Confidential Financial Disclosure Report (Form OGE-450)
Employees in certain positions are required by the Ethics in Government Act (EIGA), as amended, to file a Confidential Financial Disclosure Report (OGE-450) because of the responsibilities associated with their positions. The first report is due 30 days of entering the covered position, and then an annual report is required thereafter. Criteria for covered positions are described using NIH examples in the document listed below. Your IC's Deputy Ethics Counselor or Ethics Coordinator or Specialist will provide information and instructions for accessing and completing the forms to the appropriate individuals when reports are required.
NIH employees will complete and submit their Confidential Financial Disclosure Report (OGE-450) electronically using the NIH Enterprise Ethics System (NEES), beginning in January 2009. NEES is on a secure server, accessible at the following address: https://nees.nih.gov/. Contact your IC's ethics office staff for assistance.
Annual Filers: Your annual report covers the calendar year and is due no later than February 15th of the following year. Extensions (to a maximum of 90 days) may be requested by contacting your Ethics Office. Names and contact information are available via the links above.
New Entrant Filers: Employees who are identified as New Entrant filers have 30 days from the date your Ethics Office identified you as a filer to submit your New Entrant report. Your report covers the 12 months previous to your signature date on your New Entrant report. Again, an extension (to a maximum of 90 days) is available by contacting your Ethics Office staff. You must submit the full OGE-450 report.
New Entrant filers are also required to submit the HHS-717-1 Confidential Report of Financial Interests in Substantially Affected Organizations for Employees of the NIH, within 30 days of the date you become a filer. This form requires specific information about financial interests in substantially affected organizations, or those entities which may be affected by the business of NIH. Information about SAOs is also available.
Assistance for Completing the OGE-450 Report: The OGE-450 form contains detailed instructions for what to report and not report, what to submit, and many examples. In addition, the following summarizes the process and provides additional information about what to submit.
- Complete the general information about yourself.
- Carefully read all instructions for all sections before you answer the five questions on page 1.
- Answer the 5 questions. If your answer is "No" for all 5 questions, you may sign, date, and submit just that one page.
- For each "Yes" answer, also submit the part applicable to that question.
- Helpful Hints: This document provides specific hints for filers regarding what to include, or what can be omitted.
- Checklist: This document provides assistance to both filers and reviewers to double check that the report is complete.
NIH: Confidential Financial Disclosure Filer Defined: This document describes the NIH policy implementing the filer criteria outlined in the regulation.
Form OGE-450 Confidential Financial Disclosure Report (June 2008) is available in a fillable pdf format. If you have Acrobat Reader software, version 7, you can edit and save your completed form. You may download the Acrobat software at the link below, or contact your IC computer support staff to upgrade your Acrobat Reader software. Note that NIH uses the NIH Enterprise Ethics System (NEES) for employees to electronically complete and submit the Confidential Financial Disclosure Report. The form is provided here for your information, e.g., to have a hard copy available while you complete it on-line.
Form HHS-717, Confidential Report of Financial Interests in Substantially Affected Organizations for Employees of the NIH, including detailed instructions.
Please note that the HHS-716, Initial Report of Financial Interests in Substantially Affected Organizatiohs for Emplyees of the NIH, is obsolete. Initial and update reports will use the fomr HHS-717-1, above.
The Office of Government Ethics developed a training module for filers of the Confidential Financial Disclosure Report. It quickly covers the reasons for a new form, and a description of what items must be reported. It is quite helpful, especially for new filers.
The form OGE-450 is also available in an accessible format on the OGE web site, on the OGE forms page
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*NOTE: This link is to the Adobe web site. After you download the Acrobat Reader file, you must also install it. Please carefully read the instructions on the download screen and complete both steps. Contact your computer support staff for assistance.
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Updated: 3/19/07 |