Policy on Anti-Kickback
1. Purpose
This policy establishes the Fermi Research Alliance, LLC (FRA) prohibition on kickbacks.
This policy is not a contract and is not intended to create any obligations on FRA. This policy may be terminated or changed by FRA at any time, with or without notice.
2. Scope
This scope of this policy includes all FRA activities to manage and operate the Fermi National Accelerator Laboratory under the prime contract with the Department of Energy (DOE).
3. Applicability
This policy applies to FRA and all FRA employees, Users, Affiliates, and Subcontractors.
4. Effective Date and Date Reviewed/Updated
This policy went into effect on October 31, 2019, it was updated on April 1, 2022, and its update was effective on September 13, 2023.
5. Policy
FRA Employees must conduct themselves with honesty, integrity, high ethical standards, and follow the law at all times – this includes avoiding an actual or apparent conflict of interest through kickbacks. FRA employees shall not engage – directly or indirectly – in any act constituting a kickback or attempted kickback.
It is a violation of law and FRA policy for any person to:
- Provide or attempt to provide or offer any kickback
- Solicit, accept, or attempt to accept any kickback; or
- Include, directly or indirectly, the amount of any kickback in the contract price charged to the FRA prime contract or by any subcontractor (at any tier).
The Policy on Gifts and Gratuities identifies the limited situations in which unsolicited gifts may be accepted.
FRA must report situations when it has reasonable grounds to believe that a violation of the Anti-Kickback law and this Policy on Anti-Kickback may have occurred. FRA also must cooperate fully with any federal agency investigation of a possible violation.
6. Definitions
Kickbacks include any money, fee, commission, credit, gift, gratuity, thing of value, or compensation of any kind that is provided for the purpose of improperly obtaining or rewarding favorable treatment in connection with any agreement involving FRA.
7. Responsibilities
The Office of General Counsel is responsible for maintaining this policy, ensuring lab-wide compliance, resolving employee questions and issues relating to potential kickbacks, resolving issues regarding reporting of reasonable grounds to believe that a violation has occurred, and coordinating cooperation with any investigation of a possible violation.
FRA Procurement is responsible for ensuring that any FRA employee participating in or administering a subcontract competition, award, or performance discloses any and all conflicts of interest, including any solicitation of, acceptance of, or attempted acceptance of any kickbacks. FRA Procurement also is responsible for using reasonable efforts to prevent and detect whether there are kickback amounts included, directly or indirectly, in the price charged for an FRA subcontract or lower tier subcontract.
FRA Employees are responsible for adhering to this policy by not engaging in the prohibited activities relating to kickbacks and by not making or influencing contract evaluations or awards if they have or appear to have a financial interest in the outcome. FRA employees also are responsible for reporting any reasonable belief that a violation of this policy has occurred to the Office of General Counsel (ogc@fnal.gov) and cooperating with any investigation of a potential violation.
8. Authorities
Prime Contract DE-AC02-07CH11359 Clause I.5 (FAR 52.203-7)
Federal Acquisition Regulation (FAR) 52.203-13
Anti-Kickback Enforcement Act of 1986, 41 U.S.C. §§ 8701-8707
False Claims Act, 31 U.S.C. §§ 3729-3733
9. Owner
The General Counsel is the owner of this policy.
10. Review Cycle
This policy shall be reviewed every three years.
11. Communication Plan
The Office of General Counsel will communicate this policy to all employees through posting on the website, and annual training will be required as part of the annual Code of Business Ethics and Conduct training.