2021 AGENCY ETHICS PROGRAM QUESTIONNAIRE

Status >>>
Submitted and Locked
<<< Status

Here is the unique link to your questionnaire (the link below)

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.

FAQ's:

Which Internet browser should I use?

How do I save a draft of my response?

How do I access my saved draft and edit the questionnaire?

Why is the field highlighted yellow?

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

Can I edit my response if I made an error?

Can I increase the font size?

Can more than one person work on the questionnaire response?

I accidentally created more than one agency response. Which one should I use?

If you have any further questions, please contact Wendy Pond at wgpond@oge.gov.

PART 3. DEFINITIONS

Agency Head: For purposes of this questionnaire, in the case of an agency headed by more than one person, the chair or comparable member of such agency.

D.C Metro Area: For purposes of this questionnaire, D.C. Metro Area means the District of Columbia, DC; Calvert County, MD; Charles County, MD; Prince George's County, MD; Arlington County, VA; Clarke County, VA; Culpeper County, VA; Fairfax County, VA; Fauquier County, VA; Loudoun County, VA; Prince William County, VA; Rappahannock County, VA; Spotsylvania County, VA; Stafford County, VA; Warren County, VA; Alexandria city, VA; Fairfax city, VA; Falls Church city, VA; Fredericksburg city, VA; Manassas city, VA; Manassas Park city, VA; Jefferson County, WV; and, Silver Spring-Frederick-Rockville, MD Metropolitan Division Frederick County, and Montgomery County.

Full-time Agency Employees: For purposes of this questionnaire, the term “full-time agency employees” includes employees detailed to another agency. It also includes officers, but not enlisted members, of the uniformed services.

Special Government Employee (SGE): For purposes of this questionnaire, the term “special Government employee” (SGE) means an officer or employee who is retained, designated, appointed, or employed, to perform temporary duties either on a full-time or intermittent basis, with or without compensation, for not more than 130 days during any period of 365 consecutive days. The term “SGE” does not include enlisted members, of the Armed Forces. It does, however, include these categories of officers or employees:
  • Part-time United States commissioners;
  • Reserve officers of the Armed Forces and officers of the National Guard of the United States (unless otherwise officers or employees of the United States) while on active duty solely for training or serving involuntarily.

PART 4. ORGANIZATION/RESOURCES

1. Agency

  • Department of Defense - Office of the Secretary of Defense

2. Employees

  • Number of full-time agency employees as of December 31, 2021
73026

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

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

b. Time in current DAEO position
Less than 1 year

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?
Political 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
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
29
33
8
8
17
95
b. Outside the D.C. Metro area
47
174
34
10
10
275
TOTAL
76
207
42
18
27
370

* 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.)

  • Please describe IT support (optional)

  • Please describe administrative support (optional)

  • Please describe substantive support (optional)
    One Defense Agency uses contracted law clerks who perform technical financial disclosure reviews and prepare documents from templates as part of their overall work for the legal office.

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

  • Please Describe:
    The Government Accountability Office (GAO) conducted an audit of certain post-government employment (PGE) requirements. (see GAO Final Report GAO-21-104311).

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)
    Programmatic changes resulting from DoD internal evaluations varied by agency/command.
    The GAO PGE audit resulted in DoD initiating DFARS Case No 2021-D030 to add FY 2018 NDAA Section 1045 compliance certification to existing contractor PGE certifications.

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
    Q11 - The DoD Standards of Conduct Office (SOCO) conducts Program Assist Vists/Reviews with each Deputy Designated Agency Ethics Official (DDAEO) agency/command every three to four years.

