2022 AGENCY ETHICS PROGRAM QUESTIONNAIRE

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PART 1. INTRODUCTION

Executive branch agencies are required to submit an annual report to the United States Office of Government Ethics (OGE) concerning certain aspects of their ethics programs (Section 402(e)(1) of the Ethics in Government Act of 1978, as amended). Your response to OGE’s Annual Ethics Program Questionnaire (questionnaire) serves as your annual report.

OGE uses the data collected through the questionnaire in many ways, including sharing information about the entire executive branch ethics program with the public, Congress, and the ethics community. OGE also uses the information to carry out its oversight role, to gain knowledge about individual programs as well as the overall ethics program, and to make informed decisions about resource allocations and priorities. OGE posts a summary of questionnaire responses and each agency’s unedited responses on OGE’s website. Therefore, please ensure your responses are suitable for publication.

OGE encourages each agency to use the annual exercise of completing the questionnaire as an opportunity to evaluate your ethics program.

DUE DATE: By regulation, the questionnaire is due to OGE by February 1, 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.

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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 the Interior

2. Employees

  • Number of full-time agency employees as of December 31, 2022
60324

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

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

b. Time in current DAEO position
1 - 4 years

c. Total years performing ethics duties
10 or more years

d. Percent of time spent on ethics
76-100%

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

f. Number of reporting levels between the DAEO and the agency head.
2

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
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 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
0
0
2
1
52
55
b. Outside the D.C. Metro area
0
1
2
0
39
42
TOTAL
0
1
4
1
91
97

* 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.)


  • Please describe IT support (optional)
    DOI uses contractors to support the ethics program’s online confidential financial disclosure filing system and ethics mobile application.

  • Please describe administrative support (optional)
    NA

  • Please describe substantive support (optional)
    NA

  • Specify Other
    NA

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

  • Select Yes or No
No

  • Please provide the name(s) of the federal agency or entity:

  • Describe the services or support received:

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

  • Select Yes or No
Yes

  • Please provide the name(s) of the board, commission, or agency:
    Upper Colorado River Commission, an interstate water administrative agency established by action of five state legislatures and Congress.

  • Describe the services or support provided:
    Ethics counseling, training, and other services to the Commissioner of the Upper Colorado River Commission, as a special Government employee appointed by the President.

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 2022?

  • 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 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

  • Please Describe:
    NA

12. What kind of changes resulted from the evaluation?

    Programmatic changes (please describe)


  • Please Describe: (Please describe programmatic or policy changes; Specify why no changes resulted; Specify why recommendations still being considered; Specify why not applicable)
    As a result of the evaluation, the Departmental Ethics Office (DEO) focused on data integrity and tracking specifically related to tracking new entrant confidential financial disclosure filer identification, initial ethics training, and special Government employee ethics requirements.

13. Of the following required written procedures, which did you have in place?
Check all that apply.

Financial disclosure program, including for the filing, review, and when applicable, public availability of public financial disclosure reports (5 C.F.R. 2638.104(c)(8)(i)), Issuance of notice of ethical obligations in written offers of employment (5 C.F.R. 2638.303), Provision of initial ethics training (5 C.F.R. 2638.304), Issuance of ethics notice to new supervisors (5 C.F.R. 2638.306)

  • Explain what steps you are taking to implement the required written procedures:
    NA

ADDITIONAL COMMENTS FOR PART 4. Please indicate the question number to which the comment corresponds.

  • Additional Comments

PART 5. EDUCATION AND TRAINING

14. Did the office(s) responsible for issuing ethics notices to prospective employees, pursuant to 5 C.F.R. 2638.303, provide the DAEO with the written confirmation required pursuant to 5 C.F.R. 2638.310?

    All of the offices provided the written confirmation to the DAEO (skip to #16)

  • Please Explain why not all offices:
    NA

15. Did written offers of employment for positions covered by the Standards of Conduct include the information required by 5 C.F.R. 2638.303?

  • Please Explain why not all offers:
    NA

  • Please Explain:
    NA

16. Initial Ethics Briefing

a. How many agency leaders, as defined in 5 C.F.R. 2638.305(a), were required to receive ethics briefings by December 31, 2022? Exclude SGEs that were expected to serve less than 60 days on a board, commission, or committee.
Total Number
3
    i. How many new agency leaders received their briefing within 15 days of their appointment?
3
    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, 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
13269
    i. How many of those employees received IET within the 3-month requirement?
12226
    ii. How many of those employees received IET beyond the 3-month requirement?
720
    iii. How many of those employee have not received IET as of today?
323
    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.
    Employees who received and completed IET beyond the 3-month requirement did so due to lapses in tracking or because the employees were on unpaid leave, furlough, or suspension. In addition, most employees who have not received and completed IET as of today did not do so because they terminated employment before completing IET. This group was primarily composed of seasonal or temporary employees.

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)
2
2

    b. All other public filers (OGE Form 278e)
423
420

    c. Confidential filers (OGE Form 450 and OGE-approved alternative confidential financial disclosure forms)
10292
10270

    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.)
13728
13564

TOTAL
24445
24256

  • If applicable, please explain discrepancies between the number of employees who were required to receive training and the number of employees who received training:
    Discrepancies between the number of employees who were required to receive training and the number of employees who actually received training are attributable to a variety of factors, including employees on extended administrative leave, FMLA leave, military deployment, or placement in leave without pay status.

