ML25002A035

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Management Directive 7.6, Public and Confidential Financial Disclosure Reports
ML25002A035
Person / Time
Issue date: 12/09/2024
From: Brooke Clark
NRC/OGC
To:
References
MD 7.6
Download: ML25002A035 (1)
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U.S. NUCLEAR REGULATORY COMMISSION MANAGEMENT DIRECTIVE (MD)

For updates or revisions to policies contained in this MD that were issued after the MD was signed, please see the Yellow Announcement to Management Directive index (YA-to-MD index).

MD 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS DT-24-22 Volume 7:

Legal and Ethical Guidelines Approved By:

Brooke Clark, General Counsel Date Approved:

December 9, 2024 Cert. Date:

N/A, for the latest version of any NRC directive or handbook, see the online MD Catalog.

Issuing Office:

Office of the General Counsel Contact Name:

Eric Michel EXECUTIVE

SUMMARY

Management Directive (MD) 7.6, Public and Confidential Financial Disclosure Reports, is revised to More closely align with the language of relevant Office of Government Ethics regulations governing the submission, review, and maintenance of financial disclosure reports; Remove reference to the alternative OGE Form 450-A, which is no longer accepted; Remove references to outdated hyperlinks or financial disclosure systems no longer in use and replace with references to Ethics Gateway and the Ethics SharePoint site.

In addition, the NRC has revised this MD as part of its efforts to use more inclusive language in its publications. These changes, which include changing Chairman to Chair in some instances, are purely editorial and do not affect the meaning of the guidance in this document.

TABLE OF CONTENTS I.

POLICY................................................................................................................................ 2 II.

OBJECTIVES...................................................................................................................... 2 III.

ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY........... 2 A. Chair............................................................................................................................... 2 B. Inspector General (IG).................................................................................................... 3 C. Executive Director for Operations (EDO)....................................................................... 3

MD 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

2 D. Chief Financial Officer (CFO)......................................................................................... 3 E. Designated Agency Ethics Official (DAEO), Office of the General Counsel (OGC)............................................................................................................... 3 F. Directors, Offices Reporting to the EDO and Regional Administrators.......................... 4 G. Directors, Offices Reporting Directly to the Commission............................................... 4 H. Chief Human Capital Officer (CHCO)............................................................................. 5 I.

Deputy Ethics Officials (OGC)........................................................................................ 5 J. Deputy Ethics Officials (Regional Counsels).................................................................. 5 IV.

APPLICABILITY.................................................................................................................. 5 V.

DEFINITIONS...................................................................................................................... 6 VI.

HANDBOOK........................................................................................................................ 7 VII. REFERENCES..................................................................................................................... 7 I. POLICY It is the policy of the U.S. Nuclear Regulatory Commission (NRC) to inform employees of the laws and regulations governing financial disclosure requirements, prevent potential conflicts of interest, and resolve actual conflicts of interest.

II. OBJECTIVES Describe the NRC procedures for identifying positions requiring the filing of a public financial disclosure report (OGE Form 278e) and a confidential financial disclosure report (OGE Form 450).

Describe NRC procedures for assigning, receiving, reviewing, certifying, and maintaining custody of financial disclosure reports.

Describe the NRC procedures for instances when remedial, administrative, or disciplinary actions are necessary to resolve conflicts of interest, and procedures for assessing late filing fees.

III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY A. Chair

1. Appoints a Designated Agency Ethics Official (DAEO) within the Office of the General Counsel (OGC) in accordance with Code of Federal Regulations Title 5, Part 2638.107, Government ethics responsibilities of agency heads.

MD 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

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2. Per 5 C.F.R. § 2634.602(c), reviews (or delegates the review) of an OGE Form 278e filed by the DAEO.

B. Inspector General (IG)

1. Investigates allegations of failure to comply with laws or regulations concerning financial disclosure and makes appropriate referrals for action.
2. Ensures that employees of the Office of the Inspector General (OIG) who occupy positions that are subject to financial disclosure requirements are correctly identified in the agencys electronic personnel system.
3. Identifies positions within the OIG requiring new entrants, incumbents, or employees terminating service to file an OGE Form 278e and provides information on all new entrants and terminating employees to OGC ethics officials.
4. Identifies positions requiring new entrants and incumbents to file an OGE Form 450 and provides information on all new entrants to OGC ethics officials.
5. Identifies and promptly notifies OGC ethics officials of employees in OIG who are on temporary assignment for more than 60 days in a calendar year to a position subject to financial disclosure requirements.

C. Executive Director for Operations (EDO)

Approves recommendations from office directors reporting to the EDO and from regional administrators, after consultation with OGC ethics officials, for changes to the list of positions subject to the financial disclosure requirements.

D. Chief Financial Officer (CFO)

Assists OGC ethics officials in collection of fees for late filing of an OGE Form 278e or OGE Form 278-T.

E. Designated Agency Ethics Official (DAEO), Office of the General Counsel (OGC)

1. Administers the agencys ethics program.
2. Ensures compliance with the financial disclosure requirements contained in the Ethics in Government Act of 1978, as amended, and the Office of Government Ethics (OGE) regulations contained in 5 CFR Part 2634, Executive Branch Financial Disclosure, Qualified Trusts, and Certificates of Divestiture.
3. Establishes written procedures for the agencys financial disclosure program for the filing, review, and, when applicable, public availability of financial disclosure reports.

