# SECTION K -- ATTACHMENT A 

# 

# FOREIGN OWNERSHIP, CONTROL, OR INFLUENCE (FOCI)

##### STANDARD FORM 328 - CERTIFICATE PERTAINING TO FOREIGN INTERESTS

CONTENTS REVIEW REQUIRED BY THE OFFEROR

  -----------------------------------------------------------------------
  Section 836 of the Fiscal Year 1993 Defense Authorization Act (Pub. L.
  102-484) prohibits the award of a Department of Energy contract under
  the national security program to an entity owned or controlled by a
  foreign government if it is necessary for that entity to be given
  access to information in a proscribed category of information in order
  to perform the contract. The Secretary of Energy may determine that a
  waiver from this requirement is essential to the National Security
  interests of the United States.

  -----------------------------------------------------------------------

Prior to forwarding a FOCI submission to DOE, the offeror should review
the FOCI documentation to ensure that:

If the offeror is owned by a parent organization(s), the Certificates
Pertaining to Foreign Interests Standard Form 328 (REV7/2001) have been
attached for [all tier parents, i.e., ultimate parent and any
intervening levels of ownership]{.underline}. Each certification must be
signed and dated by an authorized official of the respective
organization. \[i.e., a person authorized to represent and sign for the
organization as officially recorded by the organization (that is, in the
document which sets forth the terms & conditions for its operation &
management by laws, operating agreement, partnership agreement, etc.)\]
Foreign tier parents should not (are not required to) submit FOCI
packages.

In addition to the executed Certificates Pertaining to Foreign Interests
Standard Form 328 (REV7/2001), an offeror/bidder and, if applicable, its
tier parents should also submit the following to the Contracting
Officer:

1\. A copy of the U.S. company\'s articles of incorporation and an
attested copy of the U.S. company\'s by-laws, or similar documents filed
for the U.S. company\'s existence and management, and all amendments to
those documents. NOTE: A contractor with a DOE approved facility
clearance and, if applicable, its tier parents do not need to provide
these documents unless (i) the U.S. company\'s articles of incorporation
and by-laws, or similar documents filed for the U.S. company\'s
existence and management, have been amended; or (ii) the Lead
Responsible Office has requested the documents. *Contractors with
approved facility clearances should identify their Facility Code or CAGE
Code if DOD, the date they submitted their Certificate Pertaining to
Foreign Interests, and the FOCI determination date to the Contracting
Officer.*

2\. Complete and return the attached Summary FOCI Data Sheet. The
Summary FOCI Data Sheet will enable the Lead Responsible Office to
review and verify the submitted information in a quicker and more
thorough manner which will provide a quicker determination. NOTE: A
contractor with a DOE approved facility clearance and, if applicable,
its tier parents do not need to provide the Summary FOCI Data Sheet
unless (i) a change(s) has occurred which would affect the answers to
the information in the Summary FOCI Data Sheet previously provided by
the contractor and/or its tier parents, if applicable; or (ii) the Lead
Responsible Office has requested the contractor and/or its tier parents
to complete and return the Summary FOCI Data Sheet

3\. Consolidated information and statements for the organization\'s most
recently closed accounting year.

> a\. Publicly-traded companies (whether the ultimate parent,
> intermediate parent, or subsidiary) should submit its annual report
> and Securities and Exchange Commission Form 10-K report for the most
> recently closed accounting year, as well as its most recent proxy
> statement for the annual meeting of stockholders.
>
> If the company\'s stock is not publicly traded but the company has
> publicly-traded debt, the company should submit its Securities and
> Exchange Commission Form 10-K report for the most recently closed
> accounting year.
>
> b\. Privately-owned companies (whether the ultimate parent,
> intermediate parent, or subsidiary) should submit consolidated
> financial information (i.e., to include the accounts of the company
> and its subsidiary companies) for the most recently closed accounting
> year. The financial information should be prepared and presented in
> accordance with generally accepted accounting principles as
> established by the financial accounting standards board, to include
> accompanying footnote disclosures. If available, audited financial
> information should be provided. If audited financial information is
> not available, unaudited information should be accepted, but only if
> accompanied by a certification attesting to the unavailability of
> audited information.

4\. Listing of owners, officers, directors, and executive personnel
(OODEP)

> a\. The contractor and all tier parents shall submit a list
> identifying their respective organizations owners, officers,
> directors, and executive personnel, to include their complete names;
> social security numbers; date and place of birth; citizenship; titles
> of all positions they hold within the organization; and what
> clearances, if any, they possess or are in the process of obtaining
> and identification of the government agency(ies) that granted or will
> be granting those clearances. If any position is vacant, so state.
>
> b\. For sole proprietorships operating in community property states
> (Arizona, California, Idaho, Louisiana, Nevada, New Mexico, Texas,
> Washington, or Wisconsin), information on the sole proprietor\'s
> spouse, if applicable, should also be provided on the OODEP listing.

