RD Instruction 2045-EE

PART 2045 - GENERAL

Subpart EE - Executive Branch Confidential Financial Disclosure Report

(OGE Form 450)

## [Table of Contents]{.underline}

[Sec]{.underline}. [Page]{.underline}

2045.1501 General. 1

2045.1502 Filing Requirements. 1

\(a\) Positions requiring the OGE Form 450. 1

> \(b\) New entrant filing requirements. 1
>
> \(c\) Annual filing requirements. 1

\(d\) Reporting periods. 1

\(e\) Availability of the OGE Form 450. 2

\(f\) Distribution of the OGE Form 450. 2

\(g\) Execution of the OGE Form 450. 2

\(h\) Transmission of the OGE Form 450. 2

2045.1503 Review and Certification of the OGE Form 450. 3

> \(a\) Officials responsible for the review of the
>
> OGE Form 450. 3

\(b\) Initial review. 3

\(c\) Request and approval of extensions for

filing the OGE Form 450. 3

\(d\) Officials responsible for final certification. 4

1504. Utilization of the Confidential Certificate of

No New Interests (OGE Optional Form 450-A). 4

2045.1505 Custody of the OGE Form 450. 4

2045.1506 Control and record system. 4

2045.1507 Quarterly reporting requirements. 5

2045.1508 - 2045.1550 \[Reserved\] 5

Exhibit A - Positions Requiring the OGE Form 450.

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RD Instruction 2045-EE

PART 2045 - GENERAL

Subpart EE - Executive Branch Confidential Financial Disclosure Report

(OGE Form 450)

§ 2045.1501 [General]{.underline}.

This Instruction provides procedures for using the Executive Branch
Confidential Financial Disclosure Report (OGE Form 450).

§ 2045.1502 [Filing Requirements.]{.underline}

Subpart I of Part 2634 of Title 5, Code of Federal Regulations (CFR)
states that the OGE Form 450 must be completed by executive branch
employees who hold positions which have been determined to involve
duties requiring personal and substantial participation through decision
making or exercise significant judgment in: contracting or procurement;
administering or monitoring grants, subsidies, licenses, or other
benefits; regulating or auditing non-Federal entities; or performing
other activities having a direct and substantial economic effect on
non-Federal entities.

> \(a\) [Positions requiring the OGE Form 450]{.underline}. See Exhibit
> A of this Instruction.

\(b\) [New entrant filing requirements]{.underline}. Employees appointed
to a designated position are required to file an OGE Form 450 within 30
days of appointment.

\(c\) [Annual filing requirements]{.underline}. Employees in designated
positions must file incumbent reports no later than October 31 annually.

[Note]{.underline}: An annual report is not required from an employee
who does not work more than 60 days during the reporting period. For
example, a covered employee who joins Rural Development on August 20,
must file a new entrant OGE Form 450 within 30 days of appointment, but
not an annual OGE Form 450 for the annual filing cycle. The same
principle applies to employees who transfer from a non-covered position
to a covered position.

\(d\) [Reporting periods]{.underline}. For new entrants, the reporting
period covers the 12 months preceding the date of filing. For annual
filers, the reporting period is the 12 months preceding September 30.

Distribution: WSAL Personnel

General

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RD Instruction 2045-EE

§ 2045.1502 (Con.)

\(e\) [Availability of the OGE Form 450]{.underline}.

> \(1\) Stock copies of the OGE Form 450 are only available
> electronically. The OGE Form 450 may be obtained at the USDA's Office
> of Ethics website,\
> <http://www.usda-ethics.net/forms/index.htm>.

\(f\) [Distribution of the OGE Form 450]{.underline}.

\(1\) The OGE Form 450 must be distributed to new entrant filers no
later than the first day of appointment and no later than October 5^th^
to annual filers.

\(2\) The State Ethics Advisor notifies State employees, the
Headquarters Personnel Services Branch staff notifies National Office
employees, and the St. Louis Field Services Branch Ethics Advisor
notifies the St. Louis employees of the OGE Form 450 filing requirement.

\(3\) The OGE Form 450 may be distributed either electronically, or in
hard copy.

\(g\) [Execution of the OGE Form 450]{.underline}.

\(1\) Employees completing the form by hand must use blue or black ink.
All form fillable electronic versions must be signed in blue or black
ink.

\(2\) If there is nothing to report for a section, the filer must check
the \"None\" box.

\(3\) The filer must certify the report by signing and dating in the
\"Signature of Employee\" block, which is located on the cover page of
the OGE Form 450.

\(4\) The employee should retain a completed copy of the OGE Form 450
for future reference.