MD 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

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4. Ensures that financial disclosure reports are reviewed with an emphasis on preventing conflicts of interests, and either provides timely certification of reports or takes appropriate action when conflicts prevent certification.
5. Consults, when necessary, with financial disclosure filers and their supervisors to evaluate and resolve potential conflicts of interest.
6. After consultation with the appropriate office director or regional administrator, and obtaining any required Executive Director for Operations (EDO) approval, updates and republishes, as needed, the list of positions subject to financial disclosure requirements as an official agency record in the Agencywide Documents Access and Management System (ADAMS) and on the NRC Ethics Gateway platform at https://nrc.appiancloud.us, and may add or delete positions on that list based on a determination whether the position meets the filing requirements specified in OGE regulations.
7. Designates an Alternate DAEO within OGC to serve as the primary deputy to the DAEO in the administration of the agencys ethics program.
8. Designates attorneys and other staff in OGC as deputy ethics officials authorized to review financial disclosure forms and provide advice on ethics laws and regulations and related matters.
9. Makes referrals to the Inspector General of allegations of violations regarding compliance with the financial disclosure requirements or potential conflicts of interest.
10. Except where expressly reserved by law to the DAEO, may delegate the above responsibilities to deputy ethics officials, as appropriate.

F. Directors, Offices Reporting to the EDO and Regional Administrators

1. Provide the EDO with recommendations of positions at the level of GG-15 or below in their respective offices or regions that require incumbents to file an OGE Form 450.
2. Identify and promptly notify OGC ethics officials of employees in their respective offices or regions who are on temporary assignment for more than 60 days in a calendar year to a position subject to financial disclosure requirements.

G. Directors, Offices Reporting Directly to the Commission

1. Identify and inform OGC ethics officials of the positions at the level of GG-15 or below in their respective office that require incumbents to file an OGE Form 450.

MD 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

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2. Identify and promptly notify OGC ethics officials of employees in their respective offices or regions who are on temporary assignment for more than 60 days in a calendar year to a position subject to financial disclosure requirements.

H. Chief Human Capital Officer (CHCO)

1. Includes language in a vacancy announcement or solicitation of interest for a temporary or permanent assignment notifying prospective applicants of the requirement to file an OGE Form 278e or OGE Form 450, as appropriate.
2. Notifies OGC ethics officials within 15 calendar days of NRC employees, except those in OIG, who are appointed to positions that require incumbents to file an OGE Form 278e or an OGE Form 450.
3. Notifies OGC ethics officials within 15 calendar days of the termination date of NRC employees, except those in OIG, who occupy a position that requires incumbents to file an OGE Form 278e.
4. Ensures that NRC employees who occupy positions that require incumbents to file an OGE Form 278e or OGE Form 450 are correctly identified as such in the Federal Payroll and Personnel Systems (FPPS).

I.

Deputy Ethics Officials (OGC)

1. Review financial disclosure reports for completeness, and timely certify reports when the filer is in compliance with applicable laws and regulations concerning financial conflicts of interest.
2. Inform employees and, where necessary, their supervisors of any potential conflicts of interests or apparent conflicts of interest.
3. Advise employees on the application of laws and regulations concerning financial conflicts of interests and financial disclosure.

J. Deputy Ethics Officials (Regional Counsels)

Advise employees in their respective regions on matters relating to financial conflicts of interest or financial disclosure, in consultation with OGC ethics officials.

IV. APPLICABILITY This management directive applies to all NRC employees and special Government employees who are required to file financial disclosure reports.

MD 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

6 V. DEFINITIONS Employee An NRC employee, a special Government employee, or an employee of another Government agency assigned or detailed to NRC for more than 30 days.

OGE Form 278e, Executive Branch Personnel Public Financial Disclosure Report A form published by the Office of Government Ethics used by an employee required to file a public financial disclosure report. As used in this management directive, the term includes any successor forms to the OGE Form 278e that may be mandated by OGE.

All NRC employees who are required to file an OGE Form 278e must use the Integrity electronic filing system developed by OGE, which is available at https://www.integrity.gov.

OGE Form 278-T, Periodic Transaction Report A form published by the Office of Government Ethics, used by an employee required to file a public financial disclosure report, to timely report certain transactions involving securities as required by the Stop Trading on Congressional Knowledge (STOCK)

Act of 2012. As used in this management directive, the term includes any successor forms to the OGE Form 278-T that may be mandated by OGE. All NRC employees who are required to file an OGE Form 278-T must use the Integrity electronic filing system developed by OGE, which is available at https://www.integrity.gov.

OGE Form 450, Executive Branch Confidential Financial Disclosure Report A form published by the Office of Government Ethics used by an employee required to file a confidential financial disclosure report. As used in this management directive, the term includes any successor forms to the OGE Form 450 that may be mandated by OGE. All NRC employees who are required to file an OGE Form 450 must use the NRCs Ethics Gateway filing system, which is accessible at https://nrc.appiancloud.us.

Special Government Employee An NRC employee who is retained, designated, appointed, or employed to perform temporary duties, with or without compensation, not to exceed 130 days during any period of 365 consecutive days, either on a full-time or intermittent basis. At the NRC, the term includes members of advisory committees, part-time consultants, part-time judges, and other temporary or short-term employees.

MD 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

7 VI. HANDBOOK Handbook 7.6 provides guidance for determining which employees must file financial disclosure reports; procedures for assigning, receiving, reviewing, certifying, and maintaining custody of financial disclosure reports; and procedures for resolving conflicts of interest identified through financial disclosure through remedial, administrative, or disciplinary actions.