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
20
    i. How many new agency leaders received their briefing within 15 days of their appointment?
20
    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
6568
    i. How many of those employees received IET within the 3-month requirement?
6128
    ii. How many of those employees received IET beyond the 3-month requirement?
404
    iii. How many of those employee have not received IET as of today?
36

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.
    The vast majority of agencies/commands achieved on time completion. However, there are two agencies with large numbers of transient/temporary personnel comprised of substitute school teachers and retail store employees working on sporadic schedules in non-traditional settings. While every effort is made to have these individuals complete the training, access is not always available, resulting in a relatively small percentage of personnel failing to meet this requirement. DoD will continue to look for ways to improve training delivery to these personnel. The remaining discrepancy relates to an individual who was identified late and delayed in obtaining system access, however, training is scheduled to occur in early 2022.

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?

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

  • 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)
2
2

    b. All other public filers (OGE Form 278e)
828
814

    c. Confidential filers (OGE Form 450 and OGE-approved alternative confidential financial disclosure forms)
16163
16079

    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.)
2481
2481

TOTAL
19474
19376

  • If applicable, please explain discrepancies between the number of employees who were required to receive training and the number of employees who received training:
    OGE 278 Filers – Two entities experienced issues in training: One command had senior leader training scheduled, but then cancelled due to emerging operational exigencies and they were unable to be re-scheduled until Jan 2022, at which time it was completed. The other entity experienced an error in their Learning Management System, such that the training was not assigned to a small group of senior personnel. That has been corrected and make-up training is being scheduled.
    *** OGE 450 Filers – Most were due to either extended leave/deployment or difficulties in accessing training due to COVID restrictions, and filers were or will be required to take the training upon return. Others related to issues with learning management systems, which have been or are in the process of being corrected.

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 procedures (e.g., certification procedures). See 5 C.F.R. 2638.309(c). Please describe.

  • Please Describe
    On March 21, 2021, the Agency Head directed that live, leader led, values based training should be the primary training methodology.

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.

  • 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.

  • Please explain other:

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

  • Additional Comments
    Q16 - DoD requires that PAS officials receive their initial briefing within seven days of commencing service.

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
Post-employment restrictions
  • 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
56

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 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
    Financial Disclosure Management (FDM) 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:
    FDM

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
    The Army is the DoD Executive Agent for the FDM filing system and as such, all funding for DoD users comes from Army appropriations.

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
17035

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

  • Additional Comments
    Q27-28 – Most agencies/commands reported that they receive in all or most instances. For those few reporting never or N/A, the ethics office tracked or utilized another system/office to track.


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
69
29
42
33
173
Filed
0
66
29
42
33
170
b. AnnualRequired
2
82
234
3
83
404
Filed
2
82
234
3
81
402
c. TerminationRequired
13
66
22
42
14
157
Filed
13
66
21
42
12
154
d. Combination1Required
0
2
1
0
1
4
Filed
0
2
1
0
1
4
    Total
Required
15
219
286
87
131
738
Filed
15
216
285
87
127
730

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.
    Most discrepancies appear to be related to test reports used by ethics officials for training purposes and reports with due dates extended to 2022.

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
65
27
42
31
165
ii. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
0
64
23
42
29
158
iii. Of those certified or closed in 2021, how many were certified or closed within 60 days?
0
50
15
31
28
124
b. Annual
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2021?
2
81
229
3
78
393
ii. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
2
77
216
3
73
371
iii. Of those certified or closed in 2021, how many were certified or closed within 60 days?
2
55
174
3
64
298
c. Termination
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2021?
13
67
20
41
13
154
ii. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
13
66
20
41
12
152
iii. Of those certified or closed in 2021, how many were certified or closed within 60 days?
12
60
19
37
10
138
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
2
1
0
1
4
ii. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
0
2
1
0
1
4
iii. Of those certified or closed in 2021, how many were certified or closed within 60 days?
0
2
1
0
1
4
    Total
i. How many reports did your agency certify or close in 2021?
15
215
277
86
123
716
ii. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
15
209
260
86
115
685
iii. Of those certified or closed in 2021, how many were certified or closed within 60 days?
14
167
209
71
103
564

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.
    Personnel turnover and IT issues were the most common reasons given.

