2023 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 5 U.S.C. § 13122(e)(1)). Your response to OGE’s Annual Ethics Program Questionnaire (the 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, 2024. (5 C.F.R. § 2638.207(a)).

PART 2. INSTRUCTIONS

Your response to this questionnaire should reflect the 2023 calendar year (i.e., 1/1/2023 through 12/31/2023), 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 2022 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, D.C.; 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, 2023
473484

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

a. Vacant (as of December 31, 2023)?
No

b. Time in current DAEO position
1 - 4 years

c. Total years performing ethics duties
1 - 4 years

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

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

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

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

a. Vacant (as of December 31, 2023)?
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 2023 (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
25
8
8
4
8
53
b. Outside the D.C. Metro area
549
477
100
30
46
1202
TOTAL
574
485
108
34
54
1255

* FTE = Full Time Equivalent

Example: The table below provides an example of an agency with 13 employees that performed ethics
program duties in 2023.

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

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

  • Check all that apply

IT services (e.g., developing or supporting electronic filing systems, applications, websites, and/or databases, etc.)
Administrative support (e.g., tracking filing or training requirements, sending reminders, data entry, etc.)
Substantive ethics support (e.g., providing training, initial review of financial disclosures, drafting advice for further review, etc.)

  • Please describe IT support (optional)

  • Please describe administrative support (optional)
    A contractor admin assistant for one installation managed FDM (e-filing system for the 450s) and training by tracking filers, deadlines, training requirements.

  • Please describe substantive support (optional)

  • 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
Yes

  • Please provide the name(s) of the federal agency or entity:
    DoD Standards of Conduct Office, U.S. Army JAG School, Defense Health Agency, U.S. Transportation Command, U.S. Army

  • Describe the services or support received:
    DoD Standards of Conduct Office and U.S. Army JAG School provided ethics training. Defense Health Agency and U.S. Transportation Command provided new civilian employee briefings. U.S. Army provided the e-filing system for the OGE Form 450 (FDM)

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:
    Joint Personnel Recovery Agency, DoD (Joint Strke Fighter Program), U.S. Army, U.S. Navy

  • Describe the services or support provided:
    Joint Personnel Recovery Agency – provided ethics advice pursuant to a memorandum of agreement. DoD (Joint Strike Fighter Program), U.S. Army, U.S. Navy – provided post-government employment and outside activities briefings, reviewed financial disclosure reports

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
    1) A consistent resource for online initial and annual ethics training that automatically tracks course completion and can be monitored by ethics counselors to reduce the amount of manhours required to monitor compliance. 2) Recurring initial training on how to run an ethics program would be useful, including nuts and bolts training on the applicable law/regulations, slides/quick guides for training others and information to cover the regular issues that ethics counselors encounter. Should include advice about running an ethics program. Due to high turnover in our office, there is limited institutional memory and an ongoing need for initial training.

10. Did the agency head meet with the ethics staff to discuss the strengths and weaknesses of the ethics program in 2023?

  • 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 2023 (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:
    My agency - 6 major commands reported that the Air Force Judge Advocate General’s Office conducted inspections of the ethics programs of some of their installation legal offices.
    Entity outside agency - GAO audits our initial ethics training and annual ethics training.

12. What kind of changes resulted from the evaluation?

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


  • Please Describe: (Please describe programmatic or policy changes; Specify why no changes resulted; Specify why recommendations still being considered; Specify why not applicable)
    Programmatic changes - TJAG inspections - 1) After the evaluation of one installation office, proper delegations of authority were executed as a result of the evaluator’s findings. 2) Result of evaluation of a different installation - New training for airmen. Policy changes - TJAG inspections - Some installation legal offices changed their internal office policies to address personnel gaps and poor communication with servicing Civilian Personnel Offices (CPOs) re initial ethics training. Some TJAG inspections resulted in no changes because no problems were noted by TJAG's Office during the inspection of these installation ethics programs. GAO audit - No corrective plans were issued as a result of the GAO audit.

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

14. Did your agency head or DAEO evaluate, prior to November 5, 2023, whether your agency's ethics program has an adequate number of trained agency ethics officials to deliver effective support in the event of a Presidential transition (5 C.F.R. § 2638.210(a))?