\(h\) [Transmission of the OGE Form 450]{.underline}.

\(1\) The original OGE Form 450 must be placed in a double sealed
envelope. The inner envelope must be marked: \"For Official Use Only,\"
and indicate the employee\'s name.

\(2\) The outer envelope must be clearly marked: \"TO BE OPENED BY
ADDRESSEE ONLY Contains OGE Form 450,\" and addressed to the:

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RD Instruction 2045-EE

§ 2045.1502(h)(2) (Con.)

\(i\) State Ethics Advisor for State employees;

\(ii\) Ethics Advisor for Policy for National Office employees; or

\(iii\) St. Louis Field Services Branch Ethics Advisor for St. Louis
employees.

§ 2045.1503 [Review and Certification of the OGE Form 450]{.underline}.

\(a\) [Officials responsible for the review of the OGE Form
450]{.underline}. The following officials are authorized to review and
certify the OGE Form 450:

\(1\) State Ethics Advisors for State employees;

\(2\) Ethics Advisor for Policy for National Office employees; and the

\(3\) St. Louis Field Services Branch Ethics Advisor for St. Louis
employees and for State Ethics Advisors who do not have a designated
co-Ethics Advisor in their State to review their form.

\(b\) [Initial review]{.underline}.

\(1\) The officials indicated in paragraph (a) of this section must
indicate the date of receipt in the \"Date Received by Agency\" block at
the top left-hand corner of the first page of the OGE Form 450 or date
stamp on the reverse.

\(2\) All correspondence concerning outstanding questions must be
documented on the OGE Form 450 or as a memorandum to the file.

\(3\) For additional guidance, refer to the *OGE Form 450: A Review
Guide* at [www.usoge.gov](http://www.usoge.gov/).

\(4\) If necessary, the State Ethics Advisors may request assistance
from the St. Louis Field Services Branch Ethics Advisor. The St. Louis
Field Services Branch Ethics Advisor may request assistance from the
Ethics Advisor for Policy, National Office.

\(c\) [Request and approval of extensions for filing the OGE Form
450]{.underline}. Officials listed in paragraph (a) of this section may
grant an extension (not to exceed 90 days) for filing the OGE Form 450.
Requests for extensions must be in writing and received prior to the due
date.

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RD Instruction 2045-EE

§ 2045.1503 (Con.)

\(d\) [Officials responsible for final certification]{.underline}. Upon
final review, the officials listed in paragraph (a) of this section must
certify the OGE Form 450 by signing and dating the form in the
\"Agency's Final Reviewing Official and Title\" block.

§ 2045.1504 [Utilization of the Confidential Certificate of No New
Interests (OGE Optional Form 450-A)]{.underline}.

\(a\) The OGE Optional Form 450-A may be used by an incumbent filer in
lieu of the OGE Form 450 if the filer can certify that he/she, his/her
spouse or dependent children have not acquired new reportable interests
and that the filer has not had a significant change in duties or change
of position description assignment.

\(b\) This form may be used for a maximum of three consecutive years.
However, each presidential election year all employees in designated
positions must file the OGE Form 450.

\(c\) Employees completing the OGE Optional Form 450-A by hand must use
blue or black ink. All form fillable electronic versions must be signed
in blue or black ink.

\(d\) The officials identified in section 2045.1503 (a) of this
instruction must indicate the date of receipt and place his/her initial,
upon final review, in the lower right-hand corner of the OGE Optional
Form 450-A.

\(e\) The availability, distribution, transmission, custody, control,
quarterly reporting and transmission of the OGE Optional Form 450-A is
identical to the OGE Form 450 process as outlined in this instruction.

§ 2045.1505 [Custody of the OGE Form 450]{.underline}.

> \(a\) Officials listed in § 2045.1503 (a) are responsible for the
> custody and safe keeping of the OGE Form 450.

\(b\) All OGE Forms 450 must be maintained in a locked file cabinet
separate from the Official Personnel Folder.

§ 2045.1506 [Control and record system of the OGE Form 450]{.underline}.

The National Office, all State Offices and the St. Louis Office must
abide by the General Records Schedule as found at
<http://www.archives.gov/records_management/ardor/grs25.html>, for all
ethics records.

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##  

RD Instruction 2045-EE

§ 2045.1507 [Quarterly reporting requirements]{.underline}.

\(a\) All State Ethics Advisors must submit a status report outlining
the receipt and review of OGE Form 450s and OGE Optional Form 450-As to
the St. Louis Field Services Branch on the 15^th^ of December, March and
June or at any time prior to those dates if all of the forms are
received and certified for their State. The St. Louis Services Branch
must forward the combined report to the Ethics Advisor for Policy,
National Office by the 20^th^ of December, March and June.