NOTE: *If any of these documents are missing, the contracting officer
cannot complete award of the contract.*

+---------------------------------+---+-----------------+-------+-----+---+
| CERTIFICATE PERTAINING TO       |   |                 | *Form |     |   |
| FOREIGN INTERESTS               |   |                 | Appr  |     |   |
|                                 |   |                 | oved* |     |   |
| (*Type or print all answers)*   |   |                 |       |     |   |
|                                 |   |                 | *OMB  |     |   |
|                                 |   |                 | No.   |     |   |
|                                 |   |                 | 0704- |     |   |
|                                 |   |                 | 0194* |     |   |
|                                 |   |                 |       |     |   |
|                                 |   |                 | *Ex   |     |   |
|                                 |   |                 | pires |     |   |
|                                 |   |                 | Jun   |     |   |
|                                 |   |                 | 30,   |     |   |
|                                 |   |                 | 2004* |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
| The public reporting burden for |   |                 |       |     |   |
| this collection of information  |   |                 |       |     |   |
| is estimated to average 70      |   |                 |       |     |   |
| minutes per response, including |   |                 |       |     |   |
| the time for reviewing          |   |                 |       |     |   |
| instructions, searching         |   |                 |       |     |   |
| existing data sources,          |   |                 |       |     |   |
| gathering and maintaining the   |   |                 |       |     |   |
| data needed, and completing and |   |                 |       |     |   |
| reviewing the collection of     |   |                 |       |     |   |
| information. Send comments      |   |                 |       |     |   |
| regarding this burden estimate  |   |                 |       |     |   |
| or any other aspect of this     |   |                 |       |     |   |
| collection of information,      |   |                 |       |     |   |
| including suggestions for       |   |                 |       |     |   |
| reducing the burden to          |   |                 |       |     |   |
| Department of Defense,          |   |                 |       |     |   |
| Washington Headquarters         |   |                 |       |     |   |
| Services, Directorate for       |   |                 |       |     |   |
| Information Operations and      |   |                 |       |     |   |
| Reports (0704-0194), 1215       |   |                 |       |     |   |
| Jefferson Davis Highway, Suite  |   |                 |       |     |   |
| 1204, Arlington, VA 22202-4302. |   |                 |       |     |   |
| Respondents should be aware     |   |                 |       |     |   |
| that notwithstanding any other  |   |                 |       |     |   |
| provision of law, no person     |   |                 |       |     |   |
| shall be subject to any penalty |   |                 |       |     |   |
| for failing to comply with a    |   |                 |       |     |   |
| collection of information if it |   |                 |       |     |   |
| does not display a currently    |   |                 |       |     |   |
| valid OMB control number.       |   |                 |       |     |   |
|                                 |   |                 |       |     |   |
| PLEASE DO NOT RETURN YOUR FORM  |   |                 |       |     |   |
| TO THE ABOVE ADDRESS. RETURN    |   |                 |       |     |   |
| COMPLETED FORM TO YOUR          |   |                 |       |     |   |
| RESPECTIVE COGNIZANT SECURITY   |   |                 |       |     |   |
| OFFICE.                         |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
| PENALTY NOTICE                  |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
| Failure to answer all questions | o |                 |       |     |   |
| or any misrepresentation (by    | f |                 |       |     |   |
| omission or concealment, or by  | t |                 |       |     |   |
| misleading, false or partial    | h |                 |       |     |   |
| answers) may serve as a basis   | e |                 |       |     |   |
| for denial of clearance for     | U |                 |       |     |   |
| access to classified            | n |                 |       |     |   |
| information. In addition, Title | i |                 |       |     |   |
| 18m United States Code 1001,    | t |                 |       |     |   |
| makes it a criminal offense,    | e |                 |       |     |   |
| punishable by a maximum of five | d |                 |       |     |   |
| (5) years imprisonment,         | S |                 |       |     |   |
| \$15,000 fine or both,          | t |                 |       |     |   |
| knowingly to make a false       | a |                 |       |     |   |
| statement or representation to  | t |                 |       |     |   |
| any Department or Agency        | e |                 |       |     |   |
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+---------------------------------+---+-----------------+-------+-----+---+
| PROVISIONS                      |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
| 1\. This report is authorized   |   | 2\. When this   |       |     |   |
| by the Secretary of Defense, as |   | report is       |       |     |   |
| Executive Agent for the         |   | submitted in    |       |     |   |
| National Industrial Security    |   | confidence and  |       |     |   |
| Program, pursuant to Executive  |   | is so marked,   |       |     |   |
| Order 12829. While you are not  |   | applicable      |       |     |   |
| required to respond, your       |   | exemptions to   |       |     |   |
| eligibility for a facility      |   | the Freedom of  |       |     |   |
| clearance cannot be determined  |   | Information Act |       |     |   |
| if you do not complete this     |   | will be invoked |       |     |   |
| form. The retention of a        |   | to withhold it  |       |     |   |
| facility security clearance is  |   | from public     |       |     |   |
| contingent upon your compliance |   | disclosure.     |       |     |   |
| with the requirements of DoD    |   |                 |       |     |   |
| 5220.22-M for submission of a   |   | 3\. Complete    |       |     |   |
| revised form as appropriate.    |   | all questions   |       |     |   |
|                                 |   | on this form.   |       |     |   |
|                                 |   | Mark "Yes" or   |       |     |   |
|                                 |   | "No" for each   |       |     |   |
|                                 |   | question. If    |       |     |   |
|                                 |   | your answer is  |       |     |   |
|                                 |   | Yes furnish   |       |     |   |
|                                 |   | in full the     |       |     |   |
|                                 |   | complete        |       |     |   |
|                                 |   | information     |       |     |   |
|                                 |   | under           |       |     |   |
|                                 |   | "Remarks."      |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
| QUESTIONS AND ANSWERS           |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
| 1\. (*Answer 1a. or 1b.*)       |   |                 |       | YES | N |