  • 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

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

    • Periodic Transaction Reports Filed
590
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
129
14
1
    b. Number of OGE Form 278-T Reports
27
17
17

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
24

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

  • Additional Comments
    Q33 & 34 – General and Flag officers on joint duty assignments file OGE 278 forms with the individual officer’s respective Military Department DAEO Agency in Integrity, but the reports are reviewed and certified by ethics officials at the agency/command where they are assigned. This ensures that the officers’ reports remain accessible even with frequent transfers to new assignments, while providing the local visibility necessary to help prevent conflicts of interest. Q38 – Several of these were large requests for multiple filers and years, with one request seeking six years of reports for 250 filers (over 1000 documents).

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
17675
OGE Form 450
85
OGE-approved alternate form
17562
Total
17675
17647

    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
    Most agencies/commands cited staffing and personnel turnover and IT issues.

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
17352
17034
16566

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    Several agencies/commands experienced a variety of issues. Most commonly cited were ethics personnel turnover, workload, and failure to use system functionality to record initial review dates and track deadlines. Extended leave and IT issues were also cited.

  • 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

  • Specify Other
    NA

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

  • Enter number
135

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
46

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

    i. Subpart A (General Provisions)
1

    ii. Subpart B (Gifts from Outside Sources)
2

    iii. Subpart C (Gifts between Employees)
0

    iv. Subpart D (Conflicting Financial Interests)
0

    v. Subpart E (Impartiality in Performing Official Duties)
3

    vi. Subpart F (Seeking Other Employment)
1

    vii. Subpart G (Misuse of Position)
40

    viii. Subpart H (Outside Activities)
1

    iv. Agency's supplemental Standards of Conduct
1

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
2

    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)
0

    ii. 18 U.S.C. section 205 (Claims Against and Matters Affecting the Government)
0

    iii. 18 U.S.C. section 208 (Acts Affecting a Personal Financial Interest)
2

    iv. 18 U.S.C. section 209 (Supplementation of Salary)
0

    v. 5 U.S.C. app. section 104 or 18 U.S.C. section 1001 (Failure to File or Filing False Public Financial Disclosures)
0

    vi. 5 U.S.C. app. section 501 (Outside Earned Income)
0

    vii. 5 U.S.C. app. section 502 (Outside Activities)
0

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
0

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?

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

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

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?

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

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

    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?

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

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
Not applicable because no covered referrals were made to DOJ

  • Please Specify Why

ADDITIONAL COMMENTS FOR PART 10. Please indicate the question number to which the comment corresponds.

  • Additional Comments

PART 11. ETHICS PLEDGE ASSESSMENT (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
17
0
66
74
0
157
    i. Signed the Ethics Pledge in 2021
13
0
64
74
0
151
    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
2
0
0
6
    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?
1

    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
0

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.
    None.

ADDITIONAL COMMENTS FOR PART 11. Please indicate the question number to which the comment corresponds.

  • Please type in the box below.
    Q49-51: The ethics office does not track this data.


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
1620

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
50

    i. How many of those SGEs received IET before or at the beginning of the first meeting?
50

    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)
50
50
0
0
b. Advisory Committee Members (non-FACA)
0
0
0
0
c. Experts/Consultants
67
67
11
10
d. Board Members
0
0
0
0
e. Commissioners
0
0
0
0
f. Other
0
0
0
0
TOTAL
117
117
11
10

    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.
    One ethics office is still working with a filer on an extremely complex report following the filer’s transition of his portfolio from one brokerage to another.

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?
113
9
b. Of those certified or closed in 2021, how many were initially reviewed within 60 days?
113
8
c. Of those certified or closed in 2021, how many were certified or closed within 60 days?
113
7

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    One filer with an extensive portfolio requiring a significant amount of time to ensure information is accurate.

  • 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

  • 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
1432

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
3
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