Source: http://ecfr.io/Title-22/pt22.2.1006
Timestamp: 2018-08-15 12:41:10
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[22 CFR 1006] Title 22 Part 1006 : Code of Federal Regulations ';
Title 22 Part 1006
Title 22 → Chapter X → Part 1006
PART 1006—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT)
§1006.25 How is this part organized?
§1006.50 How is this part written?
§1006.75 Do terms in this part have special meanings?
§1006.100 What does this part do?
§1006.105 Does this part apply to me?
§1006.110 What is the purpose of the nonprocurement debarment and suspension system?
§1006.115 How does an exclusion restrict a person's involvement in covered transactions?
§1006.120 May we grant an exception to let an excluded person participate in a covered transaction?
§1006.125 Does an exclusion under the nonprocurement system affect a person's eligibility for Federal procurement contracts?
§1006.130 Does exclusion under the Federal procurement system affect a person's eligibility to participate in nonprocurement transactions?
§1006.135 May the Inter-American Foundation exclude a person who is not currently participating in a nonprocurement transaction?
§1006.140 How do I know if a person is excluded?
§1006.145 Does this part address persons who are disqualified, as well as those who are excluded from nonprocurement transactions?
§1006.200 What is a covered transaction?
§1006.205 Why is it important if a particular transaction is a covered transaction?
§1006.210 Which nonprocurement transactions are covered transactions?
§1006.215 Which nonprocurement transactions are not covered transactions?
§1006.220 Are any procurement contracts included as covered transactions?
§1006.225 How do I know if a transaction in which I may participate is a covered transaction?
§1006.300 What must I do before I enter into a covered transaction with another person at the next lower tier?
§1006.305 May I enter into a covered transaction with an excluded or disqualified person?
§1006.310 What must I do if a Federal agency excludes a person with whom I am already doing business in a covered transaction?
§1006.315 May I use the services of an excluded person as a principal under a covered transaction?
§1006.320 Must I verify that principals of my covered transactions are eligible to participate?
§1006.325 What happens if I do business with an excluded person in a covered transaction?
§1006.330 What requirements must I pass down to persons at lower tiers with whom I intend to do business?
§1006.335 What information must I provide before entering into a covered transaction with the Inter-American Foundation?
§1006.340 If I disclose unfavorable information required under §1006.335, will I be prevented from participating in the transaction?
§1006.345 What happens if I fail to disclose information required under §1006.335?
§1006.350 What must I do if I learn of information required under §1006.335 after entering into a covered transaction with the Inter-American Foundation?
§1006.355 What information must I provide to a higher tier participant before entering into a covered transaction with that participant?
§1006.360 What happens if I fail to disclose the information required under §1006.355?
§1006.365 What must I do if I learn of information required under §1006.355 after entering into a covered transaction with a higher tier participant?
Subpart D—Responsibilities of Inter-American Foundation Officials Regarding Transactions
§1006.400 May I enter into a transaction with an excluded or disqualified person?
§1006.405 May I enter into a covered transaction with a participant if a principal of the transaction is excluded?
§1006.410 May I approve a participant's use of the services of an excluded person?
§1006.415 What must I do if a Federal agency excludes the participant or a principal after I enter into a covered transaction?
§1006.420 May I approve a transaction with an excluded or disqualified person at a lower tier?
§1006.425 When do I check to see if a person is excluded or disqualified?
§1006.430 How do I check to see if a person is excluded or disqualified?
§1006.435 What must I require of a primary tier participant?
§1006.440 What method do I use to communicate those requirements to participants?
§1006.445 What action may I take if a primary tier participant knowingly does business with an excluded or disqualified person?
§1006.450 What action may I take if a primary tier participant fails to disclose the information required under §1006.335?
§1006.455 What may I do if a lower tier participant fails to disclose the information required under §1006.355 to the next higher tier?
§1006.500 What is the purpose of the Excluded Parties List System (EPLS)?
§1006.505 Who uses the EPLS?
§1006.510 Who maintains the EPLS?
§1006.515 What specific information is in the EPLS?
§1006.520 Who places the information into the EPLS?
§1006.525 Whom do I ask if I have questions about a person in the EPLS?
§1006.530 Where can I find the EPLS?
§1006.600 How do suspension and debarment actions start?
§1006.605 How does suspension differ from debarment?
§1006.610 What procedures does the Inter-American Foundation use in suspension and debarment actions?
§1006.615 How does the Inter-American Foundation notify a person of a suspension or debarment action?
§1006.620 Do Federal agencies coordinate suspension and debarment actions?
§1006.625 What is the scope of a suspension or debarment?
§1006.630 May the Inter-American Foundation impute conduct of one person to another?
§1006.635 May the Inter-American Foundation settle a debarment or suspension action?
§1006.640 May a settlement include a voluntary exclusion?
§1006.645 Do other Federal agencies know if the Inter-American Foundation agrees to a voluntary exclusion?
§1006.700 When may the suspending official issue a suspension?
§1006.705 What does the suspending official consider in issuing a suspension?
§1006.710 When does a suspension take effect?
§1006.715 What notice does the suspending official give me if I am suspended?
§1006.720 How may I contest a suspension?
§1006.725 How much time do I have to contest a suspension?
§1006.730 What information must I provide to the suspending official if I contest a suspension?
§1006.735 Under what conditions do I get an additional opportunity to challenge the facts on which the suspension is based?
§1006.740 Are suspension proceedings formal?
§1006.745 How is fact-finding conducted?
§1006.750 What does the suspending official consider in deciding whether to continue or terminate my suspension?
§1006.755 When will I know whether the suspension is continued or terminated?
§1006.760 How long may my suspension last?
§1006.800 What are the causes for debarment?
§1006.805 What notice does the debarring official give me if I am proposed for debarment?
§1006.810 When does a debarment take effect?
§1006.815 How may I contest a proposed debarment?
§1006.820 How much time do I have to contest a proposed debarment?
§1006.825 What information must I provide to the debarring official if I contest a proposed debarment?
§1006.830 Under what conditions do I get an additional opportunity to challenge the facts on which a proposed debarment is based?
§1006.835 Are debarment proceedings formal?
§1006.840 How is fact-finding conducted?
§1006.845 What does the debarring official consider in deciding whether to debar me?
§1006.850 What is the standard of proof in a debarment action?
§1006.855 Who has the burden of proof in a debarment action?
§1006.860 What factors may influence the debarring official's decision?
§1006.865 How long may my debarment last?
§1006.870 When do I know if the debarring official debars me?
§1006.875 May I ask the debarring official to reconsider a decision to debar me?
§1006.880 What factors may influence the debarring official during reconsideration?
§1006.885 May the debarring official extend a debarment?
§1006.900 Adequate evidence.
§1006.905 Affiliate.
§1006.910 Agency.
§1006.915 Agent or representative.
§1006.920 Civil judgment.
§1006.925 Conviction.
§1006.930 Debarment.
§1006.935 Debarring official.
§1006.940 Disqualified.
§1006.945 Excluded or exclusion.
§1006.950 Excluded Parties List System
§1006.955 Indictment.
§1006.960 Ineligible or ineligibility.
§1006.965 Legal proceedings.
§1006.970 Nonprocurement transaction.
§1006.975 Notice.
§1006.980 Participant.
§1006.985 Person.
§1006.990 Preponderance of the evidence.
§1006.995 Principal.
§1006.1000 Respondent.
§1006.1005 State.
§1006.1010 Suspending official.
§1006.1015 Suspension.
§1006.1020 Voluntary exclusion or voluntarily excluded.
Appendix to Part 1006—Covered Transactions
Authority: Sec. 2455, Pub. L. 103-355, 108 Stat. 3327 (31 U.S.C. 6101 note); E.O. 12549, 3 CFR, 1986 Comp., p. 189; E.O. 12689, 3 CFR, 1989 Comp., p. 235.
A general information about this rule.
B the types of Inter-American Foundation transactions that are covered by the Governmentwide nonprocurement suspension and debarment system.
D the responsibilities of Inter-American Foundation officials who are authorized to enter into covered transactions.
E the responsibilities of Federal agencies for the Excluded Parties List System (Disseminated by the General Services Administration).
J [Reserved]
(1) a participant or principal in a nonprocurement transaction A, B, C, and I.
(4) a suspending official A, B, D, E, F, G and I.
(5) a debarring official A, B, D, E, F, H and I.
(6) a (n) Inter-American Foundation official authorized to enter into a covered transaction A, B, D, E and I.
(7) Reserved J.
(b) Pronouns used within this part, such as “I” and “you,” change from subpart to subpart depending on the audience being addressed. The pronoun “we” always is the Inter-American Foundation.
(c) The “Covered Transactions” diagram in the appendix to this part shows the levels or “tiers” at which the Inter-American Foundation enforces an exclusion under this part.