|                                 |   |                 |       |     | O |
| a.. (*For entities which issue  |   |                 |       |     |   |
| stock):* Do any foreign         |   |                 |       |     |   |
| person(s), directly or          |   |                 |       |     |   |
| indirectly, own or have         |   |                 |       |     |   |
| beneficial ownership of 5       |   |                 |       |     |   |
| percent or more of the          |   |                 |       |     |   |
| outstanding shares of any class |   |                 |       |     |   |
| of your organization's equity   |   |                 |       |     |   |
| securities?                     |   |                 |       |     |   |
|                                 |   |                 |       |     |   |
| b\. (*For entities which do not |   |                 |       |     |   |
| issue stock)*: Has any foreign  |   |                 |       |     |   |
| person directly or indirectly   |   |                 |       |     |   |
| subscribed 5 percent or more    |   |                 |       |     |   |
|                                 |   |                 |       |     |   |
| of your organization's total    |   |                 |       |     |   |
| capital commitment?             |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
|                                 |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
|                                 |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
| 2\. Does your organization      |   |                 |       |     |   |
| directly, or indirectly through |   |                 |       |     |   |
| your subsidiaries and/or        |   |                 |       |     |   |
| affiliates, own 10 percent or   |   |                 |       |     |   |
| more of                         |   |                 |       |     |   |
|                                 |   |                 |       |     |   |
| any foreign interest?           |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
| 3\. Do any non-U.S. citizens    |   |                 |       |     |   |
| serve as members of your        |   |                 |       |     |   |
| organization's board of         |   |                 |       |     |   |
| directors (or similar governing |   |                 |       |     |   |
| body),                          |   |                 |       |     |   |
|                                 |   |                 |       |     |   |
| officers, executive personnel,  |   |                 |       |     |   |
| general partners, regents,      |   |                 |       |     |   |
| trustees or senior management   |   |                 |       |     |   |
| officials?                      |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
| 4\. Does any foreign person(s)  |   |                 |       |     |   |
| have the power, direct or       |   |                 |       |     |   |
| indirect, to control the        |   |                 |       |     |   |
| election, appointment, or       |   |                 |       |     |   |
| tenure of members of your       |   |                 |       |     |   |
| organization's board of         |   |                 |       |     |   |
| directors (or similar governing |   |                 |       |     |   |
| body) or other management       |   |                 |       |     |   |
| positions of your organization, |   |                 |       |     |   |
| or have the power to control or |   |                 |       |     |   |
| cause the direction of other    |   |                 |       |     |   |
| decisions or activities of your |   |                 |       |     |   |
| organization?                   |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
| 5\. Does your organization have |   |                 |       |     |   |
| any contracts, agreements,      |   |                 |       |     |   |
| understandings, or arrangements |   |                 |       |     |   |
| with a foreign person(s)?       |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
| 6\. Does your organization,     |   |                 |       |     |   |
| whether as borrower, surety,    |   |                 |       |     |   |
| guarantor or otherwise have any |   |                 |       |     |   |
| indebtedness, liabilities or    |   |                 |       |     |   |
|                                 |   |                 |       |     |   |
| obligations to a foreign        |   |                 |       |     |   |
| person(s)?                      |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
| 7\. During your last fiscal     |   |                 |       |     |   |
| year, did your organization     |   |                 |       |     |   |
| derive:                         |   |                 |       |     |   |
|                                 |   |                 |       |     |   |
| a.  5 percent or more of its    |   |                 |       |     |   |
|     total revenues or net       |   |                 |       |     |   |
|     income from any single      |   |                 |       |     |   |
|     foreign person?             |   |                 |       |     |   |
|                                 |   |                 |       |     |   |
| b\. In the aggregate 30 percent |   |                 |       |     |   |
| or more of its revenues or net  |   |                 |       |     |   |
| income from foreign persons?    |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
|                                 |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
| 8\. Is 10 percent or more of    |   |                 |       |     |   |
| any class of your               |   |                 |       |     |   |
| organization's voting           |   |                 |       |     |   |
| securities held in "nominee"    |   |                 |       |     |   |
| shares, in "street names"       |   |                 |       |     |   |
|                                 |   |                 |       |     |   |
| or in some other method which   |   |                 |       |     |   |
| does not identify the           |   |                 |       |     |   |
| beneficial owner?               |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
| 9\. Do any of the members of    |   |                 |       |     |   |
| your organization's board of    |   |                 |       |     |   |
| directors (or similar governing |   |                 |       |     |   |
| body), officers, executive      |   |                 |       |     |   |
| personnel, general partners,    |   |                 |       |     |   |
| regents, trustees or senior     |   |                 |       |     |   |
| management officials hold any   |   |                 |       |     |   |
| positions with, or serve as     |   |                 |       |     |   |
| consultants for, any foreign    |   |                 |       |     |   |
| person(s)?                      |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+
| 10\. Is there any other         |   |                 |       |     |   |
| factor(s) that indicates or     |   |                 |       |     |   |
| demonstrates a capability on    |   |                 |       |     |   |
| the part of foreign persons to  |   |                 |       |     |   |
| control or influence the        |   |                 |       |     |   |
| operations or management of     |   |                 |       |     |   |
| your organization?              |   |                 |       |     |   |
+---------------------------------+---+-----------------+-------+-----+---+

