DOE O 326.1, Confidential Financial Disclosure Reports (OGE 450)

AVAILABLE ONLINE AT: INITIATED BY: www.directives.doe.gov Office of the General Counsel U.S. Department of Energy ORDER Washington, D.C. Approved: 12-9-08 SUBJECT: CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS (OGE 450) 1. OBJECTIVES. The purpose of this Order is to establish Department of Energy (DOE) requirements and responsibilities for Departmental elements and employees regarding filing Confidential Financial Disclosure Reports (OGE Form 450) in accordance with the Ethics in Government Act of 1978, as amended. 2. CANCELLATIONS. None. 3. APPLICABILITY. These requirements apply to career GS/GM and prevailing rate system and administratively determined employees, employees serving in excepted service positions designated EJ, EK, EN, and NNSA employees in pay bands. a. All Departmental Elements. Except for the exclusions in paragraph 3c, this Order applies to all Departmental elements, including those created after the Order is issued. (Go to http://www.directives.doe.gov/pdfs/reftools/org-list.pdf for the current listing of Departmental elements.) The Administrator of the National Nuclear Security Administration (NNSA) will assure that NNSA employees comply with their respective responsibilities under this Order. b. DOE Contractors. None. c. Exclusions. None. 4. REQUIREMENTS. a. Who Must File. (1) 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 and NNSA pay band IV and below), unless the employee is required to file a Public Financial Disclosure Report (SF 278) or the employee occupies a position that is exempt from filing as indicated in Attachment 1. (2) All employees working at the Department pursuant to an Interagency Personnel Act agreement unless the employee occupies a position the incumbent of which is required to file a Public Financial Disclosure Report (SF 278). DOE O 326.1 https://www.directives.doe.gov/references/DOEDepartmentalElements.pdf 2 DOE O 326.1 12-9-08 (3) Employees who perform duties that require an Office of Government Ethics (OGE) Form 450 in accordance with 5 C.F.R. 2634.904(a), regardless of whether such employee occupies a position on the exempt list, Attachment 1. (4) All special Government employees, as defined in 18 U.S.C. 202, when appointed. b. Who is Exempt from Filing. (1) Any position may be exempted from all or a portion of the confidential filing requirements when the Designated Agency Ethics Official, or his designee, determines that the duties of a position make remote the possibility that the employee will be involved in a real or apparent conflict of interest. (2) All positions exempt from filing the OGE Form 450 can be found in Attachment 1. c. When to File. (1) Annual OGE Form 450 must be completed, signed, and submitted after January 1 of a calendar year and no later than February 15 of the same calendar year. (2) A person must complete, sign and submit a New Entrant OGE Form 450 within 30 days of the person entering a position subject to the reporting requirement. (3) A Special Government employees must file an OGE Form 450 when appointed to his position and, thereafter, only on his respective anniversary/reappointment date. (4) If the Annual or New Entrant report is due on a weekend or Federal holiday, the report will be due on the next Federal workday. d. Where to File.

(1) Employees duty stationed at DOE Headquarters and all employees of the Office of the Inspector General must submit their OGE Form 450 directly to the Office of the Assistant General Counsel for General Law, GC-77, Room 6A-211, Forrestal Building. (2) Unless otherwise instructed, employees duty stationed in the field must submit their OGE Form 450 directly to their respective field counsel. DOE O 326.1 3 12-9-08 e. Reporting Period. (1) The reporting period covered by the Annual OGE Form 450 is the previous calendar year. (2) The reporting period covered by New Entrant OGE Form 450 is the preceding 12 months prior to filing the form or for any portion of this period not covered by a previous confidential or public financial disclosure report. f. Forms Required. (1) All employees serving in positions subject to the filing requirements or required to file pursuant to 5 C.F.R. 2634.904(a) must file OGE Form 450, available from the Internet on the OGE website. (www.usoge.gov) (2) If an employee meets the criteria, an abbreviated OGE Form 450A may be submitted in non-Presidential election years. The complete OGE Form 450 must be submitted in Presidential election years. Both forms may be obtained directly from on the OGE website. (3) All special Government employees appointed to serve as members of advisory committees under the Federal Advisory Committee Act may use the Confidential Conflict of Interest Statement for DOE Advisory Committee Members (HQ F 515.5) which is available from the respective Committee’s Designated Federal Officer (DFO). g. Information Required. (1) OGE Form 450 contains instructions regarding the information required to be disclosed. (2) Filers must provide a “yes” or “no” answer to the five questions in the middle of page 1 of OGE Form 450. If the answer is “yes” to any of the questions, the filer must complete the corresponding section of OGE Form 450. (3) Additional guidance can be obtained from the Office of the Assistant General Counsel for General Law, 202-586-1522, StandardsofConduct@hq.doe.gov, or respective field counsel. h. Nonexempt Positions. Regardless of whether an employee’s position is otherwise exempt, see Attachment 1, employees in the following categories must file an OGE Form 450: (1) Employee holding a contracting officer’s warrant, 4 DOE O 326.1 12-9-08 (2) Employee who serves as a contracting officer’s representative or contracting officer’s technical representative, or (3) Employee is a purchase card holder with a transactional limit exceeding $3,000.00. (4) Any employee who DOE deems to be a Confidential filer pursuant to the regulatory provisions at 5 C.F.R. 2634.904. i. Exempted Positions. (1) Unless the employee is in one of the nonexempt categories listed above, all other exempted positions are listed in Attachment 1 in numerical order by occupational series, with the respective exempted grade levels. (2) Unless the employee is in one of the nonexempt categories listed above, all employees who occupy wage grade positions in occupational series 02500 and higher are exempt. (3) Certain employees occupying an Excepted Service position (EJ, EK, and EN series) may be exempt from filing OGE Form 450, depending on his or her pay band and occupational series. Please see Attachment 2 to determine if the employee is exempt. 5. RESPONSIBILITIES. a. Office of the General Counsel. (1) Reviews OGE Form 450 upon employee submission.

