Financial Disclosure Statement FAQs
I am a member of a Board or Commission other than an ANC. Must I file a Financial Disclosure Form? What if I receive no pay for my services?
The D.C Official Code states, “a member of a board or commission listed in § 1-523.01(e),” is required to file a public financial disclosure statement. Section 1-523.01(e) includes the following boards and commissions:
Alcoholic Beverage Control Board
Board of Library Trustees
Board of Trustees of the University of the District of Columbia
Board of Zoning Adjustment
Police Complaints Board
Contract Appeals Board
Board of Elections
Commission on Human Rights
Housing Finance Agency Board of Directors
Lottery and Charitable Games Control Board
Historic Preservation Review Board
Metropolitan Washington Airports Authority Board of Directors
Office of Employee Appeals
Public Employee Relations Board
Public Service Commission
Rental Housing Commission
Washington Convention and Sports Authority Board of Directors
Water and Sewer Authority Board of Directors
Zoning Commission
Taxicab Commission
Housing Authority Board of Commissioners
Homeland Security Commission
Commission on Fashion Arts and Events
Board of Audiology and Speech-Language Pathology
Board of Chiropractic
Board of Dentistry
Board of Dietetics & Nutrition
Board of Industrial Trades
Board of Long-Term Care Administration (formerly the Board of Nursing Home Administration)
Board of Marriage and Family Therapy
Board of Massage Therapy
Board of Medicine
Board of Nursing
Board of Occupational Therapy
Board of Optometry
Board of Pharmacy
Board of Physical Therapy
Board of Podiatry
Board of Professional Counseling
Board of Professional Engineering
Board of Psychology
Board of Real Estate Appraisers
Board of Respiratory Care
Board of Social Work
Board of Veterinary Medicine
Chesapeake Bay Program Local Government Advisory Committee
Citizen Review Panel for Child Abuse and Neglect
Combat Sports Commission
Commission on Health Equity
Commission on Re-Entry and Returning Citizen Affairs
Construction Codes Coordinating Board
DC Retirement Board of Trustees
District of Columbia Housing Authority Stabilization and Reform Board
District of Columbia State Athletics Commission
Eastern Market Community Advisory Committee
Health Benefit Exchange Authority Executive Board
Health Information Exchange Policy Board
Higher Education Licensure Commission
Housing Finance Agency Board of Directors
Housing Production Trust Fund Board
Humanities Council of Washington, D.C.
Interagency Council on Homelessness
Interagency Working Groupon Autonomous Vehicles
Interstate Commission on the Potomac River Basin
Interstate Medical Licensure Compact Commission
Metropolitan Washington Council of Governments
Opioid Abatement Advisory Commission
Police and Firefighter's Retirement and Relief Board
Public Defender Service Board of Trustees
Real Estate Commission
Rental Housing Commission
Washington DC Regional Planning Commission on Health and HIV
Washington Metropolitan Area Transit Commission
I am an employee who makes decisions or participates substantially in the areas of contracting, procurement, administration of grants or subsidies, developing policies, land use planning, inspecting, licensing, policy-making, regulating, or auditing, or acts in areas of responsibility that may create a conflict of interest or appearance of a conflict of interest. Am I required to file a Financial Disclosure Statement? If so, should I file a Public Financial Disclosure Statement or a Confidential Financial Disclosure Statement?
Yes, if you engage in any of the above activities and received a notice from BEGA or your agency, you must file one of the two types of Financial Disclosure Statements – Public or Confidential. Although these two forms are functionally identical, as the names suggest, if you are a Public Filer, your filing will be available to the public on BEGA’s website https://efiler.bega.dc.gov/fdssearch/. If you are a confidential filer, you complete the form online and then submit the form directly to your agency for review and it is not publicly available.
Below is an explanation of which category may apply to you. If you are uncertain, your Ethics Counselor can provide guidance on whether you are a public filer or a confidential filer.
Public Filers – All “Public Officials” must file a Public Financial Disclosure Statement.