STANDARD FORM 328 (REV 7/2001) PREVIOUS EDITION IS OBSOLETE

+-----------------------------------------------------------------------+
| REMARKS (*Attach additional sheets, if necessary, for a full detailed |
| statement.)*                                                          |
+-----------------------------------------------------------------------+
|                                                                       |
+-----------------------------------------------------------------------+
| CERTIFICATION                                                         |
+-----------------------------------------------------------------------+
| I CERTIFY that the entries made by me above are true, complete, and   |
| correct to the best of my knowledge and belief and are made in good   |
| faith.                                                                |
|                                                                       |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\                                           |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
|                                                                       |
| WITNESSES: (*Date Certified*)                                         |
|                                                                       |
| By                                                                    |
| [\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_                             |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline} |
|                                                                       |
| (Signature of Authorized Contractor Representative)                   |
|                                                                       |
| [\_                                                                   |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_                                      |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline} |
|                                                                       |
| (Typed Name of *Contractor)*                                          |
|                                                                       |
| *NOTE: In case of a corporation, a witness is not required but the    |
| [\_\_\_\_\_\_\_\_\_\_\_\_\                                            |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
| ]{.underline}*                                                        |
|                                                                       |
| *certificate below must be completed. Type or print names (Title of   |
| Authorized Contractor Representative)*                                |
|                                                                       |
| *under all signatures.*                                               |
|                                                                       |
| [\_                                                                   |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_                                      |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline} |
|                                                                       |
| (Address)                                                             |
|                                                                       |
| *NOTE: Contractor, if a corporation, should cause the following       |
| certificate to be executed under its corporate seal, provided that    |
| the same officer shall not execute both the Agreement and the         |
| Certificate.*                                                         |
+-----------------------------------------------------------------------+
| Certificate                                                           |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| I, , certify that I am the                                            |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\                                       |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
|                                                                       |
| of the corporation names as contractor herein; that                   |
| [\_\                                                                  |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline} |
|                                                                       |
| who signed this certificate on behalf of the contractor, was then     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\                             |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
|                                                                       |
| of said corporation; that said certificate was duly signed for and in |
| behalf of said corporation by authority of its governing body, and is |
| within the scope of its corporate powers.                             |
|                                                                       |
| [\_\_\_\_\_\_\_\_\_\_\_\_\_                                           |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline} |
|                                                                       |
| *(Corporate Seal) (Signature and Date)*                               |
+-----------------------------------------------------------------------+

SF 328 (BACK) (REV 7/2001)

INSTRUCTIONS FOR COMPLETION OF THE CERTIFICATE

PERTAINING TO FOREIGN INTERESTS

**NOTE: PLEASE SUBMIT THREE COPIES OF COMPLETED CERTIFICATE**.

DOE has an electronic system for offerors to submit FOCI information.
The web address is [https://foci.td.anl.gov](https://foci.td.anl.gov/).
Electronic signatures cannot be accepted, so a signed original SF 328,
executed in accordance with the instructions on the form, must still be
submitted to DOE.

[Question #1]{.underline}

a\. Do any foreign person(s), directly or indirectly, own or have
beneficial ownership of 5% or more of the outstanding shares of any
class of your organization's equity securities? If yes:

> -Identify the percentage of any class of stock or other securities
> issued, which are owned by foreign persons, broken down by country.
> Include indirect ownership through one or more intermediate level(s)
> of subsidiaries. Indicate voting rights of each class of stock.
>
> -Are there shareholder agreements? If yes, attach a copy(ies), and if
> none, so state.
>
> -Indicate whether a copy of SEC Schedule 13D/13G report has been
> received from any investor. If yes, attach a copy(ies).
>
> NOTE: Ownership of less than 5% must be included if the holder is
> entitled to control the appointment and tenure of any management
> position.

b\. (for entities which do not issue stock): Has any foreign person
directly or indirectly subscribed 5% or more of your organization\'s
total capital commitment? If yes:

> -Identify the percentage of total capital commitment that is
> subscribed by foreign persons.
>
> -Is there an agreement (s) with the subscriber (s) ? If yes, attach a
> copy(ies), and if none, so state.

[Question #2]{.underline}

Does your organization directly, or indirectly through your subsidiaries
and/or affiliates, own 10% or more of any foreign interest? If yes: .

> -Identify the foreign interest by name, country, percentage owned, and
> personnel who occupy management positions with the organizations.
>
> -If there are personnel from your organization who occupy management
> positions with the foreign firm(s), identity the name(s), title, and
> extent of involvement in the operations of the organizations (to
> include access to classified information).

[Question #3]{.underline}

Do any non‑U.S. citizens serve as members of your organization\'s board
of directors (or similar governing body), officers, executive personnel,
general partners, regents, trustees or senior management officials? If
yes:

> -Identify the foreign person(s) by name, title, citizenship,
> immigration status and clearance or exclusion status.
>
> -Attach copies of applicable by‑laws or articles of incorporation
> which describe the affected position(s). However, if you have already
> provided such copies to the Cognizant Security Agency Industrial
> Security Representative, so state.

[Question #4]{.underline}

Does any foreign person(s) have the power, direct or indirect, to
control the election, appointment, or tenure of members of your
organization\'s board of directors (or similar governing body) or other
management positions of your organization, or have the power to control
or cause the direction of other decisions or activities of your
organization? If yes:

> -Identify the foreign person(s) by name, title, citizenship, and all
> details concerning the control or influence.
>
> Note: If any foreign person (s) have such power, this question shall
> be answered in the affirmative even if such power has not been
> exercised, and whether or not it is exercisable through ownership of
> your facility\'s securities, if such power may be invoked by
> contractual arrangements or by other means.