  • Select answer
No (please explain)

  • Please explain
    Requirement was overlooked. However, our DAEO determined on 23 January 2024 that the Department of the Air Force has an adequate number of trained agency ethics officials to deliver effective support in the event of a Presidential transition. Also note that the Air Force DAEO’s office does not review the financial disclosure reports of the PAS nominees. The DoD Standards of Conduct Office reviews the nominee reports for all DoD PAS nominees.

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

  • Additional Comments
    Q6. Many Air Force ethics offices have no contractor support. Q13. All of these comments pertain to question 13.
    1) The Air Force Personnel Center provides written offers of employment to prospective civilian employees that contain notice of ethical obligations including training requirements. 2) Several of the base legal offices requested a more user-friendly system for notifying financial disclosure report filers of their obligation to complete Annual Ethics Training as well as a system to track their training completion. 3) One installation office has been working with the local personnel office to create effective remedial measures to ensure compliance for all new supervisors in accordance with 5 CFR 2638.306.

PART 5. EDUCATION AND TRAINING

15. 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 #17)

  • Please Explain why not all offices:
    NA

16. 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

17. 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, 2023? Exclude SGEs that were expected to serve less than 60 days on a board, commission, or committee.
Total Number
1
    i. How many new agency leaders received their briefing within 15 days of their appointment?
1
    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.

18. 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, 2023 (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
18514
    i. How many of those employees received IET within the 3-month requirement?
17793
    ii. How many of those employees received IET beyond the 3-month requirement?
315
    iii. How many of those employee have not received IET as of today?
406
    iv. Do not track

Example: If an employee started at the agency on December 15, 2023, 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, 2024, the employee has not completed IET, do not count that employee in your required numbers. Instead, include the employee in your 2024 questionnaire response to be filed in 2025.

  • If applicable, please explain why some employees received IET beyond the 3-month requirement or have yet to receive IET.
    The following are responses from different Air Force installation legal offices: 1) Legal offices had personnel gaps that led to a lack of oversight on the timeliness of IET. One legal office has persistent challenges with its servicing Civilian Personnel Office (CPO) in obtaining accurate information about the number of new employees who completed interactive computer-based initial ethics training, which accounts for the vast majority of its personnel who had not yet received IET. These issues have been raised to leadership at the higher headquarters and are being addressed in 2024. 2) Late identification of filing and training requirements. All have now received training. 3) Records related to the newly onboarded employees were not promptly provided to legal office throughout 2023. When the ethics officials followed up with these individuals, they discovered that some individuals had left the agency and some had already take IET. The CPO at another installation notified the ethics office of new employees in timely manner. A couple of filers missed the deadline only because the IET on the MyLearning module was unavailable for a period of time. 4) Unusually high employee turnover created delays in training at one wing. Another wing conducted only Annual Ethics Training but conducted it twice a year. Problem was corrected by offering IET quarterly and/or as needed and is being more closely monitored by higher level legal office. 5) The CPO did not timely notify employees of requirement. 6) Due to turnover in the CPO, there was a failure to notify the legal office of the new hire civilian employees who are required to receive IET. 7) Ethics office provides IET at new employee orientation, but does not track attendance. 8) There were communication issues with HR and responsiveness issues with both new employees and their supervisors. New employees did not attend mandatory HR new employee orientation where ethics training is given. 9) The installation’s CPO does not track IET completion, even though links to the agency’s ethics training online are provided to new employees. The numbers by this installation are based on a reconciliation of in-person training records maintained by the ethics office with new employee entrance logs. It is likely that more employees completed the ethics training provided by the personnel office, but those completions are not tracked. 10) Some employees were told that they did not need to complete IET because the ethics office was told that they were not government employees. Once their personnel status was clarified, they completed IET.

19. 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:

20. Did the head of the agency complete either initial ethics training and/or annual ethics training in 2023?

  • Select One
Yes

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

21. 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)
1031
1027

    c. Confidential filers (OGE Form 450 and OGE-approved alternative confidential financial disclosure forms)
27294
26220

    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.)
76
76

TOTAL
28402
27324

  • If applicable, please explain discrepancies between the number of employees who were required to receive training and the number of employees who received training:
    The following are responses from different Air Force installation legal offices: 1) Two confidential filers left the DAF prior to the due date for AET and were not removed from the requirement until after 1 January 2024. The others have been contacted along with their supervisors and remain unresponsive. 2) Two base legal offices had severe personnel shortages/turnover, resulting in a lapse in oversight of the ethics program and accurate accounting of the number of confidential filers who actually received AET in 2023. Both of those offices are currently contacting each of their confidential filers to ensure all were either trained in 2023 or are trained ASAP. 3) Filer on extended convalescent leave and has not been able to complete. 4) Filer is deployed and ethics office has not been able to contact him. 5) OGE 450 filers were not notified of the annual training requirement. Hard copy of Annual Ethics Training provided to the filers for review prior to filing 2024 reports.

