2022 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, 2023. (5 C.F.R. 2638.207(a)).

PART 2. INSTRUCTIONS

Your response to this questionnaire should reflect the 2022 calendar year (i.e., 1/1/2022 through 12/31/2022), 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 2021 report. To safeguard privacy, in your responses, please avoid the use of Personally Identifiable Information (PII). 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 Chris Brown at cbrown@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, 2022
473522

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

a. Vacant (as of December 31, 2022)?
No

b. Time in current DAEO position
Less than 1 year

c. Total years performing ethics duties
Less than 1 year

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, 2022)?
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 2022 (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
33
28
9
2
10
82
b. Outside the D.C. Metro area
550
405
119
33
42
1149
TOTAL
583
433
128
35
52
1231

* FTE = Full Time Equivalent

Example: The table below provides an example of an agency with 13 employees that performed ethics
program duties in 2022.

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 Desk (OGE Form 450 e-filing system)

  • Please describe administrative support (optional)
    One base - several contractor personnel assisted with tracking of OGE 450s in FDM, added filers, identified correct supervisors, reminded filers when reports were due, annotated ethics training in FDM

  • Please describe substantive support (optional)

  • Specify Other
    Attended monthly ethics meetings hosted by the DoD Standards of Conduct Office

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
Yes

  • Please provide the name(s) of the federal agency or entity:
    1) U.S. Army Judge Advocate General’s Legal Center and School. 2) DoD Standards of Conduct Office.

  • Describe the services or support received:
    1) Training to ethics counselors at the 20th Ethics Counselors Course. 2) Advice on ethics issues that the other services may encounter to ensure consistency of advice.

8. Did your agency provide ethics program services or support for any board, commission, or agency that is independant of your agency?

  • Select Yes or No
Yes

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

  • Describe the services or support provided:
    litigation support for OSC investigation of a Whistleblower complaint

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

  • Select type of resources

    Human Capital, Technology
    Other (specify below)

  • Specify Other
    additional training and reference materials

10. Did the agency head meet with the ethics staff to discuss the strengths and weaknesses of the ethics program in 2022?

  • 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 2022 (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:
    An entry-level controls audit was hosted by Financial Management and Comptroller and contracted out to Deloitte Financial Advisory Services. This is a yearly audit of different programs within the Air Force.

12. What kind of changes resulted from the evaluation?

    Programmatic changes (please describe), Policy changes (please describe)

    Recommendations still being considered (please describe)

  • Please Describe: (Please describe programmatic or policy changes; Specify why no changes resulted; Specify why recommendations still being considered; Specify why not applicable)
    Programmatic changes from agency evaluations (responses from several bases): Minor tweaks to annual training and filing notices and spreadsheets. Implemented new processes to improve communications with local personnel office to ensure new civilian employees received initial ethics training within required timeframe. Moved to virtual ethics training. Policy changes from outside audit: created standard operating procedure to better track initial ethics training department-wide. Recommendation being considered: One base is considering how to develop a better tracking system for annual 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
    Q9 – Need to develop or acquire software to track initial and annual ethics training for the Department of the Air Force. Q11 – The Office of The Judge Advocate General of the Air Force performed inspections (which included inspections of ethics programs) of several installation legal offices. Several Air Force major commands also performed inspections (which included inspections of the ethics programs) of their installation legal offices. Individual legal offices within one command conducted internal bi-annual self-inspections of their programs, including ethics. Q12 – One base identified shortfall in tracking whether all new employees received initial ethics training. Implemented a revised process that will ensure all new employees will receive initial ethics training in accordance with the regulation. New employees will now receive an in-person interactive briefing during initial onboarding briefings. Ethics office will maintain logs annotating when new employees receive initial ethics training.

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?

    Some of the offices provided written confirmation to the DAEO (explain why not all offices, then skip to #16)

  • Please Explain why not all offices:
    One HR office at Headquarters Air Force provided an incomplete response. Unclear whether that office is responsible for issuing ethics notices to prospective employees.

