DOE N 326.10, Annual Confidential Financial Disclosure Report (OGE Form 450 or 450-A)

DISTRIBUTION: INITIATED BY: All Departmental Elements Office of General Counsel U.S. Department of Energy NOTICE Washington, D.C. 9-29-03 Expires: 10-1-04 SUBJECT: ANNUAL CONFIDENTIAL FINANCIAL DISCLOSURE REPORT (OGE Form 450 or 450-A) This Notice addresses the Executive Branch confidential financial disclosure reporting requirements. These requirements apply to career GS/GM employees as well as employees serving in excepted service positions designated EJ, EK, and EN. NOTE: The list of positions that are exempt from filing a Confidential Financial Disclosure Report has been revised substantially. Who must file: All employees of the Department of Energy, including those in the National Nuclear Security Administration, who have occupied positions at GS-15, GM-15, and Excepted Service pay band IV, and below, for more than 60 days during the reporting period (October 1, 2002, through September 30, 2003) must file a Confidential Financial Disclosure Report (OGE Form 450 or 450-A) unless they are required to file a Public Financial Disclosure Report (SF 278) or they occupy a position that is exempt from filing as shown on the list at the end of this Notice. Also, each person working at the Department pursuant to an Interagency Personnel Act agreement must file OGE Form 450 or 450-A unless he or she occupies a position that is required to file a Public Financial Disclosure Report. Further, the Department may require an OGE Form 450 or 450-A from an employee who performs duties that require a Report in accordance with 5 C.F.R. 2634.904(a), regardless of whether such employee occupies a position on the exempt list. Ethics counsel will notify employees who are affected by this requirement on an individual basis. All special Government employees, i.e., employees who serve less than 130 days during any 365-day period and who are not SF 278 filers, are required to file OGE Form 450 when appointed and, thereafter, only on their respective anniversary/reappointment date. NOTE: Successful applicants for positions that are exempt from filing an annual Confidential Financial Disclosure Report are also not required to file such a Report as a new entrant to that position. When to file: Reports (OGE Form 450 or 450-A) must be completed, signed, and submitted on or after October 1 and no later than October 31, 2003. DOE N 326.10 CANCELE D CANCELE D 2 DOE N 326.10 9-29-03 Where to file: Headquarters personnel should submit Reports (OGE Form 450 or 450-A) directly to the Office of the Assistant General Counsel for General Law, GC-77, Room 6A-211, Forrestal Building. Unless otherwise instructed, field personnel should submit the Report directly to their respective field counsel. Reporting Period: The reporting period covered by the Report (OGE Form 450 or 450-A) is the 12-month period beginning October 1, 2002, and ending September 30, 2003. Forms: All Confidential Financial Disclosure Report filers must use OGE Form 450 or 450-A. Filers should obtain OGE Form 450 or 450-A from their Administrative Officers, who may obtain them from supply rooms or directly from the internet at: http://www.directives.doe.gov/references/index.html#financial. Special Note on Forms: Some employees may be eligible to use the short form OGE Form 450-A. OGE Form 450-A may be used by current employees (other than special Government employees) who already have an OGE Form 450 on file with the Department and who meet all four of the eligibility requirements described below.