[Question #5]{.underline}

Does your organization have any contracts, agreements, understandings,
or arrangements with a foreign person (s) ? If yes:

> -For each instance, provide the name of the foreign person, country,
> percentage of gross income derived, and nature of involvement,
> including:
>
> -whether defense/nuclear related or not
>
> -involvement with classified or export controlled technology
>
> -compliance with export control requirements
>
> -Where the organization has a large number of involvements and where
> these involvements are not defense/nuclear related and represent a
> small percentage of gross income, the explanation can be a generalized
> statement addressing the totals by country.
>
> For each individual who is cleared or will require clearance and who
> is a representative of a foreign interest, include a statement of Full
> Disclosure of Foreign Affiliations.
>
> NOTE: We do not expect and will not require the contractor to ask
> every customer if he/she falls within the NISPOM definition of a
> foreign person. We will ask the contractor to provide ongoing security
> education to those individuals who negotiate and/or administer such
> agreements regarding their responsibilities to report agreements with
> a foreign person(s) to the best of their knowledge. The contractor
> will be certifying the response to this question to \"the best of
> his/her knowledge\" or \"through his/her best efforts\".

[Question #6]{.underline}

Does your organization, whether as borrower, surety, guarantor or
otherwise have any indebtedness, liabilities or obligations to a foreign
person(s)? If yes:-Provide your overall debt‑to‑equity ratio (in
percentage).

> -With respect to indebtedness or liability to a foreign person,
> indicate to whom indebted or liable, what collateral has been
> furnished or pledged, and any conditions or covenants of the loan
> agreement. If stock or assets have been furnished or pledged as
> collateral, provide a copy of the loan agreement or pertinent extracts
> thereof (to include procedures to be followed in the event of
> default).
>
> -If any debentures are convertible, provide specifics.
>
> -If loan payments are in default, provide details.
>
> -This question should be answered in the affirmative if the debt is
> with a U.S. entity that is owned or controlled either directly or
> indirectly by a foreign person. If unknown, so state.
>
> NOTE: As stated above, we do not expect and will not require the
> contractor to ask every lender if he/she qualifies as a foreign
> person. We will ask the contractor to provide ongoing security
> education to those employees who handle lending arrangements regarding
> their responsibilities to report any such arrangements with a foreign
> person lender, to the best of their knowledge. The contractor will be
> certifying the response to this question as being to \"the best of
> his/her knowledge\" or through his/her best efforts\".

[Question #7]{.underline}

During your last fiscal year, did your organization derive:

a\. 5% or more of its total revenues or net income from any single
foreign person?

b\. in the aggregate 30% or more of its revenues or net income from
foreign persons?

If yes to either part of the question:

> -Provide overall percentage of income derived from foreign sources [by
> country]{.underline}, nature of involvement, and type of services or
> products.
>
> -Indicate if any single foreign source represents in excess of 5% or
> total revenues or net income.
>
> -Indicate whether any classified information is involved.
>
> -State whether facility is in compliance with applicable export
> control requirements.
>
> NOTE: As previously stated, we do not expect and will not require the
> contractor to ask every customer if he/she qualifies as a foreign
> person. We will ask the contractor to provide ongoing security
> education to those employees who handle information about company
> revenues regarding their responsibility to report revenues derived
> from a foreign person(s) to the best of their knowledge. The
> contractor will be certifying the response to this question as being
> to \"the best of his/her knowledge\" or \"through his/her best
> efforts\".

[Question #8]{.underline}

Is 10% or more of your organization\'s securities held in nominee
shares, in street names or in some other method which does not
disclose the beneficial owner ? If yes:

> -Identify each foreign institutional investor holding 10% or more of
> the voting stock by name and address and the percentage of stock held.
>
> -Indicate whether any investor has attempted to, or has exerted any
> control or influence over
>
> appointments to management positions or influenced the policies of the
> organization.
>
> -Include copies of SEC Schedule 13D/13G.

[Question #9]{.underline}

Do any of the members of your organization\'s board of directors (or
similar governing body), officers, executive personnel, general
partners, regent\'s, trustees or senior management officials hold any
positions with, or serve as consultants for, any foreign person(s)? If
yes:

> -Provide the name, title, citizenship, immigration status and
> clearance or exclusion status on all such persons.
>
> -Identify, by name and address, each foreign organization with which
> such persons serve and indicate the capacity in which they are
> serving.
>
> -For each individual who is cleared or will require clearance and who
> is a representative of a foreign interest, include a Statement of Full
> Disclosure of Foreign Affiliations.
>
> NOTE: We expect the contractor to be able to answer this question
> fully for those individuals holding such positions with his/her
> foreign subsidiaries and any foreign interests. However, we do not
> expect and will not require the contractor to ask every individual to
> ascertain if he/she is serving as a director, officer or manager of a
> foreign person. We will ask the contractor to provide ongoing security
> education to all key management personnel of their responsibilities to
> report serving as an interlocking director or in any other type of
> positions with a foreign person to the best of their knowledge. The
> contractor will be certifying the response to this question as being
> to \"the best of his/her knowledge\" or \"through his/her best
> efforts\".