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, 2022? Exclude SGEs that were expected to serve less than 60 days on a board, commission, or committee.
Total Number
5
    i. How many new agency leaders received their briefing within 15 days of their appointment?
5
    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.
    N/A

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, 2022 (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
13346
    i. How many of those employees received IET within the 3-month requirement?
13036
    ii. How many of those employees received IET beyond the 3-month requirement?
166
    iii. How many of those employee have not received IET as of today?
144
    iv. Do not track

Example: If an employee started at the agency on December 15, 2022, 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, 2023, the employee has not completed IET, do not count that employee in your required numbers. Instead, include the employee in your 2023 questionnaire response to be filed in 2024.

  • If applicable, please explain why some employees received IET beyond the 3-month requirement or have yet to receive IET.
    1) An SGE was non-responsive to repeated e-mails from both the ethics office and designated federal liaison officer. Individual is no longer serving as an SGE. 2) Employees resigned shortly after being hired and before completing training requirement. 3) Employee was on parental leave during the 3-month period. 4) COVID-19 restrictions delayed ethics counselors’ ability to meet with incoming employees and provide in-person training as required by policy of one installation. 5) USAF healthcare billets were reassigned to the Defense Health Agency. Ethics officials had difficulty contacting new healthcare providers regarding IET. 6) Several field offices did not receive confirmation of all of their employees’ completion of IET prior to due date of questionnaire. Those employees may have completed the training. 7) One field office did not maintain a complete log of employees who attended training. That office has amended its procedures to track the attendees. 8) Significant turnover in several legal offices impacted tracking of initial ethics training. The major command for these offices will work to improve tracking mechanisms for initial ethics training. 9) Local civilian personnel office did not inform ethics office when a new employee completed training so that ethics office could follow-up. 10) Local civilian personnel office does not tell prospective OGE Form 450 filers to contact supervisor and ethics official about training requirement. When the personnel office does notify the new employees of the training requirement, the ethics official is not aware of which employees have been notified. Ethics office working on process to obtain employment and inbound rosters of personnel in order to identify new employees. 11) Some employees were non-responsive to reminders from ethics officials and supervisors about initial training requirement. Ethics officials continue to work with supervisors to have these employees attend training.

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 2022?

  • 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)
803
786

    c. Confidential filers (OGE Form 450 and OGE-approved alternative confidential financial disclosure forms)
26218
25271

    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.)
58
58

TOTAL
27080
26116

  • If applicable, please explain discrepancies between the number of employees who were required to receive training and the number of employees who received training:
    1) Some filers did not respond to requests by ethics officials to attend training. Ethics officials contacted supervisors of those employees and are working to have them complete training in January 2023. Some filers responded and completed training in January 2023. 2) Excused from training due to long-term medical leave. 3) Deployed and had difficulty accessing website containing training. 4) Added to 450 e-filing system after 1 January 2023 for positions they assumed in mid-2022. Not picked up for training in 2022. 5) Left government service before due date to complete training. 6) Filer transferred to another installation. Did not receive training at base where filer originally filed. 7) General and Flag officers detailed to joint assignments with other DoD DAEO Agencies file with the Military Department DAEO Agency but are trained at their duty location. Therefore, these individuals are not included in Military Department DAEO Agency training numbers.

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.
Other (please specify)

  • Please explain other:
    1) Provided annual ethics training specific to contract officer representatives, which helps in identifying issues needing further training. 2) Worked with Government Purchase Card Program manager to provide ethics training to new government purchase card holders and approving officials. 3) Reviewed ethics training materials during self-inspections. Judge Advocate General’s team reviewed materials during inspection.

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:
    1) Reviewed training and method of training of sister services. 2) Major command collected feedback at symposium held for the staff judge advocates and law office managers of legal offices in the command. 3) Wing legal offices performed self-assessments of ethics program.

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

  • Additional Comments
    Q15 - All written offers of employment for positions covered by the Standards of Conduct include the information required by 5 CFR 2638.303. Q20 – The personnel listed in item Question 20d are Air Force employees in acquisition-coded positions that require Annual Ethics Training but not the filing of an OGE 450. They are financial management and IT personnel.

