UARC TRAINING 30 SEPTEMBER 2004

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UARC TRAINING30 SEPTEMBER 2004

• Introduction to Office of Sponsored Projects
• Introduction to Internal Audit and Advisory
  Services
• Whistleblower law
• Conflict of Interest Law (POI)
• Institutional Conflict of Interest (COI)

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Office of Sponsored Projects

• See Handout for OSP information
• BEFORE submitting any proposals for research
  contracts or grants Contact
• Larry Hogle, UARC Research Project Director.
  lhogle_at_ucsc.edu
• [phone]
• ----Then----
• Contact Bill Clark, Director Sponsored
  Projects Office!!! wfclark_at_ucsc.edu
• [phone]

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Office of Sponsored Projects

• Website Information http//www.ucsc.edu/osp/
• OSP Staff contact Information
• Campus Compliance Committee Information
• Chancellor's Animal Research Committee (CARC)
• Campus EHS
• Human Subjects Institutional Review Board
• Radiation Safety
• Links to Federal and University Policies and
  Procedures
• UC Contracts and Grants Manual (allowable
  expenses)
• Funding Opportunity Links

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Internal Audit and Advisory Services

• Independent Audit University Service
• Interim Director David V. Lane
• 4 staff auditors
• We are here to help you.
• 831-459-3205
• Website audit.ucsc.edu

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Internal Audit and Advisory Services

• Consultations Website Links to Policies,
  Procedures and Other resources
• Routine Scheduled Audits currently auditing UARC
  for compliance with NASA contract
• Investigations of misconduct and theft
• External Audit Coordination
• Conflict of Interest Coordination

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Internal Audit Consulting Services

• Policy and Procedures advice Where to find
  policies or procedures
• New Major computer systems controls reviews
  (Systemwide Policy IS-3 and IS-10 Requirements)
• Business Process Reengineering reviews for
  effectiveness and efficiency

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Internal Audit Investigation Services

• Investigates misconduct and Whistleblower
  complaints
• UC Whistleblower policy and Whistleblower
  protection policies exist and are on University
  websites http//www.ucop.edu/ucophome/policies/bf
  b/g29.html

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California Government Code Section 8547.2

• Definition improper governmental activity
• any activity by a state agency or by an
  employee that is undertaken in the performance of
  the employees official duties, whether or not
  that action is within the scope of his or her
  employment, and that
• is in violation of any state or federal law or
  regulation, including, but not limited to,
  corruption, malfeasance, bribery, theft of
  government property, fraudulent claims, fraud,
  coercion, conversion, malicious prosecution,
  misuse of government property, or willful
  omission to perform duty, or
• is economically wasteful, or involves gross
  misconduct, incompetency, or inefficiency.

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What this means to you!

• -Call the Internal Audit Office, the campus
  Local Designated official listed in the campus
  telephone book, or the UCSC police, if you
  discover an improper governmental activity.
• -Do not investigate yourself.

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External Audit Coordination

• Contact Linda Beaston when ever contacted by an
  external audit agency for an audit (such as
  NASA). lbeaston_at_ucsc.edu or 831-459-2666
• Internal Audit Will
• Help Coordinate resources
• Help with responding to any recommendations.
• Ensure audit is reasonable, actionable (may
  affect other UC research compliance requirements)

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Internal Audit Conflict of Interest Coordination

• Designated Official filings assistance
• State of California Conflict of Interest Law
  advice.
• Purchasing Conflict of Interest
• State law regarding consultants
• Caitlin Deck
• Research conflict of interest
• Research Review committees

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Personal Conflict of Interest (PCI)

• State Law Government Code 87100
• No public official at any level of state or
  local government shall make, participate in
  making or in any way attempt to use his official
  position to influence a governmental decision in
  which he knows or has reason to know he has a
  financial interest

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Conflict of Interest

• Academic Decisions These do not NORMALLY create
  a conflict of interest
• Teaching Decisions
• (Example Selection of books)
• Research Decisions (Example Decision to apply
  for funds
• to finance research)
• EXCEPT FOR INSTITUTIONAL CONFLICT OF INTEREST
  ISSUES. TO BE DISCUSSED

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Potential Conflict Issues

• Hiring of Relatives
• Use of University resources for private
  purposes SUCH AS LAB SPACE OR EQUIPMENT
• Employee-Vendor Relationships (buying from a
  relative)
• Receipt or giving Gifts and Gratuities
• Travel Provided by Private Entities
• Certain Honoraria payments
• Outside employment
• ORGANIZATIONAL CONFLICT OF INTEREST

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What this means to you!

• When considering outside employment, please
  contact either the UARC Managing Director or
  Research Project Director for preliminary
  discussions.
• Need to determine post-employment restrictions.
• State law restricts UC employee from working as a
  UC consultant up to 2 years after leaving UC

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Organizational Conflict of Interest Or OCI

• (OCI) definition (FAR 2. 101)
• 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.