VII. REFERENCES Code of Federal Regulations 5 CFR Part 2634, Executive Branch Financial Disclosure, Qualified Trusts, and Certificates of Divestiture.

5 CFR Part 2635, Standards of Ethical Conduct for Employees of the Executive Branch.

5 CFR Part 2640, Interpretation, Exemptions, and Waiver Guidance Concerning 18 U.S.C. 208 (Acts Affecting a Personal Financial Interest).

5 CFR Part 5801, Supplemental Standards of Ethical Conduct for Employees of the Nuclear Regulatory Commission.

Ethics in Government Act and General Records Schedule (GRS) 2.8, available at https://www.archives.gov/records-mgmt/grs.html.

NRC Documents Ethics Gateway:

https://nrc.appiancloud.us.

Ethics SharePoint Site:

https://usnrc.sharepoint.com/teams/NRC-Ethics/SitePages/Home.aspx.

NRC Management Directives (MDs)

Management Directive 3.2, Privacy Act.

Management Directive 7.9, Ethics Approvals and Waivers.

U.S. Office of Government Ethics Integrity Public Financial Disclosure Filing Web Site:

https://www.integrity.gov.

Resources for Financial Disclosure Filers:

https://www2.oge.gov/web/oge.nsf/resources_resources-fin-disc.

U.S. Office of Government Ethics Web Site:

http://www.oge.gov.

MD 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

8 United States Code Acts Affecting a Personal Financial Interest (18 U.S.C. 208).

Bribery, Graft, and Conflicts of Interest (18 U.S.C. Chapter 11).

Definitions (18 U.S.C. 202).

Ethics in Government Act of 1978, as amended (5 U.S.C. 13101 et seq.).

Federal Advisory Committee Act (5 U.S.C. 1001 et seq.).

Inspector General Act of 1978, as amended, 5 U.S.C. 401 et seq.).

Privacy Act (5 U.S.C. 552a).

Stop Trading on Congressional Knowledge (STOCK) Act of 2012, Pub. Law 112-105.

U.S. NUCLEAR REGULATORY COMMISSION DIRECTIVE HANDBOOK (DH)

For updates or revisions to policies contained in this MD that were issued after the MD was signed, please see the Yellow Announcement to Management Directive index (YA-to-MD index).

DH 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS DT-24-22 Volume 7:

Legal and Ethical Guidelines Approved By:

Brooke Clark, General Counsel Date Approved:

December 9, 2024 Cert. Date:

N/A, for the latest version of any NRC directive or handbook, see the online MD Catalog.

Issuing Office:

Office of the General Counsel Contact Name:

Eric Michel EXECUTIVE

SUMMARY

Management Directive (MD) 7.6, Public and Confidential Financial Disclosure Reports, is revised to More closely align with the language of relevant Office of Government Ethics regulations governing the submission, review, and maintenance of financial disclosure reports; Remove reference to the alternative OGE Form 450-A, which is no longer accepted; Remove references to outdated hyperlinks or financial disclosure systems no longer in use and replace with references to Ethics Gateway and the Ethics SharePoint site.

In addition, the NRC has revised this MD as part of its efforts to use more inclusive language in its publications. These changes, which include changing Chairman to Chair in some instances, are purely editorial and do not affect the meaning of the guidance in this document.

TABLE OF CONTENTS I.

IDENTIFYING POSITIONS AND INDIVIDUALS SUBJECT TO FINANCIAL DISCLOSURE REQUIREMENTS........................................................................................ 3 A. Public Filers.................................................................................................................... 3 B. Confidential Filers........................................................................................................... 3 C. Special Government Employees (SGEs)....................................................................... 4 II.

INFORMING EMPLOYEES AND ASSIGNING FINANCIAL DISCLOSURE REQUIREMENTS................................................................................................................ 5 A. Types of Financial Disclosure Reports........................................................................... 5

DH 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

2 B. New Entrants.................................................................................................................. 6 C. Annual Reports.............................................................................................................. 6 D. Termination Reports....................................................................................................... 6 E. Temporary Assignments................................................................................................ 7 F. SGEs.............................................................................................................................. 7 III.

SUBMITTING FINANCIAL DISCLOSURE REPORTS....................................................... 8 A. Financial Disclosure Reporting Systems........................................................................ 8 B. Deadlines....................................................................................................................... 8 C. Extensions...................................................................................................................... 9 D. Contents of Financial Disclosure Reports...................................................................... 9 E. Employees on Detail.................................................................................................... 10 IV.

TRANSACTION REPORTS AND THE STOCK ACT........................................................ 10 A. 278-T Reports.............................................................................................................. 10 B. Notification of Negotiations for Future Employment..................................................... 11 V.

REVIEW AND CERTIFICATION OF FINANCIAL DISCLOSURE REPORTS.................. 11 A. Review of Financial Disclosure Reports....................................................................... 11 B. Standard of Review...................................................................................................... 11 C. Timetable for Review.................................................................................................... 12 D. Seeking Clarification or Additional Information from Filers........................................... 13 E. Compliance and Remedial Actions to Resolve Conflicts.............................................. 13 F. Amendments after Submission.................................................................................... 14 G. Advice and Opinions.................................................................................................... 14 VI.