PART 6. ADVICE, COUNSELING, AND REMEDIES

24. From the list below, select the three topics that your employees most frequently sought guidance on in 2022. 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 2022 (see 5 C.F.R. 2635.602(a)):

  • Enter total
29

26. Number of 18 U.S.C. 208 waivers granted in 2022:

Number Granted in 2022
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:
      1) Other entities such as the Air Force Ethics Office or supervisors notify local ethics offices of appointments. 2) In-processing checklist for some bases require new employees to contact legal office to inquire about filing status. 3) Some civilian personnel offices in the field do not inform the legal office when new employees are hired. Ethics offices did not know why. Many field legal offices are working with civilian personnel to establish a notification process. 4) Some offices receive rosters from personnel office showing who has been hired in the prior 30 days. Will miss 15-day deadline for some personnel.

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

    • If not applicable, specify why.
      NA

    • If "never" or "in some cases", please explain further:
      1) Other entities such as the Air Force Ethics Office or supervisors notify local ethics offices of appointments.

      2) In-processing checklist for some bases require new employee to contact legal office to inquire about filing status. 3) Some civilian personnel offices in the field do not inform the legal office when new employees are hired. Ethics offices did not know why. Many field legal offices are working with civilian personnel to establish a notification process. 4) Some offices receive rosters from personnel office showing who has been hired in the prior 30 days. Will miss 15-day deadline for some personnel.

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:
      1) At some installations, the filers, their supervisors or the contracting officer representatives notify their ethics office of retirements. Termination filing requirement is covered in annual ethics training.

      2) Some offices receive rosters from personnel office showing who retired in the prior 30 days. Will miss 15-day deadline for some personnel.

      3) Local personnel office not aware of requirement to notify legal office of terminations. 4) During onboarding sessions, ethics officials identify filers when training on filing requirement. 5) Response from one base - Legal office has system for identifying filers and provides the information to their civilian personnel office.

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 2022 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 2022
0		Don’t know/don’t track

b. Amount paid to a federal agency in FY 2022
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 2022
0		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 2022.

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

    b. confidential financial disclosure filers
27514

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

  • Additional Comments
    All of the public financial disclosure filers in the Department of the Air Force file in Integrity.


PART 8. PUBLIC FINANCIAL DISCLOSURE

33. Report the number of public financial disclosure reports (OGE Form 278e) required to be filed by December 31, 2022, excluding SGEs, and the number of reports actually filed (i.e., received) by December 31, 2022.

OGE Form 278e Reports
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
a. New EntrantRequired
0
2
23
7
82
114
Filed
0
2
21
7
76
106
b. AnnualRequired
2
2
179
2
543
728
Filed
2
2
179
2
541
726
c. TerminationRequired
0
2
22
1
76
101
Filed
0
2
21
1
72
96
d. Combination1Required
0
0
6
0
17
23
Filed
0
0
6
0
16
22
    Total
Required
2
6
230
10
718
966
Filed
2
6
227
10
705
950

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, 2022, 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, 2023, 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 2023 questionnaire response to be filed in 2024.

  • If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
    1) Civilian personnel did not notify ethics officials of some appointments. Ethics officials learned of appointments either directly from the senior civilian officials when they received annual training or the ethics officials discovered the appointments while preparing for the 2023 filing season. Ethics officials assigned the reports. Filers are working on them. 2) Civilian personnel did not notify ethics official of a retirement. Filer has been notified and indicated he would comply. Ethics official is trying to collect the report from him. 3) Ethics official was not notified of a general officer retirement. Assigned report as soon as he learned of the retirement, and filer is working on report. 4) Filer thought that he signed his termination report in Integrity. Ethics office is working with him to collect the signature.