22. 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

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


Reviewed advice logs for common issues, Discussed upcoming work and agency priorities with senior staff, Talked to program managers about risks inherent in their work, Conducted surveys to identify common and emerging ethics risks, Talked to employees about the ethics concerns they encounter in the workplace.
Other (please specify)

  • Please explain other:
    Monitored organization calendar while taking into consideration the restriction of minimum manning days (restriction on members of National Guard Bureau) and holidays to schedule ethics training. Used agency ethics annual training module, but did not go back and inquire about effectiveness. Checked the module to see if someone failed multiple times and inquired about help for them and additional training needs.

24. 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., Incorporated inclusivity principles in the development and delivery of ethics education, Ensured ethics education was accessible (508 compliant) to participants
Other (please specify)

  • Please explain other:
    Published information pertaining to latest developments in ethics issues and requested feedback.

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

  • Additional Comments
    Q18. A few legal offices in the field do not track this requirement.

    Q23 & Q24 The principal ethics attorney at one installation is new to managing an ethics program at a major command. That ethics office has asked The Judge Advocate General’s office to provide a review/staff assistance visit of their ethics program, send a subject matter expert to perform an outside evaluation, and make recommendations for improvements generally. The ethics office has also asked The Judge Advocate General’s office to assist with refining the ethics office’s approach to correcting deficiencies that have already been identified. This review will occur in February 2024. Q21 continued. 6) The 2023 training effort for confidential filers was adversely affected by the loss of key ethics personnel during the peak training season, which limited the ability of the ethics office to effectively target filers with repeated training reminders. It also appears the initial use of FDM to send bulk reminder messages to untrained personnel may have been less effective, especially among supervisors, due to the use of email filters screening FDM messages. A later message sent directly to delinquent filers improved the office's training rate, but multiple personnel had already begun holiday leave and were unable to complete their training in 2023. Lastly, several filers had issues with the agency online training option and experienced challenges in producing and/or preserving documentation of their completion. A few returned from vacation in 2024 unable to find their training documentation. 7) One 450 filer did not complete AET because he was placed under investigation and had his computer access revoked. Another two 450 filers did not respond to repeated requests to fulfill this requirement. Supervisors were notified. A 278 filer did not respond to repeated requests to comply with this requirement. His supervisor has been advised. 8) Some confidential filers did not complete the AET earlier in the year and were on leave at the end of the year when additional reminders were sent out. Some confidential filers did not complete AET due to deployments. 9) Some confidential filers retired or left Air Force employment prior to the end of year and before completing AET, but they are included in the numbers for employees required to receive training. 10) Confidential filer was on maternity leave. 11) General and Flag officers detailed to joint assignments with other DoD DAEO agencies file their OGE Form 278 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.

PART 6. ADVICE, COUNSELING, AND REMEDIES

25. From the list below, select the three topics that your employees most frequently sought guidance on in 2023. 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
Outside employment/activities
  • Selection 3
Post-employment restrictions

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

26. Number of notification statements of negotiation or recusal under section 17(a) of the STOCK Act submitted to the ethics office in 2023 (see 5 C.F.R. § 2635.602(a)):

  • Enter total
57

27. Number of 18 U.S.C. § 208 waivers granted in 2023:

Number Granted in 2023
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

28. 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:
      Several ethics offices stated that their civilian personnel office notified them of the appointments in all or most cases. Several other ethics offices stated that their CPO never notified them or that this question was not applicable to their office. Selecting “in some cases” was the best compromise answer. The following are explanations from different Air Force ethics offices. See Additional Comments Section for information from offices that answered "not applicable."
      1) The CPO does not notify unit ethics officials of appointments, but the supervisor of the filer notifies the ethics office. The ethics counselor will often reach out to CPO for updates on new filers. In the case of public financial disclosure filers, the Air Force Ethics Office notifies the major command ethics office of new and departing filers. 2) One major command ethics offices tracks the public filers for the units within the command. CPO does not notify the ethics office, but the numbers are small and the appointments of public filers are announced publicly. 3) Ethics office created a system to better track new entrants including establishing POCs that the ethics office contacts monthly to remain informed of personnel changes. 4) After a breakdown early in 2023 in the process for identifying new confidential filers, the ethics office began tracking and sending emails to supervisors asking them to identify new filers. 5) Several ethics offices stated that the supervisor rather than CPO notified the ethics office of new 450 filers. 6) The ethics office is working with CPO to receive notice of new employees hired into designated 450 filing positions, but a substantial number of the installation's new filers consist of existing employees within large tenant units who are transferred or detailed internally and who are then assigned acquisitions duties requiring them to become confidential filers. Continued in Additional Comments.