MAINTENANCE OF FINANCIAL DISCLOSURE REPORTS........................................... 15 A. Recordkeeping............................................................................................................. 15 B. The Privacy Act............................................................................................................ 15 C. Public Access to Financial Disclosure Reports............................................................ 15 VII. PENALTIES....................................................................................................................... 16 A. Late Filing Fee............................................................................................................. 16 B. Failure to File or Falsifying Reports.............................................................................. 17

DH 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

3 I. IDENTIFYING POSITIONS AND INDIVIDUALS SUBJECT TO FINANCIAL DISCLOSURE REQUIREMENTS A. Public Filers

1. The Ethics in Government Act of 1978, as amended (U.S. Code of Federal Regulations (U.S.C.) Title 5 § 13103) and implementing Office of Government Ethics (OGE) regulations (5 C.F.R. § 2634.202) define which positions within the Executive branch are required to file a public financial disclosure report (OGE Form 278e).

These positions are referred to throughout this handbook as public filers.

2. The following positions at the U.S. Nuclear Regulatory Commission (NRC) are public filers:

(a) Commissioners, (b) The Inspector General, (c) Members of the Senior Executive Service (SES),

(d) Senior Level Service (SLS) Employees, (e) Full-Time Administrative Judges (Legal or Technical),

(f) Commissioner Assistants (excluding administrative or support positions), and (g) All Special Government Employees (SGEs) paid at a rate above GG-15 who, at the time of appointment, are reasonably expected to work more than 60 days during the ensuing 365-day period.

B. Confidential Filers

1. OGE regulations (5 C.F.R. § 2634.904) define which positions within the Executive branch are required to file a confidential financial disclosure report (OGE Form 450).

These positions are referred to throughout this handbook as confidential filers.

2. Any NRC employee at the GG-15 level or below is a confidential filer if the agency determines that (a) The duties and responsibilities of the employees position require the employee to file an OGE Form 450 to avoid involvement in a real or apparent conflict of interest, or to carry out the purposes behind any statute, Executive Order, rule, or regulation applicable to or administered by the employee; or

DH 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

4 (b) The duties and responsibilities of the employees position require that employee to participate personally and substantially, through decision or the exercise of significant judgment, and without substantial supervision and review, in taking a Government action regarding any of the following:

(i) Contracting or procurement; (ii) Administering or monitoring grants, subsidies, licenses, or other federally conferred financial or operational benefits; (iii) Regulating or auditing any non-Federal entity; or (iv) Other activities in which the final decision or action will have a direct and substantial economic effect on the interests of any non-Federal entity.

3. Ethics officials in the Office of the General Counsel (OGC) maintain the list of NRC positions that are confidential filers. This list is published annually as an official NRC record and is available in Ethics Gateway and on the internal Ethics SharePoint site (https://usnrc.sharepoint.com/teams/NRC-Ethics/SitePages/Home.aspx).

(a) To ensure the list of confidential filer positions remains accurate and comprehensive, each year the Designated Agency Ethics Official (DAEO) will obtain input from all office directors and regional administrators on whether any positions in their respective offices and regions should be added or removed.

(b) The Executive Director for Operations (EDO) will review and approve determinations for offices reporting to the EDO and the regions, after consultation with OGC ethics officials.

(c) OGC ethics officials will also obtain annually from each office and region the names of individual employees occupying confidential filer positions to ensure they are assigned an OGE Form 450.

4. The DAEO can exempt any individual or class of individuals from confidential filer requirements if it is determined that the duties of a position make remote the possibility that the individual would be involved in any real or apparent conflict of interest.

C. Special Government Employees (SGEs)

1. A special Government employee (SGE) is an officer or employee of an agency who is retained, designated, appointed, or employed to perform temporary duties, with or without compensation, for not to exceed 130 days during any period of 365 consecutive days, either on a full-time or intermittent basis (18 U.S.C. § 202). At the NRC, SGEs include members of advisory committees, part-time consultants,

DH 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

5 part-time judges, and other temporary or short-term employees. The determination of SGE status is made prospectively, at the time the employee is appointed or retained, by making an advance estimate of the numbers of days the employee is expected to serve during the ensuing 365-day period.

2. Any SGE who is not a public filer (see section I.A.2(g)) is a confidential filer if any of the following are satisfied:

(a) The SGE has a substantial role in the formulation of agency policy, (b) The SGE serves on an advisory committee within the meaning of the Federal Advisory Committee Act (5 U.S.C. § 1001), or (c) The SGE meets the requirements of a confidential filer described in section I.B.2.

3. The DAEO may exempt any individual SGE or class of SGEs from confidential filer requirements if it is determined that the SGEs duties make remote the possibility that the individual would be involved in any real or apparent conflict of interest.
4. NRC employees responsible for hiring part-time employees who have questions whether a prospective employee will be considered an SGE or whether the prospective employee will be subject to financial disclosure requirements, should contact an OGC ethics official.

II. INFORMING EMPLOYEES AND ASSIGNING FINANCIAL DISCLOSURE REQUIREMENTS A. Types of Financial Disclosure Reports

1. NRC employees entering a public filer or confidential filer position are assigned a new entrant report.
2. NRC employees who occupy a public filer or confidential filer position and perform the duties of that position for more than 60 days during the calendar year are assigned an annual report (also referred to as an incumbent report) the following calendar year.
3. NRC employees who occupy a public filer position are assigned a termination report upon leaving the position. Confidential filers are not required to file termination reports.
4. Public filers are also required to file periodic transaction reports (OGE Form 278-T) to promptly report certain transactions of securities. These financial disclosure reports are self-initiated by the public filer when covered transactions occur. Refer to section IV for more information on periodic transaction reporting.