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 2022?
0
1
25
5
72
103
ii. Of those certified or closed in 2022, how many were initially reviewed within 60 days?
0
1
25
5
65
96
iii. Of those certified or closed in 2022, how many were certified or closed within 60 days?
0
1
24
5
45
75
b. Annual
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2022?
2
2
171
2
525
702
ii. Of those certified or closed in 2022, how many were initially reviewed within 60 days?
2
2
167
2
463
636
iii. Of those certified or closed in 2022, how many were certified or closed within 60 days?
2
2
153
2
318
477
c. Termination
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2022?
0
2
19
1
70
92
ii. Of those certified or closed in 2022, how many were initially reviewed within 60 days?
0
2
18
1
63
84
iii. Of those certified or closed in 2022, how many were certified or closed within 60 days?
0
2
15
1
55
73
d. Combination
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2022?
0
0
6
0
15
21
ii. Of those certified or closed in 2022, how many were initially reviewed within 60 days?
0
0
6
0
14
20
iii. Of those certified or closed in 2022, how many were certified or closed within 60 days?
0
0
6
0
12
18
    Total
i. How many reports did your agency certify or close in 2022?
2
5
221
8
682
918
ii. Of those certified or closed in 2022, how many were initially reviewed within 60 days?
2
5
216
8
605
836
iii. Of those certified or closed in 2022, how many were certified or closed within 60 days?
2
5
198
8
430
643

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.
    1) Supervisor absences/lack of awareness of the need to review and sign the report within 60 days delayed the initial review by the ethics official. 2) Medical leave by two ethics officials responsible for reviewing 278s. Undermanned office did not have sufficient attorneys to reassign the review of 278s.

  • 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
    1) Supervisor absences/lack of awareness of the need to review and sign the report within 60 days delayed the certification by the ethics officials. 2) Medical leave by two ethics officials responsible for reviewing 278s. Undermanned office did not have sufficient attorneys to reassign the review of 278s. 3) Turnover of supervisors and ethics officials led to delay in reviewing and certifying reports. 4) Unfamiliarity with Integrity e-filing system and closing out reports in the system. 5) Heavy workload of ethics officials

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

    • Periodic Transaction Reports Filed
606
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
224
8
0
    b. Number of OGE Form 278-T Reports
68
10
0

37. Number of public financial disclosure filers reported in calendar year 2022 to the Attorney General for failure to file.

  • Enter total
0

38. How many requests for public financial disclosure reports did you receive in 2022? Count each OGE Form 201 as one request, even if it contains a request for documents for multiple individuals.

  • Enter total
8

39. How many documents requested under the Ethics in Government Act did you release in calendar year 2022?

  • Enter total
0

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

  • Additional Comments
    Q39 – HQ Air Force received one request, but the request was not correctly completed. DoD requires that requestor include the names of the persons whose reports they want. Air Force asked requestor to fill out the OGE Form 201 with the names of the filers whose reports were requested and to resubmit the Form 201. No subsequent request was submitted to the Air Force, but may have been submitted to DoD. One field office that received 2 requests for reports did not know/did not track any release.

PART 9. CONFIDENTIAL FINANCIAL DISCLOSURE

40. Report the number of confidential financial disclosure reports required to be filed by December 31, 2022, excluding SGEs, and the number of reports actually filed by December 31, 2022.

a. Required
b. Filed
27938
OGE Form 450
26756
OGE-approved alternate form
0
Total
27938
26756

    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, 2022, 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, 2023 the employee has not filed a new entrant report, do not count that report in your required numbers. Instead, include the report in your 2023 questionnaire response to be filed in 2024.

    If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
  • Explain, if applicable
    1) Administrative errors: Filers left before the filing season began and remained in the e-filing system. Some new entrant filers who were reassigned to another installation within a major command were given filer roles in the e-filing system, but 450s were not assigned to them. Problem identified in Dec 2022 and 450s were assigned to them.

    2) Deployed filer took emergency leave and was delayed in filing report until 2023. 3) Some field ethics offices did not identify some persons as new entrant filers until late in the CY. Once the offices identified the filers, they assigned 450s and are working to collect the reports. 4) Filer forgot about his obligation to file. Ethics office did not have accurate contact information for filer until recently. Once the office had the correct contact information, filer was reminded to file. 5) Some filers ignored repeated reminders to file until after filing deadline had passed. Ethics offices working with supervisors to collect the reports.

