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CON 3910 FLASHCARDS (PUBLIC) > Standards of Conduct > Flashcards

Standards of Conduct Flashcards

1
Q

What ethical behavior is expected from contract managers?

A

Contract managers must conduct themselves in a manner that brings credit upon the profession and conduct business in good faith.

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2
Q

What is the purpose of the Standards of Conduct in contract management?

A

To create trust and confidence in the integrity of the contract management process.

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3
Q

How should government business be conducted according to the ethical standards?

A

In a manner above reproach, with complete impartiality and with preferential treatment for none.

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4
Q

What do FAR 3.101-3 and Executive Order 11222 require agencies to prescribe?

A

They require agencies to prescribe ‘Standards of Conduct’ which include disciplinary measures for violations.

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5
Q

What must Government personnel’s official conduct allow for regarding public disclosure?

A

Their official conduct must be such that they would have no reluctance to make a full public disclosure of their actions.

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6
Q

What is the overarching rule on accepting gifts from contractor/employees according to FAR 3.101-2?

A

You may not solicit gifts from anyone, for any reason, and Federal employees are prohibited from soliciting or accepting gifts offered because of their official position.

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7
Q

What constitutes a ‘prohibited source’ in the context of accepting gifts?

A

A prohibited source is a company that offers gifts to Federal employees because of their official position.

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8
Q

What is the general rule regarding conflicts of interest in Government-contractor relationships?

A

The general rule is to avoid strictly any conflict of interest or even the appearance of a conflict of interest.

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9
Q

What are the potential consequences of accepting kickbacks, bribes, or gratuities?

A

The potential consequences include fines, loss of job, and imprisonment.

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10
Q

What is the purpose of the Anti-Kickback Act of 1986?

A

The purpose of the Anti-Kickback Act of 1986 is to deter subcontractors from making payments and contractors from accepting payments for the purpose of improperly obtaining or rewarding favorable treatment.

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11
Q

What should a government official do regarding gifts given due to their official position?

A

A government official may not accept gifts given to them because of their official position.

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12
Q

What measures are in place to protect the integrity of the procurement system regarding contractor bid information?

A

One of the measures in place is that no person or entity may disclose contractor bid or proposal information or source selection information to any person other than a person authorized in accordance with applicable agency regulations.

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13
Q

What does the Kickbacks statute prohibit?

A

The Kickbacks statute prohibits providing, attempting to provide, or offering to provide any kickback

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14
Q

What penalties are imposed under the Kickbacks statute for knowingly engaging in prohibited conduct?

A

The Kickbacks statute imposes criminal penalties on any person who knowingly and willfully engages in prohibited conduct and provides for the recovery of civil penalties by the United States from any person who knowingly engages in such conduct.

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15
Q

What is the definition of ‘contractor bid or proposal information’ as per FAR 3.104-4(a)?

A

It refers to any information submitted to a Federal agency as part of a bid or proposal for a procurement contract that has not been made available to the public, including cost or pricing data, indirect costs, direct labor rates, and proprietary information marked by the contractor.

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16
Q

What types of information are included in contractor bid or proposal information?

A

Cost or pricing data, indirect costs, direct labor rates, proprietary information about manufacturing processes, and information marked as ‘contractor bid or proposal information’.

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17
Q

What must be completed and signed before providing contractor bid or proposal information to third parties?

A

A Non-Disclosure Agreement (NDA) must be completed and signed.

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18
Q

What should individuals responsible for preparing source selection information mark on the cover page and each relevant page?

A

The legend ‘Source Selection Information-See FAR 2.101 and 3.104.’

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19
Q

What must contractor bid or proposal information and source selection information be protected from?

A

Unauthorized disclosure in accordance with FAR 14.401, FAR 15.207, applicable law, and agency regulations.

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20
Q

Who is allowed to disclose contractor bid or proposal information or source selection information?

A

Only persons authorized in accordance with applicable law and regulations.

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21
Q

What types of information are considered Source Selection Information?

A

Types of Source Selection Information include bid prices submitted in response to an agency invitation for bids, proposed costs or prices submitted in response to an agency solicitation, source selection plans, technical evaluation plans, technical evaluations of proposals, cost or price evaluations of proposals, competitive range determinations, and rankings of bids or proposals.