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

    • If not applicable, specify why.
      NA

    • If "never" or "in some cases", please explain further:
      The explanations provided for the public filers apply to the confidential filers. Several ethics offices stated that their civilian personnel office notified them of the appointments in all or most cases. Several other ethics offices stated that their CPO never notified them or that this question was not applicable to their office. Selecting “in some cases” was the best compromise answer. See the response to Q28a and the continuation of the response in Additional Comments for the response to this question.

29. 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:
      Several ethics offices stated that their civilian personnel office notified them of the terminations in all or most cases. Several other ethics offices stated that their CPO never notified them or that this question was not applicable to their office. Selecting “in some cases” was the best compromise answer. The following are explanations from different Air Force ethics offices. See Additional Comments Section for information from offices that answered "not applicable."
      1) One major command ethics office - Although the local CPO does not inform the ethics office of terminations and separations, all public filers have a direct working relationship with their servicing ethics counselors and provide the counselors with timely notice of their intent to retire or separate from federal service. 2) The Air Force Ethics Office rather than the local CPO has notified the major command senior ethics counselors of upcoming retirements and separations. 3) The installation's public filers work in tenant units that almost never provide our office notice of their reassignment, retirement, or separation in a timely manner. 4) Notifications of terminations are normally available from other sources or are self-reported. 5) The local CPOs of one major command were either unaware of the requirement or delayed notification. The respective CPO and ethics offices are taking corrective action.

30. Were all public and confidential financial reports, in calendar year 2023, filed using an electronic filing system?

  • Select one
No

31. Indicate which forms your agency uses. Check all that apply.

  • Check all that apply
450 (pdf), 278-T (pdf), 278-T (excel)

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

  • Select one
Integrity and Other (specify)

  • Specify Other
    Army's Financial Disclosure Management System

33. 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

34. Indicate your fiscal year 2023 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 2023
0		Don’t know/don’t track

b. Amount paid to a federal agency in FY 2023
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 2023
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.

35. Indicate the number of filers who filed electronically in fiscal year 2023.

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

    b. confidential financial disclosure filers
27621

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

  • Additional Comments
    Q28a and 28b continued. If “never” or “in some cases,” please explain further: 7) CPO provides the ethics office with periodic lists of inbound and outbound personnel. The office requests these lists monthly. Depending on CPO's responsiveness, the ethics office sometimes does not receive notification until after the 15-day deadline. 8) Due to the size of the base population, filers are predominantly identified by the unit's POC, who also has the ability to add them to the OGE 450 Filer list. Q28a and 28b. If not applicable, specify why: 1) Several offices did not have any new public or confidential filers in CY 2023. 2) Other offices had new military public filers only, and CPO does not handle military personnel. 3) One organization has units throughout the world but does not have a consolidated CPO office to notify the ethics office of appointments. The filers usually notify the ethics office of their appointments. Q29 If not applicable, specify why: 1) Several ethics offices do not have any public filers. 2) Several ethics offices did not have any public filers who retired or separated in CY 2023. 3) One ethics office stated that their CPO plays no role. Information about retirement or separation comes from the individual filer, owning unit, or public announcement. 4) One organization has units throughout the world but does not have a consolidated CPO office to notify the ethics office of retirements or separations. The filers usually notify the ethics office of their retirements or separations as part of their outprocessing. Q30 and Q31: The Department of the Air Force used e-filing for almost all of the 278s and 450s. There are a couple of exceptions. In January 2024 the Air Force Ethics Office accepted a 278-T (disclosing December 2023 transactions) from a filer who filed the excel version of a 278-T. The filer was overseas on official business, was approaching the deadline for filing the report, and did not want to login to the Integrity system from his overseas location. The Air Force Ethics Office accepted the excel version and will maintain a paper version of the report in a file cabinet in a secure location. In addition, the SGEs who are members of a FACA and who are experts/consultants must file paper 450s because they do not have CAC cards and cannot access the FDM e-filing system. The Air Force Ethics Office also has occasionally provided the instruction page from the pdf version of the 278-T to public filers to help explain the filing requirement. Although the office provides its own explanation of the filing requirement in email reminders, the office has found that it is also helpful to provide the OGE instructions to the filers. Q35: Integrity.gov is the only e-filing system the Department of the Air Force uses for its public financial disclosure filers.