41. 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 2022?
b. Of those certified or closed in 2022, how many were initially reviewed within 60 days?
c. Of those certified or closed in 2022, how many were certified or closed within 60 days?
OGE Form 450 and OGE-approved alternative
27149
25233
25180

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    1) Personnel turnover and lack of continuity in the ethics office at several field ethics offices delayed initial review. 2) Personnel shortages at several field ethics offices delayed initial review. 3) Ethics personnel in one major command were diverted to process the high volume of requests for exemption (over 2,000) from the COVID-19 vaccination requirement. Delayed initial review of 450s. 4) Ethics officials sought additional information from filers and filers did not respond within 60 days. 5) Encountered difficulty in getting supervisors to review and sign reports. 6) Technical issue with FDM not recognizing the proper initial review date resulted in a late initial review date being recorded for some 450s even when the initial review was actually concluded within 60 days. 7) Technical issue with FDM – the dashboard screen that should display how many reports are open does not correctly display all open reports. Ethics officials relying on this page missed 450s that were still open. Ethics officials now use an alternate method to locate open 450s. 8) Heavy workload in Civil Law division, which includes the Ethics section, delayed initial review

  • If applicable, please explain why some reports were certified or closed more than 60 days after submission. Check all that apply.
    additional information was being sought, remedial action was being taken
    other (specify)

  • Specify Other
    1) Personnel turnover and lack of continuity at several field ethics offices delayed certification. 2) Personnel shortages at several field ethics offices delayed certification. 3) Ethics personnel in one major command were diverted to process the high volume of requests for exemption (over 2,000) from the COVID-19 vaccination requirement. Delayed certification of 450s. 4) Ethics officials sought additional information from filers and filers did not respond within 60 days. 5) Supervisor of a 450 filer was not identified until after 60 days had passed. 6) Problems with obtaining signatures of supervisors - supervisors were deployed or did not respond to requests of ethics officials to sign 450s. When they did sign the 450s, more than 60 days had passed, causing ethics officials to certify 450s after they were 60 days old. 7) New supervisor was not familiar with FDM. Led to delay in supervisor review.

    8) Technical issue with the FDM filing system prevented some ethics offices from being able to see their 450s. Offices reviewed and certified 450s as soon as they could after problem was corrected. 9) Heavy workload in Civil Law division, which includes the Ethics section, delayed certification

42. Number of OGE 450 or OGE-approved alternative forms granted filing extensions in 2022.

  • Enter number
198

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

  • Additional Comments
    None

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

43. Number of disciplinary actions taken in 2022 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
14

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

    i. Subpart A (General Provisions)
2

    ii. Subpart B (Gifts from Outside Sources)
0

    iii. Subpart C (Gifts between Employees)
0

    iv. Subpart D (Conflicting Financial Interests)
1

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

    vi. Subpart F (Seeking Other Employment)
0

    vii. Subpart G (Misuse of Position)
11

    viii. Subpart H (Outside Activities)
0

    iv. Agency's supplemental Standards of Conduct
0

44. Number of disciplinary actions taken in 2022 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)

45. Number of referrals made in 2022 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, 2022?

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?
0

46. 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
    None

PART 11. ETHICS PLEDGE ASSESSMENT (Executive Order 13989 ("Ethics Pledge"))

47. 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, 2022? Note: For guidance on what constitutes a full-time non-career appointee for purposes of the Ethics Pledge, LA-21-07

  • Select answer
Yes

48. For each category of appointee, provide the number of full-time non-career appointees appointed between January 20 and December 31, 2022, and indicate the number who did and did not sign the Ethics Pledge.

Number of Full-Time Non-Career Appointees
Type of Full-Time Non-Career Appointees
by Category
PAS
PA
Non- career SES
Schedule C
Other
Total
a. Appointed
    01/01 - 12/31/2022
5
0
2
8
0
15
    i. Signed the Ethics Pledge in 2022
5
0
2
8
0
15
    ii. Required to sign the Pledge in 2022 but signed in 2023
0
0
0
0
0
0
    iii. Required to sign the Pledge, but did not sign (please explain)
0
0
0
0
0
0
    iv. Not required to sign the Pledge because occupied an exempt non-policymaking position (Schedule C or other comparable authority)
0
0
0
0
0
0
    v. Not required to sign the Pledge because appointed without break in service after serving in another position for which the Ethics Pledge was already signed
0
0
0
0
0
0
    vi. Not required to sign for another reason (please explain)
0
0
0
0
0
0