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OCI in Government Contracting

• By virtue of access to non-public Government
  information regarding NASA program plans and
  actual or anticipated resources relationship or
  situation could exist whereby the contractor, or
  his subcontractors or consultants
• has past, present, or currently planned personal
  or financial interests that either directly or
  indirectly may diminish the ability to give
  impartial, objective assistance,
• or result in the contractor being given an unfair
  competitive advantage

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OCI in Government Contracting

• An example is when
• . a contractor is asked to develop requirements
  that are later used in a competitive solicitation
  for a subsequent contract.
• If the same contractor bids for the subsequent
  contract, they may have an unfair advantage.

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Exceptions for Development and Design Work

• Much of the UARC work involves development and
  design.
• FAR Subpart 9.505-2(a)(3) specifies allowable
  exceptions to normal OCI standards for
  contractors providing development and design
  assistance and provides safe harbors for such
  contracting, including subsequent contracting
• when the contractor is the sole source,
• when the contractor has participated in
  development and design
• and when more than one contractor has
  contributed to the preparation of the work
  statement intended for subsequent competitive
  bid.
• When such situations arise, contracting officers
  are required to file a waiver request to NASA and
  UC will work with NASA to develop a response that
  properly manages OCI.

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What this means to you!

• It is your responsibility to inform the Research
  Project Director that work you are performing is
  contributing to a statement of work that will be
  used a competitive procurement.
• If there is any question that the work you are
  doing for NASA could in any way be construed as
  creating a situation in which UCSC might not be
  able to participate in a follow-on competitive
  procurement that was directly or indirectly
  influenced by that work, please first make your
  concerns known to your immediate supervisor, and
  then contact the Research Project Director.

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Specific UARC OCI Contract Requirements

• A) Data Handling "Government Sensitive Data,"
• data for which the disclosure or use is
  controlled by U.S. Statute or implementing
  published federal regulations or NASA Policy and,
  where so identified, includes data first produced
  by the Contractor.

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Data Handling "Government Sensitive Data,"

• UARC contract, Section H.4(c), specifies that
• during the performance of the UARC contract, and
• for 3 years afterward,
• UC and UARC personnel are required not to
  participate in procurement competitions
• based upon data obtained because of unique access
  by UARC personnel,
• or if the UARC or its personnel have participated
  in defining the requirements for the procurement
  competition.
• Prior consent of the Contracting Officer is
  required for any release of Government-sensitive
  data or third party data not already released or
  otherwise made available to the public by NASA or
  the owner of the data, in the case of third-party
  proprietary data.

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What this means to you!

• It is your responsibility to inform the Research
  Project Director that work you are performing
  includes access to Government-sensitive of
  third-party proprietary data
• If, in the course of your work, you receive
  Government Sensitive or Third Party data that has
  not been released or otherwise made available to
  the public, you may not use that data for any
  purpose other than performance of the contract
  unless prior written approval is received from
  the contracting officer.
• This means you cannot share it with your
  colleagues or other employees
• You cannot present it at a conference, and
• You cannot use it in a publication, unless those
  actions are necessary for the performance of the
  contract.
• The process for getting prior written approval is
  to first speak with your supervisor to verify the
  need, and then submit a request to the Research
  Project Director who will coordinate with the
  Contracting Officer.

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B. Unsolicited proposals

• FAR 2.101 defines an Unsolicited Proposal as
  follows
• Unsolicited proposal" means a written proposal
  for a new or innovative idea that is submitted to
  an agency on the initiative of the offer or for
  the purpose of obtaining a contract with the
  Government, and that is not in response to a
  request for proposals, Broad Agency Announcement,
  Small Business Innovation Research topic, Small
  Business Technology Transfer Research topic,
  Program Research and Development Announcement, or
  any other Government-initiated solicitation or
  program.

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Unsolicited proposals

• The UARC contract, Section H.4(c)(2), specifies
  that the UARC shall not submit to the Government
  an unsolicited proposal
• based on Government-sensitive data
• or third-party data that has not been released or
  otherwise made public
• until one year after such data is made available
  to the public.
• To submit an unsolicited proposal prior to the
  one year limitation would constitute an OCI since
  the proposal would be based on information not
  generally available to the public, giving the
  offer or an unfair advantage.

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What this means to you!

• Any unsolicited proposals generated by UARC
  employees need to be processed through the UCSC
  Office of Sponsored Projects (Bill Clark)
• Initiation of that process is through the
  Research Project Director, (Larry Hogle)
• The review process will hopefully result in the
  identification of any data to be used that would
  constitute an organizational conflict of interest.

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SUMMARY

• All conflicts of interest
• weaken the public perception of research
  integrity,
• compromise the objectivity of professional
  advice,
• undermine confidence in the handling of
  confidential information, and
• reduce equitable access to opportunities to
  participate in future contract work

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SUMMARY

• Under the terms of the UARC contract
• UC is bound by the restrictive legends applied
  to government or third party data, or by
  restrictions specified in writing by the
  Contracting Officer,
• UARC employees can disclose such data only to the
  extent necessary to perform the work required
  under the contract.

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Points of Contact

• Questions regarding OCI or PCI can be directed to
  any of the following individuals
• UARC Research Project Director Larry Hogle
• (650) 604 0508 lhogle_at_ucsc.edu
• UCSC Research Compliance Officer Caitlin Deck
• (831) 459 4114 cddeck_at_ucsc.edu UARC
• Managing Director William Berry
• (650) 604 0511 wberry_at_ucsc.edu