USDOJ: JMD: Departmental Ethics Office: Confidential Financial Disclosure

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Employees who occupy positions classified at GS-15 or below and whose duties require them to participate personally and substantially through decision or the exercise of significant judgement in a matter which could have an economic impact on a non-Federal entity are required to file a confidential financial disclosure report (OGE-450). This includes any employee involved in contracting or procurement, administering or monitoring grants, regulating or auditing any non-Federal entity and in some instances, investigating or prosecuting a case.

Confidential financial disclosure reports must be filed within 30 days of entering a covered position and annually by February 15th. An employee may request an extension of time to file his report from his Component Head who may grant an extension of up to 90 days.

If the person charged with reviewing an employee's report finds a conflict, he should impose a remedy immediately. The employee's supervisor, with his ethics official, should decide on the remedy. Possible remedies include disqualification, divestiture or a waiver. Before an employee divests, he should find out if he is eligible for a Certificate of Divestiture from OGE which will allow him to receive favorable tax treatment on the sale of his asset. 5 C.F.R. § 2634.1001-1004 (see Subpart J - Certificates of Divestiture). Here is a sample request for a Certificate of Divestiture.

5 C.F.R. § 2634.901-909 (see Subpart I - Confidential Financial Disclosure Reports)

In lieu of completing an annual confidential report, certain employees complete a conflict of interest certification each time they are assigned a new matter. Some litigating attorneys complete certifications and employees who occasionally serve as a Contracting Officer's Technical Representative also complete them.

In addition to the financial disclosure regulations, the Departmental Ethics Office has created Procedures for Confidential Financial Disclosure System to assist ethics officials in managing their disclosure systems. OGE's OGE Form 450: A Review Guide is also available for downloading.

An employee may complete his financial disclosure report electronically through the Office of Governmental Ethics' (OGE) website using Adobe Acrobat. At this time, electronic filing is not authorized. The form must be printed, signed and mailed to an ethics official.


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