  • For each appointee identified in line iii, please explain why that appointee did not sign the Pledge.
    N/A

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

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

49. Registered Lobbyist/and or Registered under the Foreign Agents Registration Act

    a. 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 1 and December 31, 2022, and subject to the Ethics Pledge, as well as holdover appointees subject to the Pledge (if 0 skip to Q50).
0

    b. How many of those appointees were 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?
0

    c. For any of those appointees who do 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).

50. 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 2022, the names of these individuals granted waivers in 2022, 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

51. Were there any violations of Executive Order 13989 during 2022?

  • Select Yes or No
No

52. Please provide information on enforcement actions taken in 2022 as a result of violations of the Executive Order 13989 Pledge (regardless of whether the violation itself took place in 2021 or earlier).

  • Please type in the box below.
    n/a

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

  • Please type in the box below.
    None


PART 12. SPECIAL GOVERNMENT EMPLOYEES (SGEs)

53. How many Special Government Employees (SGEs) did your agency have, in total, during calendar year 2022? (If zero, skip to Additional Comments for this Part.)

  • Enter number
88

54. Initial Ethics Training

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, 2022 (5 C.F.R. 2638.304(b)(2))?

Total number
39

    i. How many of those SGEs received IET before or at the beginning of the first meeting?
38

    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?
1

    If applicable, please explain why some SGEs received IET after the first meeting or have yet to receive IET.
      SGE was non-responsive to both 450 Program Manager and designated federal officer. SGE no longer with AF.

55. Report the number of SGE public and confidential financial disclosure reports required to be filed by December 31, 2022 and the number of reports actually filed by December 31, 2022.

Confidential Reports
(OGE Form 450 or OGE- Approved Alternative Form)
Public Reports
(OGE Form 278e)
required
filed
required
filed
a. Advisory Committee Members (FACA)
31
31
0
0
b. Advisory Committee Members (non-FACA)
0
0
0
0
c. Experts/Consultants
9
8
0
0
d. Board Members
0
0
0
0
e. Commissioners
0
0
0
0
f. Other
0
0
49
49
TOTAL
40
39
49
49

    Example for new entrant and termination reports: If an employee joined (or departed) the agency on December 15, 2022, 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 2023 questionnaire response to be filed in 2024.

  • If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
    One SGE did not respond to requests to file. No longer an SGE.

56. 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 2022?
39
50
b. Of those certified or closed in 2022, how many were initially reviewed within 60 days?
39
41
c. Of those certified or closed in 2022, how many were certified or closed within 60 days?
39
34

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    1) Reports were not received from supervisor within 60 days.

    2) Supervisor absences/lack of awareness of the need to review and sign the 278s within 60 days delayed the initial review by the ethics official.

    3) Turnover of supervisors and ethics officials led to delay in reviewing 278s. 4) Unfamiliarity with Integrity e-filing system and reviewing reports in the system.

  • 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
    1) Reports were not received from supervisor within 60 days. 2) Administrative error – certifying official thought she certified 278 on 60th day instead she had certified on 61st day. 3) Supervisor absences/lack of awareness of the need to review and sign the 278s within 60 days delayed the certification by the ethics official. 4) Turnover of supervisors and ethics officials led to delay in certifying 278s. 5) Unfamiliarity with Integrity e-filing system and closing out reports in the system

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

  • Enter number
0

58. 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
15
1
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
    Q53. This year’s response reports more SGEs than last year’s response. The number of SGEs is greater for these reasons: a) this year’s numbers include FACAs that were inactive in CY 2021 but active in CY 2022, b) offices doing a better job of tracking the experts/consultants, c) offices doing a better job of recording the SGE status of Air Force Reserve general officers in Integrity.

ADDITIONAL QUESTIONNAIRE COMMENTS:

  • Additional Comments

      OGE Form 450A
0
hidden element