Organizational Conflict of Interest (OCI) Plan.pdf

Rev.:01/2024

Organizational Conflict of Interest (OCI) Plan

Data Requirements Description (DRD)

Contracting Officers should review NASA FAR Supplement (NFS) Appendix C, Data Requirements

Descriptions and Requirements Statements, for the applicability of this DRD. Appendix C, Part 200 provides the purpose, definitions, and prescriptions for use of data requirements descriptions.

Applicable References:

References to the Federal Acquisition Regulations (FAR) and NASA FAR Supplement (NFS) can be found at:

FAR - https://www.acquisition.gov/browse/index/far

NFS - https://www.hq.nasa.gov/office/procurement/regs/NFS.pdf

NFS Appendix C-202.1, Organizational Conflicts of Interest Plan

Additional Instructions:

Delete these instruction pages, including the document history log once the document is ready for review (if required) or signature.

The red double-underlined text in the template indicates prescriptions/instructions that must be deleted prior to printing the document and submitting it for review.

The yellow highlighted areas with italicized text on the template represent places that require fill-ins/completion.

The blue highlighted areas with bold text contain thoughts to consider, example wording, or other information related to the areas of template that require completion. For example, choose the applicable contract type and exception. When example language is provided, it is critical that you tailor the language to be specific to your procurement action being addressed.

The green highlighted areas with underlined text on the template represent requirements that may not apply to your specific procurement and should be deleted. If applicable, remove the green highlighting prior to printing the document and submitting it for review.

NOTE: All red double-underlined text; yellow highlighted areas with italicized text, blue highlighted areas with bold text, and green highlighted areas with underlined text need to be removed/deleted and changed to regular font prior to completing the document and submitting it for review.

NOTE: The template version identifier is in the lower left corner in the footers of both the instructions and the template. For audit/review purposes, the template version identifier shall not be removed/deleted. The version identifier includes month/year (i.e., XX/XXXX).

https://www.acquisition.gov/browse/index/far https://www.hq.nasa.gov/office/procurement/regs/NFS.pdf

Document History Log

Base Issuance Date: 10/28/2021

Revision Effective Date Description of Change

03/2022 Added document history log, introduction, and version identifier. Removed the requirements for the contractor to:

demonstrate an understanding of the definition of “sensitive information,” document the training requirements for employees that have access to sensitive information, and describe the procedures that ensures safeguard of sensitive information and preclude unauthorized access or disclosure, and provide the procedures/documentation (e.g., non-disclosure statement) in place to identify these employees, and validate that employees will comply with mandatory protections of sensitive information.

01/2024 Clarified and provided more detail under the DRD “Contents” section.

1. DRD Title: Organizational Conflicts of Interest (OCI) Plan

2. DRD No.: Identify the DRD number 3. Data Type: 1 4.OPR: OP

5. Solicitation No.: (Insert solicitation number)

6. Contract No.: (Insert contract number)

7. Date Issued: Insert the date the baseline was issued.

8. Date Revised: Include the revision date (if this DRD has been revised)

9. DRD Category:

Technical ☐

Administrative ☒

S&MA ☐

10. Description/Use: The Plan will communicate the contractor’s approach to identify and resolve OCIs. The contractor will be held accountable for identifying, dispositioning, and reporting OCIs during contract performance.

11. Distribution: Distribution shall be as instructed by the contracting officer.

Initial Submission: Plan shall be submitted with the initial proposal. (CO may tailor based on the specific acquisition timeline, e.g., 30 days after award.)

Submission Frequency: As needed. (CO may tailor based on the specific acquisition.)

Format: Contractor’s format is acceptable. The electronic format shall be compatible with Microsoft Office.

Interrelationship: NASA Federal Acquisition Regulation (FAR) Supplement (NFS) 1852.209-71, Limitation of

Future Contracting, NFS 1852.237-72, Access to Sensitive Information, NFS 1852.237-73, Release of Sensitive

Information. Identify Statement of Work/Performance Work Statement (SOW/PWS) references, contract line-item number (CLIN) references, clauses and/or provisions numbers

Applicable Documents: FAR Subpart 9.5, Organizational and Consultant Conflicts of Interest, NFS 1809.500, NASA Guide on Organizational Conflicts of Interest.

Scope: The OCI Plan describes the contractor’s comprehensive approach to identify, avoid, mitigate, neutralize, and report potential OCI issues, including conflicts described in the solicitation and those discovered during contract performance.

Contents: The OCI Plan shall meet the requirements of FAR 9.5 and include the following: COs may add language to reference any Center-specific provisions/clauses or other requirements if not already addressed below.

1. Point of contact for OCI issues and reports.

2. Demonstrate an understanding of (1) OCI principles and (2) the full breadth of OCI issues and the types of harm that can result. The Plan at a minimum addresses the three primary types of OCIs (i.e., biased ground rules, unequal access to information, and impaired objectivity).