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22
Q

What is Source Selection Information according to FAR 2.101?

A

Source Selection Information refers to any information prepared for use by an agency to evaluate a bid or proposal for a procurement contract, which has not been previously made available to the public.

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23
Q

What is the significance of marking information as ‘Source Selection Information’?

A

Marking information as ‘Source Selection Information’ indicates that its disclosure could jeopardize the integrity or successful completion of the procurement process.

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24
Q

What happens if a contractor does not respond to the contracting officer’s notice regarding marking justification?

A

If the contractor does not respond within the specified time, the contracting officer may remove the marking and release the information.

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25
Q

According to FAR 3.104-4(d), what must be done if a contractor agrees that the marking is not justified?

A

If the contractor agrees that the marking is not justified, the contracting officer may remove the marking and release the information.

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26
Q

What must the contracting officer do if they believe proprietary information has been inappropriately marked?

A

The contracting officer must notify the contractor in writing and give them an opportunity to justify the marking.

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27
Q

What must a contracting officer do before releasing proprietary technical data marked by a contractor?

A

Notify the contractor in writing before releasing the information, as failing to do so could result in legal implications and breach of confidentiality agreements.

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28
Q

Under what conditions are special Government employees considered Government employees for contract purposes?

A

If the contract arises directly out of the individual’s activity as a special Government employee, if they are in a position to influence the award of the contract, or if another conflict of interest is determined to exist.

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29
Q

What is the purpose of the policy that prohibits awarding contracts to Government employees?

A

To avoid any conflict of interest that might arise between the employees’ interests and their Government duties, and to avoid the appearance of favoritism or preferential treatment by the Government toward its employees.

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30
Q

What does FAR 3.601 prohibit regarding contracts with Government employees?

A

It prohibits knowingly awarding a contract to a Government employee or to a business concern owned or controlled by Government employees.

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31
Q

What is a personal conflict of interest according to FAR part 3?

A

A personal conflict of interest is a situation where a covered employee has a financial interest, personal activity, or relationship that could impair their ability to act impartially and in the best interest of the Government when performing under the contract.

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32
Q

What does FAR 3.1101 state about de minimis interests?

A

FAR 3.1101 states that a de minimis interest that would not impair the employee’s ability to act impartially and in the best interest of the Government is not covered under the definition of personal conflicts of interest.

33
Q

How can personal conflicts of interest arise for contractor staff?

A

Personal conflicts of interest can arise when contractor staff, including spouses and dependent children, receive personal financial rewards from external entities that may bias their judgment or compromise their ability to fulfill contractual obligations.

34
Q

What is an Organizational Conflict of Interest (OCI)?

A

An OCI is a situation where a contractor may be unable to render impartial advice to the government, may have impaired objectivity in performing contracted work, or may obtain an unfair competitive advantage.

35
Q

What risks are associated with contractors assessing the work of other contractors?

A

The risks include several layers of conflicts of interest and the potential for inappropriate transfer of proprietary information.

36
Q

What are the three broad categories of Organizational Conflict of Interest (OCI)?

A

The three broad categories of OCI are Unequal Access, Impaired Objectivity, and Biased Ground Rules.

37
Q

What is the duty of government professionals regarding divided loyalty?

A

It is the government professional’s duty to ensure that divided loyalty is not permitted to occur or to continue when discovered.

38
Q

What can introduce an unfair competitive advantage in government contracting?

A

An unfair competitive advantage can be introduced when the contractor sets the ground rules of procurement, thereby biasing a future competition.

39
Q

What does Organizational Conflict of Interest (OCI) imply about a person’s ability to assist the government?

A

OCI implies that a person is unable or potentially unable to render impartial assistance or advice to the government, or their objectivity in performing contract work is impaired.

40
Q

What is the essence of Organizational Conflict of Interest (OCI)?

A

The essence of OCI is divided loyalty between the best interests of a particular contractor and the best interests of the government.

41
Q

What is impaired objectivity in the context of government contracting?

A

Impaired objectivity occurs when a support contractor is involved in assessing or evaluating itself or a related entity, which can compromise the integrity of the evaluation process.

