How many of those employees received IET beyond the 3-month requirement?
659
    iii. How many of those employee have not received IET as of today?
946

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.
    - Telework/COVID-19/virtual in-process hiccups
    - Technology issues
    - Personnel absences and departures in Civilian Personnel Offices caused a gap in notifications/tracking of IET
    - Training scheduled for December 2021 (within three month requirement) was rescheduled to January 2022 due to ethics counselor illness
    - TDYs
    - COVID-19 related delays
    - Summer turnover caused delays
    - Communication issues with new employees
    - HR-related delays (not notifying ethics offices’ of new hires)
    - Employee non-compliance

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)
1
1

    b. All other public filers (OGE Form 278e)
628
610

    c. Confidential filers (OGE Form 450 and OGE-approved alternative confidential financial disclosure forms)
26978
26083

    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
27607
26694

  • If applicable, please explain discrepancies between the number of employees who were required to receive training and the number of employees who received training:
    - Employee medical leave
    - Deployment
    - Scheduling conflicts
    - Employee/military member failure to respond to multiple requests to take training
    - Employee/military members left the Air Force prior to completing training
    - Staffing issues
    - Administrative oversight
    - Technology issues
    - Employee non-compliance

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


    No, my agency did not establish additional training requirements

  • Please Describe

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


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

  • Please explain other:

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


Conducted self-assessments to ensure that required employees are receiving training, 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:
    Reorganized filers in FDM sought feedback after ethics training.

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

  • Additional Comments

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
Gift acceptance
  • Selection 2
Financial Disclosure Reporting
  • Selection 3
Outside employment/activities

  • 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
39

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
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

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 Some Cases (specify why, below)

    • If not applicable, specify why.
      NA

    • If "never" or "in some cases", please explain further:
      - HR offices do not track/are not reporting new filers
      - Administrative oversight
      - Civilian Personnel Office provides information that is inaccurate and unusable
      - HR declined to provide notification
      - Relied on supervisors vs. HR

    b. Confidential Filers
In Some Cases (specify why, below)

    • If not applicable, specify why.
      NA

    • If "never" or "in some cases", please explain further:
      - HR offices do not track/are not reporting new filers
      - Administrative oversight
      - Civilian Personnel Office provides information that is inaccurate and unusable
      - HR declined to provide notification
      - Relied on supervisors vs. HR

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

Public FilersIn Some Cases (specify why, below)

    • If not applicable, specify why.
      NA

    • If "never" or "in some cases", please explain further:
      - HR does not track and/or has taken the position that it is “not their responsibility”
      - Filers contact Ethics Counselors directly to inform he/she of his/her termination
      - One Air Force has developed its own tracking system and provides the information to HR
      - Attorneys track the requirement, not HR

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

  • Select one
Integrity and Other (specify)

  • Specify Other
    Army’s Financial Disclosure Management System

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:
    Army’s Financial Disclosure 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 2021Don’t know/don’t track
Don’t know/don’t track

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

  • Please explain "Don’t know/don’t track" answer above
    Expenses for the Army’s Financial Disclosure Management System are tracked and reported by the Army.

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
31645

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

  • Additional Comments


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
1
19
3
94
117
Filed
0
1
19
3
92
115
b. AnnualRequired
0
1
187
0
541
729
Filed
0
1
187
0
536
724
c. TerminationRequired
5
2
10
7
80
104
Filed
5
2
10
7
79
103
d. Combination1Required
1
0
0
0
10
11
Filed
1
0
0
0
10
11
    Total
Required
6
4
216
10
725
961
Filed
6
4
216
10
717
953

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.
    - One filer retired on 30 Nov 21 and requested/received a 30-day extension of his termination OFE Form 278e
    - Ethics office was not notified in time
    - Some filers PCS'd (Permanent Change of Station) to installation but were not assigned reports in time/ethics office assumed they filed at their previous installation so reports were not assigned

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
1
16
3
84
104
ii. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
0
1
14
3
69
87
iii. Of those certified or closed in 2021, how many were certified or closed within 60 days?
0
1
13
3
57
74
b. Annual
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2021?
0
1
178
0
529
708
ii. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
0
1
172
0
399
572
iii. Of those certified or closed in 2021, how many were certified or closed within 60 days?
0
1
163
0
336
500
c. Termination
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2021?
5
2
8
7
73
95
ii. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
5
2
8
7
62
84
iii. Of those certified or closed in 2021, how many were certified or closed within 60 days?
5
2
8
7
58
80
d. Combination
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2021?
1
0
0
0
10
11
ii. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
1
0
0
0
8
9
iii. Of those certified or closed in 2021, how many were certified or closed within 60 days?
1
0
0
0
5
6
    Total
i. How many reports did your agency certify or close in 2021?
6
4
202
10
696
918
ii. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
6
4
194
10
538
752
iii. Of those certified or closed in 2021, how many were certified or closed within 60 days?
6
4
184
10
456
660

