Transcript Slide 1

UARC TRAINING
24 October 2007
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Review of Internal Audit and Advisory
Services
California Conflict of Interest Laws and Regs
Organizational Conflict of Interest (OCI)
Whistleblower law
Internal Audit and Advisory
Services
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Independent University Service:
Director: Geri Gail
4 staff auditors
We are here to help you
My telephone contact: 831-459-2241
Website: http://audit.ucsc.edu/
Personal Conflict of Interest
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”
Potential Conflict Issues
Most common issues:
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Use of University resources for private
purposes: such as lab space or NASA
equipment
Employee-Vendor Relationships (buying from
a relative)
Receipt or giving Gifts
Travel Provided by Private Entities
Outside employment or personal start up
businesses
Organizational Conflict of
Interest
UARC Contractor and its employees have a
special relationships that can provide them
with access to both Government sensitive
and third party proprietary data.
Therefore: UARC Contractor and its
employees will not use any such data for
any purpose other than its performance
under the contract.
Organizational Conflict of
Interest
(FAR 2. 101): Definition of OCI
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.
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.
What this means to you!
It is your responsibility to inform
Associate Director Hogle that work you
are performing is contributing to a
statement of work that will be used a
competitive procurement.
What this means to you!
• inform the Associate Director if work you are
performing includes access to Governmentsensitive or third-party proprietary data.
• If 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.
Government-sensitive or third-party
proprietary data
1. This means you cannot share it with your
colleagues or other employees.
2. You cannot present it at a conference.
3. You cannot use it in a publication, unless those
actions are necessary for the performance of
the contract.
4. 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
Associate Director who will coordinate with the
Contracting Officer.
Unsolicited proposals
The UARC contract, Section H.4(c)(2), specifies
that the UARC shall not submit to the
Government an unsolicited proposal:
1. based on Government-sensitive data
2. or third-party data that has not been released
or otherwise made public
3. until one year after such data is made
available to the public.
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
Associate Director, (Larry Hogle)
• The review process should identify any
data to be used that would constitute an
organizational conflict of interest.
SUMMARY
All conflicts of interest :
1. weaken the public perception of research
integrity,
2. compromise the objectivity of professional
advice,
3. undermine confidence in the handling of
confidential information, and
4. reduce equitable access to opportunities to
participate in future contract work !!!
Points of Contact
• Questions regarding OCI or PCI can be directed
to any of the following individuals:
• UARC Associate Director – Larry Hogle
– (650) 604 – 0508
[email protected]
• Acting UARC Research Compliance Officer –
Pamela Pancoast
– 650-604-1284
– [email protected]
• UARC Director – William Berry
– (650) 604 – 0511
[email protected]
Reporting Improper Activities
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 employee’s official
duties, whether or not that action is within the scope of
his or her employment, and that
(1)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
(2)is economically wasteful, or involves gross misconduct,
incompetency, or inefficiency.”
What this means to you!
• Discuss your concern
with your supervisor
• 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.
Internal Audit Investigation Services
• UC Whistleblower policy and
Whistleblower protection policies:
• University website:
http://www.ucop.edu/ucophome/p
olicies/bfb/g29.html
• Campus Website: http://whistleblower.ucsc.edu/
• Internal Audit Website/ Geri Gail-Audit Director
http://audit.ucsc.edu/