(2) Ensures that all deadlines for receipt and review of OGE Form 450 are met. (3) Answers questions regarding OGE Form 450 if necessary. (4) Advises heads of Departmental elements regarding employees who have not complied with the reporting requirements. b. Office of Human Capital Management. (1) Advises employees they must file an OGE Form 450 within 30 days of entering into a position subject to the filing requirements. (2) Directs covered employees where to file their reports and to contact the Office of the Assistant General Counsel for General Law with questions. c. Heads of Departmental Elements. Ensure that employees comply with the reporting requirements as described above. DOE O 326.1 5 12-9-08 d. Field Counsel. (1) Review OGE Form 450 submitted by field employees. (2) Answer questions from respective field employees regarding OGE Form 450 if necessary. e. Field Human Capital Management Officers. (1) Advise respective field employees they must file an OGE Form 450 within 30 days of entering into a position subject to the filing requirements. (2) Direct covered employees where to file their reports and to contact their respective field counsel with questions. f. Employees serving in positions required to file OGE Form 450. (1) Ensure compliance with reporting requirements. (2) Remain aware of their nonexempt status. (3) Ensure all deadlines are met. 6. DEFINITIONS. a. Annual OGE Form 450. Same form as the Confidential Financial Disclosure Report (OGE Form 450) except the report is due on February 15 for the preceding calendar year. b. Confidential Financial Disclosure Report (OGE Form 450). Standardized form promulgated by the Office of Government Ethics that must be completed by DOE employees regarding their financial situation. c. Employee. An employee whose position is not listed as an exempt position on Attachment 1, or falls in one of the nonexempt categories of paragraph 4h. d. New Entrant OGE Form 450. Same form as the Confidential Financial Disclosure Report (OGE Form 450) except the form must be filed not later than 30 days after an employee enters a position subject to the filing requirements. The reporting period is the preceding 12 months prior to the report date. 7. REFERENCES. a. Title XXXII of P.L. 106-65, National Nuclear Security Administration Act, as amended, which established a separately organized agency within the Department of Energy. b. Ethics in Government Act of 1978, 5 U.S.C. App., as amended. 6 DOE O 326.1 12-9-08 c. Confidential Financial Disclosure Reports, 5 C.F.R. § 2634.901. d. United States Code, 18 U.S.C. § 202. e. Federal Advisory Committee Act, 5 U.S.C. App. § 3(2). 8. NECESSITY FINDING STATEMENT. In compliance with Sec. 3174 of P.L. 104-201 (50 U.S.C. 2584 note), DOE hereby finds that this Order is necessary for the protection of human health and the environment or safety, fulfillment of current legal requirements, or conduct of critical administrative functions. 9. CONTACT. Questions concerning this Order should be addressed to the Office of the Assistant General Counsel for General Law, Standards of Conduct, at 202-586-1522. BY ORDER OF THE SECRETARY OF ENERGY: JEFFREY F. KUPFER Acting Deputy Secretary DOE O 326.1 Attachment 1 12-9-08 Page 1 EXEMPTED POSITIONS