A Public Official includes:
A. A candidate for nomination for election, or election, to public office;
B. The Mayor, Chairman, and each member of the Council of the District of Columbia holding office under Chapter 2 of this title;
C. The Attorney General;
D. A Representative or Senator elected pursuant to § 1-123;
E. An Advisory Neighborhood Commissioner;
F. A member of the State Board of Education;
G. A person serving as a subordinate agency head in a position designated as within the Executive Service; (G-1) Members of the Washington Metropolitan Area Transit Authority Board of Directors appointed pursuant to § 9-1107.01; (G-ii) A Member or Alternate Member of the Washington Metrorail Safety Commission appointed by the District of Columbia pursuant to Article III.B. of the Metrorail Safety Commission Interstate Compact [§ 9-1109.11(III)(B)];
H. A member of a board or commission listed in § 1-523.01(e);
I. A District of Columbia employee, regardless of pay schedule, paid at a rate of Excepted Service 9 or above, or its equivalent, who makes decisions or participates substantially in areas of contracting, procurement, administration of grants or subsidies, developing policies, land use planning, inspecting, licensing, regulating, or auditing, or acts in areas of responsibility that may create a conflict of interest or appearance of a conflict of interest; and any additional employees designated by rule by the Ethics Board who make decisions or participate substantially in areas of contracting, procurement, administration of grants or subsidies, developing policies, land use planning, inspecting, licensing, regulating, or auditing, or act in areas of responsibility that may create a conflict of interest or appearance of a conflict of interest. D.C. Official Code § 1-1161.01(47)(A-I) & 3 DCMR § 9900.1 (emphasis added).
If you make decisions or participate substantially in any of the areas listed above, and are paid at a rate of Excepted Service 9 or above, or its equivalent, regardless of pay scale, then you are a Public Official, and must file a Public Financial Disclosure Statement. .
Confidential Filers – A confidential filer is anyone who makes the types of decisions described above but is paid less than the requisite amount. Confidential filers are determined and designated by their agency head. If you are a confidential filer your agency head will notify you in writing.
Can I file my Financial Disclosure Statement Electronically with BEGA?
Yes. BEGA does not accept paper copies except as permitted via the Electronic Filing Waiver.
How do I file my Financial Disclosure forms electronically?
All filers file their financial disclosure statements electronically at https://efiler.bega.dc.gov/auth/fds
I am a Government Employee who has been designated as a Confidential filer. Can I file my Financial Disclosure Statement Electronically with BEGA?
Yes. Pursuant to Title 3 DCMR, ELECTIONS AND ETHICS, Chapter 57, FINANCIAL DISCLOSURES AND HONORARIA, Section 5704, Subsection 5704.1(c): All confidential financial disclosure statements shall be filed electronically at the Board of Ethics and Government Accountability website using the electronic filing system and by submission of the completed e-filing to their agency Ethics Counselor. BEGA will provide confidential filers with instructions on how to file using the electronic filing system.
I was designated by my Agency Head as a filer. I disagree with the designation. May I appeal? If yes, how?
Yes. An employee may request a redetermination (i.e. file an appeal) of the designation to the Agency Head. (DPM § 1810.6(a)). You can appeal by first submitting a written request to your agency head within five (5) days of written notification of the designation (DPM § 1810.7(a)). Include the reason(s) you do not believe you meet the definition of a filer and your position description.
The agency head must then make a redetermination, in writing, within five (5) days of receiving the request. (DPM § 1810.7(b)). The agency head’s redetermination denying the employee’s requested relief (that they should not be designated as a Confidential Filer), is appealable, in writing, within five (5) days of the time the employee receives the notice of denial. The employee can then appeal this decision to the Director of Government Ethics (DPM § 1810.7(c)). The decision of the Director of Government Ethics, with respect to the designation, must be issued within five (5) days of his receipt of the appeal, and is final. (DPM § 1810.8).
I was a candidate for the D.C. Democratic State Committee during the prior calendar year, am I required to file a Financial Disclosure form?
Yes. As a candidate in an election administered by the DC Board of Elections, you fall under the definition of "Public Official" in the Ethics Act. This means you must file a shortened form called a Public Financial Disclosure Certification.
I am a volunteer for a non-profit entity, such as the American Bar Association (“ABA”). Do I need to disclose this?
It depends. The ABA is a non-profit organization and, as such, is considered a “business entity” as that term is defined in D.C. Official Code § 1-1162.24(a)(1)(A). The Ethics Act mandates that you disclose any affiliations, such as officer, director, partner, employee, volunteer, consultant, contractor, and member, with any business entity, whether or not transacting business with the District or those affiliations in which you have a fiduciary role and/or control over the entity’s management or operations. This extends to filers who are volunteers. In the case of the ABA, only a fiduciary or other position of control role need be disclosed. If a person were simply volunteering occasionally at a soup kitchen, however, that would not need to be disclosed, because they did not have a fiduciary role in the organization.
I am an ANC Commissioner as well as a District government employee. I have been designated by my agency head as an employee who must file a Confidential Financial Disclosure Statement. Am I required to file two separate forms -- the Public Financial Disclosure Certification form and the Confidential Financial Disclosure Statement (“CFDS”)?
