ML23312A135

FOIA-2023-000217 - Responsive Record

ML23312A135
Person / Time
Issue date:	10/25/2023
From:	NRC/OCIO
To:
Shared Package
ML23312A148	List: ML23312A134 ML23312A135
References
FOIA-2023-000217
Download: ML23312A135 (10)

Text

OGE FORM 202, PART 1 NOTIFICATION OF CONFLICT OF INTEREST REFERRAL PART 1: INITIAL NOTIFICATION (to be flied l?J the refening office)

File Part 1 of this form with the U.S. Office of Government Ethics (OGE) upon any referral made to the U.S. Department of Justice (DOJ), pursuant to 28 U.S.C. § 535, involving:

(1) A possible violation under section 203,205,207,208, and/or 209 of title 18, United States Code; (2) A civil or criminal matter related to the filing or non-filing of a financial disclosure report under applicable legal authorities (e.g., 5 U.S.C. app. § 104 or 18 U.S.C. § 1001); or (3) A civil matter involving outside earned income under 5 U.S.C. app. § 501 or outside activities under 5 U.S.C. app. § 502.

Submit this form via email to referrals@oge.gov. OGE will confirm receipt and notif)' the referring office of the OGE tracking number assigned.

3. Point of contact at the referring office:

Name:l(b)(?)(C)

Title:

Telephone:.....

l(b_)<_7)_(C_) _____

5. D epartment of Justice office to which the matter was referred:

Public Integrity Section, Criminal Division Iv' lu.s. Attorney (specify dist1ict) Southern Division, District of Maryland Other D OJ office (specify office)

OGE FORM 202 (rev. 10/16)

OGE FORM 202, PART 2 NOTIFICATION OF CONFLICT OF INTEREST REFERRAL PART 2: DISPOSITION OF REFERRAL (to be flied l?J the refening office)

File Part 2 of this form with the U.S. Office of Government E thics (OGE) following the referral made to the U.S. Department of Justice (DOJ), pursuant to 28 U.S.C. § 535, after both of the following have occurred:

(1) DOJ has (a) declined prosecution; (b) initiated prosecution or taken other legal action that is a matter of public record; or (c) settled the matter through formal agreement; and (2) Investigation of the matter has concluded.

Submit this form via email to referrals@oge.gov. OGE will confirm receipt.

2. Point of contact at the referring office:

NamJ(b)(7)(C)

I

Title:

Telephonej~~b-)(_7_)(C_) _____ ~

5. Statutes involved in the matter (mark all that app!J):

018 u.s.c. § 203 018 u.s.c. § 205

~18 u.s.c. § 207 018 u.s.c. § 208 018 u.s.c. § 209 018 U.S.C. § 1001 (in connection 1vith financial disclosure or other ethics doc111nmts on!Y)

Os U.S.C. app. § 104 (financial disclosure)

Os U.S.C. app. § 501 (011tsideeamedinco111e) 0 5 U.S.C. app. § 502 (outside activities) 0 Other (specify):

OGE FORM 202 (rev. 10/16)

Page 1 of 2

6. Disposition of the referral to DOJ:

DOJ Southern Division, District of Maryland declined prosecution of the matter.

7. Has there been an adverse finding regarding the employee involved related to the Standards of Ethical Conduct for Employees of the Executive Branch (5 C.F.R. part 2635) or agency supplemental standards of conduct?

Qyes (complete boxes 8-12 be!o11J) no ( do not complete the rest ef this.farlll)

If the response in box 7 is " es," complete boxes 8-12, below.

10. Has the employing agency considered taking corrective action against the employee?

Q no Qunknown

11. Have you elected to attach either a report of investigation or summary?

Qno

12. (op1iona Provide any other information you consider pertinent:

OGE FORM 202 (rev. 10/16)

Pagc 2 of2

OGE FORM 202, PART 3 NOTIFICATION OF CONFLICT OF INTEREST REFERRAL PART 3: CONSIDERATION OF CORRECTIVE ACTION (to be filed l?J, the DAEO ef the emplqying agettl)' or the DAEO's designee)

File Part 3 of this form with the U.S. Office of Government Ethics (OGE) following the referral made to the U.S. Department of Justice (DOJ), pursuant to 28 U.S.C. § 535, after all of the following have occurred:

(1) DOJ has (a) declined prosecution; (b) initiated prosecution or taken other legal action that is a matter of public record; or (c) settled the matter through formal agreement; (2) Investigation of the matter has concluded; and (3) The referring office has made an adverse finding regarding the employee involved related to the Standards of Ethical Conduct for Employees of the Executive Branch or any agency supplemental standards of conduct.