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

    My agency established additional training requirements for employees performing ethics duties described in 5 C.F.R. 2638.104-105 (ethics and human resources officials) Please describe., My agency established additional training requirements for other groups of employees, beyond those described in 5 C.F.R. 2638.303-308 (notices to new employees and supervisors, initial ethics training, ethics briefings, annual ethics training) Please describe.

  • Please Describe
    In 2022, the DEO provided additional training for employees performing ethics duties, including two multi-part courses focused on key ethics authorities and two additional seminars devoted to key ethics laws and regulations. In addition, the DEO held an ethics summit for all ethics officials in the DOI to deliver training, highlight resources, and share best practices. Finally, prior to the start of confidential and public financial disclosure filing season each filing year, the DEO provides reviewer and administrator training to all ethics officials with financial disclosure responsibilities. In addition, under the authority established by 5 C.F.R. 2638.307(a)(4), certain DOI employees were designated as covered employees and required to complete annual ethics training. In addition, any employee required to complete IET and AET were also required to complete training on the Department’s supplemental regulations.

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


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

  • Please explain other:

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


Conducted self-assessments to ensure that required employees are receiving training, Administered post-training evaluations to assess participants' perceptions of the training, Reviewed advice logs for increased activity after training presentations and communications, Held discussions with agency leaders and employees to evaluate whether the training and communications they received have supported them in managing ethics risks.

  • Please explain other:

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

  • Additional Comments
    Additional comments for Question #18: In 2022, IET was provided under the DAEO’s supervision for all DOI Bureaus and Offices with the exception of the Office of Inspector General (OIG) and National Indian Gaming Commission (NIGC). OIG and NIGC ethics officials are not under the supervision of the DAEO. However, both OIG and NIGC have less than 1,000 employees each and also provided the DAEO with a written assessment containing information on the procedures which have been implemented for the provision of initial ethics training.

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
Outside employment/activities
  • Selection 2
Financial Disclosure Reporting
  • 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 2022 (see 5 C.F.R. 2635.602(a)):

  • Enter total
18

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 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
    FDOnline, provided by vendor Intelliworx

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:
    FDOnline, provided by vendor Intelliworx

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
368500

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

c. Amount for all internal costs associated with operating an e-filing system (e.g., FTE, overhead, etc.) in FY 2022
0
27987

  • Please explain "Don’t know/don’t track" answer above
    Please note that DOI uses Integrity for all public financial disclosure reports.

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
11779

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

  • Additional Comments
    Please note that DOI uses Integrity for all public financial disclosure reports.


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
11
51
18
31
111
Filed
0
11
51
18
31
111
b. AnnualRequired
11
27
224
28
83
373
Filed
11
27
223
28
83
372
c. TerminationRequired
0
2
29
3
22
56
Filed
0
2
29
3
22
56
d. Combination1Required
0
0
4
0
0
4
Filed
0
0
4
0
0
4
    Total
Required
11
40
308
49
136
544
Filed
11
40
307
49
136
543

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.
    One report was required to be filed and was not filed in 2022 because an employee was extended leave status during the calendar year.

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
9
50
17
24
100
ii. Of those certified or closed in 2022, how many were initially reviewed within 60 days?
0
9
50
17
24
100
iii. Of those certified or closed in 2022, how many were certified or closed within 60 days?
0
9
50
17
24
100
b. Annual
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2022?
11
27
223
28
83
372
ii. Of those certified or closed in 2022, how many were initially reviewed within 60 days?
11
27
223
28
83
372
iii. Of those certified or closed in 2022, how many were certified or closed within 60 days?
11
26
223
28
83
371
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
33
3
26
64
ii. Of those certified or closed in 2022, how many were initially reviewed within 60 days?
0
2
33
3
26
64
iii. Of those certified or closed in 2022, how many were certified or closed within 60 days?
0
2
33
3
26
64
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
4
0
0
4
ii. Of those certified or closed in 2022, how many were initially reviewed within 60 days?
0
0
4
0
0
4
iii. Of those certified or closed in 2022, how many were certified or closed within 60 days?
0
0
4
0
0
4
    Total
i. How many reports did your agency certify or close in 2022?
11
38
310
48
133
540
ii. Of those certified or closed in 2022, how many were initially reviewed within 60 days?
11
38
310
48
133
540
iii. Of those certified or closed in 2022, how many were certified or closed within 60 days?
11
37
310
48
133
539

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.

  • 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

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

    • Periodic Transaction Reports Filed
313
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
107
4
0
    b. Number of OGE Form 278-T Reports
3
9
10

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
167

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

  • Enter total
2407

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

  • Additional Comments

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
11866
OGE Form 450
11865
OGE-approved alternate form
0
Total
11866
11865

    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
    The discrepancy between the number of employees who were required to file confidential financial disclosure reports and the number of employees who actually filed are attributable to a single new entrant filer filing a report after the extended deadline in late 2022. The report was filed in early 2023.