[Question #10]{.underline}

Is there any other factor (s) that indicates or demonstrates a
capability on the part of foreign persons to control or influence the
operations or management of your organization? If yes:

> -Describe the foreign involvement in detail, including why the
> involvement would not be reportable in the preceding questions.

DEFINITIONS FOR COMPLETION OF THE CERTIFICATE

PERTAINING TO FOREIGN INTERESTS

[Affiliate]{.underline} -- Any entity effectively owned or controlled by
another entity.

[Beneficial Owner]{.underline} -- The true owner of a security who may,
for convenience, be recorded under the name of a nominee. Such ownership
entitles the owner to the power to vote or direct the voting of a
security or to impose or direct the disposition of a security.

[Bond]{.underline} -- A certificate which is evidence of a debt in which
the issuer promises to repay a specific amount of money to the
bondholder, plus a certain amount of interest, within a fixed period of
time.

[Convertible Debentures]{.underline} -- Bonds which the holder can
exchange for shares of voting stock.

[Covenant]{.underline} -- A detailed clause in a lending agreement
designed to protect the lender.

[Debenture]{.underline} -- A general debt unsecured by a pledge of any
specific piece of property. Like any other general creditor claims, a
debenture is secured by any property not otherwise pledged.

[Debt‑to‑Equity Ratio]{.underline} -- Total liabilities divided by total
shareholders\' equity (total assets minus total liabilities of a
corporation; also called stockholders\' equity, equity, and net worth).
This shows to what extent owners\' equity can cushion creditors\' claims
in the event of liquidation.

[Equity Security]{.underline} -- An ownership interest in a company,
most often taking the form of corporate stock.

[Foreign Interest]{.underline} -- Any foreign government, agency of a
foreign government, or representative of a foreign government; any form
of business enterprise or legal entity organized, chartered or
incorporated under the laws of any country other than the U.S. or its
possessions and trust territories, and any person who is not a citizen
or national of the United States.

[Foreign Person]{.underline} -- Any foreign interest and any U.S. person
effectively owned or controlled by a foreign interest.

[Guarantor]{.underline} -- One who makes the guaranty (an agreement or
promise to answer for the debt, default or miscarriage of another).

[Immigration Status]{.underline} -- Legal basis for a non‑U.S.
citizen\'s residence in the United States (e.g., work visa, admission
for permanent residence). Note: Immigration and Naturalization Service
Form I‑9 is an excellent source for this information.

[Joint Venture]{.underline} -- A partnership or cooperative agreement
between two or more persons or firms, usually restricted to a single
specific undertaking. Normally the undertaking is of short duration,
such as for the design and construction of a dam.

[Liability]{.underline} -- Claim on the assets of a company or
individual.

[Licensing Agreement]{.underline} -- A permit granted by one business to
another which permits duplication of processes and production of similar
items.

[Management Positions]{.underline} -- For the purposes of the questions
on this form, management positions shall include owners, officers,
directors, partners, regents, trustees, senior management officials,
other executive personnel and the facility security.

[Nominee Share]{.underline} -- A share of stock or registered bond
certificate which has been registered in a name other than the actual
owner.

[Proxy]{.underline} -- One who acts for another. Also, the document by
which such a representative is authorized to act.

[Representative of a Foreign Interest (RFI )]{.underline} -- A citizen
or national of the U.S., who is acting as a representative of a foreign
interest (see Foreign Interest).

[S.E.C. Schedule 13D]{.underline} -- This schedule discloses beneficial
ownership of certain registered equity securities. Any person or group
of persons who acquire a beneficial ownership of more than 5 percent of
a class of registered equity securities of certain issuers must file a
Schedule 13D reporting such acquisition with certain other information.

[S.E.C. Schedule 13G]{.underline} -- This schedule is a much abbreviated
version of Schedule 13D that is only available for use by a limited
category of \"persons\" (such as banks, broker/dealers, and insurance
companies) and even then only when the securities were acquired in the
ordinary course of business‑ and not with the purpose or effect of
changing or influencing the control of the issuer.

[Sales Agreement]{.underline} -- An agreement between two parties for
the sale of goods or services on a continuing basis.

[Stock Option]{.underline} -- An option is the right to buy or sell at
some point in the future.

[Street Name]{.underline} -- The common practice of registering publicly
traded securities in the name of one or more brokerage firms.

[Subordinated Debenture]{.underline} -- A bond having a claim on assets
only after the senior debt has been paid off in the event of
liquidation.

[Surety]{.underline} -- One who is immediately liable for the debt of
another if that other person or entity fails to pay.

[Total Capital Commitment]{.underline} -- The sum of money and other
property an enterprise uses in transacting its business.

[U.S. Person]{.underline} -- Any form of business enterprise or entity
organized, chartered or incorporated under the laws of the United States
or its possessions and trust territories and any person who is a citizen
or national of the United States.

FOREIGN REPRESENTATIVE STATEMENT/CERTIFICATE

SUBJECT: Statement of Full Disclosure of Foreign Connections

REPRESENTATIVE OF A FOREIGN INTEREST (RFI): A citizen or national of the
U.S. or an intending citizen to the U.S. who possesses or is being
processed for a DOE access authorization and who is acting as a
representative of a foreign interest.

