Enclosure 3 - Template OCI Avoidance Plan Outline.pdf

ORGANIZATIONAL CONFLICTS OF INTEREST (OCI)

AVOIDANCE PLAN

CONTRACT NUMBER TBD

Award Date: Click here to enter a date.

Effective Date: Click here to enter a date.

Contract TBD

Attachment ?

(08/2015)

NFS 1852.237-72, ACCESS TO SENSITIVE INFORMATION, clause requires the submittal of an Organizational Conflicts of Interest (OCI) Avoidance Plan. Below is an outline that describes the minimum required content of the plan, which shall submitted to the Contracting

Officer within 30 days of the contract effective date. Note that this outline is for organizational and informational purposes only and may need to be expanded based on individual contract circumstances and requirements. The contractor, not the Government, is ultimately responsible for ensuring that the appropriate content is included in its OCI

Avoidance Plan.

OUTLINE OF AN

ORGANIZATIONAL CONFLICTS OF INTEREST (OCI) AVOIDANCE PLAN

I. INTRODUCTION:

A. Describe the company to include address and primary type of business.

B. Identify the Contract and/or Task Order Number and description of the scope of work requirements.

C. Identify who is responsible for this OCI Avoidance Plan. State the name, title, mailing address, email address, phone number and fax number of the individual in your company that will be responsible for OCI reporting ensuring this plan is carried out and updated as needed.

II. OCI AVOIDANCE PLAN AND PROCEDURES:

A. State the purpose and scope of this OCI Avoidance Plan.

B. Specify who this plan applies to (i.e., employees and all subcontractors who provided services on contract and/or task order). 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.

C. Describe the procedures for updating this plan, as necessary, to address specific, actual OCIs that may arise during contract and/or task order performance.

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

E. Explain how the provisions of this OCI Avoidance Plan will be flowed-down to any subcontractor that may have a conflict with regard to performing the requirements of this contract and/or task order. Discuss affected subcontractors’ OCI program as it relates to this

(08/2015) contract and/or task order and specifically explain how affected subcontractors will identify, resolve, and report OCIs associated with this contract and/or task order.

F. Describe the procedures for reporting of all potential/actual OCIs during performance of the contract and/or task order. An OCI report shall include: (1) a description of the conflict, (2) the plan for resolving the conflict, and (3) the benefits/risks vis-à-vis contract performance associated with plan approval/acceptance.

G. Explain how employees who will work on this contract and/or task order are trained specifically on the requirements of this OCI Avoidance Plan, how to protect sensitive information and safeguard it from unauthorized use and disclosure, and report breaches of this plan. Also, explain the process for obtaining written affirmation from each employee stating that they have received and will comply with training on the authorized uses and mandatory protections of sensitive information needed in performing this contract and/or task order.

H. Explain the monitoring process to ensure that employees comply with all reasonable security procedures, report any breaches to the Contracting Officer, and implement any necessary corrective actions.

I. Define records related to the OCI Avoidance Plan (e.g., training and audit records) that will be made available to the Government upon request.

III. OCI IDENTIFICATION AND AVOIDANCE/MITIGATION:

A. Demonstrate an understanding of (1) OCI principles and (2) the types of OCIs and the types of harm that can result. See FAR 9.5.

B. Specifically identify and address the potential OCIs that may be applicable to the contract and/or task order. OCIs include: unequal access to information, impaired objectivity, and biased ground rules.

C. Describe the actions/procedures the contractor intends to take to mitigate the potential OCIs identified above.

D. Describe the actions/procedures for how sensitive information will be protected and safeguarded.

E. Describe any required organizational separation procedures (i.e., firewalls).

F. Identify any potential OCIs created by the requirements of this contract and/or task order that the contractor intends to resolve using methods other than mitigation. Describe the proposed strategies.

(08/2015)

G. Describe specific plans to limit future competition in accordance with the NFS 1852.209-71, Limitation of Future Contracting clause, if applicable.

IV. DISCIPLINE FOR NONCOMPLIANCE:

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

B. Describe all disciplinary actions up to and including termination.

V. NON-DISCLOSURE AGREEMENT AND CLEARED AUTHORIZED

EMPLOYEES:

A. Include a Non-Disclosure Agreement that all employees authorized to have access to sensitive information to perform their duties under this contract and/or task order must complete.

B. Include a Cleared Authorized Employees List of all employees who have signed specific non-disclosure agreements and have access to sensitive information to perform their duties under this contract and/or task order.

(08/2015)

NONDISCLOSURE AGREEMENT

This Nondisclosure Agreement (AGREEMENT) is entered into between the [insert name of

Company] located at [insert address] (hereinafter referred to as “____”) and [insert name of company employee] residing at [insert address of employee].

Under contract ________, NASA has provided to [insert name of company] access to sensitive information as defined in NASA FAR 1852.237-72. I acknowledge that I have received training on the [insert company name]’s OCI Avoidance Plan and I agree to abide by the terms of the

OCI Avoidance Plan. Further, I agree to maintain this sensitive information in accordance with the [insert company’s name] OCI Avoidance Plan. I will only grant access to sensitive information to authorized employees of [insert company name]. I have been provided with a list of authorized employees that may receive this sensitive information. I understand that failure to comply with the company’s plan may result in disciplinary action up to and including termination from the company

By: _____________________________

Printed Name

Title

Date