3. Define company roles, responsibilities, and procedures for (1) screening (i.e., identifying/recognizing, analyzing/evaluating, resolving, and reporting) existing and new business opportunities for actual/potential

OCIs and (2) monitoring and reporting all potential/actual OCIs that arise, resolving conflicts, and reporting previously unidentified OCIs or potential OCIs to the Government.

4. Describe how employees are notified of the Plan’s requirements and how this notification will be documented.

Establish and require entrance training for new employees, refresher training for existing employees, and exit training for departing employees. Describe how completion of this training will be documented, including a copy of any training certification template that the contractor will use to document that its employees have completed training.

5. Describe how the contractor will report breaches of the protective measures in the Plan to the contracting officer. Describe what processes the contractor will implement following any breach and indicate that final resolution of the corrective action must be approved by the contracting officer.

6. Identify any affiliated companies/entities (e.g., a parent company or a wholly owned subsidiary) and procedures for coordinating OCIs with such affiliated companies/entities.

7. Address the process for reporting all potential/actual OCIs that arise during performance of the contract. An

OCI report shall include (1) a description of the conflict, (2) the plan for resolving the conflict, and (3) the benefits/risks to contract performance associated with plan approval/acceptance. Specific resolution strategies shall be appended to the Plan upon approval by the Government.

8. Explain how the contractor will flow down the provisions of this Plan to any subcontractor that may have a conflict with regard to performing the requirements of this contract. Discuss affected subcontractors’ OCI program as it relates to this contract and specifically explain how affected subcontractors will identify, resolve, and report actual/potential OCIs associated with this contract.

9. Define organizational and employee sanctions for violations of established OCI procedures/requirements/guidelines.

10. Include an assertion from the Offeror that to the best of its knowledge no OCIs exist currently, if applicable.

Provide a list of all the prime’s and proposed subcontractor(s)’s NASA contracts and subcontracts currently being performed and contracts performed within the last five years of the release of this solicitation, in order to provide the CO a better understanding of other NASA work performed by the Offeror that may give rise to an actual or potential conflict. For each prime contract and subcontract listed, the Offeror shall: (1) identify the contract number; (2) describe the scope of work in sufficient detail to ascertain the likelihood of a conflict with performance of this contract; and (3) discuss any conflicts that may arise from performance of the listed contracts and award of this contract.

11. The Offeror shall also list any non-NASA Federal contracts and subcontracts that it or its proposed subcontractors are currently performing or have performed in the five years preceding the release of the solicitation that may give rise to an OCI. For each and subcontract listed, the Offeror shall: (1) identify the contract by number and name; (2) identify the name, address and contact information of the customer(s); (3) describe the scope of work in sufficient detail to ascertain the likelihood of a conflict with performance of this contract; and (4) discuss any conflicts that may arise from performance of the listed contracts and award of this contract.

12. For financial or other interests or relationships beyond Federal contracts or subcontracts that may give rise to an OCI, the Offeror shall (1) address the nature and extent of the interest(s) or relationship(s); (2) list any entity or entities involved in the interest(s) or relationship(s) and award of this contract.

13. The Offeror shall address how it will avoid, neutralize, or mitigate each potential OCI listed above. Sufficient information must be provided to allow a meaningful evaluation of the potential effect of the interest on the performance of the statement of work.

14. Include a requirement to update this plan as necessary to address specific OCIs. All updates to the plan must be approved by the contracting officer and the updates/changes must be incorporated in the contract to be effective.

15. Require periodic self-audits to ensure compliance with established OCI procedures/requirements/guidelines.

16. Define records related to the OCI plan (e.g., training and audit records) that will be made available to the

Government upon request. Note: The OCI Plan as outlined in paragraphs 1 through 12 above is not for the purpose of addressing other very important contractual obligations such as (1) the contractor’s obligation to protect sensitive information in accordance with NFS 1852.237-72, Access to Sensitive Information, (2) the contractor’s obligation to conduct business in an ethical manner in accordance with FAR 52.203-13, contractor’s Code of Business Ethics and Conduct, and (3) the contractor’s obligation to prevent personal conflicts of interest in accordance with FAR 52.203-16, Preventing Personal Conflicts of Interest.

17. In an appendix to the OCI Plan identify the strategy (e.g., mitigation, limitation on future contracting, etc.) for resolving each OCI that is either identified in the solicitation or created by the requirements of the solicitation/contract and explain the effect of such strategy on performance of the contract. If using a firewall, explain how these actions will operate to successfully address the conflict without adversely affecting performance of the contract. (Note: Specific plans to limit future competition are reflected in the clause at

NFS 1852.209-71, Limitation of Future Contracting.)

Remarks: Insert special instructions, if applicable

Maintenance: The contractor shall review the OCI Plan on an annual basis or as directed by the contracting officer to revise the OCI Plan if necessary. Revisions are subject to Contracting Officer approval and shall be incorporated by change page or complete reissue.