**U.S. Department of Energy NOTICE**

> **Washington, D.C.**
>
> 9-29-03

Expires: 10-1-04

**SUBJECT: ANNUAL CONFIDENTIAL FINANCIAL DISCLOSURE REPORT**

**(OGE Form 450 or 450-A)**

This Notice addresses the Executive Branch confidential financial
disclosure reporting requirements. These requirements apply to career
GS/GM 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 has been revised substantially.**

[Who must file]{.underline}: All employees of the Department of Energy,
including those in the National Nuclear Security Administration, who
have occupied positions at GS-15, GM-15, and Excepted Service pay band
IV, and below, for more than 60 days during the reporting period

(October 1, 2002, through September 30, 2003) must file a Confidential
Financial Disclosure Report (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.

Also, each person working at the Department pursuant to an Interagency
Personnel Act agreement must file OGE Form 450 or 450-A unless he or she
occupies a position that is required to file a Public Financial
Disclosure Report.

Further, 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. Ethics counsel will notify employees who
are affected by this requirement on an individual basis.

All special Government employees, [i.e.]{.underline}, 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 as a new entrant to that position.

[When to file]{.underline}: Reports (OGE Form 450 or 450-A) must be
completed, signed, and submitted on or after October 1 and no later than
October 31, 2003.

[Where to file]{.underline}: Headquarters personnel should submit
Reports (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
Report directly to their respective field counsel.

[Reporting Period]{.underline}: The reporting period covered by the
Report (OGE Form 450 or 450-A) is the 12-month period beginning October
1, 2002, and ending September 30, 2003.

[Forms]{.underline}: **All Confidential Financial Disclosure Report
filers must use OGE Form 450 or**

**450-A.** Filers should obtain OGE Form 450 or 450-A 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>

[Special Note on Forms]{.underline}: Some employees may be eligible to
use the short form OGE Form

450-A. OGE Form 450-A may be used by current employees (other than
special Government employees) who already have an OGE Form 450 on file
with the Department and who meet all four of the eligibility
requirements described below.

A signature on OGE Form 450-A certifies compliance with the eligibility
requirements. **Penalties for certifying false information may be
grounds for administrative and/or [criminal]{.underline} action.**

**To use OGE Form 450-A, 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]{.underline}**
>
> 4\. The filer has 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]{.underline} be
met.** If the filer is not able to make the eligibility certification,
then the filer must file an OGE Form 450.

[Information required]{.underline}: The instructions on OGE Form 450 and
450-A 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]{.underline}, or respective field
counsel.

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

> holds a contracting officer's warrant;
>
> serves as a contracting officer's representative or contracting
> officer's technical representative; or
>
> holds an IMPAC Card with a transactional limit exceeding \$2,500.00.

**[Exempted Positions]{.underline}**: [Unless you are in one of the
nonexempt categories listed above]{.underline}, 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 This grade & lower   | Occupational This grade & lower   |
|                                   |                                   |
| Series grades are exempt          | Series grades are exempt          |
+-----------------------------------+-----------------------------------+
| 00018 13                          | 00401 13                          |
|                                   |                                   |
| 00019 15                          | 00403 13                          |
|                                   |                                   |
| 00020 13                          | 00415 13                          |
|                                   |                                   |
| 00023 15                          | 00430 13                          |
|                                   |                                   |
| 00028 13                          | 00440 13                          |
|                                   |                                   |
| 00029 15                          | 00460 13                          |
|                                   |                                   |
| 00080 13                          | 00462 15                          |
|                                   |                                   |
| 00081 15                          | 00480 13                          |
|                                   |                                   |
| 00084 15                          | 00482 13                          |
|                                   |                                   |
| 00086 15                          | 00486 13                          |
|                                   |                                   |
| 00099 15                          | 00499 15                          |
|                                   |                                   |
| 00101 13                          | 00501 13                          |
|                                   |                                   |
| 00110 13                          | 00503 15                          |
|                                   |                                   |
| 00130-132 14                      | 00505 13                          |
|                                   |                                   |
| 00134 15                          | 00510 11                          |
|                                   |                                   |
| 00150 15                          | 00511 no exemptions               |
|                                   |                                   |
| 00170 15                          | 00525 15                          |
|                                   |                                   |
| 00180 13                          | 00540 15                          |
|                                   |                                   |
| 00193 13                          | 00544 15                          |
|                                   |                                   |
| 00199 15                          | 00560 13                          |
|                                   |                                   |
| 00201-299 15                      | 00561 15                          |
|                                   |                                   |
| 00301 13                          | 00599 15                          |
|                                   |                                   |
| 00302-305 15                      | 00601-603 13                      |
|                                   |                                   |
| 00312-313 15                      | 00610 15                          |
|                                   |                                   |
| 00318-319 15                      | 00621 15                          |
|                                   |                                   |
| 00322 15                          | 00670-671 13                      |
|                                   |                                   |
| 00326 15                          | 00690 13                          |
|                                   |                                   |
| 00334 13                          | 00699 15                          |
|                                   |                                   |
| 00335 15                          | 00801-804 13                      |
|                                   |                                   |
| 00340-343 13                      | 00806-810 13                      |
|                                   |                                   |
| 00344 15                          | 00817-818 15                      |
|                                   |                                   |
| 00346 15                          | 00819 13                          |
|                                   |                                   |
| 00350-351 15                      | 00830 13                          |
|                                   |                                   |
| 00360-361 15                      | 00840 13                          |
|                                   |                                   |
| 00382 15                          | 00850 13                          |
|                                   |                                   |
| 00390 15                          | 00854-855 13                      |
|                                   |                                   |
| 00391 13                          | 00856 15                          |
|                                   |                                   |
| 00392 15                          | 00861 13                          |
|                                   |                                   |
| 00394 15                          | 00880-881 13                      |
|                                   |                                   |
| 00399 15                          | 00892-893 13                      |
+-----------------------------------+-----------------------------------+