DH 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

6 B. New Entrants

1. When posting a vacancy announcement or solicitation of interest for a temporary or permanent assignment, OCHCO includes language in the announcement notifying prospective applicants of the requirement to file an OGE Form 278e or an OGE Form 450, as applicable. Upon entering the covered position, OCHCO provides the new entrant with timely email notification of the requirement to file an OGE Form 278e or OGE Form 450, as applicable, and instructions on how to contact an ethics official with any questions concerning the form.
2. A current NRC employee who is not in a covered position and then enters a covered position through reassignment or promotion is considered a new entrant. Such employees also receive notification from OCHCO at the time of the reassignment or promotion of the requirement to file an OGE Form 278e or OGE Form 450, as applicable.
3. In addition to providing notice to the new entrant, OCHCO also provides timely notice to OGC ethics officials of the start date of new entrants, so that the new entrant can be assigned an OGE Form 278e or OGE Form 450, as applicable, through the appropriate financial disclosure system described in Section III.A with the applicable deadline identified in Section III.B.
4. OCHCO updates the employees status in the Federal Payroll and Personnel System (FPPS) to indicate that the employee is a public filer or a confidential filer, as appropriate.
5. New entrants in OIG are processed by human resources officials in OIG, not OCHCO, in a manner consistent with the above.

C. Annual Reports Each calendar year, OGC ethics officials ensure that annual reports are timely assigned to all employees who have been identified as incumbent public filers or confidential filers.

These reports are assigned through the appropriate financial disclosure system described in section III.A with the applicable deadline identified in section III.B.

D. Termination Reports

1. When a public filer leaves a public filing position (e.g., retirement, resignation, expiration of appointment, change to lower grade), OCHCO provides the employee with timely e-mail notification concerning the requirement to file an OGE Form 278e termination report, and instructions on how to contact an ethics official with any questions concerning the form. OCHCO also notifies OGC ethics officials of the public filers termination date so that OGC can assign the employee a termination report.

DH 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

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2. A public filer who leaves a public filing position but then assumes employment in another public filing position within 30 days is not required to file a termination report.

This includes transferring to a public filing position at another Federal agency.

3. Employees departing public filing positions in OIG are notified of this requirement by human resources officials in OIG, not OCHCO, in a manner consistent with the above.

E. Temporary Assignments

1. An employee who goes on a temporary assignment (e.g., rotation, detail, or acting assignment) to a public filing position or a confidential filing position is required to file the financial disclosure report associated with that position if, at the outset of the temporary assignment, it is reasonably anticipated that the employee will be performing the duties of that position for more than 60 days.
2. Office directors and regional administrators, or their designees, are responsible for notifying OGC ethics officials when employees in their respective offices and regions are going on such temporary assignments.
3. Notice of temporary assignments is not necessary if the employee already occupies a position covered by financial disclosure requirements and the temporary assignment is in a position covered by the same requirements (i.e., a confidential filer going on a temporary assignment to another confidential filer position, or a public filer going on temporary assignment to another public filer position). However, a confidential filer going on a temporary assignment to a public filer position for more than 60 days must be reported to OGC ethics officials, including timely notification of the conclusion of the temporary assignment so a termination report can be assigned to the employee.
4. If a temporary assignment is not originally anticipated to exceed 60 days, but the employee on the temporary assignment does in fact perform the duties of the position for more than 60 days, the employee is required to file a new entrant report within 15 days of the sixtieth day of the temporary assignment.
5. OGC will provide periodic reminders of the responsibility to notify ethics officials of temporary assignments requiring financial disclosure reports through agency-wide announcements.

F. SGEs

1. SGE candidates for positions that require a financial disclosure report are required to submit a draft OGE Form 278e or OGE Form 450, as applicable, so that it can be reviewed by an OGC ethics official for any insurmountable conflicts of interest or other ethics concerns before an employment offer. Offices seeking to hire an SGE

DH 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

8 into a public filer or confidential filer position must coordinate this hiring process with OCHCO and OGC ethics officials.

2. Unless specifically exempted by the DAEO, all SGEs are required to file a new financial disclosure report upon appointment or each reappointment. SGEs who serve multiyear appointments are assigned financial disclosure reports annually by OGC ethics officials. This generally only includes members of advisory committees, as other SGEs, such as consultants, are typically limited to 1-year appointments as a matter of policy.
3. SGEs in public filer positions file termination reports upon the expiration of their term.

Notification of the requirement and assignment of the termination report is the same for SGEs as for other NRC employees described in Section II.D.

III. SUBMITTING FINANCIAL DISCLOSURE REPORTS A. Financial Disclosure Reporting Systems

1. Public filers are assigned and submit financial disclosure reports through Integrity (www.integrity.gov), the OGE web-based filing system for all public financial disclosure reports throughout the Executive branch.
2. Confidential filers are assigned and submit financial disclosure reports through Ethics Gateway (https://nrc.appiancloud.us), the NRC web-based system for filing OGE Form 450 and for seeking ethics advice.
3. OGC ethics officials may permit certain SGEs who are confidential filers, perform temporary duties, and lack access to the NRC network during the filing period to submit the OGE Form 450 in paper format.

B. Deadlines

1. New entrant reports are due no later than 30 days after starting in the covered position.
2. Annual reports for public filers are due no later than May 15 each calendar year.

Annual reports for confidential filers are due no later than February 15 each calendar year.