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.
    - Deployment
    - COVID-19
    - Medical issues
    - Office turnover
    - Administrative oversight

  • 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
    Waiting for supervisor to sign

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

    • Periodic Transaction Reports Filed
756
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
149
9
1
    b. Number of OGE Form 278-T Reports
62
5
1

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
6

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

  • Additional Comments

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
29090
OGE Form 450
29014
OGE-approved alternate form
1
Total
29090
29015

    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
    - Filer medical issues
    - Deployment
    - Filer non-compliance, despite repeated notices
    - Permanent Change of Station
    - Technical issues with FDM
    - Turnover/lack of continuity in ethics office
    - Filers not identified and unknown to counsel’s office -One wing has a local filing requirement for certain employees such as contracting officer representatives who are not normally required by the CFR or Air Force regulations to submit an OGE 450, hence more filed OGE 450s than required by regulation

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
28837
27058
26640

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    - High OPTEMPO
    - Personnel shortages/changes
    - COVID-19 related issues
    - In need of OGE Form 450 training
    - Administrative oversight
    - Supervisor workload/unable to certify within a timely manner
    - Additional information sought/supervisor needed to re-certify
    - Deployment
    - Filer non-compliance
    - Technical issues w/ FDM

  • 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

  • Specify Other
    NA

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

  • Enter number
137

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

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
17

    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)
1

    iii. Subpart C (Gifts between Employees)
1

    iv. Subpart D (Conflicting Financial Interests)
0

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

    vi. Subpart F (Seeking Other Employment)
0

    vii. Subpart G (Misuse of Position)
15

    viii. Subpart H (Outside Activities)
0

    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?
0

    iii. How many of those referrals were pending DOJ’s decision as of December 31, 2021?
1

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?
1

    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?
0

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
No (specify why)

  • Please Specify Why
    One of the Major Commands was unaware that the USAF Office of Special Investigations (OSI) referred an acquisition fraud allegation to DoJ until it collected data for the annual questionnaire. Per the instructions on the OGE Form 202, the referring office (OSI in this case) is responsible for completing the OGE Form 202 and sending it to OGE. The Major Command’s Ethics Official, through its contracts law attorney at the affected installation contacted OSI to remind them of the requirement and requested a copy. Upon learning that OSI had not submitted an OGE Form 202 as required by 5 C.F.R. § 2638.206(a), the contracts law attorney completed the form with the OSI contact and referral information and emailed it to OGE

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
2
0
1
3
0
6
    i. Signed the Ethics Pledge in 2021
2
0
1
3
0
6
    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
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.

  • 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)
1

    b. Of the holdover appointees who stayed beyond 100 days, how many signed the Pledge?
0

    c. For those who did not sign the Pledge, please explain why not:
    Our HR did not have our Acting Secretary John Roth sign the ethics pledge as a holdover PAS. He held over from 20 January 2021 until 28 July 2021 and stepped down when HON Kendall was confirmed as SecAF.

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.
    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)

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
42

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
0

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

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

    iii. 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.

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)
0
0
0
0
b. Advisory Committee Members (non-FACA)
0
0
0
0
c. Experts/Consultants
12
8
8
8
d. Board Members
0
0
0
0
e. Commissioners
0
0
0
0
f. Other
0
0
20
20
TOTAL
12
8
28
28

    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.
    HR did not notify the ethics division that unpaid/paid consultants were onboarded

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?
6
47
b. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
6
43
c. Of those certified or closed in 2021, how many were certified or closed within 60 days?
6
37

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    We were unaware of the unpaid/paid consultants’ OGE Form 450s (there were a total of 6 at the HQ level).

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

    other (specify)

  • Specify Other
    Gov’t-wide FACA stand-down. HR did not notify the ethics division that unpaid/paid consultants were onboarded thus, his/her OGE Form 450s were not certified by an ethics counselor

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
11
0
0

      b. Number of OGE Form 450 or OGE-Approved Alternative Forms
3

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

  • Additional Comments
    The Secretary of Defense ordered a FACA standdown at the end of January 2021. Air University Board of Visitors (BOV) and the Scientific Advisory Board were instructed to terminate all members therefore no SGEs were appointed in 2021 from those two boards. The USAFA BOV had 8 members appointed at the end of CY21, but the USAFA BOV did not have quorum to hold a meeting, therefore, no administrative requirements were met.

ADDITIONAL QUESTIONNAIRE COMMENTS:

  • Additional Comments