Yes. ANC Commissioners are required to file the ANC Public Financial Disclosure Certification (“PFDC”) form with BEGA, while designated confidential filers are required to file CFDSs with BEGA and their agency heads.
PFDCs are published on our website, while CFDSs are only available to BEGA and the employee’s agencies. PFDCs do not require disclosure of the same information as the full Public or Confidential Financial Disclosure Statement does, so a published Certification would not suffice to satisfy the Confidential filer requirement.
However, if a District employee is designated as a Public filer by their agency and is also an Advisory Neighborhood Commissioner required to file the Certification, then the employee would only need to submit one form, the Public Financial Disclosure Statement, which includes the 15 substantive questions and the certification from the PFDC. The Public Financial Disclosure Statement satisfies both financial disclosure and publication requirements.
As a Public Official, will my Financial Disclosure Statement be Public?
Yes. If you are a public official your Financial Disclosure Statement is public. (See, D.C. Official Code § 1-1162.24(a)). If you are an ANC Commissioner your Financial Disclosure Certification is public. (See D.C. Official Code § 1-1162.25(a-1)(2)).
The Board may, on a case-by-case basis, make exemptions. See answer to specific waiver questions below. (D.C. Mun. Regs. tit. 3, §5703.1 (2013)).
I am a public filer and have a legitimate safety concern about having my financial information available for public review. Is there some type of waiver or exemption available to me?
Yes. Section 224(a)(2) of the Ethics Act permits BEGA “on a case-by-case basis” to exempt a public official from this requirement “or some portion of this requirement for good cause shown.” The term “good cause” is defined at 3 DCMR § 5707.4, and includes personal or physical safety concerns;
articulable identity theft or security breach concerns (a general fear of a possible breach without an articulable threat will not be considered); secret or sensitive government information concerns or competitive or secret financial or business concerns; undue burden; or other substantial or important matters of first impression. It should be remembered that a public official, by definition, is a public figure, so waivers are very rare. The exemption is within the discretion of the five-member BEGA Board. If a waiver is granted, the terms would still require the public official to file an FDS, but all or part of the statement would be deemed confidential and filed only with the BEGA Board. Any request for a waiver must be submitted in writing and would not toll the May 15th filing deadline. This means that if you are requesting a waiver, you must do so sufficiently in advance of the May 15th filing deadline that you will be able to file on time if (a) your request for a waiver of the public filing requirement is denied; or (b) if your request for a waiver of the public filing requirement is granted but you are required to file a confidential Financial Disclosure Statement. You should allow sufficient time for the Ethics Board to consider and decide on any such waiver request.
As a public official, what action must I take prior to the Financial Disclosure filing deadline?
Financial Disclosure Statements are due on May 15th. The Public Financial Disclosure Statement form, however, is available for you to complete prior to May 15th. You will receive communication from BEGA by mid-April as well as periodic reminders of your responsibility to file.
As an Agency Head, what deadlines should I remember?
All Agency Heads should be aware of the following deadlines:
February 1: Office of Government Ethics (OGE) sends letter with pertinent information for the upcoming Financial Disclosure.
On or before March 1: All Agency Heads or their designee (usually the agency Ethics Counselor) must supply a list of designated filers to the Office of Government Ethics (OGE) Financial Disclosure Team by March 1st of each year.
On or before April 15:
• All Agency Heads or their designee (usually the agency Ethics Counselor) must inform designated confidential filers of their designation and their obligation to file.
• BEGA must inform designated public filers of their designation and their obligation to file.
May 15: Financial Disclosures are due.
On or before June 1: All Agency Heads or their designee must provide the Financial Disclosure Review Report (FDRR) detailing their agency’s CFDS filers and non-filers, and informing BEGA of any potential ethical issues or conflicts of interest they discovered during their review of the CFDSs.
I am uncomfortable disclosing, or am unsure of, the exact amount of income that must be disclosed on questions 1, 2, 6 and 7 on the Financial Disclosure Statement. I do not qualify for a waiver. What are my options?
When filing via the e-filing system, the questions requesting income disclosures have ranges from which the filer should choose. The ranges are:
• None (or less than $1,001)
• $1,001 - $15,000
• $15,001 - $50,000
• $50,001 - $100,000
• $100,001 - $250,000
• $250,001 - $500,000
• $500,001 - $1,000,000
• Over $1,000,000
• $1,000,001 - $5,000,000
• $5,000,001 - $25,000,000
• $25,000,001 - $50,000,000
• Over $50,000,000
What is a “prohibited source?”