3. Termination reports for public filers are due no later than 30 days after the filer leaves the covered position.
4. Refer to section IV for additional deadlines associated with transaction reports required of public filers under the Stop Trading on Congressional Knowledge (STOCK) Act.

DH 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

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5. A public filer who submits any of these financial disclosure reports more than 30 days after the applicable due date (or more than 30 days after any filing extension granted to the employee, whichever is later (see section III.C)) is subject to the $200 late filing fee described in section VII.A. A confidential filer is not subject to the $200 late filing fee but may be subject to disciplinary action for failure to timely file a financial disclosure report.

C. Extensions

1. OGC ethics officials may, for good cause shown, grant a public filer or a confidential filer an extension of the time to file a financial disclosure report.
2. Employees may request an extension through Ethics Gateway. Employees must provide the reason why the extension is necessary in the request.
3. Extensions for public filers and confidential filers are governed by 5 C.F.R.

§ 2634.201(g) and 5 C.F.R. § 2634.903(d), respectively.

(a) An ethics official may grant a public filer an initial extension of no more than 45 days to file a financial disclosure report. If additional time beyond 45 days is necessary, the ethics official may grant an additional extension in writing for up to another 45 days (90 days total). Extensions beyond 45 days must be approved or denied in writing and maintained with the financial disclosure report. Ethics officials cannot grant extensions beyond 90 days.

(b) An ethics official may grant a confidential filer a filing extension or several extensions totaling not more than 90 days. An extension request will be granted or denied in writing.

4. Federal employees who are active-duty military officers, enlisted members of the Armed Forces, Reserve or National Guard members on active duty, or otherwise deployed or sent to a combat zone or required to perform services away from their permanent duty station following a declaration by the President of a national emergency, automatically receive filing extensions following their service or time spent away from their permanent duty station. Employees in such situations should contact an OGC ethics official to ensure an appropriate extension is applied to their financial disclosure report.

D. Contents of Financial Disclosure Reports

1. The contents of the OGE Form 278e are prescribed by the Ethics in Government Act, as amended (5 U.S.C. § 13104), and implementing OGE regulations in 5 C.F.R.

Part 2634, Subpart C.

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2. The contents of the OGE Form 450 are prescribed by implementing OGE regulations in 5 C.F.R. Part 2634, Subpart I.
3. Both the OGE Form 278e and OGE Form 450 provide instructions for filers on the required contents of the report.
4. Public filers and confidential filers are strongly encouraged to consult the OGE Public Financial Disclosure Guide and the OGE Confidential Financial Disclosure Guide, respectively, when preparing and submitting their financial disclosure forms.

Both guides are available on the OGE website at https://www2.oge.gov/web/oge.nsf/resources_resources-fin-disc.

E. Employees on Detail Employees who are on a detail from one agency to another file financial disclosure reports with their home agency by the applicable due date. Ethics officials from the two respective agencies are required to coordinate their review of the employees financial disclosure report to ensure there are no conflicts of interest.

IV. TRANSACTION REPORTS AND THE STOCK ACT A. 278-T Reports

1. Public filers are subject to the requirements of the STOCK Act of 2012 (Pub. L. 112-105).
2. The STOCK Act requires public filers to promptly report any purchase, sale, or exchange of securities made by the filer, the filers spouse, or the filers dependent child, if the transaction exceeds $1,000. This includes transactions made on behalf of any of these individuals by a financial manager.

(a) Securities generally refers to stocks, bonds, options, futures, or similar financial instruments. Public filers are not required to promptly report transactions of publicly-traded mutual funds or exchange-traded funds (ETFs). Employees with questions on whether a particular transaction is a reportable transaction under the STOCK Act should promptly consult with an ethics official.

(b) Public filers report these transactions by filing an OGE Form 278-T periodic transaction report through the same Integrity system used to file OGE Form 278e.

(c) If the public filer personally makes the covered transaction, the periodic transaction report is due within 30 days of the date of the transaction. If someone other than the filer makes the transaction (e.g., a spouse, a dependent child, or a financial manager), then the periodic transaction report is due within 30 days of

DH 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

11 the filer receiving notice of the covered transaction, but in no event later than 45 days after the date of the transaction.

(d) Any periodic transaction report that is filed more than 30 days after the applicable deadline will be subject to the late filing fee described in section VII.A of this handbook.

B. Notification of Negotiations for Future Employment

1. A public filer is also required by the STOCK Act to promptly file a statement notifying an agency ethics official within 3 business days of engaging in negotiations or reaching an agreement for future employment or compensation with a non-Federal entity after the termination of Government service.
2. Such notification statements must be in writing, signed by the public filer, include the name of the non-Federal entity involved in the negotiation or agreement, and the date on which the negotiation or agreement commenced.
3. A public filer who needs to make this notification should contact an OGC ethics official. OGE has created a standard form that can be used for this notification.

V. REVIEW AND CERTIFICATION OF FINANCIAL DISCLOSURE REPORTS A. Review of Financial Disclosure Reports

1. All public and confidential financial reports will be reviewed only by the DAEO, ADAEO, or ethics officials within OGC who have been specifically designated by the DAEO as financial disclosure reviewers.
2. In accordance with OGE regulations (5 CFR § 2634.602(c)(2)), a financial disclosure report filed by the DAEO is reviewed by the Chair or by the Chairs designee.

