2007) (finding actual conflict of interest). According to DoD Directive 5500.7-R, contact an ethics attorney at your local wing or base legal . PDF Source Selection Non-disclosure and Conflict of Interest A senior VP from Blatz Corp. recently resigned from Blatz to become a senior official in DoD. 209.571-1 Definitions. The general rule for outside activities is permissive: Executive branch employees, subject to some limitations, are allowed to participate in outside activities. U.S. research may be subject to undue foreign influence in cases where a researcher has a foreign conflict of interest (COI). An activity conflicts with official duties --, if it is prohibited by statute or by the regulations of the employee's agency, or. Has DoD referred any conflict of interest concerns about advisory boards to agency ethics officials or the DoD Inspector General? We also aim to spotlight various federal government employees and interview key government executives whose impact resonates beyond their agency. While the Hatch Act loosened restrictions on political activity for most Federal civilian employees, Federal laws still limit the political activities of military personnel, law enforcement, national security, and career SES employees. Will the results of my assessment be public? b`:Hs20cO |C'P|Ri ` ~ Janelle must disqualify or recuse herself and inform her supervisor and ethics official. Agencies have begun to address such issues. As of February 2023, the agency is still in the process of implementing the final policy and anticipated the final version by June 30, 2023. A Basic Assessment, as defined in DFARS clause 252.204-7020, NIST SP 800-171 DoD Assessment Requirements, means a contractors self-assessment of the contractors implementation of NIST SP 800-171 that -. Ownership of financial instruments or investments such as stocks, bonds, mutual funds, or real estate. He is a member of the State Bar of California and the District of Columbia Bar Standards of Conduct : Conflicts of Interest - Department of Defense Shortly after his arrival, the official's office is tasked to decide whether or not to renew Blatz's contract with DoD. regulation, or otherwise conflicts with their official duties, DoD personnel may voluntarily become members of, and actively participate in, NFEs, such as 209.571 Organizational conflicts of interest in major defense acquisition programs. Contractors will be required to conduct self-assessment on an annual basis, accompanied by an annual affirmation from a senior company official that the company is meeting requirements. 2635.502, Federal employees are required to consider whether their impartiality would be questioned whenever their involvement in a particular matter involving specific parties might affect certain personal or business relationships. Organizational Conflicts of Interest under the Federal - JSTOR Stu, an ethics attorney at DoD, has been offered $1500 to teach a 1-day course on Federal ethics to employees at Big Contractor, Inc. Because the topic relates to his official duties, he may not accept the compensation. 3. Contractors that develop and produce weapon systems reported having more practices in place to promote compliance with PGE restrictions than did contractors that generally provide commercial products and services. A DoD employee may not engage in outside activities that interfere with his performance of military duties, are prohibited by statute or regulation, or would require the employee's disqualification from matters critical to the office. (Recommendation 6), National Aeronautics and Space Administration, The Administrator of the National Aeronautics and Space Administration should update the agency's conflict of interest policy to include a definition on non-financial conflicts, such as the one developed by OSTP, and address these conflicts, both foreign and domestic. Bryan, a DoD procurement officer, is about to award a contract for new computers. Self-assessments will suffice to meet CMMC Level 1 requirements. There are limited exceptions. An activity conflicts with official duties -- if it is prohibited by statute or by the regulations of the employee's agency, or if the activity would require the employee to be disqualified from matters so central to the performance of the employee's official duties as to materially impair the employee's ability to carry out those duties. Conflict of Interest: Exists when an individual or corporation has the opportunity -real or perceived -to exploit their position for personal or corporate benefit.Corruptionoccurs when the individual or corporation takes advantage of that opportunity and indeed