Contents Review Required
by the Offeror


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

  1. If the offeror is owned by a parent organization(s), the FOCI representations have been attached for all tier parents, i.e., ultimate parent and any intervening levels of ownership. Each representation 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 and conditions for its operations and management by-laws, operating agreement, partnership agreement, etc.)].

In addition to the executed FOCI representations, an offeror/bidder and, if applicable, its tier parents should also submit the following to the Laboratory, or a contractor with a DOE approved facility clearance and, if applicable, its tier parents should also submit the following to the Lead Responsible Office.

  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 if 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

  2. Complete and return the attached Supplemental FOCI Data Sheet. NOTE: A contractor with a DOE approved facility clearance and, if applicable, its tier parents do not need to provide the Supplemental FOCI Data Sheet unless (i) a change(s) has occurred which would affect the answers to the information in the Supplemental 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 Supplemental FOCI Data Sheet. The Supplemental 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

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

  1. 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.

  2. 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 representation attesting to the unavailability of audited information.

  4.      Listing of Owners, Officers, Directors, and Executive Personnel (OODEP)

The contractor and all tier parents should submit a list identifying their respective organization's owners, owner's representatives, 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 vacant, so state.

For sole proprietorships operating in community property states (Arizona, California, Idaho, Louisiana, Nevada, New Mexico, Texas, Washington), information on the sole proprietor's spouse, if applicable, should also be provided on the OODEP listing.

With respect top the U.S. organization's owners, publicly-traded companies do not need to provide all identifying information on its owners as required on the OODEP listing unless those individuals are OODEPs of the U.S. organization. However, publicly-traded companies should 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 any class of the U.S. organization's securities.

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

Top of Page

Last Modified: February 4, 2008
Please forward all questions about this site to: Barbara Simpson


DOE, Office of Science One of ten national laboratories overseen and primarily funded by the Office of Science of the U.S. Department of Energy (DOE), Brookhaven National Laboratory conducts research in the physical, biomedical, and environmental sciences, as well as in energy technologies and national security. Brookhaven Lab also builds and operates major scientific facilities available to university, industry and government researchers. Brookhaven is operated and managed for DOE's Office of Science by Brookhaven Science Associates, a limited-liability company founded by the Research Foundation for the State University of New York on behalf of Stony Brook University, the largest academic user of Laboratory facilities, and Battelle, a nonprofit, applied science and technology organization.

Privacy and Security Notice  | Contact Web Services for help