DOE N 326.13, Annual Confidential Financial Disclosure Report (OGE Form 450 or 450A)

U.S. Department of Energy NOTICE Washington, D.C. DOE N 326.13 Approved: 1-3-07 Expires: 12-31-07 SUBJECT: ANNUAL CONFIDENTIAL FINANCIAL DISCLOSURE REPORT (OGE Form 450 or 450A) This Notice addresses the Executive Branch confidential financial disclosure reporting requirements. These requirements apply to career GS/GM and prevailing rate system and administratively determined 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 is identical to that contained in DOE N 326.12. 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, prevailing rate system and administratively determined employees and Excepted Service pay band IV, and below, for more than 60 days during the reporting period (October 1, 2005, through December 31, 2006) must file a Confidential Financial Disclosure Report (OGE Form 450 or Form 450A) unless they are required to file a Public Financial Disclosure Report (SF 278, due May 15th of each year) 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 Intergovernmental Personnel Act agreement must file OGE Form 450 or 450A unless he or she occupies a position that is required to file a Public Financial Disclosure Report (SF 278). Further, the Department may require an OGE Form 450 or 450A 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. This includes all special Government employees appointed to serve as members of advisory committees under the Federal Advisory Committee Act. When to File. Annual Reports (OGE Form 450) must be completed, signed, and submitted after January 1 and no later than February 15, 2007. New Entrant Reports (OGE Form 450) must be completed, signed, and submitted within 30 days of entering a position that requires the filing of a report. Where to File. Headquarters personnel should submit Reports (OGE Form 450 or 450A) directly to the Office of the Assistant General Counsel for General Law, GC-77, Room 6A-211, AVAILABLE ONLINE AT: INITIATED BY: http://www.directives.doe.gov Office of General Counsel CANCELE D CANCELE D http://www.directives.doe.gov 2 DOE N 326.13 1-3-07 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 Annual Report (OGE Form 450 or 450A) is, for reporting purposes in 2007, the 15-month period beginning October 1, 2005, and ending December 31, 2006. The reporting period for New Entrant Reports is stated in the Report instructions.

Forms. All Confidential Financial Disclosure Report filers must use OGE Form 450 or OGE Form 450A. Filers should obtain either OGE Form 450 or OGE Form 450A directly from the Internet at: http://www.usoge.gov/pages/forms_pubs_otherdocs/forms_pubs_other_pg3.html. Under limited circumstances, filers may qualify to file OGE Form 450A, an abbreviated form. Information Required. The instructions on OGE Form 450 and OGE Form 450A answer most questions. However, if additional guidance is required employees may contact the Office of the Assistant General Counsel for General Law, 202-586-1522, StandardsofConduct@hq.doe.gov, or respective field counsel. Please note: When using OGE Form 450, the filer must provide a “yes” or “no” answer to the five questions in the middle of page 1. If the answer is “yes” to any of the questions, the filer must complete the corresponding part of the Report. Nonexempt Positions. ALL employees (except those required to file a Public Financial Disclosure Report) must file a OGE Form 450 or 450A regardless of whether their position is otherwise exempt, if the employee is in one of the following categories: ο holds a contracting officer’s warrant; ο serves as a contracting officer’s representative or contracting officer’s technical representative; or ο is a purchase card holder with a transactional limit exceeding $3,000.00. 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. Occupational Series This grade & lower grades are exempt Occupational Series This grade & lower grades are exempt 00018 00020 00028 00080 00084 00099 00110 13 13 13 13 15 15 13 00019 00023 00029 00081 00086 00101 00130-132 15 15 15 15 15 13 14 CANCELE D CANCELE D http://www.usoge.gov/pages/forms_pubs_otherdocs/forms_pubs_other_pg3.html http:StandardsofConduct@hq.doe.gov http:$3,000.00 3 DOE N 326.13 1-3-07 Occupational Series This grade & lower grades are exempt Occupational Series This grade & lower grades are exempt 00134 00170 00193 00201-299 00302-305 00318-319 00326 00335 00344 00350-351 00382 00391 00394 00401 00415 00440 00462 00482 00499 00503 00510 00525 00544 00561 00601-603 00621 00690 00801-804 00817-818 00830 00850 00856 00880-881 00896 00904 00930 00963 00999 01015 01020 01060 01082-1084 15 15 13 15 15 15 15 15 15 15 15 13 15 13 13 13 15 13 15 15 11 15 15 15 13 15 13 13 15 13 13 15 13 13 15 12 15 15 13 15 15 13 00150 00180 00199 00301 00312-313 00322 00334 00340-343 00346 00360-361 00390 00392 00399 00403 00430 00460 00480 00486 00501 00505 00511 00540 00560 00599 00610 00670-671 00699 00806-810 00819 00840 00854-855 00861 00892-893 00899 00905 00950 00986 01001 01016 01035 01071 01087 15 13 15 13 15 15 13 13 15 15 15 15 15 13 13 13 13 13 13 13 no exemptions 15 13 15 15 13 15 13 13 13 13 13 13 15 12 15 15 13 15 13 13 15 CANCELE D CANCELE D 4 DOE N 326.13 1-3-07 Occupational This grade & lower Series grades are exempt Occupational Series This grade & lower grades are exempt

01099 15 01102 11 01106-1107 15 01140 12 01152 12 01163 12 01176 12 01202 15 01299 15 01306 13 01311 15 01315 13 01320 13 01340 13 01350 13 01371 15 01374 15 01410-1412 15 01499 15 01515 13 01521 15 01530 13 01550 13 01601 13 01654 13 01699 15 01702 15 01750 13 01801 12 01811 no exemptions 01899 15 01999 15 02003 13 02010 13 02050 15 02101 13 02130-2131 13 02181 15 02210 13 02600 and above all are exempt Prevailing rate all are exempt Administratively Determined all are exempt 01101 01103-1105 01130 01150 01160 01170-1171 01199 01220-1222 01301 01310 01313 01316 01321 01341 01370 01372-1373 01399 01420-1421 01510 01520 01529 01531 01599 01640 01670 01701 01712 01799 01810 01825 01910 02001 02005 02030 02099 02102 02150-2151 02199 02299 12 12 12 12 12 12 15 12 13 13 13 15 13 15 13 13 15 15 13 13 13 15 15 13 13 12 13 15 no exemptions 12 12 13 15 15 15 15 13 15 15 CANCELE D CANCELE D DOE N 326.13 5 (and 6) 1-3-07 Employees Occupying Excepted Service Positions. 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 Pay Band I II III IV V Equivalent Grade 07 09 12 14 All file Public Financial Disclosure Report (SF 278). BY ORDER OF THE SECRETARY OF ENERGY: CLAY SELL Deputy Secretary CANCELE D CANCELE D