abuses their position for private gain. Published: Dec 17, 2020. DoDs intent under CMMC 2.0 is that if a DIB company does not process, store, or transmit Controlled Unclassified Information (CUI) on its unclassified network, but does process, store or handle Federal Contract Information (FCI), then it must perform a CMMC Level 1 self-assessment and submit the results with an annual affirmation by a senior company official into SPRS. Bryan may not participate in the contract award decision, since the decision will affect his wife's financial interests. PDF DATE RECEIVED BY AGENCY OFFICE OF THE SECRETARY OF DEFENSE (OSD) OMB No Your post-government employment may be a conflict of interest. NASA anticipates completing this process and implementing the final version of the COI policy by June 30, 2023. Agencies may require employees to seek approval for outside employment and may prohibit such activities if they will detract from readiness or pose a security risk. Agencies have also taken actions in cases where they identified researchers who failed to disclose financial or non-financial information. @ Rz The highest priority, most critical defense programs (Level 3) will require government-led assessments. Because the senior official was employed by Blatz within the last year, he may not make the decision. (Recommendation 4), The Secretary of Energy should document procedures, including roles and responsibilities for addressing and enforcing failures to disclose required information, both foreign and domestic. Cf. training to increase DOD employee awareness about and understanding of PGE restrictions. Post-government Employment: Conflict of Interest? | Military.com Interference Generally. . HHS (NIH) concurred with our recommendation. Rule: Always consult your ethics counselor before separating from the Government. Gifts given to or won by you while TDY at a conference, hotel, or while renting a car, where you have not taken any affirmative action, including. He or she will advise you on the restrictions that will apply to your activities in the private sector in light of your specific duties and level of responsibility as a Government employee. No representing to the Federal Government. INSTRUCTIONS FOR THE USDA CONFIDENTIAL CONFLICT OF INTEREST CERTIFICATION (IN LIEU OF THE OGE-450) A. The lawssome of which include penalties for violationsseek in part to protect against conflicts of interest and to promote public trust in the integrity of the government's decision-making processes, which facilitate the award of contracts worth hundreds of billions of dollars annually. But all require researchers to disclose some non-financial interests in grant proposalslike foreign-provided lab space. An employee has a covered relationship with: Executive Order 13770requires every full-time political appointee, appointed on or after January 20, 2017, to sign an Ethics Pledge. Register to enjoy unlimited access to articles, interviews, and invaluable govcon content. (Recommendation 2), The Secretary of Defense should document procedures, including roles and responsibilities for addressing and enforcing failures to disclose required information, both foreign and domestic. To induce or coerce another person to provide any benefit to you or anyone with whom you are affiliated, To imply that DoD or the Government endorses personal activities, To endorse any product, service, or enterprise, except as provided by statute or regulation. DOD stated that the Principal Director, Defense Pricing and Contracting, has conducted the recommended assessment and initiated actions to amend the Defense Federal Acquisition Regulation Supplement (DFARS). Written procedures for addressing alleged failure to disclose required information help agencies manage these allegations and consistently apply enforcement actions. %%EOF The Department intends for Level 3 cybersecurity requirements to be assessed by government officials. "Outside activity" guidance includes the following requirements for permissible outside employment, speaking teaching and writing, and other specific activities. GAO found that DOD has improved certain practices to help ensure compliance with post-government employment (PGE) restrictions, including: In 2011, DOD modified its acquisition regulations to require that contractorswhen submitting proposals in response to DOD contract solicitationsrepresent their employees' compliance with several PGE restrictions. Moreover, by policy within DoD, employees appointed by the President and employees appointed by the Secretary to non-career SES positions may not engage in any activity that could be interpreted as associating DoD with any partisan cause or issue. This instruction relies heavily on the Implementation Guidance for NSPM-33, which was released in January 2022. DOD Could Further Enhance Its Compliance Efforts Related to Former Employees Working for Defense Contractors. 