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 Justice

2. Employees

  • Number of full-time agency employees as of December 31, 2023
116377

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
10 or more years

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

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

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

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

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

b. Time in current ADAEO position
Less than 1 year

c. Total years performing ethics duties
1 - 4 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
66
56
12
4
32
170
b. Outside the D.C. Metro area
126
299
0
0
3
428
TOTAL
192
355
12
4
35
598

* 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)

  • Please describe substantive support (optional)
    Initial review of outside employment requests and gifts of travel (ATF), case review, legal research, financial disclosure assistance (EOUSA)

  • 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:
    Office of Special Counsel, Hatch Act Unit
    Office of Director of National Intelligence

  • Describe the services or support received:
    OSC: Hatch Act guidance and training to DOJ ethics officials. ODNI: Guidance and collaboration on 50 USC 3073a (FBI)

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

  • Select Yes or No
No

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

  • Describe the services or support provided:

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

  • Select type of resources

    Human Capital, Technology
    Other (specify below)

  • Specify Other
    Budgetary (ATF)

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

  • Please Describe:
    NA

12. What kind of changes resulted from the evaluation?

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

    Recommendations still being considered (please describe)

  • Please Describe: (Please describe programmatic or policy changes; Specify why no changes resulted; Specify why recommendations still being considered; Specify why not applicable)
    Programmatic: The Department is implementing improvements as a result of a review of the overall ethics program in the Department. Policy: The Department is in the process of updating ethics policy. BOP: updating its fundraising policy and component standards of conduct. USTP: updating its guidance for employees with personal interests in bankruptcy cases. Recommendations under consideration: EOUSA - Year-end data and feedback are under consideration to determine if changes are needed.

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
    The Department evaluated this issue in January 2024 at the same time it launched its overall transition planning effort.

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

  • Additional Comments
    Q5. The US Trustee Program significantly increased its reporting of the number of ethics officials to include financial disclosure reviewers, including those outside the DC Metro area who have had those ethics responsibilities for several years but had not previously been included. Q9. Multiple components request additional IT resources such as the use of Integrity or a similar user-friendly filing system for confidential financial disclosure. Several components request additional personnel for financial disclosure review.

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?

    None of the offices provided written confirmation to the DAEO (explain why not all offices, then 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
17
    i. How many new agency leaders received their briefing within 15 days of their appointment?
17
    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
8535
    i. How many of those employees received IET within the 3-month requirement?
8443
    ii. How many of those employees received IET beyond the 3-month requirement?
77
    iii. How many of those employee have not received IET as of today?
15
    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.
    Scheduling difficulties and conflicts, official travel, litigation schedules, administrative error/oversight, employee leave including parental/military/medical.

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?

    None of the offices provided the written confirmation to the DAEO (explain why not all offices)

  • Please Explain why not all offices:
    The Director, Departmental Ethics Office (DEO), provides the required written confirmation to the DAEO. Most offices have provided the written confirmation to the DEO Director. DEO is following up with the remaining offices for DAEO written confirmation.

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)
3
3

    b. All other public filers (OGE Form 278e)
3033
3021

    c. Confidential filers (OGE Form 450 and OGE-approved alternative confidential financial disclosure forms)
21402
21062

    d. Other employees required by 5 C.F.R. § 2638.307(a) (employees appointed by the President; employees of the Executive Office of the President; contracting officers; or, other employees designated by the head of the agency.)
0
0

TOTAL
24438
24086

  • If applicable, please explain discrepancies between the number of employees who were required to receive training and the number of employees who received training:
    Extended leave including parental, sick, military, LMS access problems, litigation schedules, administrative record-keeping errors.

22. 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 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., My agency established additional training procedures (e.g., certification procedures). See 5 C.F.R. § 2638.309(c). Please describe.

  • Please Describe
    Attorneys at DOJ must complete annual Professionalism Training which includes one hour of ethics training. Purchase card holders receive annual ethics training. Many components require annual ethics training for all employees regardless of their financial disclosure status. Many components provide ethics training to departing employees focused on post government employment restrictions. Administrative Officers/Executive Officers received focused ethics training in ’23 regardless of their financial disclosure status.
    CRM: employees with overseas duty stations receive additional ethics training focused on international issues and off-duty conduct.
    DEA: core employees and supervisors receive annual training with an ethics case study and must pass a test on the Standards of Conduct.

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):



Other (please specify)

  • Please explain other:
    DEO hosts meetings open to all Department ethics officials twice each month where ethics issues of note are discussed which helps inform training content and enhance communications. Some components’ ethics officials regularly attend component staff meetings and/or meet with senior staff to engage about ethics issues, which helps inform training content and enhance communications.

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:
    DEO: employees taking online interactive ethics training must pass a test which immediately assesses their understanding of the rules and the effectiveness of the training. Training specialists in components provide feedback on ethics training.