All 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. For example, all employees in the Future Leaders Pay Plan, occupational series 0018 at pay band 3 or lower are exempt from filing a Report. GS Employees Occupational Series This grade and lower grades are exempt Occupational Series This grade and lower grades are exempt 00018 13 00019 15 00020 13 00023 15 00028 13 00029 15 00080 13 00081 15 00084 15 00085 15 00086 15 00099 15 00101 13 00110 13 00119 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 00332 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 00408 13 00415 13 00430 13 00440 13 00457 13 Attachment 1 DOE O 326.1 Page 2 12-9-08 GS Employees (continued) Occupational Series This grade and lower grades are exempt Occupational Series This grade and lower grades are exempt 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 00896 13 00899 15 00901 12 00904 15 00905 12 00930 12 00935 13 00950 15 00963 15 00965 12 00986 15 00999 15 01001 13 01015 13 01016 15 01020 15 01035 13 01060 15 01071 13 01082-1084 13 01087 15 01099 15 01101 12 01102 11 01103-1105 12 01106-1107 15 01130 12 DOE O 326.1 Attachment 1 12-9-08 Page 3 GS Employees (continued) Occupational Series This grade and lower grades are exempt Occupational Series This grade and lower grades are exempt 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 01603 13 01640 13 01654 13 01670 13 01699 15 01701 12 01702 15 01712 13 01720 12 01750 13 01799 15 01801 12 01810 no exemptions 01811 no exemptions 01825 12 01899 15 01910 12 01999 15 02001 13 02003 13 02005 15 Attachment 1 DOE O 326.1 Page 4 12-9-08 GS Employees (continued) Occupational Series This grade and lower grades are exempt Occupational Series This grade and lower grades are exempt 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 02500 and higher all are exempt Prevailing rate all are exempt Administratively Determined all are exempt NNSA PAY BAND EMPLOYEES Future Leaders (NF) Occupational Series This grade and lower grades are exempt Occupational Series This grade and lower grades are exempt 0018 03 0020 03 0023 03 0028 03 0080 03 0099 03 0101 03 0110 03 0130 03 0131 03 0132 03 0150 03 0170 03 0180 03 0193 03 0199 03 0201 03 0241 03 0243 03 0244 03 0249 03 0260 03 0299 03 0301 03 0340 03 0341 03

0342 03 0343 03 DOE O 326.1 Attachment 1 12-9-08 Page 5 Future Leaders (NF) (continued) Occupational Series This grade and lower grades are exempt Occupational Series This grade and lower grades are exempt 0346 03 0360 03 0391 03 0399 03 0401 03 0403 03 0408 03 0415 03 0430 03 0440 03 0460 03 0480 03 0482 03 0486 03 0499 03 0501 03 0505 03 0510 02 0511 no exemptions 0560 03 0599 03 0601 03 0602 03 0603 03 0610 03 0671 03 0690 03 0699 03 0801 03 0803 03 0804 03 0806 03 0807 03 0808 03 0810 03 0819 03 0830 03 0840 03 0850 03 0854 03 0855 03 0861 03 0880 03 0881 03 0892 03 0893 03 0896 03 0899 03 0901 02 0904 03 0905 02 0930 02 0935 02 0950 03 0965 02 0999 03 1001 03 1015 03 1035 03 1071 03 1082 03 1083 03 Attachment 1 DOE O 326.1 Page 6 12-9-08 Future Leaders (NF) (continued) Occupational Series This grade and lower grades are exempt Occupational Series This grade and lower grades are exempt 1084 03 1099 03 1101 02 1102 02 1103 02 1104 02 1130 02 1140 02 1150 02 1160 02 1163 02 1170 02 1171 02 1176 02 1199 03 1220 02 1221 02 1222 02 1299 03 1301 03 1306 03 1310 03 1313 03 1315 03 1320 03 1321 03 1340 03 1350 03 1370 03 1372 03 1373 03 1399 03 1410 03 1412 03 1420 03 1499 03 1510 03 1515 03 1520 03 1529 03 1530 03 1550 03 1599 03 1601 03 1640 03 1654 03 1670 03 1699 03 1701 02 1712 03 1750 03 1799 03 1801 02 1810 no exemptions 1811 no exemptions 1825 02 1899 03 1910 02 1999 03 2003 03 2010 03 2030 03 DOE O 326.1 Attachment 1 12-9-08 Page 7 Future Leaders (NF) (continued) Occupational Series This grade and lower grades are exempt Occupational Series This grade and lower grades are exempt 2050 03 2099 03 2101 03 2130 03 2150 03 2199 03 2210 03 2299 03 Engineering and Scientific (NN) Occupational Series This grade and lower grades are exempt