209.571-6 Identification of organizational conflicts of interest. Rule: You may not seek or accept anything of value, other than your salary, for being influenced in your official duties. 1460 0 obj <>stream CONFLICTS OF INTEREST I. REFERENCES Conflicting Financial Interests - Officers and Civilian Employees 18 U.S.C. Public Health Service (PHS) and National Science Foundation (NSF) always require this. DOD concurred with the recommendation. Conflict of Interest Disclosure. endstream endobj startxref Sen. Elizabeth Warren is pressing the Department of Defense's new tech investment organization over concerns about conflicts of interest, turning up the pressure on the latest government team . GAO also interviewed agency officials, university officials, and researchers. Check with your command or agency ethics official. Feb 2021), Hosted by Defense Media Activity - WEB.mil. C. Conflicts of Interest: 1. The conflict forced more than 2.4 million people to flee their homes for safer areas inside the country, according to the International Organization for Migration. 1. (Recommendation 1), The Secretary of Defense should develop an agency-wide policy on conflict of interest for grants, to address both financial and non-financial conflicts. An OCI occurs when, because of other relationships or circumstances, a contractor may be unable, or potentially unable, to render impartial advice or assistance to the government; and/or the contractor's objectivity in performing the contract work is or might be impaired; and/or the contractor would . DOD officials noted that the restriction was not identified for potential regulatory action when it was enacted, and they have not considered doing so. U8K`&,yK0"-$(V)03riWh`y]c2}[;r5"q:_+='Q/^d\w }L9qA\V.SJE;Gm_6W?vK-K*ut*u= . These policies often align with the financial COI policies or requirements of the grant-making agencies. hb```#ea8( Criminal Rule: You may not do government work on a particular matter that will affect the financial interest of: If you think you may have a conflicting financial interest, consult your DoD ethics official immediately to determine the appropriate remedy. 2019 Employment of Former Department of Defense (DOD) Personnel by the 14 Contractors GAO Reviewed, Category of former DOD personnel potentially subject to post-government employment restrictions, Number of personnel who left DOD service from 2014 through 2019, Number employed in 2019 by the 14 contractors GAO reviewed, Military and civilian senior or acquisition officials, All other military and civilian employees, Source: GAO analysis of DOD and Internal Revenue Service data. hbbd``b`^$_ `Y $+DHtd`bd)"q` n x)A Jc>P% Rule: If you are seeking non-Federal employment (e.g., sending resumes to select employers), you may not do Government work on a particular matter that will affect the financial interests of any of your prospective employers. GAO found that, regardless of whether an agency has a conflict of interest policy, all five agencies require researchers to disclose informationsuch as foreign support for their researchas part of the grant proposal that could be used to determine if certain conflicts exist. Ethics Counselor Toolbox (Conflicts of Interest) Defense Federal Acquisition Regulation Supplement; Organizational The 14 major defense contractors GAO reviewed hired about 1,700 recent former DOD senior civilian and military officials, such as a general or admiral, or former acquisition officials (see table). Subpart 209.5 Organizational and Consultant Conflicts of Interest 'I Could Solve Most of Your Problems': Eric Schmidt's Pentagon Rule: You may not knowingly solicit or make solicited sales to personnel who are junior in rank, grade, or position (or their families). Rule: You may not have outside employment or activities that would materially impair your ability to perform your duties. Situations in which senior and acquisition officials leave the Department of Defense (DOD) and go to work for defense contractors can lead to conflicts of interest and affect public confidence in the government. Under Secretary of Defense for Research and Engineering (OUSD (R&E)) Department of Defense The Pentagon Washington, DC 20301 Dear Under Secretary Shyu: I write regarding my concerns that the Department lacks the safeguards necessary to prevent conflicts of interest in the Office of Strategic Capital (OSC). GAO found that