PART 8. PUBLIC FINANCIAL DISCLOSURE

36. Report the number of public financial disclosure reports (OGE Form 278e) required to be filed by December 31, 2023, excluding SGEs, and the number of reports actually filed (i.e., received) by December 31, 2023.

OGE Form 278e Reports
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
a. New EntrantRequired
0
0
21
4
117
142
Filed
0
0
21
4
116
141
b. AnnualRequired
6
6
179
5
518
714
Filed
6
6
179
5
518
714
c. TerminationRequired
1
0
16
1
83
101
Filed
1
0
16
1
81
99
d. Combination1Required
0
0
6
0
19
25
Filed
0
0
6
0
19
25
    Total
Required
7
6
222
10
737
982
Filed
7
6
222
10
734
979

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, 2023, 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, 2024, 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 2024 questionnaire response to be filed in 2025.

  • If applicable, please explain discrepancies between the number of reports required to be filed and the actual number of reports filed.
    1) One filer was not told that he had to file his new entrant 278 in an e-filing system. Instead, he filled out a paper 278 that he submitted his CPO. That paper 278 was never reviewed by an ethics official. Once the filer’s ethics office learned about him, the office assigned a new entrant 278 in the e-filing system, and the filer is working on the report. 2) Two termination filers were not told of requirement to file termination 278. Ethics offices are working with the filers to collect reports.

37. 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 2023?
0
1
19
6
131
157
ii. Of those certified or closed in 2023, how many were initially reviewed within 60 days?
0
0
17
6
116
139
iii. Of those certified or closed in 2023, how many were certified or closed within 60 days?
0
0
15
6
87
108
b. Annual
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2023?
6
5
197
5
533
746
ii. Of those certified or closed in 2023, how many were initially reviewed within 60 days?
6
4
178
5
482
675
iii. Of those certified or closed in 2023, how many were certified or closed within 60 days?
6
4
132
5
332
479
c. Termination
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2023?
1
0
19
1
84
105
ii. Of those certified or closed in 2023, how many were initially reviewed within 60 days?
1
0
16
1
82
100
iii. Of those certified or closed in 2023, how many were certified or closed within 60 days?
1
0
12
1
68
82
d. Combination
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2023?
0
0
6
0
20
26
ii. Of those certified or closed in 2023, how many were initially reviewed within 60 days?
0
0
6
0
18
24
iii. Of those certified or closed in 2023, how many were certified or closed within 60 days?
0
0
5
0
15
20
    Total
i. How many reports did your agency certify or close in 2023?
7
6
241
12
768
1034
ii. Of those certified or closed in 2023, how many were initially reviewed within 60 days?
7
4
217
12
698
938
iii. Of those certified or closed in 2023, how many were certified or closed within 60 days?
7
4
164
12
502
689

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/unawareness of need to review and sign report in Integrity.gov within 60 days delayed initial review by the Ethics Official. Three subordinate ethics offices had personnel shortages and failed to notify the Certifying Official that their ethics officials were not available to conduct the initial review. Those shortcomings are being addressed in 2024. Significant health issues by two ethics officials and the sudden death of the spouse of one senior ethics official (resulting in a prolonged absence) caused a delay in review at three offices. Because all offices were already undermanned, the lack of timely review was not recognized by leadership in a timely manner. Major command ethics office is implementing safeguards in 2024 with additional reviewers to address these shortfalls. Continued in Additional Comments.

  • 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) Delay due to loss of all of the major command ethics advisors to new assignments at different installations. There was a delay until new ethics advisors arrived. 2) New entrant filer was not available to ethics official. Amendments needed to be made to report. 3) One major command ethics office had a complete turnover of staff responsible for the Ethics portfolio, which caused a delay in the certification of reports.

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

    • Periodic Transaction Reports Filed
526
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 space above. Example 2: If an employee files one report each month, each report is counted separately. Report “12”.

39. 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
280
0
0
    b. Number of OGE Form 278-T Reports
91
0
0

40. Number of public financial disclosure filers reported in calendar year 2023 to the Attorney General for failure to file.

