OCI Mitigation Plan Outline.pdf

Organizational Conflicts of Interest Outline

I. Organizational Conflict of Interest (OCI) Defined (see FAR 2.101). “Organizational conflict of interest” means that because of other activities or relationships with other persons, a person is unable or potentially unable to render impartial assistance or advice to the Government, or the person's objectivity in performing the contract work is or might be otherwise impaired, or a person has an unfair competitive advantage.

II. 3 Types of OCIs (see Aetna Government Health Plans, B-254397.15 et al., July 27, 1995, 95-2 CPD ¶ 129).

1. Biased Ground Rules (see FAR 9.505-1; FAR 9.505-2). Situations in which a firm, as part of its performance of a government contract, has in some sense set the ground rules for another government contract by, for example, writing the statement of work or the specifications. In these "biased ground rules" cases, the primary concern is that the firm could skew the competition, whether intentionally or not, in favor of itself. These situations may also involve a concern that the firm, by virtue of its special knowledge of the agency's future requirements, would have an unfair advantage in the competition for those requirements.

2. Impaired Objectivity (see FAR 9.505-3). Situations where a firm's work under one government contract could entail evaluating itself, either through an assessment of performance under another contract or an evaluation of proposals. In these "impaired objectivity" cases, the concern is that the firm's ability to render impartial advice to the government could appear to be undermined by its relationship with the entity whose work product is being evaluated.

3. Unequal Access to Information (see FAR 9.505-4). Situations in which a firm has access to nonpublic information as part of its performance of a government contract and where that information may provide the firm a competitive advantage in a later competition for a government contract. In these "unequal access to information" cases, the concern is limited to the risk of the firm gaining a competitive advantage; there is no issue of bias.

III. General Types of Programs / Contracts with Potential OCIs.

1. Systems Contracts / Programs.

2. A&AS Contracts / Program Office Support (ITSP, etc.).

IV. OCI Firewalls (i.e., the 5 Factor OCI Mitigation Analysis).

1. Isolate Work in Completely Separate Organizational Business Units.

2. Geographic and Physical Separation.

3. Independent Management and Reporting Chains.

4. Prohibition against Transfer of Personnel.

5. Prohibition against Transfer of Information.

V. OCI Mitigation Plan Outline

1. Administrative Section.

a. Definitions.

i. Organizational Conflict of Interest (see FAR 2.101 definition and FAR

9.505).

ii. Biased Ground Rules.

iii. Impaired Objectivity.

iv. Unequal Access to Information.

v. Source Selection Sensitive Information (see FAR 2.101 definition).

vi. 3 rd

Party Contractor Proprietary Information (see 41 USC 423 and

FAR 3.104).

vii. Government Information (FOUO information; planning / budget / acquisition / contract information).

viii. Systems contracts / programs.

ix. A&AS contracts / Program Office Support.

b. OCI Training (initial and recurring).

c. Employee Transfer Rules.

d. Information Transfer Rules.

e. OCI Enforcement.

f. Attachment 1: OCI Certification.

g. Attachment 2: Non-Disclosure Agreement.

2. OCI Mitigation Section.

a. Prime Contractor Tab.

i. Organization Chart.

ii. Prime Contractor agreement to adopt Administrative Section.

iii. Systems Contracts / Programs.

1. Identify the Potential OCIs.

a. Biased Ground Rules (explain if applicable).

b. Impaired Objectivity (explain if applicable).

c. Unequal Access to Information (explain if applicable).

2. Business Unit / Sector (Identify Business Unit / Sector - Group

Potential OCIs by Business Unit / Sector).

a. List Contracts / Programs

i. Identify Program location.

ii. Briefly explain reporting chain.

iii. Briefly explain / describe each contract.

b. Mitigation Analysis (narrative explanation of the following 5 factors; distinguish between the Prime

Contractor Business Unit and the Business Unit with the potential OCI).

i. Isolate Work in Completely Separate

Organizational Business Units.

ii. Geographic and Physical Separation.

iii. Independent Management and Reporting

Chains.

iv. Prohibition against Transfer of Personnel.

v. Prohibition against Transfer of Information.

vi. Other Unique Mitigation if applicable.

3. Business Unit / Sector (Repeat 2. above for additional Business

Unit / Sectors with Potential OCIs resulting from Systems

Contracts / Programs).

iv. A&AS Contracts / Program Office Support (follow same format as iii.

above).

b. Subcontractor Tab(s).

i. Organization Chart.

ii. Subcontractor agreement to adopt Prime Contractor Administrative

Section 1 above.

iii. Identification and explanation of any deviations from Prime

Contractor’s OCI Mitigation Plan.

iv. Systems Contracts / Programs (same format as 2aiii. above).

v. A&AS Contracts / Program Office Support (same format as 2aiv.

above).