A “Prohibited Source” means anyone who is regulated by the District government, or anyone who does, or is seeking to do, business with the District government through a contract, grant, or other financial arrangement. (D.C. Official Code § 1-1161.01(46)).
The house that I live in is the only property that I own in the District of Columbia. Do I need to disclose this property?
No. You only need to disclose all other real property in which you (or your spouse) have a financial interest. The real property must have a fair market value of more than $1000 or produce an income of more than $200 per year.
Do I need to disclose my retirement account?
It depends. You may need to disclose the retirement account, depending on the type of account and how it is structured. For instance, just like ownership of stock/shares of a business entity which must be disclosed, if the account is self-directed (i.e., you choose the individual companies in which the account invests) then you must disclose. If, on the other hand, the retirement account funds are invested in mutual funds or similar type programs in which someone else makes investment decisions without any input or direction from you, you would not have to disclose.
Do I need to disclose my personal checking account and/or credit card debt?
No. You do not need to list any credit card debt since most credit cards are issued by federal or state insured or regulated financial institution. In addition, credit card companies are in the business of providing revolving credit or installment accounts
Do I need to disclose my mutual fund account?
No. You only need to disclose financial accounts that are self-directed (i.e., you choose the individual companies in which the account invests). Remember, the purpose of the disclosure rules is to determine whether you are in a position, through your government work, to confer a benefit on an entity in which you have a private financial interest. If you are not aware of the various companies a mutual fund might own, there would not be that concern.
What is an “Honorarium” or “Gift”?
“Honorarium” means any fee, per diem, compensation, or any amount paid to any member of any such board, commission, or committee for service as such member. (D.C. Official Code § 1-321.01).
“Gift” means any gratuity, favor, discount, entertainment, hospitality, loan, forbearance, or other item having monetary value. It includes services as well as gifts of training, transportation, local travel, lodgings and meals, whether provided in-kind, by purchase of a ticket, payment in advance, or reimbursement after the expense has been incurred. (DPM § 1803.4(a)).
Other than May 15th, is there any other time throughout the year that I must submit a Financial Disclosure Statement?
Yes. When you separate from District government employment, and are designated as a filer you must file a final Financial Disclosure Statement within ninety (90) days of separation. (See, D.C. Official Code § 1-1162.24(c)).
As an Agency Head, what am I supposed to do with the completed Confidential Financial Disclosure Forms from my employees once I receive them?
The statements must be kept confidential, as you would keep any key personnel documents. You are required to retain the statements in limited access files under your control for at least six (6) years. (See, DPM § 1810.11). You must review each Confidential Financial Disclosure Statement before June 1st of each year. Part of your review is to determine whether any violation of the Code of Conduct, such as a financial conflict or other improper outside financial relationship or monetary/gift acceptance, is reported on the form. The agency head is in the best position to determine whether a financial conflict exists given the employees’ job duties at the agency. If a Confidential Financial Disclosure Statement contains an apparent violation of the Code of Conduct (i.e., an unlawful gift or contribution or a financial relationship that overlaps with the employees governmental duties), the agency head must immediately forward the statement to BEGA with an explanation of the discrepancy.
The second part of the review is that each Agency Head must provide a Financial Disclosure Review Report (FDRR) to the Office of Government Ethics by June 1st. This report asks whether all designated filers have filed their Confidential Financial Disclosure Statements, whether a designee filed a designation appeal and its outcome, and whether the completed CFDSs have any conflicts of interest or other ethical issues.
I am a Financial Disclosure Statement Filer, but I am on extended leave during the filing deadline or cannot otherwise file by the deadline, can I get an extension?
Yes, you may request an extension of up to thirty (30) days. The request must be submitted to the Director of Government Ethics, in writing, and show good cause as to why you cannot submit the form by the filing deadline.
How do I file after separation from District Employment?
Because the Financial Disclosure Statement asks for information from the previous year, your obligation to file a final form for the previous year does not detach when you separate from District employment. District employees who worked 30 days in the previous calendar year and separated from District employment before the most current filing season but who are designated to file must file an FDS within 90 days of separation from employment with the District or face the same penalties as a current employee. See D.C. Official Code 1-1162.24(c)(1).
Please note, if you worked 30 days in the previous calendar year and were required to file a Financial Disclosure Statement when you were a District government employee, your agency will report you to us as a filer, even though you do not currently work for the District. You must either file the form or submit and win a designation appeal, but you cannot ignore your filing obligation. You will be listed as non-compliant and fined if you do not comply with your filing requirement.
The password is difficult to remember. Can I change it?
