PUBLICATIONS AND REPORTS (CONTINUED)

58. L'avenir de la Physique des Energies Intermediaires

E. J. Moniz, in Proceedings of the Saturne Study Meeting "La Physique avec MIMAS“ (La
Londe-sur-Maures, Nov. 1986) p. 433.

59. Effective Hadron Theories from a Quark Model

S. Gardner and E. J. Moniz, Phys. Rev. C36 (1987) 2504.

60. Y-Scaling in a Simple Quark Model

S. Kumano and E. J. Moniz, Phys. Rev. C37 (1988) 2088.

61. Quark Confinement and Nuclear Dynamics

E. J. Moniz, in Proceedings of the Workshop on the Elementary Structure of Matter, J.
M. Richard, E. Aslanides and N. Boccara, editors (Springer-Verlag, Berlin, 1988) p. 56.

62. Nuclear Physics with Intermediate Energy Electrons

E. J. Moniz, in Proceedings of the Third Symposium on Pan-American Collaboration in
Experimental Physics. A. Santoro, editor (World Press, Singapore, 1989) p. 197.

63. Hadronic Physics with Multi-GeV Electrons

E. J. Moniz, Nucl. Phys. A497 (1989) 169c.

64. Delta-Nuclear Interactions

E. J. Moniz, in "Excited Baryons", G. Adams, N. Mukhopadhyay and P. Stoler, editors (World Press, Singapore, 1989) p. 303.

65. Nucleon-Nucleon Correlations

E. J. Moniz, in Proceedings of the International Conference on Nuclear Physics, M. S.
Hussein et al., editors (World Press, Singapore, 1990) p. 269.

66. Reply to "Comment on Plon-Nucleon Bremsstrahlung and ▲ Electromagnetic MomentsTM L. Heller. S. Kumano. J. C. Martinez and E. J. Moniz, Phys. Rev. C40 (1989) 2430.

67. Nuclear Response Functions at Large Energy and Momentum Transfer

W. Bertozza. R. W. Lourie and E. J. Moniz, in "Modern Topics in Electron Scattering", B.
Frois and I. Sick, editors (World Press. Singapore. 1991) p. 419.

68. Electron Scattering and the Nuclear Response Function

E. J. Moniz, in "Dirkɗest "92". W. Buck, K. Maung and B. Serot, editors (World Press.
Singapore. 1992) p. 93.

69. Calculation of Giant Resonance Widths from Damped Single Particle Motion Y. C. Wang et al. Int. Journal of Modern Physics E1 (1992) 833.

70. Doorway State Expansion Approach to Coupled Channels

Problems and Application to Heavy Ions

A.M.S. Breitschaft et al. Ann Phys. 234 (1994) 162.

71. Signatures of Confinement in Axal Gauge QCD

F. Lenz, E. J. Moniz, and M. Thies, Annals of Physics 242 (1995) 429.

72. Correlation Effects in Nuclear Transparency

L. I. Frankfurt. E. J. Moniz, M. M. Sargayan, and M. I. Strikman. Pysical Review C51 (1995) 3435.

73. A Simple Model of Resonance-Dominated Quasielastic Scattering

R. J. Janner and E. J. Moniz, Zeitschrift fur Physik A353 (1995) 175.

74. Pion-Nucleus Interactions and ▲ Dynamics

F. Lenz and E. J. Moniz, to be published.

This memorandum is intended to serve as a statement from the
designated agency ethics official for this Department, as
required by the Statement for Completion by Presidential Nominees
that you are submitting to the United States Senate Committee on
Energy and Natural Resources in connection with your nomination
to the position of Under Secretary. I have reviewed your
Executive Branch Public Financial Disclosure Report (Standard
Form 278) dated May 18, 1997, and have certified that the
information contained therein discloses no conflict of interest
under applicable laws and regulations.

Section 208, title 18, United States Code, prohibits a Federal officer or employee from participating personally and substantially, as a Government employee, in any particular matter in which, to his knowledge, he has, or his spouse, minor child, general partner, organization in which he is serving as officer, director, trustee, general partner, or employee, or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment has, a financial interest.

On your Public Financial Disclosure Report, you indicated your
intent to enter into an agreement for a leave of absence with
your current employer, the Massachusetts Institute of Technology
(MIT). The leave of absence would last for the duration of your
Government service. Under the terms of this agreement, you would
continue to receive your insurance coverage, including health,
dental, life, and long term disability coverages, from MIT. You
would also continue to be enrolled in the MIT Retirement Plan;
however, neither you nor MIT would make any contributions while
you are on the leave of absence. You also reported a financial
interest in American Science and Engineering, Inc. In addition,
your wife is employed by Georgetown University.

You have agreed to recuse yourself from participation, as a Government employee, in any matter that would have a direct and predictable effect upon the financial interests of American

Science and Engineering, Inc., Georgetown University, MIT, or any other entity in which you have a financial interest within the meaning of section 208. However, this office will prepare a waiver of the participation prohibition of 18 U.S.C. 208 which will permit you to personally and substantially participate in policymaking and rulemaking matters that will generally impact academic institutions, provided that neither Georgetown University nor MIT is a specific party in the matter.

This office has no legal objection to your leave of absence arrangement. However, as described below, there are a number of restrictions that apply to you of which you should be aware.

The Standards of Ethical Conduct for Employees of the Executive Branch prohibit you from using your public office for the private gain of friends, relatives, or persons (including nonprofit organizations) with whom you are affiliated in a nongovernmental capacity. Accordingly, you are prohibited from using your Government title or position in connection with your continuing relationship with MIT.

There are also Government-wide statutes that affect a Department employee's outside activities. Sections 203 and 205, title 18, United States Code, generally prohibit a Government employee from representing, with or without compensation, any party other than the United States before any court or any Federal department or agency in connection with a particular matter in which the United States is a party or has a direct and substantial interest.

You should also be aware that Executive Order 12674, as modified by Executive Order 12731, prohibits employees appointed by the President to positions in the executive branch from receiving outside earned income during the term of the Presidentia! appointment. Further, title V of the Ethics in Government Act of 1978, as amended, contains restrictions on the outside activities of certain Government employees including those appointed by the President. Specifically, section 502 of the Ethics in Government Act provides that such an employee may not permit his name to be used by any entity which provides professional services involving a fiduciary relationship, whether or not compensation is received for such activity.

In addition, you have received a copy of the "United States Senate Committee on Energy and Natural Resources Recusal Policy," dated May 6, 1993. You have agreed to adhere to the Committee's recusal policy upon appointment to the position of Under Secretary.

Finally, as required by Executive Order 12834, you have agreed to sign a Senior Appointee Pledge upon your appointment. The pledge describes certain post-employment restrictions that will be applicable to you when you terminate your Government service. Please let me know if I can of further assistance.

Ralph D. Goldenberg

be

In accordance with the Ethics in Government Act of 1978, I enclose a copy of the financial disclosure report filed by Ernest J. Moniz, who has been nominated by President Clinton for the position of Under Secretary at the Department of Energy.

We have reviewed the report and have also obtained advice from the Department of Energy concerning any possible conflict in light of its functions and the nominee's proposed duties. Attached to the report is a memorandum dated August 4, 1997, from the Designated Agency Ethics Official, which discusses Dr. Moniz' ethics agreements. Unless a specific date has been agreed to, the nominee must fully comply, within three months of his confirmation date, with the actions he agreed to take in his ethics agreement.

Based thereon, we believe that Dr. Moniz is in compliance with applicable laws and regulations governing conflicts of interest. Sincerely,

Stephen D. Loth

Stephen D. Potts
Director

Enclosure