DOE N 326.4, Annual Confidential Financial Disclosure Report (OGE 450)

The following employees must file a Public Financial Disclosure Report (SF 278), which is1 due by May 15 each year: employees occupying Senior Executive Service, Executive Schedule, and Senior-Level positions or the equivalent; special Government employees who work more than 60 days per year and are paid (without locality pay) at a daily rate at or above $327; Schedule C appointees; members of the uniformed services whose pay grade is O-7 or above; and Administrative Law Judges. DISTRIBUTION: INITIATED BY: All Departmental Employees Office of the General Counsel DOE N 326.4 U.S. Department of Energy NOTICE Washington, D.C. 10-2-97 Expires: 10-2-98 SUBJECT: ANNUAL CONFIDENTIAL FINANCIAL DISCLOSURE REPORT (OGE 450) This Notice addresses the Executive Branch confidential financial disclosure requirements. These requirements apply to persons employed at the GS-15 level and below, except for Schedule C (political) appointees. Please disregard this Notice if you occupy a Senior Executive Service or similar position or are a non-career (i.e., political) employee.1 Forms: The Office of Government Ethics (OGE) has replaced Standard Form 450 (SF 450) with new OGE Form 450. All confidential financial disclosure report filers must use OGE Form 450. Therefore, filers cannot use SF 450 computer software to file this year. OGE Form 450 has updated instructions and examples to aid the filer. Filers should obtain OGE Form 450 from their Administrative Officers. Administrative Officers may obtain the forms from supply rooms. Who must file: All employees who have occupied positions at GS-15 and below for more than 60 days during the reporting period must file OGE Form 450, 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. The exemptions, however, do not apply to any employee holding a contracting officer warrant or serving as a contracting officer's representative or contracting officer's technical representative. Also, the Department may require OGE Form 450 from an employee who occupies a position on the exempt list but who performs duties that require a report in accordance with 5 C.F.R. 2634.904(a). Employees who are affected by this requirement will be notified on an individual basis. All special Government employees, i.e., employees who serve less than 130 days during any 365- CANCELE D CANCELE D 2 DOE N 326.4 10-2-97 day period, who are not SF 278 filers are required to file OGE Form 450 when appointed and upon their respective anniversary/reappointment dates only. When to file: OGE Form 450 must be completed, signed, and submitted between October 1 and October 31, 1997. Where to file: Headquarters personnel should submit the completed and signed OGE Form 450 directly to the Office of the Assistant General Counsel for General Law, GC-80, Room 6A-211, Forrestal Building. Unless otherwise instructed, field personnel should submit the completed and signed OGE Form 450 directly to their respective field counsel. Reporting period: The reporting period covered by OGE Form 450 is the 12 month period beginning on October 1, 1996, and ending on September 30, 1997.

Reminders: The instructions have been updated on OGE Form 450 and should answer most questions. However, if further 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 your Administrative Officer, or contact the Office of the Assistant General Counsel for General Law or your respective field counsel. An answer must be provided to each part of the report. If the correct answer is none, you must check the "None" box. Also, the following information may prove helpful in completing the report: Part I: All assets held as of September 30, 1997, having a fair market value of over $1,000 should be reported on Part I of the report. In addition, all sources of income (salaries, fees, honoraria, capital gains, dividends, interest, etc.) exceeding $200 during the reporting period must be reported. Income must be reported even if the source of income is no longer held at the close of the reporting period. (In such a case, the box in the second column labeled "(X) if no longer held" must be checked.) For pension plans, you must indicate the name of the sponsoring employer. However, if you have control over the specific investments held in the pension account, you must also list the underlying investments or attach an account statement that lists them. Also, the underlying assets must be included for IRA's. The underlying assets of a unit trust must be reported, unless widely diversified. Unit Trusts which invest in a designated group of interests, such as the Dow Jones Industrial Average, are not widely diversified. For publicly available mutual funds, you must always indicate the complete names of the specific mutual funds. CANCELE D CANCELE D DOE N 326.4 3 10-2-97 Exclude bank accounts or accounts in other depository financial institutions, as well as money market accounts; U.S. Government-backed securities; and U.S. obligations, such as Treasury bonds, bills, or notes, and U.S. Savings Bonds. Part II: Liabilities exceeding $10,000 owed to any creditor at any time during the reporting period must be reported. Part III: All positions held outside the U.S. Government at any time during the reporting period must be reported, including positions no longer held and those that are not compensated. Part IV: Interests in employer pension plans, excluding U.S. Government plans, must be reported. Part V: In addition to gifts, travel-related cash reimbursements received from any one source, other than the Government, during the reporting period totaling $250 or more, must be reported. Exempted Positions: Employees who hold a contracting officer warrant or serve as a contracting officer's representative or contracting officer's technical representative are NOT exempt by this Notice from filing OGE Form 450. All other employees who occupy positions in the occupational series listed on the following pages in the specified grades are not required to file OGE Form 450. Positions at GS-15 or below in the following occupational series: 019 134 221 312 344 392 023 140 223 313 346 394 029 150 230 318 350 399 084 160 299 319 351 460 085 170 302 322 356 462 086 199 303 326 360 499 090 201 304 332 361 503 099 203 305 333 382 525 132 212 309 335 390 530 540 950 1341 1999 2806 4742 544 963 1371 2005 2808 4749 561 986 1374 2030 2810 5003 590 999 1399 2050 2843 5313 599 1016 1411 2099 3314 5324 603 1020 1420 2102 3502 5402 604 1060 1421 2132 3566 5407 610 1087 1499 2181 3603 5703

CANCELE D CANCELE D 4 DOE N 326.4 10-2-97 621 1099 1521 2199 4102 5716 699 1106 1531 2511 4204 5803 817 1107 1599 2604 4402 6907 818 1199 1670 2610 4414 856 1202 1699 2619 4417 899 1299 1702 2801 4605 904 1316 1799 2805 4741 Positions at GS-14 or below in the following occupational series: 130 131 Positions at GS-13 or below in the following occupational series: 018 180 341 671 1515 1712 028 233 342 807 1520 2003 080 235 343 1410 1529 2010 081 334 501 1412 1530 110 340 505 1510 1550 Positions at GS-12 or below in the following occupational series: 020 408 808 1104 1310 1654 101 415 809 1105 1311 1701 246 430 905 1140 1313 1910 260 440 930 1150 1315 2001 301 480 1001 1152 1320 2101 345 482 1015 1160 1321 2130 385 486 1035 1163 1340 2131 386 560 1071 1176 1350 2134 391 601 1082 1220 1370 2150 393 602 1083 1221 1372 2151 401 690 1084 1222 1373 403 802 1101 1301 1601 404 806 1103 1306 1640 Positions at GS-11 or below in the following occupational series: 193 511 510 854 CANCELE D CANCELE D DOE N 326.4 5 (and 6) 10-2-97 Positions at GS-9 or below in the following occupational series: 801 810 840 861 892 1102 803 819 850 880 893 1130 804 830 855 881 896 1170 1171 BY ORDER OF THE SECRETARY OF ENERGY: ARCHER L. DURHAM Assistant Secretary for Human Resources and Administration CANCELE D CANCELE D