+-----------------------------------+-----------------------------------+
| Occupational This grade & lower   | Occupational This grade & lower   |
|                                   |                                   |
| Series grades are exempt          | Series grades are exempt          |
+-----------------------------------+-----------------------------------+
| 00896 13                          | 01315 13                          |
|                                   |                                   |
| 00899 15                          | 01316 15                          |
|                                   |                                   |
| 00904 15                          | 01320 13                          |
|                                   |                                   |
| 00905 12                          | 01321 13                          |
|                                   |                                   |
| 00930 12                          | 01340 13                          |
|                                   |                                   |
| 00950 15                          | 01341 15                          |
|                                   |                                   |
| 00963 15                          | 01350 13                          |
|                                   |                                   |
| 00986 15                          | 01370 13                          |
|                                   |                                   |
| 00999 15                          | 01371 15                          |
|                                   |                                   |
| 01001 13                          | 01372-1373 13                     |
|                                   |                                   |
| 01015 13                          | 01374 15                          |
|                                   |                                   |
| 01016 15                          | 01399 15                          |
|                                   |                                   |
| 01020 15                          | 01410-1412 15                     |
|                                   |                                   |
| 01035 13                          | 01420-1421 15                     |
|                                   |                                   |
| 01060 15                          | 01499 15                          |
|                                   |                                   |
| 01071 13                          | 01510 13                          |
|                                   |                                   |
| 01082-1084 13                     | 01515 13                          |
|                                   |                                   |
| 01071 13                          | 01520 13                          |
|                                   |                                   |
| 01087 15                          | 01521 15                          |
|                                   |                                   |
| 01099 15                          | 01529 13                          |
|                                   |                                   |
| 01101 12                          | 01530 13                          |
|                                   |                                   |
| 01102 11                          | 01531 15                          |
|                                   |                                   |
| 01103-1105 12                     | 01550 13                          |
|                                   |                                   |
| 01106-1107 15                     | 01599 15                          |
|                                   |                                   |
| 01130 12                          | 01601 13                          |
|                                   |                                   |
| 01140 12                          | 01640 13                          |
|                                   |                                   |
| 01150 12                          | 01654 13                          |
|                                   |                                   |
| 01152 12                          | 01670 13                          |
|                                   |                                   |
| 01160 12                          | 01699 15                          |
|                                   |                                   |
| 01163 12                          | 01701 12                          |
|                                   |                                   |
| 01170-1171 12                     | 01702 15                          |
|                                   |                                   |
| 01176 12                          | 01712 13                          |
|                                   |                                   |
| 01199 15                          | 01750 13                          |
|                                   |                                   |
| 01202 15                          | 01799 15                          |
|                                   |                                   |
| 01220-1222 12                     | 01801 12                          |
|                                   |                                   |
| 01299 15                          | 01810 no exemptions               |
|                                   |                                   |
| 01301 13                          | 01811 no exemptions               |
|                                   |                                   |
| 01306 13                          | 01825 12                          |
|                                   |                                   |
| 01310 13                          | 01899 15                          |
|                                   |                                   |
| 01311 15                          | 01910 12                          |
|                                   |                                   |
| 01313 13                          | 01999 15                          |
+-----------------------------------+-----------------------------------+

+-----------------------------------+-----------------------------------+
| Occupational This grade & lower   | Occupational This grade & lower   |
|                                   |                                   |
| Series grades are exempt          | Series grades are exempt          |
+-----------------------------------+-----------------------------------+
| 02001 13                          | 02102 15                          |
|                                   |                                   |
| 02003 13                          | 02130-2131 13                     |
|                                   |                                   |
| 02005 15                          | 02150-2151 13                     |
|                                   |                                   |
| 02010 13                          | 02181 15                          |
|                                   |                                   |
| 02030 15                          | 02199 15                          |
|                                   |                                   |
| 02050 15                          | 02210 13                          |
|                                   |                                   |
| 02099 15                          | 02299 15                          |
|                                   |                                   |
| 02101 13                          | 02600 and above all are exempt    |
+-----------------------------------+-----------------------------------+

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 Equivalent

[pay band]{.underline} [grade]{.underline}

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:

KYLE E. McSLARROW![](media/image1.png){width="0.7548611111111111in"
height="0.7541666666666667in"}

Deputy Secretary