FOREIGN INTEREST: Any foreign government, agency of a foreign
government, or representative of a foreign government; any form of
business enterprise or legal entity organization, chartered or
incorporated under the laws of any country, other than the U.S. or its
possessions and trust territories, and any person who is not a citizen
or national of the U.S.

In reviewing the RFI status, the following information is required:

REPRESENTATIVE OF FOREIGN INTEREST STATEMENT

1.  Name of the foreign interest:

2.  Address of the foreign interest:

3.  Nature of business of foreign interest and the products/services
    involved. If the products/services are strictly commercial in nature
    or if there can be military application:

4.  Full details of ownership or affiliation with the foreign interest:

5.  The specific relationship between the foreign interest and the
    United States organization:

6.  Your job titles and specific duties with the foreign interest:

7.  Percentage of time devoted to foreign interest:

8.  Percentage of U.S. organization\'s revenues and net income derived
    from foreign firm during the U.S. organization\'s most recently
    closed accounting year:

9.  Name and address of all U.S. facilities where you hold or are in
    process for an access authorization:

10. The nature of business of all U.S. organizations and the
    products/services involved:

11. Summary of duties with the United States organization. Provide
    detailed information, as well as position title(s):

12. Have you ever registered as an Agent of a foreign government as
    detailed in 18 U.S.C. 219? If so, please provide details:

CERTIFICATION:

I recognize my special responsibility to protect classified information
and/or special nuclear material from disclosure to any unauthorized
person, foreign, or domestic.

TYPE OR PRINT FULL
NAME:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

SIGNATURE:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
DATE:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

SOCIAL SECURITY
NUMBER:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

#### 

#### LEGAL NAME OF CONTRACTOR FACILITY:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

LIST OF SENSITIVE COUNTRIES

Countries appear on this list for reasons of national security,
terrorism or nuclear nonproliferation support.

Algeria

Armenia

Azerbaijan

Belarus

China, People\'s Republic of

Cuba

Georgia

India

Iran

Iraq

Israel

Kazakhstan

Kyrgyzstan

Libya

Moldova

North Korea, Democratic People\'s Republic of

Pakistan

Russia

Sudan

Syria

Taiwan

Tajikistan

Turkmenistan

Ukraine

Uzbekistan

NOTE: Due to the dynamic nature of world events, other countries may, at
any time, become sensitive. Therefore, caution should be exercised in
dealing with citizens of countries not listed to assure that sensitive
information, although unclassified in nature, that it is not
inadvertently disclosed. This would include nuclear and other U.S.
technology and economic information.

Rev. 7/99

SUMMARY FOCI DATA SHEET

PROVIDE RESPONSES TO THE QUESTIONS IDENTIFIED BELOW: (SUPPLEMENTAL PAGES
MAY BE ATTACHED TO PROVIDE COMPLETE AND ACCURATE RESPONSES.)

1\. Type of business structure: ( ) corporation; ( ) college/university;
( ) limited liability company; ( ) sole proprietorship; ( ) limited
partnership; ( ) general partnership; ( ) other

2\. Exact name as specified in charter:

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3\. All other names used (i.e. dba \[doing business as\], aka \[also
known as\]):

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4\. State or other jurisdiction of incorporation or organization:

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5\. Date of incorporation or organization:

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

6\. Stock ownership: ( ) privately held, ( ) publicly traded.

> a.) Class(es) of
> stock:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> b.) Number of shares authorized of each class of stock:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

c.  Number of shares issued of each class of stock?

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> d.) Explain difference(s) between each class of stock, to include
> voting
> rights:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> e.) Is cumulative voting authorized? ( ) YES ( ) NO

7\. Current physical address for the principal executive offices,
individual point of contact and phone number for FOCI matters and the
organization\'s facility security officer and phone number.

> Physical Address
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> Facility Security Officer
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Telephone
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8\. List all company names and/or address changes, and the date(s) of
such change(s), for the principal executive offices during the past 10
years.

9\. Legal name(s) of all tier parent organizations, if applicable.

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

10\. Provide the current number of members of the company\'s Board of
Directors, to include identification by name of the Chairman of the
Board, if applicable.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

11\. Will any parent organizations be performing work requiring access
authorizations, and if so, identify by legal name the parent
organization(s) name.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

12\. Does your organization or any parent organization maintain DOD
facility clearances? If yes, please provide the DOD cage code(s).

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

[OFFICIAL USE ONLY]{.underline} (WHEN COMPLETED)

OWNERS, OFFICERS, DIRECTORS, AND EXECUTIVE PERSONNEL (OODEP)

> LEGAL COMPANY NAME AND PHYSICAL ADDRESS OF FACILITY LOCATION:
>
> ADDRESS OF COMPANYS PRINCIPAL EXECUTIVE OFFICES IF DIFFERENT FROM THE
> PHYSICAL ADDRESS OF THE FACILITY LOCATION:

  --------------- ------------------ ------------------- ------------- ------------------
  INDIVIDUAL\'S   ALL COMPANY        DATE/PLACE OF       SOCIAL        IDENTIFY
  COMPLETE NAME   TITLES/POSITIONS   BIRTH/CITIZENSHIP   SECURITY      INDIVIDUAL\'S
                  HELD BY IDENTIFIED (U.S., OTHER, DUAL) NUMBER        SECURITY
                  INDIVIDUAL                                           CLEARANCE(S)
                                                                       LEVEL, ISSUING
                                                                       U.S. GOVERNMENT
                                                                       AGENCY(ies) OR
                                                                       EXCLUSION AND DATE

