procurementethics.ppt
Post on 02-Jun-2018
216 Views
Preview:
TRANSCRIPT
-
8/10/2019 ProcurementEthics.ppt
1/19
HEALTH AFFAIRS
TRICAREManagement
Activity
Ethics as Applied to Source
Selection
-
8/10/2019 ProcurementEthics.ppt
2/19
HEALTH AFFAIRS
TRICARE
Management
Activity
2
Overall Seminar Agenda
Ethics as Applied to Source Selection
Planning and Preparation
Conducting and Documenting the Evaluation
-
8/10/2019 ProcurementEthics.ppt
3/19
HEALTH AFFAIRS
TRICARE
Management
Activity
3
Ethics as Applied to Source
Selection
Responsibilities for Ethical Conduct
Statutory and Regulatory Framework
Procurement Integrity
Nondisclosure of Procurement Information
Post Government Employment
-
8/10/2019 ProcurementEthics.ppt
4/19
HEALTH AFFAIRS
TRICARE
Management
Activity
4
Ethics - Responsibility for
Ethical Conduct
Employees shall NOT:
Hold financial interests conflicting with conscientiousduty performance
Engage in financial transactions using nonpublicGovernment information
Use public office for private gain
Engage in outside employment that conflicts with
Government responsibilities
Executive Order 12674 of April 12, 1989 (as modified by E.O. 12731)
-
8/10/2019 ProcurementEthics.ppt
5/19
HEALTH AFFAIRS
TRICARE
Management
Activity
5
Ethics Statutory and
Regulatory Framework
Public Law 95-521, Ethics in Government Act of 1978
Code of Federal Regulations (Title 5)
United States Code (Titles 5, 18, and 41)
Joint Ethics Regulation DoD 5500.7-R Federal Acquisition Regulation (FAR) Part 3.104
Source Selection
Additional ethics guidance and resources can be found
at www.usoge.gov(U.S. Office of Government Ethics web site)
http://www.usoge.gov/http://www.usoge.gov/ -
8/10/2019 ProcurementEthics.ppt
6/19
HEALTH AFFAIRS
TRICARE
Management
Activity
6
Ethics - Conflict of Interest
A "conflict of interest" is a personal interest orrelationship, as defined by law or regulation, thatconflicts with the faithful performance of official duty.
Source: 18 U.S.C. Sections 201, 203, 205, 208, 209
As a Government employee, you may not participatepersonally and substantially (e.g., make a decision,give advice, make a recommendation) in anygovernment matter that would affect the financialinterests of:
You, your spouse, or your minor child, your general partner,an organization in which you are serving as an officer,director, trustee, general partner or employee, or anorganization with which you are negotiating for employment,or have an arrangement for future employment.
Source: 18 U.S.C. 208
-
8/10/2019 ProcurementEthics.ppt
7/19
HEALTH AFFAIRS
TRICARE
Management
Activity
7
Ethics - Procurement Integrity:Statutory and Regulatory Framework
Procurement Integrity Act41 USC 423, FAR3.104-4
Three Key Provisions:
Prohibition on disclosure or obtaining Contractor bid or
proposal information or source selection information beforecontract award (applies to government employees andContractors)
Requires agency officials to report employment contactsduring a procurement (applies to government employees
only)
Prohibits a group of employees who have participated inactions over $10 million from accepting compensation fromthe contractor for one year after participation (applies togovernment employees only)
-
8/10/2019 ProcurementEthics.ppt
8/19
HEALTH AFFAIRS
TRICARE
Management
Activity
8
Ban on Disclosing
Procurement Information
In any competitive award, the Procurement Integrity Actprohibits: The disclosure of Contractor Bid or Proposal Information (CBPI),
or
The disclosure of sensitive Source Selection Information (SSI)
The ban applies to: Current and former Federal employees, and
Anyone who is advising or has advised the Governmentregarding the procurement (i.e., contractor employees,consultants, etc.).
Source: 41 U.S.C. 423(a))
-
8/10/2019 ProcurementEthics.ppt
9/19
HEALTH AFFAIRS
TRICARE
Management
Activity
9
Contractor Bid or
Proposal Information (CBPI)
CBPI includes any of five types of information:
Cost or pricing data
Indirect costs & direct labor rates
Proprietary information about technical approach, processes,operations or techniques marked by the contractor IAWapplicable law or regulation
Information marked by the contractor as contractor bid or
proposal information
Information marked by the contractor IAW FAR clause52.215-1, entitled Restriction on Disclosure and Use of Data
Source: 41 U.S.C. 423(f) and FAR Subpart 52.215-1(e)
-
8/10/2019 ProcurementEthics.ppt
10/19
HEALTH AFFAIRS
TRICARE
Management
Activity
10
Ethics - Discussion
Ed is part of a team evaluating proposals for acompetitive procurement for TMA.
Violation?
At dinner, after a week ofevaluating proposals, Ed shareshis opinions and observations withhis wife, a college student, aboutthe differences between the
proposals.
