Organization Conflict of Interest (OCI) Company Process

Transcription

1 (ISO 9001:2008) ISO 9001:2008 Organization Conflict of Interest (OCI) Company Process 1.0 Introduction New proposal opportunities will be reviewed against the MCL by the Director of Federal Services as an initial OCI screening. Potential OCI concerns will be immediately raised by the Director of Federal Services and a proposal will not be issued until concerns have been cleared. Annual compliance will be reviewed annually by the government and also when changes are made. Galorath Sr. Mgt Officials will sign the certification of compliance and provide it to the Galorath Contracts Manager for submittal to the potential client. 2.0 Responsibility There are four areas of responsibility 2.1 Business Development Business Development (BD) will maintain an OCI database. Each prospect will be assigned a unique ID number. The prospect number will be yy-xxx where yy are the last two digits of the year and xxx are sequential numbers beginning with The OCI database will contain the information required for a determination of the level of OCI concern. This includes the type of sale (product, training, consulting, custom training, etc.), prospect name, division, and description of the services or custom training (if applicable) BD will notify the Director of Federal Services with an including the information entered into the database (copied into the ) Director of Federal Services will respond with an approval or a hold within three business days. Notification will be sent via and noted in the log. If the response is to hold the proposal, additional reviews by leadership will be required before the proposal can be released No proposal containing consulting or custom training will be issued to any prospect until cleared for OCI by the Director of Federal Services and, if necessary, the company President. There are no exceptions. If a proposal is issued without the OCI clearance, no commission will be paid on any work which may be sold. PM 12 Page 1 of 6

2 2.1.6 All free consulting (e.g. substantial technical support to Rockwell) will be sent to the Director of Federal Services prior to any commitment being made to a client. 2.2 Director of Federal Services The Director will review the prospect information received from Business Development and determine the OCI status of the prospects. The status will be a) Cleared from further OCI review; b) OCI watch review further; c) OCI concern continued review/reporting required. Notes regarding the status will be developed and maintained in the OCI database and by the Director The Director will maintain a separate database of all prospects and their OCI status. The Director will prepare a report of all items which have a status of either (b) or (c) on a monthly basis. This report will be sent to the President, all VP s, and the other Services Directors All level (c) items will be sent with receipt to the Company President for review If a prospect is determined to require reporting based on the Company s OCI commitments, the Director will instruct Accounting to inform the appropriate contracting entity. 2.3 Accounting Accounting will prepare and maintain a master contracts list. This list will include all of the Company s current services and custom training contracts. This list will include all completed contracts for a period of one year after contract completion. An exception to this inclusion rule will be contacts which are renewed. If a contact is renewed, only the current entry will be maintained If instructed to do so, Accounting will inform any contracting entities of potential OCI issues and concerns Accounting will provide a copy of OCI Plan and OCI Process to all new employees of the company. 2.4 President Approve or reject any proposed work identified as having OCI concerns (status of (c)). 3.0 Procedure 3.1 Galorath will keep an updated Master Customer List (MCL) of all current clients. PM 12 Page 2 of 6

3 3.2 Business contracts will be reviewed to determine if there is a potentially conflicting situation by the Director of Federal Services No proposals will be issued until the proposed work has been cleared of OCI concerns or OCI concerns have been identified and mitigated. 3.3 Agreements may be entered into if the parties involved have full knowledge of the potential conflict and consent to the mitigating arrangements in advance. 3.4 The Director of Federal Services will have responsibility for the Galorath OCI process. Each VP must be responsible for OCI activities within their business unit 4.0 OCI situations are identified by contract number and customer. 4.1 A Plan is created. 4.2 The individual responsible for oversight and administration of the Plan is identified by name and place in company/business unit organizational structure. 4.3 Plan identifies location where its documentation is maintained and the location is easily accessible by the government Contracting Officer or auditor. 4.4 The Plan contains detailed explanation of the factors that place the contractor in an OCI situation Corporate OCI-related policies and procedures are identified Any policies and procedures referenced in the instant Plan are in writing and attached to the Plan 4.5 Plan identifies if subcontractors or other teammates have OCI situation. 4.6 Plan identifies subcontractor or other teammate OCI Mitigation Plans. 4.7 Subcontractor or other teammate OCI Mitigation Plans are attached to prime Plan. 4.8 The Director of Federal Services will review any changes to Plan team members to identify any concerns, and will notify the CEO, within 3 days of the effective date of the change The CEO will direct the Galorath Corporate Director of contracts to notify the Prime Contractor Contracts Officer immediately if any violation or appearance of violation occurs. 5.0 Galorath mitigates all potential OCI issues through initiating Non-Disclosure Agreements (NDAs) 5.1 Galorath employees supporting the task will solely interface with those employees involved with it. 5.2 If necessary, physical/geographic separation will be used as an OCI Mitigation tool Physical workspace separation with controlled access areas is used within the program areas where sensitive information is involved Badge accesses are used for separation and control Data separation and protection processes and procedures are in place Separate computers and networks are maintained with adequate firewalls to preclude data from being accessed outside program/project channels. PM 12 Page 3 of 6