A signature on OGE Form 450-A certifies compliance with the eligibility requirements. Penalties for certifying false information may be grounds for administrative and/or criminal action. To use OGE Form 450-A, the filer must be able to certify that, since filing his or her most recent OGE Form 450: 1. The filer, the filer’s spouse, and the filer’s dependent children have no new reportable: A. assets or sources of unearned income, B. liabilities (debts), or C. gifts or travel reimbursements; 2. The filer and the filer’s spouse have no new reportable sources of income from non- Federal employment; 3. The filer has no new reportable: A. outside positions, or B. agreements or arrangements concerning future, current, or past non- Government employment; and 4. The filer has not changed positions at the Department, including not having a new position description or other significant change in duties. CANCELE D CANCELE D http://www.directives.doe.gov/references/index.html#financial DOE N 326.10 3 9-29-03 All four of these eligibility requirements must be met. If the filer is not able to make the eligibility certification, then the filer must file an OGE Form 450. Information required: The instructions on OGE Form 450 and 450-A answer most questions. However, if additional guidance is needed, please consult the publication “OGE Form 450: A Review Guide,” or the Department’s Procedures for Confidential Financial Disclosure which have been provided to Administrative Officers. Also employees may contact the Office of the Assistant General Counsel for General Law, 202-586-1522, StandardsofConduct@hq.doe.gov, or respective field counsel. Nonexempt Positions: ALL employees (except those filing a Public Financial Disclosure Report) must file a Confidential Financial Disclosure Report (OGE Form 450 or 450-A) regardless of whether their position is otherwise exempt, if the employee is in one of the following categories: • holds a contracting officer’s warrant; • serves as a contracting officer’s representative or contracting officer’s technical representative; or • holds an IMPAC Card with a transactional limit exceeding $2,500.00. Exempted Positions: Unless you are in one of the nonexempt categories listed above, all other exempted positions are listed below in numerical order by occupational series, with the respective exempted grade levels. For example, all employees in the occupational series 00018 at grade 13 and below are exempt from filing a Report. In addition, all employees who occupy wage grade positions in occupational series 02600 and higher are exempt. CANCELE D CANCELE D mailto:StandardsofConduct@hq.doe.gov 4 DOE N 326.10 9-29-03 Occupational This grade & lower Series grades are exempt Occupational This grade & lower Series grades are exempt 00018 13 00019 15 00020 13 00023 15 00028 13 00029 15 00080 13 00081 15 00084 15 00086 15 00099 15 00101 13 00110 13 00130-132 14 00134 15 00150 15 00170 15 00180 13 00193 13 00199 15 00201-299 15 00301 13 00302-305 15 00312-313 15 00318-319 15 00322 15 00326 15 00334 13 00335 15 00340-343 13 00344 15 00346 15 00350-351 15 00360-361 15 00382 15 00390 15 00391 13 00392 15 00394 15 00399 15 00401 13 00403 13 00415 13 00430 13 00440 13 00460 13 00462 15 00480 13 00482 13 00486 13 00499 15 00501 13 00503 15 00505 13 00510 11 00511 no exemptions 00525 15 00540 15 00544 15 00560 13 00561 15 00599 15 00601-603 13 00610 15 00621 15 00670-671 13 00690 13 00699 15 00801-804 13 00806-810 13 00817-818 15 00819 13 00830 13 00840 13 00850 13 00854-855 13 00856 15 00861 13 00880-881 13 00892-893 13

CANCELE D CANCELE D DOE N 326.10 5 9-29-03 Occupational This grade & lower Series grades are exempt Occupational This grade & lower Series grades are exempt 00896 13 00899 15 00904 15 00905 12 00930 12 00950 15 00963 15 00986 15 00999 15 01001 13 01015 13 01016 15 01020 15 01035 13 01060 15 01071 13 01082-1084 13 01071 13 01087 15 01099 15 01101 12 01102 11 01103-1105 12 01106-1107 15 01130 12 01140 12 01150 12 01152 12 01160 12 01163 12 01170-1171 12 01176 12 01199 15 01202 15 01220-1222 12 01299 15 01301 13 01306 13 01310 13 01311 15 01313 13 01315 13 01316 15 01320 13 01321 13 01340 13 01341 15 01350 13 01370 13 01371 15 01372-1373 13 01374 15 01399 15 01410-1412 15 01420-1421 15 01499 15 01510 13 01515 13 01520 13 01521 15 01529 13 01530 13 01531 15 01550 13 01599 15 01601 13 01640 13 01654 13 01670 13 01699 15 01701 12 01702 15 01712 13 01750 13 01799 15 01801 12 01810 no exemptions 01811 no exemptions 01825 12 01899 15 01910 12 01999 15 CANCELE D CANCELE D 6 DOE N 326.10 9-29-03 Occupational This grade & lower Series grades are exempt Occupational This grade & lower Series grades are exempt 02001 13 02003 13 02005 15 02010 13 02030 15 02050 15 02099 15 02101 13 02102 15 02130-2131 13 02150-2151 13 02181 15 02199 15 02210 13 02299 15 02600 and above all are exempt Employees occupying an Excepted Service position (EJ, EK, and EN series) might be exempt from filing a Confidential Financial Disclosure Report, depending on his or her pay band and occupational series. First, on the chart below, an EJ, EK, or EN employee should use his or her Excepted Service pay band to determine the equivalent grade. (For example, the chart below shows that an EJ employee in pay band III has an equivalent grade of 12.) Then an EJ, EK, or EN employee may determine whether he or she is required to file a Report by referring to his or her occupational series and the equivalent grade level on the above list of Exempt Positions. (Continuing the example, if the same EJ employee at pay band III is in occupational series 00850, she would be exempt from filing this Report because the Exempt List shows that this occupational series to be exempt at grade 13 and below.) Excepted Service Equivalent pay band grade I 07 II 09 III 12 IV 14 V All file a Public Financial Disclosure Report (SF 278) BY ORDER OF THE SECRETARY OF ENERGY: KYLE E. McSLARROW Deputy Secretary CANCELE D CANCELE D