For most filers, the e-file system has been designed to accept their @dc.gov email address and their Lightweight Directory Access Protocol (LDAP)/ network password for access. This is the email address and password you use to log in to your District government laptop. You would change your LDAP in the same manner you change it annually. For those not using @dc.gov email (i.e. @k12.dc.gov, @dchfa.org, etc.), returning filers will be prompted for the password used in previous filings. For new filers, you will be prompted to create a password. If you need assistance, please file a support ticket https://efiler.bega.dc.gov/Support.
I was a candidate for election during the prior calendar year. I am also a District government employee. Am I required to file two separate forms-the Public Financial Disclosure Certification form and the Public Financial Disclosure Statement form?
No. The certification language is identical on both forms. If you file a Public Financial Disclosure Statement, as part of filing that form you will have also filed a certification.
Does the Office of Campaign Finance (OCF) still accept Financial Disclosure Forms?
No. OCF has different requirements and different forms. The Board of Ethics and Government Accountability (“BEGA”) is now the entity that accepts all Financial Disclosure Statements (“PFDS”) and Financial Disclosure Certifications.
If I previously had to file a Form 35 with my Agency Head and a separate Financial Disclosure Statement with the Office of Campaign Finance, what do I need to file now and with whom?
The Ethics Act was partly intended to do away with the past practice of employees having to file multiple financial disclosure forms with different government entities. As a result, you are no longer required to complete a Form 35 or file a Financial Disclosure Statement with the Office of Campaign Finance; however, as discussed herein those designated as “confidential filers” must file with their Agency Heads and BEGA while “public officials” must file with BEGA.
Am I required to certify that the provisions in D.C. Official Code § 1-1162.24(a)(1)(G) are true?
Yes. The FDS filer must certify that he or she:
• Not caused title to property to be placed in the legal name, possession, or control of another person or entity for the purpose of avoiding the disclosure requirements on this form;
• Filed and paid my income and property taxes or am in current good standing with the IRS and state tax collector because of an extension, payment plan or other arrangement or agreement;
• Diligently safeguarded the assets of the taxpayers and the District;
• Complied with my duty to report known illegal activity, including attempted bribes, to the appropriate authorities;
• Not been offered or accepted any bribes;
• Not directly or indirectly received government funds through illegal or improper means;
• Not raised or received funds in violation of federal or District law; and
• Not received or been given anything of value, including a gift, favor, service, loan gratuity, discount, hospitality, political contribution, or promise of future employment, based on any understanding that my official actions or judgment or vote would be influenced.
• Completed a full ethics training within the last 365 days (all financial disclosure statements filers are required to take ethics training annually);
You will not be able to complete the electronic filing without these certifications. Once complete the efiling system asks you to Certify and Submit and adds an electronic signature.
What if I have not completed a Full Ethics Training within the last 365 days? Can I still complete the Financial Disclosure?
No. You must have completed a Full Ethics Training within the last 365 days. The Office of Government Ethics offers several opportunities to complete Ethics Training from monthly in-person virtual training, departmental training, OGE’s Learning Management System, and via PeopleSoft training. Visit the training section of our website for more information.
I received a gift from a contractor who contracts with the District. Do I need to disclose this?
Yes, if this gift costs $100 or more, you must disclose it. The Ethics Act requires PFDS and CFDS filers to disclose all gifts received from a prohibited source in the aggregate value of $100 in a calendar year. D.C. Official Code §1-1162.24(a)(1)(E).
I became a Certified Public Accountant (“CPA”) licensed in D.C. during the previous calendar year. Do I need to disclose this?
Yes. The Ethics Act requires FDS filers to disclose all professional or occupational licenses issued by the District of Columbia Government held by the filer, his or her spouse, domestic partner, or dependent children.
Does this apply as well to the D.C. Bar?
Yes, you need to disclose D.C. Bar licensure because a license to practice law is a professional or occupational license (see below). You do not need to disclose whether you have a fiduciary or other similar type position with the D.C. Bar. The D.C. Bar is an instrumentality of the District government and therefore does not fall within the definition of “business entity”.
How do I know if I need to disclose my domestic partner’s financial information?
Financial information for a domestic partner must be disclosed. The Ethics Act mandates that FDS filers disclose the same information for their spouse, domestic partner, or dependent children as they do for themselves.
Domestic partner is defined in the Ethics Act as “a person with whom an individual maintains a committed relationship as defined in paragraph (1) of this section and who has registered under § 32-702(a). Each partner shall:
(A) Be at least 18 years old and competent to contract;
(B) Be the sole domestic partner of the other person; and
(C) Not be married.”
(D.C. Code §1-1161.01(14) citing D.C. Code §32-701(3)).