B. Standard of Review

1. An OGC ethics official will review every submitted financial disclosure report to determine (a) Each required part of the report is completed and (b) No interest or position disclosed on the report violates or appears to violate (i) Any of the criminal conflict of interest provisions of United States Code (U.S.C.) Title 18 Chapter 11, Bribery, graft, and conflicts of interest; (ii) The Ethics in Government Act; (iii) The OGE Standards of Conduct (5 CFR Part 2635);

DH 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

12 (iv) Any applicable Executive Order in force at the time of the review (for example, the Ethics Pledge if the filer has signed the pledge); or (v) NRC supplemental ethics regulations governing the filer, including the NRC prohibited securities rule (5 CFR § 5801.102) and the NRC supplemental regulation concerning outside employment (5 CFR § 5801.103).

2. If the OGC ethics official is satisfied that the report is complete and reveals no conflicts of interest or other apparent violations of law, the ethics official will certify the report by signature and date. If the ethics official believes that additional information is required to be reported, they will seek clarification or additional information consistent with section V.D of this handbook. If the ethics official concludes that information disclosed in the report may reveal a violation of applicable laws and regulations, they will notify the filer consistent with Section V.E of this handbook.
3. OGC ethics officials do not audit financial disclosure reports to ascertain whether the employees disclosures are correct. Disclosures made on financial disclosure reports may be taken at face value as correct unless there is a patent omission or ambiguity, or the reviewing ethics official has independent and actual knowledge that the report is incorrect.
4. A reviewing ethics official may consult with an employees supervisor, as necessary, to evaluate and resolve potential financial conflicts of interest.
5. If the reviewing ethics official determines that the filer has disclosed information that is not required to be reported, the ethics official should inform the filer and seek the filers permission to remove the unnecessary information. Overreporting on financial disclosure forms is generally discouraged, though filers may choose to overreport to ease their reporting burden (i.e., not spend time discerning whether certain assets or positions are or are not reportable, or disclose assets below the reporting threshold as a reminder to check the assets value in future years). However, reviewing ethics officials must at minimum remove overreporting of information that constitutes personally identifiable information (PII) (e.g., names of children or spouses, account numbers, home addresses), so as not to unnecessarily collect and retain PII.

C. Timetable for Review

1. Unless clarification or additional information is necessary to certify a financial disclosure report, the reviewing ethics official must certify the report within 60 days from the date it was filed.

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2. Where a report cannot be certified within 60 days from the date it was filed because clarifying or additional information is necessary, the reviewing official must at minimum complete an initial review of the report and contact the filer within 60 days seeking the clarifying or additional information.

D. Seeking Clarification or Additional Information from Filers

1. If the reviewing ethics official determines that clarification is necessary or additional information is required to be reported, the ethics official will request that the filer provide the additional information. The reviewing ethics official may request this information from the filer by email or may return the incomplete form to the filer with instructions, as appropriate.
2. The reviewing ethics official will request that the filer provide additional information; the official may specify a deadline for providing the information, but any deadline shall not be later than 30 days from the date of the request. Further extension beyond 30 days may be granted in writing, for good cause shown.
3. Additional information received from the filer will be incorporated into the financial disclosure report.

E. Compliance and Remedial Actions to Resolve Conflicts

1. If the reviewing ethics official determines that information in the report may reveal a violation of applicable laws and regulations, the ethics official must (a) Promptly notify the filer of that conclusion, (b) Afford the filer a reasonable opportunity to respond, and (c) Determine, after considering any response, whether the filer is then in compliance.
2. If, after considering any response, the reviewing ethics official determines that the filer is in compliance, the ethics official will certify the report.
3. If the reviewing official determines that additional remedial actions are required, the ethics official must (a) Notify the filer of the conclusion; (b) Afford the filer an opportunity for personal consultation, if practicable; (c) Determine what remedial action should be taken, and notify the filer in writing of the remedial action that is needed and the date by which such action should be taken. Remedial actions may include, as appropriate (i) Divestiture of a conflicting financial interest,

DH 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

14 (ii) Resignation from a position with a non-Federal business or other entity, (iii) Restitution, (iv) Establishment of a qualified blind or diversified trust in accordance with the Ethics in Government Act and implementing regulations for establishing such a trust (5 CFR Part 2634, Subpart D),

(v) Obtaining an appropriate waiver or written authorization (see Management Directive 7.9),

(vi) Recusal from particular matters, or (vii) Voluntary request by the filer for transfer, reassignment, limitation of duties, or resignation.

4. Except in unusual circumstances, ethics officials should afford the filer no more than 3 months to complete any necessary remedial action.
5. If the filer complies with a written request for remedial action, the reviewing ethics official will memorialize the remedial action and sign and date the report.
6. If the filer does not comply by the designated date with the written request for remedial action, the filer will be referred to OIG.

F. Amendments after Submission Financial disclosure reports cannot be amended after they are certified by the reviewing ethics official. In the event a filer determines that they inadvertently omitted information required to be included on an already certified financial disclosure form, they should promptly inform an ethics official through Ethics Gateway so that the omission can be appropriately documented through a note to file or amendment letter attached to the original report, as appropriate.

G. Advice and Opinions OGC ethics officials are available to offer advice and guidance to employees, as necessary, to assist them in complying with financial disclosure requirements.

Employees seeking such assistance should contact an ethics official through Ethics Gateway.

