24R0005 attachment 5.docx

ATTACHMENT 5 – ORGANIZATIONAL CONFLICT OF INTEREST

ORGANIZATIONAL CONFLICT OF INTEREST (MARCH 2019)

Contractor and subcontractor personnel performing work under this contract, or who have previously performed related work and have a conflict of interest, may receive, have access to or participate in the development of proprietary or procurement sensitive information (i.e., cost or pricing information, budget information or analyses, specifications or work statements), perform evaluation services, or provide consulting services (such as, but not limited to, serving as an expert witness) which may create a current or subsequent Organizational Conflict of Interest (OCI) as defined in FAR subpart 2.101(b).

A. ATTESTATION REQUIREMENT: The Consumer Financial Protection Bureau (CFPB) has not waived any conflicts of interest. As part of its proposal/quote (“proposal”) submission, the offeror/quoter (“Offeror”), including its employees, officers and subcontractors, attests, by checking one of boxes below, that to the best of its knowledge it is:

1. Not aware of any facts that create any actual conflict, potential conflict or the appearance of a conflict(s) or unfair competitive advantage relating to the award of, or carrying out the responsibilities under, this contract or agreement.

2. Aware of facts that create an actual conflict, potential conflict or matter that may present the appearance of a conflict(s) or unfair competitive advantage related to the award of and/or carrying out the responsibilities under this contract or agreement. Included with this attestation is (a) a description of all actual or potential conflicts and/or facts presenting the appearance of a conflict or unfair competitive advantage; and (b) a list of all organizations that the offeror (including key personnel and subcontractors) has worked with or for during the past three years that relate to any OCI identified pursuant to a)(2)(a) of this clause.

B. MITIGATION PLAN REQUIREMENT: If the offeror attests to (2), above, and believes the actual or potential conflict(s) or appearance of a conflict(s) can be avoided, neutralized, or mitigated, the offeror must submit a detailed mitigation plan in its proposal. The mitigation plan shall generally provide all current information bearing on the existence of any actual conflict, potential conflict or matter that may present the appearance of a conflict(s) (to include its employees and subcontractors), and detail how the offeror would avoid, neutralize, or mitigate the conflict(s).

MITIGATION PLAN CONTENTS: Though each situation is unique, a mitigation plan shall, at a minimum, include the following:

· A detailed description of any possible OCI. This will include a listing of the offeror’s past and current relationship to any firm in the past three years that is related to the services being procured herein and any possible OCI associated thereto;

· A description of the actions the offeror will take to mitigate the possible OCI;

· A description of how the mitigation measures will not adversely affect contract performance;

· A description of the potential risks and issues of the OCI mitigation plan;

· A description of the offeror’s OCI monitoring process and how the OCI mitigation plan will be updated;

· Definition of company roles, responsibilities, and procedures for screening existing and new business opportunities for possible OCI issues;

· A list of any affiliated companies/entities associated with any possible OCI, including a parent company or a wholly-owned subsidiary, along with procedures for coordinating possible OCIs with such affiliated companies/entities;

· A description of how the offeror would require subcontractors to support the contract or agreement and a description of how the offeror would address OCI requirements with its subcontractor, including compliance with its mitigation plan;

· A description of a training program for employees involved with the OCI; and

· A definition of records related to the OCI mitigation plan to be made available to the Government upon request.

C. CONTRACTING OFFICER DISCRETION: The Contracting Officer (CO) shall be the sole determiner of whether an OCI exists; if an OCI may be avoided, neutralized or mitigated; and how an OCI may be avoided, neutralized or mitigated. The CO must assess the offeror’s or Contractor’s information, internal information from the Bureau’s program office, and any other relevant information to make such determinations.

D. PROCEDURES FOR OCI IDENTIFIED DURING EVALUATION PROCESS: FAR subpart 9.504(e) provides unique procedures for the handling of an OCI determined during the evaluation process for contract award. In that circumstance, the CO shall award the contract to the apparent successful offeror, unless it is determined that an OCI exists that cannot be avoided or mitigated. Before determining to withhold award based upon such an OCI, the CO shall notify the offeror, explaining the nature of the OCI and providing the offeror an opportunity to respond. If in evaluating the information the CO believes it may be in the best interest of the United States to award to the offeror notwithstanding the OCI, the CO shall request that the offeror submit a written waiver request.

E. PROCEDURES FOR AN OCI WAIVER: If the CO determines that an OCI exists for which the offeror or Contractor wishes to seek waiver and/or the CO believes waiver may be in the best interest of the Government, waiver may only be granted by the Head of the Contracting Activity (HCA). Upon a written waiver request from the offeror or Contractor, the HCA will make a decision as to waiver based upon the best interests of the Government.

F. ONGOING CONTRACTOR OCI OBLIGATION AND DISCLOSURE: The offeror or Contractor has a continuing obligation to search for and to report any matter that may present itself as an actual conflict, potential conflict or give the appearance of a conflict. If the offeror or Contractor believes that its OCI status changes at any time during the evaluation process or over the course of the Task Order or contract, it has an ongoing responsibility to notify the CO in writing with a prompt and full disclosure as soon as practicable, and in no instance later than ten (10) business days, after learning of any new or expanded possible OCI(s). The disclosure shall include a description of the action the contactor has taken or proposes to take in order to avoid or mitigate such conflict(s). Only the CO can determine whether an OCI actually exists.

G. REMEDIES: For breach of any of the above restrictions or for non-disclosure or misrepresentation of any relevant facts required to be disclosed by this clause, the Government may: disqualify an offeror from competing for a contract award; terminate the relevant contract for default; disqualify the Contractor from subsequent related contractual efforts if necessary to neutralize a resulting OCI; and pursue such other remedies as may be permitted by law or under the relevant contract. If, however, in compliance with this clause, a Contractor discovers and promptly reports an OCI (or potential thereof), the CO may terminate this contract for convenience if such termination is deemed to be in the best interest of the Government, or may take other appropriate actions.

H. SUBCONTRACTS: The Contractor shall include this clause in subcontracts, consulting agreements or other arrangements for services and supplies at any tier. The terms “contract”, “Contractor”, and “Contracting Officer” shall be appropriately modified to preserve the Government’s rights

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