the specific practices differed by type of contractor. For definitions of "informed consent" and "confirmed in writing," see Rule 1.0 (e) and (b). Permission shall be granted unless the outside activity involves conduct prohibited by statute or regulation. hb``` cB:X&pLfTjb5T`9|ym5v68:(8 s :)48C The author(s) had no conflicts of interest to disclose. On-the-spot upgrades in transportation or accommodation, if generally available. The CMMC self-assessment should be completed using the CMMC Assessment Guide codified in 32 CFR for the appropriate CMMC level. Rule: You may raise funds for organizations in your personal capacity, but you may not use your official title, position, or authority to fundraise, nor may you solicit subordinates or prohibited sources. Recent reports by GAO and others have noted challenges faced by the research community to combat undue foreign influence, while maintaining an open research environment that fosters collaboration, transparency, and the free exchange of ideas. Elements of Conflict of Interest (COI) Policies at Agencies with the Most Federal Research Expenditures at Universities. CMMC eMASS will automatically post a copy of a companys CMMC certificate to the Supplier Performance Risk System (SPRS). In this report, GAO examines (1) COI policies and disclosure requirements at selected agencies and universities that address potential foreign threats, (2) mechanisms to monitor and enforce policies and requirements, and (3) the views of selected stakeholders on how to better address foreign threats to federally funded research. Conflicts of Interest - Department of Defense Standards of Conduct Office Rule 1.7 Conflict of Interest: Current Clients - Comment A "Basic Assessment", as defined in DFARS clause 252.204-7020, NIST SP 800-171 DoD Assessment Requirements, means a contractor's self-assessment of the contractor's implementation of NIST SP 800-171 that -. GAO reviewed five agencieswhich together accounted for almost 90 percent of all federal research and development expenditures at universities in fiscal year 2018and found that three have agency-wide COI policies, while two do not (see figure). Particular Matter: a matter that is focused upon the interests of specific persons, or a discrete and identifiable class of persons, does not include broad policy options or considerations directed toward the interest of a large and diverse group. 1861 0 obj <> endobj a reasonable person with knowledge of the relevant facts could question your impartiality. GAO recommends that DOD assess whether to incorporate recent lobbying prohibitions into its acquisition regulations. She may not make solicited sales to her DoD subordinates on the job or after work by calling them at home. 1445 0 obj <>/Filter/FlateDecode/ID[<259A6C9EE55D9D47AA8DF044BB7EA1F4><444B369240EF7D4598BAE5B0D0037C0A>]/Index[1435 26]/Info 1434 0 R/Length 65/Prev 647885/Root 1436 0 R/Size 1461/Type/XRef/W[1 2 1]>>stream Once CMMC 2.0 is fully implemented, the DoD will have access to information and data relating to a companys assessment, to include the assessment results and final report. Department of Defense Standards of Conduct Office > DoD Personnel Executive Mosaic Sudan's neighbors meet in Cairo for summit as Egypt unveils new Once published, GAO will review the updated guide and determine whether it meets the recommendation. Following our report, in January 2021, OSTP and the White House issued the National Security Presidential Memorandum #33 (NSPM-33) which required all federal research funding agencies to strengthen protections against foreign government interference through standardized disclosure and security requirements, and the coordination of policies and processes with the intelligence community. The Cybersecurity Maturity Model Certification (CMMC) 2.0 program simplifies and increases accountability in the cybersecurity assessment process. Note, however, an exception allows an employee to accept compensation for teaching a course of the regularly established curriculum of an elementary school, high school, or institution of higher education. PDF Department of Defense Contracting Competency Model He may serve in his personal capacity, but may not allow his position as General Counsel to be used on the college letterhead or other promotional literature. How frequently will assessments be required? In November 2022, the Department noted that it is working to revise its guidance document (referred to as an instruction document) to DOD's Components on setting standards for conflicts of interest, including non-financial conflicts. This instruction relies heavily on the Implementation Guidance for NSPM-33, which was released in January 2022. (Recommendation 7), The Administrator of the National Aeronautics and Space Administration should document procedures, including roles and responsibilities for addressing and enforcing failures to disclose required information, both foreign and domestic. Ensure Conflict of Interest Statements (from both Government members/advisors and non-Government team advisors) are appropriately reviewed and actual or potential conflict of interest issues are resolved prior to granting access to any source selection information. 