DH 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

15 VI. MAINTENANCE OF FINANCIAL DISCLOSURE REPORTS A. Recordkeeping

1. Public and confidential financial disclosure reports are Federal records and their retention is governed by the Ethics in Government Act and General Records Schedule (GRS) 2.8 published by the National Archives and Records Administration (NARA), which is available at https://www.archives.gov/records-mgmt/grs.html.
2. The NRC retains certified financial disclosure forms for the following time periods, unless the forms are needed for a longer period for an active investigation, in which case they are retained until no longer needed:

(a) OGE Form 278e reports: 6 years; (b) OGE Form 278-T periodic transaction reports: 7 years, or when the related subsequent OGE Form 278e is ready for destruction 6 years later; (c) OGE Form 450: 6 years.

B. The Privacy Act

1. Public and confidential financial disclosure reports are records that are subject to the Privacy Act and implementing NRC regulations (10 C.F.R. Part 9, Subpart B, Privacy Act Regulations) and policy (Management Directive 3.2, Privacy Act).
2. The maintenance, handling, access to, and disclosure of financial disclosure reports are governed by the following governmentwide system of record notices (SORN) published by OGE:

(a) Public financial disclosure reports: OGE/GOVT-1, Executive Branch Personnel Public Financial Disclosure Reports and Other Name-Retrieved Ethics Program Records, and (b) Confidential financial disclosure reports: OGE/GOVT-2, Executive Branch Confidential Financial Disclosure Reports.

3. These governmentwide SORNs are available at https://www.fpc.gov/resources/SORNs/.

C. Public Access to Financial Disclosure Reports

1. The NRC is required to make public financial disclosure reports (OGE Form 278e and OGE Form 278-T periodic transaction reports) available to a requesting member of the public in accordance with the Ethics in Government Act and 5 CFR

§ 2634.603. Specifically

DH 7.6 PUBLIC AND CONFIDENTIAL FINANCIAL DISCLOSURE REPORTS Date Approved: 12/9/2024 For the latest version of any NRC directive or handbook, see the online MD Catalog.

16 (a) Any member of the public can request access to an NRC public financial disclosure report by submitting OGE Ethics Form 201 to an NRC ethics official.

The requesting individual must provide their name, occupation, and address; the name and address of any person or organization on whose behalf they are making the request; and confirmation they are not seeking the report for any unlawful purpose.

(b) Unlawful purposes for requesting a public financial disclosure form include any commercial purpose (excluding media dissemination to the public); determining or establishing the credit rating of any individual; or for use in directly or indirectly soliciting money for any political, charitable, or other purpose.

(c) The NRC will retain any Form 201 requesting access to a public financial disclosure form for the same time as the form that is the subject of the request.

These Form 201s are also available to a requesting member of the public to the same extent and using the same procedures as a request for a public financial disclosure report.

2. Freedom of Information Act (FOIA) requests for public financial disclosure forms should be redirected to OGC ethics officials for appropriate disposition.
3. The Ethics in Government Act (5 U.S.C. § 13109) exempts confidential financial disclosure reports from disclosure under the FOIA. These reports cannot be made available to any member of the public, except pursuant to a Federal court order or through the access provisions in the Privacy Act.

VII. PENALTIES A. Late Filing Fee

1. The Ethics in Government Act requires a public filer to pay a $200 late filing fee, payable to the U.S. Treasury, if they submit a financial disclosure form more than 30 days after the applicable deadline (including any approved extension of time to file the report).
2. The late filing fee is applicable to all public financial disclosure reports (OGE Form 278e and 278-T Transaction Reports). The late filing fee does not apply to confidential financial disclosure reports (OGE Form 450).
3. When a reviewing ethics official determines that a public filer has submitted a financial disclosure report more than 30 days after the applicable deadline, OGC ethics officials will coordinate with the Office of the Chief Financial Officer (OCFO) pursuant to established procedures to create an invoice.

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4. OGC ethics officials will notify public filers subject to the $200 late filing fee by email.

The email will describe the circumstances leading to the late filing fee, include instructions on how to pay the late filing fee, and notify the employee of the availability of a waiver of the late filing fee.

(a) By law, the DAEO may waive a late filing fee if it is determined that the delay in filing was cause by extraordinary circumstances. This may include (i) Failure by the agency to notify a first-time filer or a termination filer of the requirement to file the financial disclosure report; (ii) A family emergency, such as a fire, illness, or death; (iii) Transfer of position that caused confusion over the filers status; and (iv) Other agency errors that may have contributed to the late filing.

(b) In determining whether other circumstances are extraordinary, the DAEO may consider (i) The position of the filer (agency heads or other senior leaders may be held to higher standards),

(ii) Whether the filer requested any extensions or other indications of a good faith effort to file, and (iii) The timeliness of the filers previous financial disclosure reports.

(c) General workload does not constitute extraordinary circumstances.

5. The DAEO will approve or deny late filing fee waiver requests in writing. If a late filing fee waiver request is approved, an OGC ethics official will inform OCFO so that any previously created invoice is voided. If the late filing fee waiver request is denied, the public filer will be required to pay the fee and failure to do so will then be subject to established agency debt collection procedures.

B. Failure to File or Falsifying Reports

1. NRC ethics officials will refer to the Inspector General (a) Any public filer when there is reasonable cause to believe the employee has willfully failed to file a public financial disclosure report or information required to be included on such a report.

(b) Any public filer or confidential filer when there is reasonable cause to believe the employee has willfully falsified any information required to be included on a financial disclosure report.

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2. The NRC may take appropriate personnel or other administrative disciplinary action against any employee for failing to timely file a financial disclosure report or for falsifying information.
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