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
11783
11778
11755

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    Certain reports were reviewed more than 60 days after submission because of inadvertent oversights in tracking the 60-day review timeframe for submitted reports.

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

  • Specify Other
    NA

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

  • Enter number
973

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

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
1

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

    i. Subpart A (General Provisions)
0

    ii. Subpart B (Gifts from Outside Sources)
0

    iii. Subpart C (Gifts between Employees)
0

    iv. Subpart D (Conflicting Financial Interests)
0

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

    vi. Subpart F (Seeking Other Employment)
0

    vii. Subpart G (Misuse of Position)
0

    viii. Subpart H (Outside Activities)
1

    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
1

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

    i. How many of those referrals were accepted for prosecution?
1

    ii. How many of those referrals were declined for prosecution?
0

    iii. How many of those referrals were pending DOJ’s decision as of December 31, 2022?
0

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

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

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

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

    iv. Of the cases referred to DOJ, how many of those referrals involved employees who left the agency before the agency determined whether or not to take disciplinary action?
0

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

  • Please Specify Why
    Per current DOI OIG policy, DOI OIG staff report accepted referrals. Accordingly, it is likely that OGE was not notified of all 2022 referrals via OGE Form 202. DOI OIG is reviewing the current policy and practice to improve future reporting compliance.

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

  • Additional Comments
    The DOI Office of Inspector General initiated a referral (which did not involve 18 U.S.C. § 207) to the Department of Justice, as reflected in response to Q#45a, #45b, and #45c(v). Because the OIG has not shared information about this referral with agency leadership authorized to make determinations on disciplinary or corrective action as of December 31, 2022, the DOI’s response to #45c(i-iv) is reflected as 0. This answer correctly reflects the fact that a determination is not currently pending before any authorized agency official with the ability to make a determination as to whether disciplinary or corrective action will be taken.

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
3
0
11
17
0
31
    i. Signed the Ethics Pledge in 2022
2
0
11
15
0
28
    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
1
0
0
2
0
3
    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.

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?

    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
2
Raine Thiele, Senior Advisor for Alaskan Affairs and Strategic Priorities and Martha Williams, Director, U.S. Fish and Wildlife Service
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
Yes

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.
    In 2022, to the extent that a determination was made by either the DOI Office of Inspector General (OIG) or agency leadership that an employee violated the Executive Order 13989 Pledge, enforcement actions included verbal counseling, requiring employee review of updated ethics guidance, and attendance at ethics training sessions.

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

  • Please type in the box below.
    Additional Comments Question #51: The DOI OIG issued a report in 2022 that described instances where a DOI employee did not comply with the requirements of the Ethics Pledge. Please see the OIG’s website at www.doioig.gov for additional information. Furthermore, DOI has received certain information indicating that Ethics Pledge violations may have occurred in 2022 and is currently reviewing available information to determine whether there were any violations of the Ethics Pledge. Additional Comments Question #52: As general practice, the requirements of Executive Order 13989 are covered in Initial Ethics Training, Annual Ethics Training, and individual ethics guidance materials provided to political appointees. Furthermore, DOI leadership facilitated a supplemental ethics briefing in 2022 for all political appointees which covered the requirements of Executive Order 13939, and have provided targeted reminders emphasizing the importance of personal compliance with all applicable ethics obligations.


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
124

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
106

    i. How many of those SGEs received IET before or at the beginning of the first meeting?
103

    ii. How many of those SGEs received IET after the first meeting?
3

    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.
      Certain SGEs completed IET after the first meeting because of a breakdown in tracking of training requirements for SGEs appointed to multi-year terms of service or because internet connectivity disruptions in a remote location made it impossible to complete IET before the first meeting.

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)
60
58
0
0
b. Advisory Committee Members (non-FACA)
53
53
0
0
c. Experts/Consultants
0
0
0
0
d. Board Members
7
7
0
0
e. Commissioners
2
2
0
0
f. Other
1
1
0
0
TOTAL
123
121
0
0

    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 was not initially assigned a report due to tracking error but was assigned a report when the error was discovered in late 2022 and one SGE provided information but refused to file an assigned report. Ethics officials are continuing to follow up in an effort to ensure that required reports are submitted.

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?
122
0
b. Of those certified or closed in 2022, how many were initially reviewed within 60 days?
122
0
c. Of those certified or closed in 2022, how many were certified or closed within 60 days?
122
0

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    N/A

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

  • Specify Other
    NA

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
0
0
0

      b. Number of OGE Form 450 or OGE-Approved Alternative Forms
1

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

  • Additional Comments
    Additional Comments for Question #53 and #54. DOI reported 124 total SGEs in response to this question because 124 a number of individuals were appointed to serve as SGEs in prior years to multi-year or open-ended terms of appointment. Eighteen individuals who were expected to serve as SGEs in 2022 did actually not perform any duties of an SGE, including attending meetings or advising the DOI in 2022 and were subsequently omitted from the response to Question #54 as required to receive IET in 2022.

ADDITIONAL QUESTIONNAIRE COMMENTS:

  • Additional Comments

      OGE Form 450A
0
hidden element