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U.S. Department of Energy NOTICE
Washington, D.C. DOE N 326.12

Approved: 9-30-05
Expires: 9-30-06

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 326.11.
Who Must File. All employees of the Department of Energy, including those in the National
Nuclear Security Administration, who have for more than 60 days from October 1, 2004, to
September 30, 2005, occupied positions:

(1) at GS-15/GM-15 or below,
(2) at Excepted Service pay band IV or below,
(3) that are in the prevailing rate system, or
(4) whose compensation is administratively determined

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 Interagency 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.

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 when a new entrant to that
position.

When to File. Annual Reports (OGE Form 450) must be completed, signed, and submitted on
or after October 1 and no later than October 31, 2005. 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) 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 counsels.

Reporting Period. The reporting period covered by the Annual Report (OGE Form 450 or
450A) is the 12-month period beginning October 1, 2004, and ending September 30, 2005. 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 from their
Administrative Officers, who may obtain them from supply rooms or directly from the Internet
at: http://www.usoge.gov/pages/forms_pubs_otherdocs/forms_pubs_other_pg3.html. Under
limited circumstances, you may qualify to file OGE Form 450A, an abbreviated form. You may
file OGE Form 450A only if you are able to certify that since filing your most recent OGE
Form 450:

1. You, your spouse, and your dependant child have no new reportable:
a. assets or sources of unearned income,
b. liabilities (debts), or
c. gifts or travel reimbursements;

2. You and your spouse have no new reportable sources of income from non-Federal
employment;

3. You have no new reportable:
a. outside positions, or
b. agreements or arrangements concerning future, current, or past non-Government
employment; and

4. You have not changed positions at the Department, including not having a new position
description or other significant change in duties.

All four of these eligibility requirements must be met. If you are not able to make the eligibility
certification, then you must file an OGE Form 450.

Information Required. The instructions on OGE Form 450 and OGE Form 450A 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.

Please note: When using OGE Form 450, you must provided an answer to each part of the
Report. If the correct answer is none, you must check the “None” box. Do not use “NA” or
“Not Applicable.” Also, the following information may prove helpful in completing the Report:

Part I: All assets that you held as of September 30, 2005, having a fair market value of over
$1,000.00, must be reported. In addition, report all sources of income (salaries, fees,
honoraria, capital gains, dividends, interest, etc.) exceeding $200.00 during the
reporting period. If the security or other source of income is no longer held at the
close of the reporting period, you should also check the box in the second column
labeled A(X) if no longer held.”

For pension plans, you must report 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 assets (or attach an account
statement that lists them).

Also, you must report each investment or asset held in an IRA, 401(k), or other
investment account.

For publicly available mutual funds, you must report the complete name of each
specific mutual fund. For stocks, bonds, and other securities, report the name of the
corporation; the stock market trading symbol for the corporation is not sufficient.

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 $10,000.00 owed to any creditor at any time during the
reporting period must be reported, even if the amount owed has fallen below
$10,000.00 as of September 30, 2005.

Part III: All positions that you held outside the U.S. Government at any time during the
reporting period must be reported, including positions no longer held and positions
that are not compensated.

Part IV: Interests in employer pension plans, excluding U.S. Government plans, must be
reported.

Part V: Gifts to you valued in excess of $305.00, aggregated from any one source, must be
reported. Include gifts of travel-related expenses, such as in-kind airfare or
accommodations or cash reimbursements, that you received from any source except
an agency of the U.S. Government or a Non-Federal Source that made an approved
gift to DOE for your official travel.

Nonexempt Positions. ALL employees (except those filing a Public Financial Disclosure
Report) must file a Confidential Financial Disclosure Report (OGE Form 450 or 450A)
regardless of whether their position is otherwise exempt, if the employee is in one of the
following categories:

o holds a contracting officer’s warrant;
o serves as a contracting officer’s representative or contracting officer’s technical
representative; or
o is a purchase card holder 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.

PLEASE SEE WORD OR PDF FILE FOR ACCURATE REPRESENTATION OF THE FOLLOWING TABLE OF EXEMPTED POSITIONS.

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
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
00134 15
00150 15
00170 15
00180 13
00510 11
00511 no exemptions
00525 15
00540 15
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
00896 13
00899 15
00904 15
00905 12
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
01315 13
01316 15
01320 13
01321 13
00930 12
00950 15
00963 15
00986 15
00999 15
01001 13
01015 13
01016 15
01020 15
01035 13
01060 15
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
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
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
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
Prevailing rate all are exempt
Administratively
Determined all are exempt

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.)

SEE PDF OR WORD VERSION FOR ACCURATE REPRESENTATION OF THE FOLLOWING CHART.

Excepted Service Pay Band
Equivalent 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:

CLAY SELL
Deputy Secretary
AVAILABLE ONLINE AT: INITIATED BY:
http://www.directives.doe.gov Office of General Counsel