  • Enter total
0

41. How many requests for public financial disclosure reports did you receive in 2023? Count each OGE Form 201 as one request, even if it contains a request for documents for multiple individuals.

  • Enter total
1

42. How many documents requested under the Ethics in Government Act did you release in calendar year 2023?

  • Enter total
0

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

  • Additional Comments
    Q37 Continued: 2) One ethics office had only one report that was not initially reviewed within 60 days, but ethics office had simply miscalculated the days. The report was certified on the 61st day. 3) Deadline missed due to misunderstanding about how to use Integrity e-filing system. 4) Integrity system failed to send timely email notices to reviewer. 5) Reviewer tardiness due to other mission requirements. 6) One major command legal office had a complete turnover of staff responsible for the Ethics portfolio, which caused a delay in initial reviews. Q39: In CY 2023 the Air Force received requests for the waiver of the late filing fee for both 278e and 278-T reports. We have not completed processing them due to workload requirements, but will continue processing them in 2024. Q39b: 2 of the late filing fees were assessed for the late reporting of transactions on the annual 278e. The third fee was assessed for the late filing of an OGE Form 278-T. Q37: The Air Force certified more 278s in 2023 than in 2022 because the ethics offices closed out reports that were due and filed in 2021 and 2022 but that had not been certified in those years.

PART 9. CONFIDENTIAL FINANCIAL DISCLOSURE

43. Report the number of confidential financial disclosure reports required to be filed by December 31, 2023, excluding SGEs, and the number of reports actually filed by December 31, 2023.

a. Required
b. Filed
27614
OGE Form 450
27571
OGE-approved alternate form
0
Total
27614
27571

    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, 2023, 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, 2024 the employee has not filed a new entrant report, do not count that report in your required numbers. Instead, include the report in your 2024 questionnaire response to be filed in 2025.

    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 following are the responses provided by several ethics offices.
    1) Discrepancy in number is due to new entrant and annual filers moving to new bases and from departure from Government service and the corresponding changes not being made in FDM. 2) Filer either left prior to reporting period and not removed from FDM, or filer did not file and both filer and supervisor were unresponsive. 3) The FDM metrics fail to account for reassignments, which are not identified to Ethics Advisors. In some cases, a filer is not responsive to requests for additional information from a supervisor or a certifier. 4) Several new filers were added near the end of CY 2023, but their 450s were due before 31 Dec. Some have not completed their reports. Ethics office is working with the filers to get these completed. 5) Filers failed to e-sign draft reports. Reminders to filers were sent via the FDM portal. 6) Some filers were assigned to the system late due to a failure to notify the legal office of new entrants. 7) Discrepancy involving 2 filers was not apparent in the FDM management reports. Both individuals have non-standard email addresses (i.e. not af.mil emails), and it is possible FDM did not send notices to the appropriate email addresses. One of the two is an employee of another agency and may have filed with that agency. The ethics office has reached out to both individuals with discrepancies to investigate and will ensure their filing in 2024. 8) Filer had medical and technical issues and is now working on the report.

44. 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 2023?
b. Of those certified or closed in 2023, how many were initially reviewed within 60 days?
c. Of those certified or closed in 2023, how many were certified or closed within 60 days?
OGE Form 450 and OGE-approved alternative
26875
23547
23370

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    The following are the responses provided by several ethics offices. 1) Several ethics offices reported that the reports were not initially reviewed within 60 days because the 450s were pending supervisor review in FDM. Despite repeated calls and emails to supervisors, those supervisors did not review and sign in a timely manner. 2) One deployed organization had a personnel gap due to redeployment of the assigned Ethics Official, causing 7 of its 450s to be initially reviewed outside the 60-day period. 3) Several ethics offices experienced ethics counselor turnover, resulting in a delay of certification of the 450 reports. Senior ethics counselor at major command is working to reduce delay in review and certification through improving coordination with subordinate offices and working with supervisors of filers to get reports signed, amended as necessary, and reviewed on time. 4) Local ethics counselor had a large increase in filers due to expanded support of its geographically separated unit in Texas. Due to the increased workload and frequent reorganization of units which resulted in supervisor changes, some reports were reviewed and certified outside the required window. 5) A two-person legal office lost the senior attorney 4 months early without a replacement. This contributed to the delay in reviewing and certifying 2 of reports. Both reports were reviewed and certified 62 days after final employee signature. 6) Other mission requirements took precedence over review of 450 reports. 7) Most reviewers and certifiers are part-time employees (Air Force Reserve) and were not able to meet the review requirement deadline between tours. 8) Filers and supervisors experienced technical issues accessing FDM. 9) Supervisors retired or transferred. Ethics office is not notified by CPO of these changes. As a result, FDM was not updated with a new supervisor. 10) There were exigent operational demands (e.g., natural disaster in Turkey), manpower constraints, and delayed review by supervisors. Enhanced tracking in FDM in the future and additional trained Judge Advocate reviewers will mitigate these delays in the future.