1899 0 obj <>stream v@a@W,FZ-|` f : Contractors who do not handle information deemed critical to national security (Level 1 and a subset of Level 2) will be required to perform annual self-assessments against clearly articulated cybersecurity standards. 1461 0 obj <>/Filter/FlateDecode/ID[]/Index[1447 45]/Info 1446 0 R/Length 76/Prev 148989/Root 1448 0 R/Size 1492/Type/XRef/W[1 2 1]>>stream An official website of the United States government, Department of Defense Standards of Conduct Office, Post Government Employment and Procurement Integrity, Hosted by Defense Media Activity - WEB.mil. Congress recently added restrictions on lobbying by former DOD officials. (Recommendation 9), Federal Research: Agencies Need to Enhance Policies to Address Foreign Influence. Warren: DoD Office of Strategic Capital 'too cozy' with private PDF Conflicts of Interest Sue operates a cosmetics sales business out of her home after hours. Once CMMC 2.0 is implemented, contractors will be required to obtain a third-party CMMC Level 2 assessment for a subset of acquisitions that involve information critical to national security. Personally: directly, includes the participation of subordinates when actually directed by the employee. New Federal Law Aims to Identify and Prevent or Mitigate - Venable 1435 0 obj <> endobj endstream endobj 1862 0 obj <>/Metadata 100 0 R/Outlines 127 0 R/PageLayout/OneColumn/Pages 1852 0 R/StructTreeRoot 1016 0 R/Type/Catalog>> endobj 1863 0 obj <>/Font<>>>/Rotate 0/StructParents 0/Tabs/S/Type/Page>> endobj 1864 0 obj <>stream Please complete and sign the certification if it is correct. DOD agreed with this recommendation. if the activity would require the employee to be disqualified from matters so central to the performance of the employee's official duties as to materially impair the employee's ability to carry out those duties. Janelle, a procurement specialist, is doing work as a Government employee on a contract worth $500,000. (Recommendation 3), The Secretary of Energy should develop an agency-wide policy on conflict of interest for grants, to address both financial and non-financial conflicts. hUmO0+45vU[2LmR%fJCk"vys;& 209.571-3 Policy. Conflicts of Interest Deskbook (2019) Presentation & Training Materials Presentation on Conflicts of Interest (2022) Forms OGE Form 202 - Notice of Conflict of Interest Referral Certificate of Divestiture Request Format Templates Sample Disqualification - Financial Interest No Screener Sample Disqualification - Financial Interest Screener GAO requested an update in February 2023 and is awaiting updates on the agency's plans to finalize its policy. If you have further questions, consult a DoDEA ethics counselor in the Office of the General Counsel. In such cases, your personal financial interest or your affiliations or relationships with other affected persons or entities may raise conflict-of-interest questions. DATES: Effective Date: December 29, 2010. An employee may not have outside employment or be involved in outside activity that conflicts with the official duties of the employees position. See 18 U.S.C. @B P 6BJ!(l TAc Separately, C3PAOs will be required to comply with ISO/IEC 17020 and the CAICO will be required to comply with ISO/IEC 17024 requirements. PDF July 9 The lawmaker asked Heidi Shyu, undersecretary of Defense for research and engineering and a 2023 Wash100 awardee, to respond by July 28 to a list of 18 questions with regard to how the newly established office works to prevent conflicts of interest. Will my organization need to be certified if it does not handle CUI? Benefits such as "Gold Card Memberships and any resulting benefits. As part of the CMMC 2.0 implementation, the DoD will approve all Cyber AB conflict of interest related policies that apply to the CMMC ecosystem. State v. Choudhry, 365 N.C. 215 (2011) (prosecutor, not defense counsel, brought to trial court's attention potential conflict that defense counsel previously represented a State's witness; judge's subsequent inquiry was hbbd``b`AD'`OL ./uDms@ VH
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