DRAFT GSP4 GSP OCI Mitigation Plan Checklist.pdf

ORGANIZATIONAL CONFLICT OF INTEREST (OCI) MITIGATION PLAN

CHECKLIST

Contractor:

Solicitation/Contract Number: HT0015-XX-X-XXXX / HT0015-XX-X-XXXX

Instructions: This checklist document shall accompany all OCI Mitigation Plans, including any revised plans, submitted to the Contracting Officer, whether from the Prime Contractor, a Subcontractor, or a Team member.

The contractor shall enter the page and line numbers from their OCI Mitigation Plan (“Plan”) corresponding to each requirement listed on this form, and submit the completed form to the Contracting Officer along with each new or revised OCI Mitigation Plan. Mark items that are not applicable as “N/A”.

1.0 General Considerations Page#/Line

1.1 Plan signed by a senior corporate official with authority to bind the company.

1.2 Clear statement of corporate commitment to develop and follow this Plan, which is compliant with OCI rules and regulations.

1.3 Corporate commitment to certify annual compliance with Plan.

1.4 Description of business unit (division, sector, subsidiary, affiliate, etc.) performing the

MHS GSP contract effort and an explanation of the business unit’s position within the corporate structure. Parent organization chart is included in the Plan.

2.0 Definitions

2.1 Definitions of all terms and acronyms used in the Plan.

2.2 Identification of any deviation from definitions in the solicitation/contract and rationale for any such deviations.

3.0 Description of the OCI Situation (Current State): unequal access to information, biased ground rules, and/or impaired objectivity.

3.1 All actual or potential OCI described in the Plan.

3.2 Plan includes description of OCI situation(s) and role(s) with contract number(s) and customer(s).

3.3 Plan contains detailed explanation of the factors that place the contractor in an actual or potential OCI situation(s).

3.4 Plan identifies if subcontractors or other teammates have actual or potential OCI situation(s) and if so have created their own Plan(s).

3.5 Attach any Plan(s) referenced in 3.4 to this Plan.

4.0 Management of OCI Mitigation Plan

4.1 Identify individual responsible for oversight and administration of the Plan by name and position in company/business unit organizational structure.

4.2 Identify individual responsible for maintaining documentation related to Plan by name and place in company/business unit organizational structure.

4.3 Plan identifies location where Plan documentation is maintained and the location is easily accessible by the Government Contracting Officer or auditor.

4.4 Processes and procedures to effectively execute the Plan are in place and clearly described.

4.5 Contractor timely notified the Government of any organizational or teaming changes that affect the OCI situation(s) (e.g., change in key personnel, new subcontractor or other teammates) in compliance with contract or any updates to access lists.

4.6 Process for timely notification to Government CO of Plan violation or appearance of violation is described and complies with contract.

4.7 If OCI is one of bias ground rules or impaired objectivity, Plan includes more than firewalls or methods for protection of data. Process for de-conflicting contract data submittals to mitigate impaired objectivity or bias ground rules is described and complies with the contract.

4.8 Plan describes how organizational separation will be used as an OCI mitigation technique.

5.0 OCI Mitigation Implementation Techniques

5.1 Cost Accounting Standards disclosure statements are in place.

5.2 Plan describes how physical/geographic separation will be used as an OCI mitigation technique.

5.3 Physical workspace separation with controlled access areas (e.g., badge access) is used in addition to separation provided within the program areas where sensitive information is involved.

5.4 Data separation and protection processes and procedures are in place.

5.5 Separate computers and networks are maintained with adequate firewalls to preclude data from being accessed outside program/project channels.

5.6 Electronic isolation is used (e.g. restricted access on shared drives).

5.7 Electronic data is password-protected to enforce access lists for potential OCI material and information.

5.8 Obtain consent from other contractors prior to releasing their proprietary information for legitimate program purposes.

5.9 Release and approval procedures are in place to preclude release of potential OCI material and information (including, but not limited to: hardcopy, softcopy, email, verbal) without prior approval.

5.10 Plan identifies the person with authority to release any OCI material and information and their placement in the program/contract organization.

5.11 Document marking procedures are clearly described to control program/project reports and products, as well as sensitive information of the Government or other contractors.

5.12 Storage containers and procedures are described for safeguarding any hardcopy or removable media program/project material and sensitive information of the Government or other contractors.

6.0 Management of Personnel

6.1 Personnel policies mitigate rotation of personnel on new tasks to avoid biased judgment or impaired objectivity.

6.2 Corporate policies on assignment of personnel to mitigate OCI are described in the Plan and attached to the Plan.

6.3 Employee transfers are limited to preclude the inadvertent flow of sensitive information to competing part of the company where inside information could be used inappropriately.

6.4 OCI training and awareness briefings of all personnel working on the program/project are identified in the Plan.

6.5 Persons or classes of persons working on the program/project not subject to OCI training and awareness briefings is identified in the Plan with rationale and description of alternate OCI mitigation techniques.

6.6 Plan describes frequency of training and awareness briefings (not less than annually).

6.7 Plan describes how training completion is documented and where maintained.

6.8 Plan describes requirements for program/project personnel to execute Non-Disclosure

Agreements (NDA) to protect proprietary and other sensitive information.

6.9 Plan describes process for determining personal conflicts of interest of individuals.

6.10 Plan describes requirements for debriefing personnel who executed NDAs upon transfer, reassignment, change of employers, or retirement.

6.11 NDA remains in effect from the date of signature until the end of each respective option period, then a new annual NDA is required.

6.12 NDAs, specific to each evaluation action is required.

6.13 Plan describes how personnel involvement in Government source selection activities is restricted when parts of the parent company are competing in OCI-impacted efforts.

6.14 Plan describes how personnel are disciplined for non-compliance with the Plan.

6.15 Plan description of discipline for non-compliance with the Plan is sufficient to clarify the stratification in discipline commensurate with the severity of the offense.

6.16 Plan specifies how and where disciplinary actions are documented.

7.0 OCI Mitigation Plan Reviews

7.1 Plan provides for corporate oversight and audit of OCI processes and procedures.

7.2 Plan specifies frequency of corporate audits.

7.3 Plan requires annual certification of compliance with the terms of the Plan, signed by the senior corporate official who is responsible for the Plan.

7.4 Plan specifies where Plan certification documentation is maintained.