Attachment D-OCI Plan Submission Instructions.pdf

NextSTEP-3 Appendix B Attachment D: Organizational Conflicts of Interest Plan Submission Instructions

The Organizational Conflict of Interest (OCI) Plan shall meet the requirements of FAR 9.5 and include the following:

a. Point of contact for OCI issues and reports

b. 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).

c. 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.

d. 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.

e. 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.

f. 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.

g. 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.

h. Explain how the provisions of this Plan will flow down 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.

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

j. 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.

k. 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.

l. 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.