Submit this form via email to referrals@oge.gov. OGE will confirm receipt.

Referring office tracking/investigation number:

OGE tracking number.

Name of agency employee involved:

Agency:

Name of Designated Agency Ethics Official:

Telephone:

Name of OGE point of contact:

Telephone:

1. Whether or not action is warranted, provide the name and title of the agency official who has authority to take disciplinary or correction action with regard to the employee involved.

Name:

Title:

2. Has disciplinary or other corrective action been either initiated (e.g., advance written notice issued pursuant to 5 U.S.C. § 7513) or taken?

Qyes (desc,ibe action belou1, then skip to box 4)

Describe any disciplinary action or other corrective action initiated or taken:

OGE FORM 202 (rev. 10/16)

@no Page I of2

3. If disciplinary or other corrective action has not been initiated or taken, did the official identified in box 1, above, actively consider whether such action was warranted before affirmatively deciding not to take action?

Qyes

@no ( explain 1vfvi not bel01v)

If the response in box 3 is "no," explain why not:

SUBJECT's actions did not violate the requirements of 18 USC 207, and therefore did not provide a basis for administrative action under NRG Management Directive 7.12, when he made a communication to the NRG on behalf of another person in connection with a matter on which such person sought official action by an officer or employee of the NRG.

Mark this box if additional sheets or documents are attached.

Attachments

4. Name, title and contact information of DAEO or DAEO's designee signing this form:

Name:

Title:

Telephone:

Email:

5. I certify that I have exercised due diligence in gathering the requested information and that the information provided in this form is accurate and complete to the best of my information and belief.

Signature D ate OGE FORM 202 (rev. 10/ 16)

Page 2 of2

OGE FORM 202, PART 1 NOTIFICATION OF CONFLICT OF INTEREST REFERRAL PART 1: INITIAL NOTIFICATION (to be flied l?J the refening office)

File Part 1 of this form with the U.S. Office of Government Ethics (OGE) upon any referral made to the U.S. Department of Justice (DOJ), pursuant to 28 U.S.C. § 535, involving:

(1) A possible violation under section 203,205,207,208, and/or 209 of title 18, United States Code; (2) A civil or criminal matter related to the filing or non-filing of a financial disclosure report under applicable legal authorities (e.g., 5 U.S.C. app. § 104 or 18 U.S.C. § 1001); or (3) A civil matter involving outside earned income under 5 U.S.C. app. § 501 or outside activities under 5 U.S.C. app. § 502.

Submit this form via email to referrals@oge.gov. OGE will confirm receipt and notif)' the referring office of the OGE tracking number assigned.

3. Point of contact at the referring office:

Namd(b)(7)(C)

I T l h l(b)(7)(C) e ep one:~.--------~

5. Department of Justice office to which the matter was referred:

Iv' I Public Integrity Section, Criminal Division u.s. Attorney (specify dishict)

Other DOJ office (specify office)

OGE FORM 202 (rev. 10/ 16)

OGE FORM 202, PART 2 NOTIFICATION OF CONFLICT OF INTEREST REFERRAL PART 2: DISPOSITION OF REFERRAL (to be flied l?J the refening office)

File Part 2 of this form with the U.S. Office of Government E thics (OGE) following the referral made to the U.S. Department of Justice (DOJ), pursuant to 28 U.S.C. § 535, after both of the following have occurred:

(1) DOJ has (a) declined prosecution; (b) initiated prosecution or taken other legal action that is a matter of public record; or (c) settled the matter through formal agreement; and (2) Investigation of the matter has concluded.