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

  • Additional Comments
    Q18iv. EOUSA/US Attorneys Offices hired 1,254 employees in 2023. Training for new employees, including their IET, is tracked in the component by the Office of Legal Education (OLE) who notifies supervisors if new employees are delinquent in meeting their training requirements.

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

  • 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
81

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
4
3
    b. 208(b)(3) waivers
0
0

  • If applicable, please explain discrepancies between the number of waivers granted and the number provided to OGE.
    One waiver was granted in 2023 and its finalized copy was sent to OGE in January, 2024.

ADDITIONAL COMMENTS FOR PART 6. Please indicate the question number to which the comment corresponds.

  • Additional Comments
    Q25. The frequency of ethics questions asked on these topics does not necessarily reflect the relative seriousness or complexity of ethics questions that employees ask.

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 Most Cases

    • If not applicable, specify why.
      NA

    • If "never" or "in some cases", please explain further:
      NA

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

    • If not applicable, specify why.
      NA

    • If "never" or "in some cases", please explain further:
      Confidential financial disclosure is decentralized at DOJ. HR is not necessarily the primary source of information to ethics officials about confidential filers. HR does not track or implement confidential financial disclosure, or collect reports. Ethics officials are generally notified about new confidential filers by other means.

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 Most Cases

    • If not applicable, specify why.
      NA

    • If "never" or "in some cases", please explain further:
      NA

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)

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

  • Select one
Integrity and Other (specify)

  • Specify Other
    Internal USMS e-filing system for Confidential Financial Disclosure, SharePoint (ATF), and FDOnline (BOP and DEO)

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:
    Internal USMS e-filing system for Confidential Financial Disclosure, SharePoint (ATF), and FDOnline (BOP and DEO)

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
140782

b. Amount paid to a federal agency in FY 2023
0
0

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
    Q34c.The internal systems used for confidential financial disclosure are part of the general IT costs of those components and are not separately tracked.

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
4444

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

  • Additional Comments
    Q34a.This figure is the cost to BOP and DEO of FDOnline for confidential financial disclosure.


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
10
168
27
409
614
Filed
0
10
168
26
408
612
b. AnnualRequired
89
52
763
36
1788
2728
Filed
89
51
754
36
1787
2717
c. TerminationRequired
6
9
107
9
226
357
Filed
6
9
102
9
225
351
d. Combination1Required
3
2
9
0
27
41
Filed
3
2
9
0
27
41
    Total
Required
98
73
1047
72
2450
3740
Filed
98
72
1033
71
2447
3721

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.
    Administrative error, filer compliance. DEO is investigating missing 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
11
150
19
478
658
ii. Of those certified or closed in 2023, how many were initially reviewed within 60 days?
0
8
137
10
382
537
iii. Of those certified or closed in 2023, how many were certified or closed within 60 days?
0
2
83
4
194
283
b. Annual
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2023?
89
39
778
28
1625
2559
ii. Of those certified or closed in 2023, how many were initially reviewed within 60 days?
84
25
660
22
1137
1928
iii. Of those certified or closed in 2023, how many were certified or closed within 60 days?
39
12
294
14
357
716
c. Termination
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2023?
6
7
96
11
244
364
ii. Of those certified or closed in 2023, how many were initially reviewed within 60 days?
6
7
86
10
229
338
iii. Of those certified or closed in 2023, how many were certified or closed within 60 days?
5
4
58
5
208
280
d. Combination
PAS2
Non-Career SES3
Career SES3
Schedule C
Other4
TOTAL
i. How many reports did your agency certify or close in 2023?
3
2
9
0
28
42
ii. Of those certified or closed in 2023, how many were initially reviewed within 60 days?
2
2
8
0
24
36
iii. Of those certified or closed in 2023, how many were certified or closed within 60 days?
1
2
5
0
21
29
    Total
i. How many reports did your agency certify or close in 2023?
98
59
1033
58
2375
3623
ii. Of those certified or closed in 2023, how many were initially reviewed within 60 days?
92
42
891
42
1772
2839
iii. Of those certified or closed in 2023, how many were certified or closed within 60 days?
45
20
440
23
780
1308

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.
    In components with large numbers of reports, heavy workload of reviewers and certifying officials caused delays. In numerous components, a shortage of reviewing officials and reviewer/certifier turnover caused delays. EOIR: significant increase in the number of filing positions, with no increase in the number of reviewers caused delay. EOUSA: significantly large number of reports with consistent increase in their number and their general complexity caused delays, as well as staffing turnover. USMS: exceptionally heavy workload of reviewers.

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

    other (specify)

  • Specify Other
    See response above.