\(b\) The Ethics Advisor for Policy, National Office, must submit a
report outlining the receipt and review of all OGE Form 450s and OGE
Optional Form 450-As to the USDA's Office of Ethics by December 30^th^,
March 31^st^, and June 30^th^, or at any time prior to those dates if
all of the forms from the National Office, State Offices and St. Louis
Office are collected and reviewed.

§§ 2045.1508 - 2045.1550 \[Reserved\]

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RD Instruction 2045-EE

Exhibit A

Page 1

**[Positions Requiring the OGE Form 450]{.underline}**

##### 

##### National Office and St. Louis

##### 

##### All Special Government Employees

##### 

##### Rural Housing Service

\(1\) Directors.

\(2\) Deputy Directors.

\(3\) Supervisors/Managers, GS-14.

\(4\) All Loan Program Employees, GS-13 and above.

\(5\) Employees with contracting officer authority.

\(6\) Any employee who is officially acting in one of the above
mentioned positions for more than 60 days.

##### Rural Utilities Service

\(1\) Program Managers (Directors), GS-15.

\(2\) Program Managers (Deputy Directors), GS-14.

\(3\) Supervisors/Managers, GS-14 and 15.

> \(4\) Employees with contracting officer authority.

\(5\) Employees with responsibility for communicating with manufacturers
and recommending approval of equipment.

# (6) Water and Environmental Programs Loan Specialists, GS-12 and above. 

# (7) Any employee who is officially acting in one of the above mentioned positions for more than 60 days.

### **Rural Business-Cooperative Service**

\(1\) Assistant Deputy Administrators.

\(2\) Directors.

\(3\) Branch Chiefs.

\(4\) Supervisors/Managers.

\(5\) All Loan Program Employees (with exceptions as determined by the
work of the position), GS-9 and above.

\(6\) Employees with contracting officer authority.

> \(7\) Employees who manage, administer or monitor grants or subsidies.
>
> \(8\) Any employee who is officially acting in one of the above
> mentioned positions for more than 60 days.

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RD Instruction 2045-EE

Exhibit A

Page 2

### **Office of Community Development**

\(1\) Assistant Deputy Administrator.

\(2\) Directors.

\(3\) Supervisors/Managers.

\(4\) Rural Development Specialists, GS-13 and above.

\(5\) Employees who have contracting officer authority.

\(6\) Any employee who is officially acting in one of the above
mentioned positions for more than 60 days.

#### **Operations and Management**

\(1\) Assistant Administrator for Procurement and Administrative
Services

Director, Procurement Management Division

Branch Chiefs

Contract Specialists and Procurement Analysts

Purchasing Agents.

Director, Support Services Division

Chief, Property & Space Management Branch

Chief, General Services Branch

Purchasing Agents.

\(2\) Office of the Chief Financial Officer

Division Directors

Branch Chiefs

Supervisors/Managers, GS-14 and above.

\(3\) Assistant Administrator for Human Resources

######  Director and Deputy Director, Human Resources Training Division

######  Safety and Occupational Health Manager.

\(4\) Employees who have contracting officer authority

\(5\) Employees who manage, administer or monitor grants or subsidies
(including cooperative agreements).

\(6\) Any employee who is officially acting in one of the above
mentioned positions for more than 60 days.

[NOTE]{.underline}: The Ethics Advisor for Policy in the National Office
has the authority to identify additional positions that require an OGE
Form 450 if he/she feels the position meets the reporting requirements
as defined by the Office of Government Ethics at 5 CFR § 2634.904.

RD Instruction 2045-EE

Exhibit A

Page 3

##### State Offices

\(1\) All employees at GS/GM-13 and above.

\(2\) All State, Area and Local Office Specialists, who are involved
with loan, grant and guarantee programs.

\(3\) Administrative Program Director, GS-12 and above.

\(4\) Contract Program Managers, Contract Specialists, Procurement and
Small Purchase Specialists, Purchasing Agents, and Procurement
Clerks/Assistants.

\(5\) Civil Engineer, GS-11 and above.

\(6\) Architect, GS-11 and above.

\(7\) Appraiser, GS-11 and above.

\(8\) Any employee who is officially acting in one of the above
mentioned positions for more than 60 days.

[NOTE]{.underline}: The State Ethics Advisor has the authority to
identify additional positions that require an OGE Form 450 if he/she
believes the position meets the reporting requirements as defined by the
Office of Government Ethics at\
5 CFR § 2634.904.

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