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UARC TRAINING 23 October 2006. Introduction to Internal Audit and Advisory Services California Conflict of Interest Laws and Regs Institutional Conflict of Interest (OCI) Whistleblower law. Internal Audit and Advisory Services. Independent University Service : Director: Geri Gail

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uarc training 23 october 2006
UARC TRAINING23 October 2006
  • Introduction to Internal Audit and Advisory Services
  • California Conflict of Interest Laws and Regs
  • Institutional Conflict of Interest (OCI)
  • Whistleblower law
internal audit and advisory services
Internal Audit and Advisory Services
  • Independent University Service:
  • Director: Geri Gail
  • 4 staff auditors
  • We are here to help you
  • My telephone contact: 831-459-2241
  • Website: Includes links and information on conflict of interest and university policies
internal audit and advisory services1
Internal Audit and Advisory Services
  • Consultations- where to find policies, etc.
  • Routine Scheduled Audits: 2006 plan: audits of consolidation efforts in Human Resources, Purchasing/Accounting, and Information Services
  • Investigations of misconduct and theft. Receives whistleblower complaints
  • External Audit Coordination- federal and state audits. We help you through the process.
  • Conflict of Interest Coordination- Here to help work through issues before problems arise.
    • Geri Gail is the UCSC Conflict of Interest Coordinator
internal audit conflict of interest coordination
Internal Audit Conflict of Interest Coordination
  • State of California Conflict of Interest Law advice.
  • Purchasing Conflict of Interest
  • State law regarding consultants
  • Law is complex and has many regulations and case history.
personal conflict of interest
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
Potential Conflict Issues
  • Hiring of Relatives
  • Use of University resources for private purposes: such as lab space or UARC equipment
  • Employee-Vendor Relationships (buying from a relative)
  • Receipt or giving Gifts and Gratuities
  • Travel Provided by Private Entities
  • Certain honoraria payments
  • Outside employment
  • Post Employment restrictions
  • Consultants- no follow-on contracts
what this means to you
What this means to you!
  • When considering outside employment, please contact either the UARC Director or Associate Director (Larry Hogle) for preliminary discussions.
  • Need to determine post-employment restrictions: State law restricts UC employee from working as a consultant to up to 2 years after leaving UC.
organizational conflict of interest
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 interest1
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 adviceto the Government
  • or the person's objectivityin performing the contract work is or might be otherwise impaired,
  • or a person has an unfair competitive advantage.
oci in government contracting
OCI in Government Contracting

By virtue of access to non-publicGovernment 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
oci in government contracting1
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 you1
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 in 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 Associate Director. (Larry Hogle)
specific uarc oci contract requirements
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.”

what this means to you2
What this means to you!
  • It is your responsibility to inform the Associate Director that work you are performing includes access to Government-sensitive or 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.
government sensitive or third party proprietary data
Government-sensitive or third-party proprietary data
  • 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 Associate Director who will coordinate with the Contracting Officer.
b unsolicited proposals
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”

unsolicited proposals
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.
what this means to you3
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.

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 !!!

Under the terms of the UARC contract:

  • UC is bound by the restrictive legends applied to government or third party data, and 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.
points of contact
Points of Contact
  • Questions regarding OCI or PCI can be directed to any of the following individuals:
  • UARC Associate Director – Larry Hogle
  • UARC Research Compliance Officer –Scott Fong
  • UARC Director – William Berry
reporting improper activities
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

  • 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.”
what this means to you4
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
Internal Audit Investigation Services
  • UC Whistleblower policy and Whistleblower protection policies:
  • University website:
  • Campus Website: