PGI 209.406-3 Procedures.

(i) Investigation and referral. When referring any matter to the agency debarring and suspending

official for consideration, provide the following specific information and documentation, to the extent

practicable. Send two copies (one paper and one electronic) of each report, including enclosures.

(ii) For all referrals, provide the following:

(A) Name, address, and telephone number of the point of contact for the activity making the report.

(B) Name and address of the referred individual/contractor, CAGE code, and DUNS number, if

applicable.

(C) Name and addresses of the members of the board, principal officers, partners, owners, and

managers of the referred contractor.

(D) Name and addresses of all known affiliates, subsidiaries, or parent firms, and the nature of the

business relationship to the referred individual/contractor.

(E) If a contracting office initiates the report, the comments and recommendations of the contracting

officer and of each higher-level contracting review authority regarding—

(1) Whether to suspend or debar the contractor;

(2) Whether to apply limitations to the suspension or debarment;

(3) The period of any recommended debarment; and

(4) Whether to continue any current contracts with the contractor (or explain why a

recommendation regarding current contracts is not included).

(F) To the extent that this information is available through FPDS-NG, a list of other agencies that

hold current contracts with the referred individual/contractor.

(iii) For referrals based on judicial actions (indictments, convictions, civil judgments, etc.), provide

the following:

(A) Copies of indictments, judgments, and sentencing actions.

(B) Copies of investigative reports when authorized by the investigative agency.

(C) Witness statements or affidavits when authorized by the investigative agency.

(D) If judicial action is contract-related, the contract number, description of supplies or services, and

contract amount.

(iv) For “fact-based” referrals (no judicial action), for each contract affected by the misconduct or

poor performance being reported, provide the following:

(A) The contract number, description of supplies or services, contract amount, percentage of

completion, and amounts paid to and withheld from the contractor.
(B) Whether the contract is assigned under the Assignment of Claims Act and, if so, to whom.

(C) The contract fund citations involved, to expedite accurate return of funds to open accounts and

commands, as appropriate.

(D) For any other contracts outstanding with the contractor or any of its affiliates, the contract

number, description of supplies or services, and contract amount.

(E) A complete summary of all pertinent evidence and the status of any legal proceedings involving

the contractor.

(F) An estimate of any damages sustained by the Government as a result of the contractor’s action

(explain how the estimate was calculated).

(G) A copy of pertinent extracts of each pertinent contract.

(H) Copies of investigative reports when authorized by the investigative agency.

(I) Witness statements or affidavits when authorized by the investigative agency.

(J) A copy of any available determinations of nonresponsibility in accordance with FAR 9.105-2(a)(1).

(K) Any other appropriate exhibits or documentation.

(b) Decision making process.

(i) The agency debarring and suspending official shall follow the procedures and decision making

process stated in FAR 9.406-3(c) for proposed debarments and debarments) and FAR 9.407-3 (for

suspensions), DFARS Appendix H, and any agency-specific procedures that are to be provided to the

individual/contractor with the notice of proposed debarment or suspension, either by enclosure or

electronic reference.

(ii) The absence of a referral in accordance with this section, or the absence of any information

specified in this section, will not preclude the debarring and suspending official from making

decisions to suspend, propose for debarment, or debar an individual/contractor.

(iii) The signature of the debarring and suspending official on the notice of suspension, proposed

debarment, or debarment is sufficient evidence that the debarring and suspending official has made

the specified decision.

(iv) If a debarring and suspending official determines that a referral lacks sufficient evidence of a

cause for suspension or debarment, the debarring and suspending official may refer the matter for

further review or investigation, as appropriate, by an appropriate agency or other Government

entity, including a contracting activity, inspector general, auditing agency, or a criminal

investigative agency.

Parent topic: PGI 209.406 Debarment.