1.07: Written Procedures
5 U.S.C. app. § 402(d)(1); 5 C.F.R. § 2634.103(a) Note
Each agency is required by Section 402(d)(1) of the Ethics in Government Act to have written procedures for both the public and confidential financial disclosure systems regarding the collection, review, and evaluation of reports, as well as their public availability, as appropriate. An agency may issue separate written procedures for the confidential disclosure system or combine such procedures with its procedures for the public system.
In developing procedures, agencies should follow the guidance set forth in OGE DAEOgram DA-09-03-92 (September 3, 1992). Pursuant to that guidance, agency procedures for public financial disclosure should address the following topics:
- Identifying New Entrant, Annual, and Termination report filers, including a determination of who will be responsible for identifying filers and maintaining and updating master listings of filers.
- Distributing blank report forms (or, if applicable for the agency, providing access to an electronic filing system).
- Filing instructions (i.e., where and when to file reports, including any internal agency due dates).
- Identifying who filers should contact for assistance in completing the reports.
- Granting filing extensions.
- Granting exclusions from the filing requirements, including how to obtain approval from OGE for exclusions from the public financial disclosure requirements.
- Designating officials authorized to review and certify reports.
- Performing a technical and conflict of interest review.
- Levels of review and approval.
- Obtaining additional information from the filer when the report is incomplete, ambiguous, or raises conflict of interest issues and establishing an allowable timeframe within which the filer must provide the additional information.
- Amending and revising reports based on additional information obtained from the filer.
- Maintaining custody of reports.
- Providing for public access to public financial disclosure reports.
- Requiring remedial actions to resolve conflicts of interest or violations of laws, regulations, or executive orders.
- Pursuing administrative or disciplinary actions where appropriate.
- Following up on delinquent reports.
- Collecting the $200 late filing fee and granting waivers of the $200 late filing fee.
In addition to these requirements, agency procedures must address how the agency handles Periodic Transaction reports and complies with the other requirements of the STOCK Act (Public Law 112-105).