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

    • Periodic Transaction Reports Filed
2512
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
819
31
3
    b. Number of OGE Form 278-T Reports
88
61
7

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
21

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

  • Enter total
3524

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

  • Additional Comments

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
22568
OGE Form 450
15532
OGE-approved alternate form
6875
Total
22568
22407

    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
    Administrative delays and communication errors in identifying new entrant filers. Some filers left before filing their report, and/or are on extended leave including parental, military, and sick leave. USMS: Due to significant technological system problems, an interim filing system was used in 2023. USMS is also re-analyzing who should be filing the OGE Form 450, which may have resulted in reports assigned but not collected. A new internal USMS e-filing system is coming online in 2024 which will enhance tracking and document compliance in the component. DEO: An e-filing system (FDOnline) was purchased for confidential financial disclosure in 2023 and went live for use in May. Its procurement and implementation has resulted in re-analysis of filer data sets in numerous offices. In December 2023, a Program Manager was hired for confidential financial disclosure to provide oversight of OGE Form 450 collection, which will greatly enhance tracking and compliance. EOUSA: line Assistant United States Attorneys (AUSAs) are required to file the OGE-approved alternative GCO-1 form for each matter/case assigned. Actual number of forms is not tracked as they are retained in each case file. The reported data reflects the number of AUSAs who complied with the confidential financial disclosure reporting requirements.

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
15076
14008
13672

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    New e-filing systems requiring user training, heavy workload and scheduling difficulties of reviewers and certifiers.

  • 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
    In some cases, supervisors or interim reviewers did not sign reports correctly requiring extensive follow up, administrative error and oversight, ethics official staffing turnover and shortage of experienced reviewers, high volumes of reports and reviewer workload, USMS unable to track due to technical system problems, more training on new e-filing systems needed for reviewers and certifiers, which has now been provided.

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

  • Enter number
211

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

  • Additional Comments
    In December 2023, a Program Manager was hired in DEO for confidential financial disclosure to manage the new FDOnline system, to assist with finalizing filer data sets, and provide oversight of and assistance with confidential financial disclosure throughout the Department.

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
166

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

    i. Subpart A (General Provisions)
35

    ii. Subpart B (Gifts from Outside Sources)
1

    iii. Subpart C (Gifts between Employees)
0

    iv. Subpart D (Conflicting Financial Interests)
0

    v. Subpart E (Impartiality in Performing Official Duties)
4

    vi. Subpart F (Seeking Other Employment)
2

    vii. Subpart G (Misuse of Position)
107

    viii. Subpart H (Outside Activities)
7

    iv. Agency's supplemental Standards of Conduct
11

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
1

    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)
0

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

    iii. 18 U.S.C. § 208 (Acts Affecting a Personal Financial Interest)
0

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

    v. 5 U.S.C. § 13106 or 18 U.S.C. § 1001 (Failure to File or Filing False Public Financial Disclosures)
0

    vi. 5 U.S.C. § 13143 (Outside Earned Income)
0

    vii. 5 U.S.C. § 13144 (Outside Activities)
1

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
3

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?
3

    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?
2

    v. Of the cases referred to DOJ, how many involved 18 U.S.C. 207, such that there was no option for disciplinary action?
1

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
    Q48 and Q49 One matter was opened in 2022 and closed in 2023, and two matters were opened in 2023 and closed in 2024.

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
35
1
8
36
0
80
    i. Signed the Ethics Pledge in 2023
35
1
6
23
0
65
    ii. Required to sign the Pledge in 2023 but signed in 2024
0
0
0
1
0
1
    iii. Required to sign the Pledge, but did not sign (please explain)
0
0
0
1
0
1
    iv. Not required to sign the Pledge because occupied an exempt non-policymaking position (Schedule C or other comparable authority)
0
0
0
8
0
8
    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
2
3
0
5
    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.
    One Schedule C employee resigned after only a few days, and did not sign the Pledge before leaving.

  • 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.
    See above.

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?
0

    c. For any of those appointees who do not have an ethics agreement, please provide their name and an explanation (e.g., Pledge paragraph 3 not reasonably expected to limit participation in any agency matters because appointee's duties sufficiently unrelated to prior lobbying activities).

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
36

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
17

    i. How many of those SGEs received IET before or at the beginning of the first meeting?
17

    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)
0
0
0
0
b. Advisory Committee Members (non-FACA)
0
0
0
0
c. Experts/Consultants
5
5
0
0
d. Board Members
6
6
0
0
e. Commissioners
2
2
0
0
f. Other
9
9
8
8
TOTAL
22
22
8
8

    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?
22
7
b. Of those certified or closed in 2023, how many were initially reviewed within 60 days?
22
3
c. Of those certified or closed in 2023, how many were certified or closed within 60 days?
22
3

  • If applicable, please explain why some reports were reviewed more than 60 days after submission.
    EOIR – increase in filing positions, shortage of reviewers. EOUSA - 2 new filing positions – Those offices never had those positions before, and were unaware of the filing and review requirements, which caused delay.

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

    other (specify)

  • Specify Other
    More financial disclosure reviewers are needed in EOIR.

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

  • Enter number
6

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
2
0
0

      b. Number of OGE Form 450 or OGE-Approved Alternative Forms
4

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

  • Additional Comments

ADDITIONAL QUESTIONNAIRE COMMENTS:

  • Additional Comments

      OGE Form 450A
0
hidden element