DOE N 326.9, Annual Confidential Financial Disclosure Report (OGE 450)

DISTRIBUTION: INITIATED BY: All Departmental Elements Office of General Counsel U.S. Department of Energy NOTICE Washington, D.C. 10-1-02 Expires: 10-1-03 SUBJECT: ANNUAL CONFIDENTIAL FINANCIAL DISCLOSURE REPORT (OGE 450) This Notice addresses the Executive Branch confidential financial disclosure requirements. These requirements apply to career GS (GM) employees. 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 and below for more than 60 days during the reporting period (October 1, 2001 through September 30, 2002) must file 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. (The list of exempted positions is the same as last year.) The exemptions, however, do not apply to any employee who holds a contracting officer warrant, who serves as a contracting officer’s representative or contracting officer’s technical representative, or who has been issued an IMPAC Card. Those persons working at the Department pursuant to an Interagency Personnel Act agreement must also file OGE Form 450 or 450-A. The criteria for filing is the same as for Department employees. Also, 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. 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-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. Forms: All confidential financial disclosure report filers must use OGE Form 450 or OGE 450-A. Filers should obtain OGE Forms 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/libraries/othersources.html SPECIAL NOTE: This agency has determined that OGE Form 450 must be submitted by all employees required to file in those years divisible evenly by four. OGE Form 450-A may be submitted in other years provided the employee has an OGE Form 450 already on file and all criteria listed below are met. The filer’s signature on OGE Form 450-A certifies compliance with the requirements. Penalties for certifying false information may be grounds for administrative, as well as criminal, action. DOE N 326.9 CANCELE D CANCELE D http://www.directives.doe.gov/libraries/othersources.html 2 DOE N 326.9 10-1-02 OGE Form 450-A is an optional form, which may be used only by current employees (other than special Government employees) who already have an OGE Form 450 on file with the Department, and who meet the criteria described below. In order to use OGE Form 450-A, upon reviewing his or her last OGE Form 450 on file, 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 jobs at the Department, including having a new position description or other significant change in duties. All these criteria must be met. All employees who cannot file an OGE Form 450-A and who are subject to the filing requirements must file an OGE Form 450. When to file: OGE Form 450 or 450-A must be completed, signed, and submitted between October 1 and October 31, 2002. Where to file: Headquarters personnel should submit the completed and signed 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 completed and signed OGE Form 450 or 450-A directly to their respective field counsel. Reporting Period: The reporting period covered by OGE Form 450 or 450-A is the 12 month period beginning on October 1, 2001, and ending on September 30, 2002. Reminders: The instructions on OGE Form 450 and 450-A 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, (202) 586-1522, StandardsofConduct@hq.doe.gov , or your respective field counsel. CANCELE D CANCELE D mailto:StandardsofConduct@hq.doe.gov DOE N 326.9 3 10-1-02 Please note: When using OGE Form 450, an answer must be provided to each part of the report. If the correct answer is none, you must check the “None” box. Do not use “NA.” Also, the following information may prove helpful in completing the report: Part I: All assets held as of September 30, 2002, 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, 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. For publicly available mutual funds, you must always indicate the complete names of the specific mutual funds. Exclude: o Bank accounts or accounts in other depository financial institutions, including certificates of deposit; o Money market accounts; o U.S. Government-backed securities; and o 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, even if the amount owed has fallen below $10,000 as of September 30, 2002. 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. CANCELE D CANCELE D 4 DOE N 326.9 10-1-02 Part V: In addition to gifts, travel-related cash reimbursements received from any one source, other than the Government, during the reporting period totaling $285 or more, must be reported. Exempted Positions: Employees who hold a contracting officer warrant, who serve as a Contracting officer’s representative or contracting officer’s technical representative, or who have been issued an IMPAC Card are NOT exempt by this Notice from filing OGE Form 450 or 450-A. ALL OTHER EMPLOYEES WHO OCCUPY POSITIONS IN THE OCCUPATIONAL SERIES LISTED BELOW IN THE SPECIFIED GRADES ARE NOT REQUIRED TO FILE THE OGE FORM 450 or 450-A. 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 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 CANCELE D CANCELE D DOE N 326.9 5 (and 6) 10-1-02 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: 193 510 854 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 SPENCER ABRAHAM Secretary of Energy CANCELE D CANCELE D