-
8/10/2019 ProcurementEthics.ppt
11/19
HEALTH AFFAIRS
TRICARE
Management
Activity
11
Source Selection
Information (SSI)
SSI means any of ten types of information:(1) Bid prices submitted by bidders
(2) Costs or prices submitted by offerors
(3) Source selection plans (including officials names and positions
(4) Technical evaluation plans(5) Technical evaluations of proposals
(6) Cost or price evaluations of proposals
(7) Competitive range determinations
(8) Rankings of bids or proposals
(9) Reports & evaluations of source selection panels, boards oradvisory councils
(10) Other information, if marked Source Selection Information -- SeeFAR 3.104 or so designated by the Contracting Officer
Source: 41 U.S.C. 423(f)
-
8/10/2019 ProcurementEthics.ppt
12/19
HEALTH AFFAIRS
TRICARE
Management
Activity
12
Ethics - Discussion
LTC Smiths commanding officer asks for a brief on
how the evaluations are going. LTC Smith providesher with an overview of the strengths andweaknesses of each Offeror.
Violation?
LTC Smith is the Army representative to a teamevaluating proposals for a competitive procurementfor TMA.
-
8/10/2019 ProcurementEthics.ppt
13/19
HEALTH AFFAIRS
TRICARE
Management
Activity
13
Ethics - Penalty for
Disclosing Information
If an individual improperly discloses or obtains SSI for anythingof value, or in order to obtain for himself, or give to anyone else,a competitive advantage in the award of a Federal contract themaximum penalty is:
Five years in prison,
Civil penalty of $50,000 for each violation plus twice the amount ofcompensation which the individual received oroffered for the prohibited conduct, and
Adverse personnel action (i.e. termination)
If an individual knowingly discloses or obtains SSI in violation of
the Procurement Integrity Act (but not in exchange for anything ofvalue, or to give anyone a competitive advantage), maximumpenalty is:
Civil penalty of $50,000 for each violation, and
Adverse personnel action (i.e. termination)Source: 41 U.S.C. 423(e)
-
8/10/2019 ProcurementEthics.ppt
14/19
HEALTH AFFAIRS
TRICARE
Management
Activity
14
Ethics - Post Government
Employment Restrictions
The lifetime representation ban (18 U.S.C. 207(a)(1))If an officer or Federal employee participates personally & substantially in a contract,he/she may go to work for the contractor, but may never act as contractors representativebefore any Federal agency on that contract.
The two-year representation ban (18 U.S.C. 207(a)(2))If a Federal employee has a contract under his/her official responsibility during his/her lastyear in the government, he/she may go to work for the contractor, but may not, for 2 years,act as contractors negotiator or representative before any Federal agency on thatcontract.
The one-year no contact rule (18 U.S.C. 207(c))General/Flag officers and SES 5 & 6 employees may not, for one year, communicate with,
or appear before, any employee of their former agency, on behalf of a third party, inconnection with any matter on which the third party seeks official action by their formeragency.
The one-year compensation ban (41 U.S.C. 423(d))People who serve in one of seven positions, orwho make one of seven types ofdecisions, on a contract over $10 million, may not accept compensation from the
contractor for one year from date of last service or decision.
-
8/10/2019 ProcurementEthics.ppt
15/19
HEALTH AFFAIRS
TRICARE
Management
Activity
15
Procurement Integrity -
One-Year Compensation Ban
Seven Positions Affected
Procuring Contracting Officer
Source Selection Authority
Member of Source Selection Evaluation Board Chief of Financial or Technical Evaluation Team
Program Manager
Deputy Program Manager
Administrative Contracting Officer
-
8/10/2019 ProcurementEthics.ppt
16/19
HEALTH AFFAIRS
TRICARE
Management
Activity
16
Procurement Integrity -
One-Year Compensation Ban
Seven Types of Decisions Decision to award a contract over $10 million
Decision to award a subcontract over $10 million
Decision to award a modification that is over $10 million of a
contract or subcontract Decision to award a task order or delivery order over $10 million
Decision to establish overhead or other rates applicable to acontract or contracts valued over $10 million
Decision to approve issuance of a contract payment or
payments over $10 million Decision to pay or settle a claim over $10 million
-
8/10/2019 ProcurementEthics.ppt
17/19
HEALTH AFFAIRS
TRICARE
Management
Activity
17
Ethics - Post Government
Employment Restrictions
If you have any questions or concerns, seek
the advice of your ethics counselorimmediately.
Military personnel should seek Post-retirement
guidance from their Ethics Counselor
-
8/10/2019 ProcurementEthics.ppt
18/19
HEALTH AFFAIRS
TRICARE
Management
Activity
18
Ethics - Discussion
Suppose:
You become a member of the Source Selection Boardfor a contract in excess of $100,000
Offers have been received and evaluation is beginning One of the offerors contacts you with a job opportunity
You immediately notify your supervisor and ethicscounselor
Can your supervisor demand that you terminateemployment discussions?
-
8/10/2019 ProcurementEthics.ppt
19/19
HEALTH AFFAIRS
TRICARE
Management
Activity
19
Ground Rules:
Ethics Summary
Ethical behavior is your responsibility if you areinvolved with a source selection!
Rules are often complicated with many exceptions
If you are not sure, seek guidance Government employeesTMA OGC Ethics Counselor
(703) 681-6012
Contractor employeesSupervisor or firm ethics advisor
Legal opinions should be sought at the earliest
possible moment Document your efforts to obtain clarification/
approval
top related