  • 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
    The following are the responses provided by several ethics offices. 1) Difficulty getting supervisors to review and sign the 450s. 2) Ethics office lost the attorney who reviewed 450s to retirement. The active duty military attorney who filled in pending the hiring of a new attorney had little experience with the FDM e-filing system. A reservist, also with little experience with FDM, assisted in the review of 450s. He intended to certify the 450s he reviewed, but he mistakenly selected the “administratively close” option in FDM. Error was not caught within the 60-day certification deadline. Once the error was identified, the reports were certified. 3) At one major command legal office, the attorneys holding three key reviewer roles in FDM, including the Staff Judge Advocate of the office, received new assignments at the same time. New, incoming personnel filled all three roles. This turnover caused significant confusion and backlog which caused delays in certifying or closing within 60 days. 4) Issue with FDM system - when the ethics official signs an interim review, the visibility of it being “due” disappears in the system, and it is only caught when office runs a full FDM report, vice the dashboard. FDM system is not user-friendly. 5) Ethics office was not aware that a filer’s supervisor had retired. New supervisor was added after the 60-day deadline had passed. 6) There were problems with the hand-off of the 450 program to another attorney in the office. The problems have been remedied.

45. Number of OGE 450 or OGE-approved alternative forms granted filing extensions in 2023.

  • Enter number
239

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

46. Number of disciplinary actions taken in 2023 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
10

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

    i. Subpart A (General Provisions)
1

    ii. Subpart B (Gifts from Outside Sources)
0

    iii. Subpart C (Gifts between Employees)
1

    iv. Subpart D (Conflicting Financial Interests)
0

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

    vi. Subpart F (Seeking Other Employment)
0

    vii. Subpart G (Misuse of Position)
7

    viii. Subpart H (Outside Activities)
1

    iv. Agency's supplemental Standards of Conduct
0

47. Number of disciplinary actions taken in 2023 based wholly or in part upon violations of the criminal conflict of interest statutes (18 U.S.C. §§ 203, 205, 208, and 209), failure to file or filing false public financial disclosures (5 U.S.C. § 13106 or 18 U.S.C. § 1001), a civil matter involving outside earned income (5 U.S.C. § 13143), or outside activities (5 U.S.C. § 13144). 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. § 203 (Compensation in Matters Affecting the Government)

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

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

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

    v. 5 U.S.C. § 13106 or 18 U.S.C. § 1001 (Failure to File or Filing False Public Financial Disclosures)

    vi. 5 U.S.C. § 13143 (Outside Earned Income)

    vii. 5 U.S.C. § 13144 (Outside Activities)

48. Number of referrals made in 2023 to the Department of Justice (DOJ) of potential violations of the conflict of interest statutes (18 U.S.C. §§ 203,205, 207, 208, 209), failure to file or filing false public financial disclosures (5 U.S.C. § 13106 or 18 U.S.C. § 1001), a civil matter involving outside earned income (5 U.S.C. § 13143), or outside activities (5 U.S.C. § 13144).

a. Referrals to Department of Justice
2

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

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

    ii. How many of those referrals were declined for prosecution?
2

    iii. How many of those referrals were pending DOJ’s decision as of December 31, 2023?
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?
1

    iv. Of the cases referred to DOJ, how many of those referrals involved employees who left the agency before the agency determined whether or not to take disciplinary action?
1

    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

49. Did your agency notify OGE of all referral(s) and disposition(s) of the referral(s) via OGE Form 202 (as required by 5 C.F.R. § 2638.206(a))?

  • Select answer
Yes

  • Please Specify Why

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

  • Additional Comments
    Q46: 8 persons received disciplinary action. One person received disciplinary action for violations of Subpart C, G, and H. Because of the manner in which the question was asked, the Department of the Air Force reported 10 disciplinary actions. Q48: One case that DOJ declined to prosecute is back with the IG for the Department of the Air Force for investigation and potential disciplinary action, depending upon the results of the IG investigation.