Occupational Series This grade and lower grades are exempt 0801 03 0803 03 0804 03 0806 03 0807 03 0808 03 0810 03 0819 03 0830 03 0840 03 0850 03 0854 03 0855 03 0861 03 0880 03 0881 03 0892 03 0893 03 0896 03 0899 04 1301 03 1306 03 1310 03 1313 03 1315 03 1320 03 1321 03 1340 03 1350 03 1370 03 1372 03 1373 03 1399 04 0018 02 0019 04 0020 02 0023 04 0028 02 0029 04 0080 02 0081 04 Attachment 1 DOE O 326.1 Page 8 12-9-08 Professional, Technical and Administrative (NQ) Occupational Series This grade and lower grades are exempt Occupational Series This grade and lower grades are exempt 0099 04 0101 02 0110 02 0119 02 0130 03 0131 03 0132 03 0150 04 0170 04 0180 02 0193 02 0199 04 0201 04 0241 04 0243 04 0244 04 0249 04 0260 04 0299 04 0301 02 0340 02 0341 02 0342 02 0343 02 0346 04 0360 04 0390 04 0391 02 0399 04 0401 02 0403 02 0408 02 0415 02 0430 02 0440 02 0457 02 0460 02 0462 04 0480 02 0482 02 0486 02 0499 04 0501 02 0505 02 0510 01 0511 no exemptions 0560 02 0599 04 0601 02 0602 02 0603 02 0610 04 0621 04 0671 02 0690 02 0699 04 0802 02 0817 04 0856 04 0899 04 0904 04 0905 02 DOE O 326.1 Attachment 1 12-9-08 Page 9 Professional, Technical and Administrative (NQ) (continued) Occupational Series This grade and lower grades are exempt Occupational Series This grade and lower grades are exempt 0930 02 0950 04 0999 04 1001 02 1015 02 1016 04 1035 02 1060 04 1071 02 1082 02 1083 02 1084 02 1087 04 1099 04 1101 02 1102 01 1103 02 1104 02 1130 02 1140 02 1150 02 1160 02 1163 02 1170 02 1171 02 1176 02 1199 04 1202 04 1220 02 1221 02 1222 02 1299 04

1311 04 1316 04 1341 04 1371 04 1374 04 1399 04 1410 04 1412 04 1420 04 1421 04 1499 04 1510 02 1515 02 1520 02 1521 04 1529 02 1530 02 1531 04 1550 02 1599 04 1601 02 1640 02 1654 02 1670 02 1699 04 1701 02 1712 02 1750 02 1799 04 1801 02 Attachment 1 DOE O 326.1 Page 10 12-9-08 Professional, Technical and Administrative (NQ) (continued) Occupational Series This grade and lower grades are exempt Occupational Series This grade and lower grades are exempt 1810 no exemptions 1811 no exemptions 1825 02 1899 04 1910 02 1999 04 2001 02 2003 02 2010 02 2030 04 2050 04 2099 04 2101 02 2130 02 2131 02 2150 02 2181 04 2199 04 2210 02 2299 04 Technician and Administrative Support (NU) Occupational Series This grade and lower grades are exempt Occupational Series This grade and lower grades are exempt 0019 03 0029 03 0081 03 0085 03 0086 03 0099 03 0119 03 0134 03 0199 03 0203 03 0299 03 0302 03 0303 03 0303 03 0304 03 0305 03 0312 03 0313 03 0318 03 0319 03 0322 03 0326 03 0332 03 0335 03 0344 03 0350 03 0361 03 0382 03 0390 03 0392 03 0394 03 0399 03 DOE O 326.1 Attachment 1 12-9-08 Page 11 Technician and Administrative Support (NU) (continued) Occupational Series This grade and lower grades are exempt Occupational Series This grade and lower grades are exempt 0462 03 0499 03 0503 03 0525 03 0540 03 0544 03 0561 03 0599 03 0621 03 0699 03 0802 03 0809 03 0817 03 0856 03 0899 03 0963 03 0986 03 0999 03 1001 03 1016 03 1020 03 1060 03 1087 03 1099 03 1101 03 1105 03 1106 03 1107 03 1152 03 1199 03 1202 03 1299 03 1311 03 1316 03 1341 03 1371 03 1374 03 1399 03 1411 03 1421 03 1499 03 1521 03 1531 03 1599 03 1603 03 1699 03 1702 03 1799 03 1899 03 1999 03 2001 03 2005 03 2099 03 2102 03 2131 03 2151 03 2181 03 2199 03 2299 03 Attachment 1 DOE O 326.1 Page 12 12-9-08 Nuclear Material Courier (NV): Occupational Series This grade and lower grades are exempt 0084 04 DOE O 326.1 Attachment 2 12-9-08 Page 1 (and Page 2) 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 Equivalent Grade I 07 II 09 III 12 IV 14 V All file a Public Financial Disclosure Report (SF 278).