Submit this form via email to referrals@oge.gov. OGE will confirm receipt.

2. Point of contact at the referring office:

Namel(b)(?)(C)

I Telephone:~l(b_)(_7_)(C_) _____ _

5. Statutes involved in the matter (mark all that app!J):

018 u.s.c. § 203 018 u.s.c. § 205 018 u.s.c. § 207

~18 u.s.c. § 208 018 u.s.c. § 209 018 U.S.C. § 1001 (in connection 1vith financial disclosure or other ethics doc111nmts on!Y)

Os U.S.C. app. § 104 (financial disclosure)

Os U.S.C. app. § 501 (011tsideeamedinco111e) 0 5 U.S.C. app. § 502 (outside activities) 0 Other (specify):

OGE FORM 202 (rev. 10/16)

Page 1 of 2

6. Disposition of the referral to DOJ:

DOJ Public Integrity Section (PIN) declined prosecution of the matter.

7. Has there been an adverse finding regarding the employee involved related to the Standards of Ethical Conduct for Employees of the Executive Branch (5 C.F.R. part 2635) or agency supplemental standards of conduct?

@yes (complete boxes 8-12 be!o11J) 0 no ( do not complete the rest ef this.farlll)

If the response in box 7 is " es," complete boxes 8-12, below.

10. Has the employing agency considered taking corrective action against the employee?

Qunknown

11. Have you elected to attach either a report of investigation or summary?

12. (op1iona Provide any other information you consider pertinent:

Because the employee elected to retire no further action was taken.

OGE FORM 202 (rev. 10/16)

Pagc 2 of2

OGE FORM 202, PART 3 NOTIFICATION OF CONFLICT OF INTEREST REFERRAL PART 3: CONSIDERATION OF CORRECTIVE ACTION (to be filed l?J, the DAEO ef the emplqying agettl)' or the DAEO's designee)

File Part 3 of this form with the U.S. Office of Government Ethics (OGE) following the referral made to the U.S. Department of Justice (DOJ), pursuant to 28 U.S.C. § 535, after all of the following have occurred:

(1) DOJ has (a) declined prosecution; (b) initiated prosecution or taken other legal action that is a matter of public record; or (c) settled the matter through formal agreement; (2) Investigation of the matter has concluded; and (3) The referring office has made an adverse finding regarding the employee involved related to the Standards of Ethical Conduct for Employees of the Executive Branch or any agency supplemental standards of conduct.

Submit this form via email to referrals@oge.gov. OGE will confirm receipt.

Referring office tracking/investigation number:

OGE tracking number.

Name of agency employee involved:

Agency:

Name of Designated Agency Ethics Official:

Telephone:

Name of OGE point of contact:

Telephone:

1. Whether or not action is warranted, provide the name and title of the agency official who has authority to take disci Jina or correction action with regard to the employee involved.

Name: (b)(?)(C)

Title,-l(b-)(-?)-(C_) _____________

2. Has disciplinary or other corrective action been either initiated (e.g., advance written notice issued pursuant to 5 U.S.C. § 7513) or taken?

Qyes (desc,ibe action belou1, then skip to box 4)

Describe any disciplinary action or other corrective action initiated or taken:

@no The employee retired concurrent with receiving denial of his request for waiver of the prohibited securities rule. No disciplinary or corrective action was taken.

OGE FORM 202 (rev. 10/16)

Page I of2

3. If disciplinary or other corrective action has not been initiated or taken, did the official identified in box 1, above, actively consider whether such action was warranted before affirmatively deciding not to take action?

yes Q

no (explain wf?y not belmv)

If the response in box 3 is "no," explain why not:

Mark this box if additional sheets or documents are attached.

Attachments

4. Name, title and contact information of DAEO or DAEO's designee signing this form:

N,mj b)(7)(C)

I Titlel~(b-)(-7)-(C-) -----------~

Telephone:~l(b-)(-

7

)-(C- )-----~

5. I certify that I have exercised due diligence in gathering the requested information and that the information provided in this form is accurate and complete to the best of my information and belief.

Signature D ate OGE FORM 202 (rev. 10/ 16)

Page 2 of2