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

50. 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, 2023? Note: For guidance on what constitutes a full-time non-career appointee for purposes of the Ethics Pledge, LA-21-07

  • Select answer
Yes

51. For each category of appointee, provide the number of full-time non-career appointees appointed between January 20 and December 31, 2023, 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
1
0
0
3
0
4
    i. Signed the Ethics Pledge in 2023
1
0
0
3
0
4
    ii. Required to sign the Pledge in 2023 but signed in 2024
0
0
0
0
0
0
    iii. Required to sign the Pledge, but did not sign (please explain)
0
0
0
0
0
0
    iv. Not required to sign the Pledge because occupied an exempt non-policymaking position (Schedule C or other comparable authority)
0
0
0
0
0
0
    v. Not required to sign the Pledge because appointed without break in service after serving in another position for which the Ethics Pledge was already signed
0
0
0
0
0
0
    vi. Not required to sign for another reason (please explain)
0
0
0
0
0
0

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

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

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

52. 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, 2023, and subject to the Ethics Pledge, as well as holdover appointees subject to the Pledge (if 0 skip to Q53).
0

    b. How many of those appointees who 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).

53. 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 2023, the names of these individuals granted waivers in 2023, 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

54. Number of violations, if any, of Executive Order 13989 in 2023.
0

55. Number of enforcement actions, if any, taken in 2023 as a result of violations of the Executive Order 13989 (regardless of whether the violation itself took place in 2023 or earlier).
0

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

  • Please type in the box below.


PART 12. SPECIAL GOVERNMENT EMPLOYEES (SGEs)

56. How many Special Government Employees (SGEs) did your agency have, in total, during calendar year 2023? (If zero, skip to Additional Comments for this Part.)

  • Enter number
185

57. 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, 2023 (5 C.F.R. § 2638.304(b)(2))?

Total number
85

    i. How many of those SGEs received IET before or at the beginning of the first meeting?
85

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

    iii. How many of those SGEs have not received IET as of today?
0

    If applicable, please explain why some SGEs received IET after the first meeting or have yet to receive IET.

58. Report the number of SGE public and confidential financial disclosure reports required to be filed by December 31, 2023 and the number of reports actually filed by December 31, 2023.

Confidential Reports
(OGE Form 450 or OGE- Approved Alternative Form)
Public Reports
(OGE Form 278e)
required
filed
required
filed
a. Advisory Committee Members (FACA)
85
85
0
0
b. Advisory Committee Members (non-FACA)
0
0
0
0
c. Experts/Consultants
58
58
0
0
d. Board Members
0
0
0
0
e. Commissioners
0
0
0
0
f. Other
0
0
42
42
TOTAL
143
143
42
42

    Example for new entrant and termination reports: If an employee joined (or departed) the agency on December 15, 2023, 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 2024 questionnaire response to be filed in 2025.

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

59. 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 2023?
143
44
b. Of those certified or closed in 2023, how many were initially reviewed within 60 days?
118
39
c. Of those certified or closed in 2023, how many were certified or closed within 60 days?
118
30

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    1) Confidential reports were received from the Designated Federal Officer (liaison for the FACA) late and/or pending amendment from the filer. 2) Personnel shortages/significant health issues by the senior ethics official caused a delay in review of 278s. Because all offices were already undermanned, the lack of timely review was not recognized by leadership in a timely manner. The ethics office that experienced this issue is implementing safeguards in 2024 at the MAJCOM level by adding reviewers to address these shortfalls.

  • 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
    Personnel shortages/significant health issues by the senior ethics official caused a delay in review and certification of 278s. Because all offices were already undermanned, the lack of timely review was not recognized by leadership in a timely manner. The ethics office that experienced this issue is implementing safeguards in 2024 at the MAJCOM level by adding reviewers to address these shortfalls.

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

  • Enter number
0

61. 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
8
0
0

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

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

  • Additional Comments
    Q56 This year’s response reports more SGEs than last year’s response. The Department of the Air Force hired additional consultants to support the SecAF and the Chief Scientist.
    Q57 The SGEs who are experts/consultants (58) and those who are public filers (42) received either annual or initial ethics training in CY 2023.

ADDITIONAL QUESTIONNAIRE COMMENTS:

  • Additional Comments

      OGE Form 450A
0
hidden element