42
Q

What is an unfair competitive advantage in government contracting?

A

An unfair competitive advantage occurs when a contractor obtains information not generally available to competitors that assists them in winning a contract award.

43
Q

What are examples of situations that may lead to impaired objectivity?

A

Providing proposal evaluation services, reviewing the contractor’s own or an affiliate’s work product, or providing advice in supporting the Government’s decision-making process.

44
Q

What types of information can create an unfair competitive advantage?

A

Proprietary information obtained from a government official without proper authorization, source selection information not available to all competitors, or any substantive information regarding the acquisition not equally available to other potential offerors.

45
Q

What is a potential Organizational Conflict of Interest (OCI)?

A

A contractor has a potential conflict of interest if the work to be performed under the contract places the contractor in a position where its objectivity might be called into question, but no information has yet indicated that an actual motive for bias exists.

46
Q

What defines an actual Organizational Conflict of Interest (OCI)?

A

A contractor has an actual conflict of interest if information has come to light that would cause a reasonable person to question the contractor’s objectivity.

47
Q

What is an example of a situation that could lead to a potential OCI?

A

A contractor employee will have access to source selection sensitive information because he is assisting the Agency in evaluating competitive proposals, which creates a potential for impaired objectivity.

48
Q

What are the three basic approaches available to contractors and the Agency for dealing with Organizational Conflicts of Interest (OCI) issues?

A

The three basic approaches are Avoid, Neutralize, and Mitigate.

49
Q

What does the ‘Mitigate’ approach involve in the context of OCI?

A

The ‘Mitigate’ approach involves reducing or alleviating the impact of unavoidable OCIs to an acceptable level of risk, ensuring that the government’s interests regarding fair competition and contract performance are not prejudiced, often through an OCI mitigation plan.

50
Q

How can a contractor ‘Neutralize’ an OCI?

A

A contractor can ‘Neutralize’ an OCI by taking specific actions to negate potential or actual OCI related to objectivity during contract performance or unfair competitive advantage, such as encouraging support contractor recusal or limiting their participation in source selection activities.

51
Q

What does the ‘Avoid’ approach entail in dealing with OCI?

A

The ‘Avoid’ approach involves preventing the occurrence of an actual or potential OCI by actions such as excluding sources from competition or eliminating a segment of work from a contract or task.

52
Q

What should be done if an OCI exists?

A

If an OCI exists, it may be best to cancel the RFP and make any needed changes to eliminate the conflict.

53
Q

What is required for transactions involving public funds?

A

Transactions relating to the expenditure of public funds require the highest degree of public trust and an impeccable standard of conduct.

54
Q

Can you award a contract if there is an Organizational Conflict of Interest (OCI)?

A

Yes, FAR 9.504(e) permits award if the Contracting Officer determines that it is in the best interest of the United States and submits a waiver request approved by the Head of the Contracting Activity.

55
Q

What must be communicated to the parties if no OCI exists?

A

The parties need to be informed that, in the Contracting Officer’s view, an OCI does not exist, along with the rationale for this decision.

56
Q

When is the contracting officer’s judgment required to be formally documented?

A

The contracting officer’s judgment needs to be formally documented only when a substantive issue concerning potential organizational conflict of interest exists.

57
Q

What should contracting officers do before issuing a solicitation for a contract that may involve a significant potential conflict?

A

The contracting officer shall recommend to the head of the contracting activity a course of action for resolving the conflict.

58
Q

What should contracting officers avoid in fulfilling their responsibilities for identifying and resolving potential conflicts?

A

Contracting officers should avoid creating unnecessary delays, burdensome information requirements, and excessive documentation.

59
Q

What is the role of counsel and technical specialists in the evaluation of potential conflicts by contracting officers?

A

Contracting officers should obtain the advice of counsel and the assistance of appropriate technical specialists in evaluating potential conflicts and in developing necessary solicitation provisions and contract clauses.

60
Q

What is the primary responsibility of contracting officers regarding organizational conflicts of interest?

A

Contracting officers shall analyze planned acquisitions to identify and evaluate potential organizational conflicts of interest as early as possible and avoid, neutralize, or mitigate significant potential conflicts before contract award.