4 5.2.5 Government-approved electronic isolation is used (e.g. restricted access on shared drives) Electronic data is sufficiently password-protected among all personnel to preclude inadvertent release of sensitive information. 5.3 Plan requires obtaining consent from other contractors prior to releasing their proprietary information for legitimate program purposes. 5.4 Access lists are used to document those with restricted access to potential OCI material and information Lists are kept current and accurate. 5.5 Release and approval procedures are in place to preclude release of either hardcopy or softcopy information without prior approval and screening. 5.6 Document marking procedures are clearly described to control program/project reports and products, as well as sensitive information of the Government of other contractors. 5.7 Storage containers will be provided for safeguarding program material and sensitive information. 6.0 Employment restrictions apply, as a minimum, to classes of employees as described in the solicitation/contract Section H OCI provision. 6.1 Any deviation from the employment restrictions is clearly indicated in the Plan with rationale and alternative mitigation techniques. 6.2 Employee transfers are limited 7.0 OCI training and awareness briefings of all personnel working on the program/project are identified in the Plan. 7.1 Training and awareness briefings must be at least annual. 7.2 Training completion and documentation is maintained 8.0 Personnel must execute NDAs 8.1 Personnel must sign an SMC NDA and OCI Plan Form to determine personal conflicts of interest of individuals. 8.2 Plan includes requirements for debriefing personnel who executed NDAs upon transfer, reassignment, change of employers, or retirement. 8.3 NDA remains in effect form the date of signature until two years after completion of participation on the development effort. 8.4 Personnel involvement in Government source selection activities is restricted when parts of the parent company are competing in OCI-impacted efforts. 8.5 Personnel are disciplined for non-compliance with the Plan On a case by case basis Discipline will be determined based on the severity of the offense Disciplinary actions are documented and maintained PM 12 Page 4 of 6

5 9.0 OCI Mitigation Plan Reviews 9.1 Upon approval, the plan will remain in force, subject to annual review and validation. The Galorath Sr. Mgt Official will provide annual audit and certification to the Galorath Contracts Manager. This document will be available upon request. 9.2 The Galorath OCI Plan will be reviewed annually 9.3 The Plan will be signed by a Sr. corporate official VP or above 9.4 Plan certification documentation is maintained OCI Infraction Discipline Policy 10.1 Discipline for OCI offenses will be determined, and documented, on a case-by-case basis by the Company. In all cases, the Government and customer Program Manager will be notified of an OCI offense. The discipline for the OCI offense will be determined based on the severity of the offense: Individuals involved in inadvertent, non-consequential offenses will be counseled immediately after their first offense and informed future offenses could be grounds for removal from the program Multiple inadvertent offenses by an individual will be reviewed by the Company. Disciplinary consequences will depend on the severity of the offense, whether the offense is a repetition of a previous offense indicative of a pattern of poor behavior, and other situational-dependent factors. Individual consequences could include loss of pay, removal from the program, or termination of employment Any instance of an intentional disclosure will not be tolerated and will result in immediate removal from the program. Any additional disciplinary action will be implemented consistent with applicable corporate HR policies, up to and including termination of employment. PM 12 Page 5 of 6

6 A new business Contract comes in BD will assign a unique ID no. to each prospect(see Form f12 002, item #1) and the information to the Dir. Of Federal Services Contracts reviewed within 3 days by Dir. Of Fed Services. The President will approve or reject proposed work identified as having OCI concerns. Yes Is there a potentially conflicting situation? No Maybe A proposal for contracted work will be issued without an OCI Plan. Reject DONE Approve Company goes on OCI Watch List ACCOUNTING ROLE DIRECTOR OF FEDERAL SERVICES ROLE Company is reviewed and put back through process start Prepare and maintain a master contracts list, including all completed contracts for a period of one year after completion Create an OCI Plan and identify by the Contract No. & customer. See OCI Mitigation Plan Checklist (F12 001) for list of items to be included in the Plan Inform any contracting entities of potential OCI issues and concerns if instructed to do so Non-Disclosure Agreements are given to the staff who will be working on the contract & attached to the Plan Provide a copy of OCI plan and OCI process to all new employees of the company Security measures including: software, hardware, and geography, are put in place an noted in the Plan OCI Training and awareness briefings are set up for involved staff Annual review/ validation Appropriate discipline on a case by case basis PM 12 Page 6 of 6 Billy To