                                                                       

                                                                       

                                                                       

                                                                       

                                                                       

                                                                       
  --------------- ------------------ ------------------- ------------- ------------------

LIST CERTIFIED CORRECT BY:

Type or Print Name and Signature of Authorized Official Title Date
Certified

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

NOTE: SEE REVERSE SIDE FOR INSTRUCTIONS REGARDING COMPLETING THIS FORM.
OFFICIAL USE ONLY (WHEN COMPLETED

[INSTRUCTIONS:]{.underline}

Provide requested OODEP information in accordance with the following
instructions. In addition, the OODEP listing must be certified as being
accurate, current, and complete by an authorized official of the
organization \[i.e., a person authorized to represent and sign for the
organization as officially recorded by the organization (that is, in the
document which sets forth the terms and conditions for its operation and
management\--the bylaws, operating agreement, partnership agreement,
etc.)\] or any other employee, identified by name, of the organization,
if designated in writing by such an authorized official as having been
delegated authority to execute the Standard Form 328. On behalf of the
organization:

[Owners]{.underline}. The requested information on owners and
representatives or agents of stockholders is to be attached to the
organization\'s OODEP listing:

1\. [For privately-owned organizations:]{.underline}

> a\. Provide the following information for each person (i.e., human
> being) who directly or indirectly owns or has beneficial ownership of
> 5 percent or more of any class of the organization\'s securities or
> who has directly or indirectly subscribed 5 percent or more of the
> organization\'s total capital commitment:
>
> \(1\) If the beneficial owner holds a position as an OODEP in the
> organization and is identified on the OODEP listing, provide the
> individual\'s name with the class and number of shares of capital
> stock he/she owns of the organization\'s securities or the capital
> commitment he/she has subscribed.
>
> \(2\) If the beneficial owner does not hold a position as an OODEP in
> the organization and is not identified on the OODEP listing, provide
> the individual\'s name, address, and the class and number of shares of
> capital stock he/she owns of the organization\'s securities or the
> capital commitment he/she has subscribed. If known, information on the
> individual\'s citizenship should also be provided.
>
> b\. Provide the following information for each legal entity which
> directly or indirectly owns or has beneficial ownership of 5 percent
> or more of any class of the organization\'s securities or which has
> directly or indirectly subscribed 5 percent or more of the
> organization\'s total capital commitment:
>
> The legal name (i.e., as specified in charter) with the address of its
> principal executive offices and the class and number of shares of
> capital stock the entity owns of the organization\'s securities or the
> capital commitment the entity has subscribed. In addition, if the
> entity is controlled by another organization, the country of ultimate
> legal residence must be provided.
>
> c\. Provide the name of any representative(s) or agent(s) of any owner
> (person or entity), if any, who hold positions, such as Board member
> (or similar type of governing body), officers, executive personnel, or
> general partners in your organization. Also identify the owner which
> the individual is representing.

2\. [For publicly-traded organizations:]{.underline}

> a\. Provide the most recent copies of any Schedules 13D and/or 13G
> received from any beneficial owners (foreign or domestic) who hold 5
> percent or more of the organization\'s securities.
>
> b\. Provide the name of any representative(s) or agent(s) of any
> stockholder (person or entity), if any, who hold positions, such as
> Board member (or similar type of governing body), officers, executive
> personnel, or general partners in your organization. Also identity the
> stockholder which the individual is representing.

[Officers]{.underline}: Identify and provide requested information
(i.e., names, titles, etc.) for all of the organization\'s officers on
the OODEP listing.

The definition of officers is: Those persons in positions established as
officers as officially recorded by the organization (that is, in the
document filed for the organization\'s existence and the document which
sets forth the terms and conditions for its operation and
management\--the articles of incorporation and bylaws; articles of
organization and operating agreement; certificate of limited or general
partnership and the partnership agreement; etc.). However, excluded from
this definition are: (a) assistant vice presidents who have no
management responsibilities related to performance on classified
contracts; (ii) assistant secretaries; and (iii) assistant treasurers.

[Directors]{.underline}: Identify and provide requested information
(i.e., names, titles, etc.) for all of the organization\'s directors on
the OODEP listing, to include identification of the Chairman of the
Board and any Vice Chairman. If the organization has no Chairman of the
Board of Directors, identify the individual who performs those functions
at board meetings.

The definition of directors is: Members of the board or similar
governing body chosen to direct the affairs of a corporation or
institution.

[Executive Personnel]{.underline}: Identify and provide requested
information (i.e., names, titles, etc.) for all of the organization\'s
executive personnel on the OODEP listing.

The definition of executive personnel is: Those individuals who perform
policy making functions for the organization, or any other person in
charge of a principal business unit, division, or function.

[Facility Security Officer]{.underline}: Identify and provide requested
information (i.e., name, title, etc.) for the organization\'s Facility
Security Officer.

The definition of a Facility Security Officer is: The individual at the
facility assigned the responsibility of administering the requirements
of the Safeguards and Security Program within the facility.

[Spouse of a sole proprietor]{.underline}: For those sole
proprietorships operating in community property states, identify and
provide requested information (i.e., all information required on the
OODEP listing) on a sole proprietor\'s spouse, if any. If there is no
spouse, so state.

[Vacant positions]{.underline}: If any OODEP position is vacant, so
state and include estimated date vacancy will be filled.