61
Q

What is required if a contracting officer finds it is in the best interest of the United States to award a contract despite a conflict of interest?

A

A request for waiver shall be submitted in accordance with FAR 9.503, and the waiver request and decision shall be included in the contract file.

62
Q

What should a contractor have to promote compliance with business ethics and conduct?

A

Contractors should have a written code of business ethics and conduct, an employee business ethics and compliance training program, and an internal control system.

63
Q

What should the internal control system of a contractor facilitate?

A

The internal control system should facilitate timely discovery and disclosure of improper conduct in connection with Government contracts and ensure corrective measures are promptly instituted and carried out.

64
Q

What must a contracting officer do before withholding an award based on conflict of interest considerations?

A

The contracting officer shall notify the contractor, provide the reasons for withholding the award, and allow the contractor a reasonable opportunity to respond.

65
Q

According to FAR 3.1002, how must government contractors conduct themselves?

A

Government contractors must conduct themselves with the highest degree of integrity and honesty.

66
Q

What can lead to a contractor being suspended or debarred in relation to a Government contract?

A

A contractor may be suspended and/or debarred for knowing failure by a principal to timely disclose credible evidence of a violation of Federal criminal law involving fraud, conflict of interest, bribery, or gratuity violations, or a violation of the civil False Claims Act.

67
Q

What must an agency official do if contacted by an offeror regarding possible non-Federal employment during a procurement process?

A

The official must promptly report the contact in writing to their supervisor and to the agency ethics official, and either reject the possibility of non-Federal employment or disqualify themselves from further participation in that procurement until authorized to resume.

68
Q

What does 10 U.S.C. 4701 prohibit regarding employee treatment in relation to disclosures?

A

It prohibits contractors and subcontractors from discharging, demoting, or otherwise discriminating against an employee as a reprisal for disclosing information that the employee reasonably believes indicates gross mismanagement, waste of funds, abuse of authority, violations of law, or dangers to public health or safety.

69
Q

What does DFARS subpart 203.9 pertain to?

A

Whistleblower Protections For Contractor Employees in the Department of Defense (DoD).

70
Q

To which entities may disclosures be made under DFARS subpart 203.9?

A

Disclosures may be made to a Member of Congress, an Inspector General, the Government Accountability Office, a DoD employee responsible for contract oversight, an authorized official of the Department of Justice, a court or grand jury, or a management official of the contractor or subcontractor.

71
Q

What system do executive agencies use to maintain publicly available information about unclassified contract actions?

A

Executive agencies shall use the Federal Procurement Data System (FPDS) to maintain publicly available information about all unclassified contract actions exceeding the micro-purchase threshold.

72
Q

What does the Federal Funding Accountability and Transparency Act of 2006 require regarding unclassified Federal award data?

A

The Act requires that all unclassified Federal award data must be publicly accessible.

73
Q

What constitutes a disclosure by an employee regarding contractor misconduct on a DoD contract?

A

An employee who initiates or provides evidence of contractor or subcontractor misconduct in any judicial or administrative proceeding relating to waste, fraud, or abuse on a DoD contract shall be deemed to have made a disclosure.

74
Q

What does the Anti-Kickback Act of 1986 prohibit?

A

The Anti-Kickback Act prohibits providing, attempting to provide, or offering to provide any kickback, soliciting, accepting, or attempting to accept any kickback, and including the amount of any kickback in the contract price charged by a subcontractor or prime contractor.

75
Q

Is accepting a gift of over $100 throughout the course of a calendar year prohibited by the Anti-Kickback Act?

A

Yes, accepting a gift of over $100 throughout the course of a calendar year is prohibited.

76
Q

What is a ‘personal conflict of interest’ in the context of defense contracting?

A

A situation where an individual employed by a defense contractor can materially influence DOD’s recommendations or decisions and may lack objectivity due to personal activities, relationships, or financial interests.

77
Q

Are federal employees prohibited from soliciting or accepting gifts offered because of their official position?

A

True

78
Q

What are the broad categories of Organizational Conflicts of Interest (OCI)?

A

Source Selection Sensitive, Unequal access, Impaired Objectivity, Biased Ground Rules

CON 3910 FLASHCARDS (PUBLIC) (14 decks)

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