This part adopts a governmentwide system of debarment and suspension for Inter-American Foundation nonprocurement activities. It also provides for reciprocal exclusion of persons who have been excluded under the Federal Acquisition Regulation, and provides for the consolidated listing of all persons who are excluded, or disqualified by statute, executive order, or other legal authority. This part satisfies the requirements in section 3 of Executive Order 12549, “Debarment and Suspension” (3 CFR 1986 Comp., p. 189), Executive Order 12689, “Debarment and Suspension” (3 CFR 1989 Comp., p. 235) and 31 U.S.C. 6101 note (Section 2455, Public Law 103-355, 108 Stat. 3327).
Portions of this part (see table at §1006.25(b)) apply to you if you are a(n)—
(b) Respondent (a person against whom the Inter-American Foundation has initiated a debarment or suspension action);
(c) Inter-American Foundation debarring or suspending official; or
(d) Inter-American Foundation official who is authorized to enter into covered transactions with non-Federal parties.
With the exceptions stated in §§1006.120, 1006.315, and 1006.420, a person who is excluded by the Inter-American Foundation or any other Federal agency may not:
(a) Be a participant in a(n) Inter-American Foundation transaction that is a covered transaction under subpart B of this part;
(a) The Inter-American Foundation Debarring Official may grant an exception permitting an excluded person to participate in a particular covered transaction. If the Inter-American Foundation Debarring Official grants an exception, the exception must be in writing and state the reason(s) for deviating from the governmentwide policy in Executive Order 12549.
(1) Inter-American Foundation transactions for which a disqualified person is ineligible. Those transactions vary on a case-by-case basis, because they depend on the language of the specific statute, Executive order, or regulation that caused the disqualification;
(1) The person who entered into the transaction with you allows you to continue your involvement in a transaction that predates your exclusion, as permitted under §1006.310 or §1006.415; or
(2) A(n) Inter-American Foundation official obtains an exception from the Inter-American Foundation Debarring Official to allow you to be involved in the transaction, as permitted under §1006.120.
All nonprocurement transactions, as defined in §1006.970, are covered transactions unless listed in §1006.215. (See appendix to this part.)
(d) A transaction that the Inter-American Foundation needs to respond to a national or agency-recognized emergency or disaster.
(e) A permit, license, certificate, or similar instrument issued as a means to regulate public health, safety, or the environment, unless the Inter-American Foundation specifically designates it to be a covered transaction.
(1) The contract is awarded by a participant in a nonprocurement transaction that is covered under §1006.210, and the amount of the contract is expected to equal or exceed $25,000.
(2) The contract requires the consent of a(n) Inter-American Foundation official. In that case, the contract, regardless of the amount, always is a covered transaction, and it does not matter who awarded it. For example, it could be a subcontract awarded by a contractor at a tier below a nonprocurement transaction, as shown in the appendix to this part.
(a) You as a participant may not enter into a covered transaction with an excluded person, unless the Inter-American Foundation grants an exception under §1006.120.
(b) You may not renew or extend covered transactions (other than no-cost time extensions) with any excluded person, unless the Inter-American Foundation grants an exception under §1006.120.
(b) You may not begin to use the services of an excluded person as a principal under a covered transaction unless the Inter-American Foundation grants an exception under §1006.120.
(a) Comply with this subpart as a condition of participation in the transaction. You may do so using any method(s), unless §1006.440 requires you to use specific methods.
Before you enter into a covered transaction at the primary tier, you as the participant must notify the Inter-American Foundation office that is entering into the transaction with you, if you know that you or any of the principals for that covered transaction:
(b) Have been convicted within the preceding three years of any of the offenses listed in §1006.800(a) or had a civil judgment rendered against you for one of those offenses within that time period;
(c) Are presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses listed in §1006.800(a); or
As a primary tier participant, your disclosure of unfavorable information about yourself or a principal under §1006.335 will not necessarily cause us to deny your participation in the covered transaction. We will consider the information when we determine whether to enter into the covered transaction. We also will consider any additional information or explanation that you elect to submit with the disclosed information.
If we later determine that you failed to disclose information under §1006.335 that you knew at the time you entered into the covered transaction, we may—
At any time after you enter into a covered transaction, you must give immediate written notice to the Inter-American Foundation office with which you entered into the transaction if you learn either that—
(a) You failed to disclose information earlier, as required by §1006.335; or
(b) Due to changed circumstances, you or any of the principals for the transaction now meet any of the criteria in §1006.335.
(a) You failed to disclose information earlier, as required by §1006.355; or
(b) Due to changed circumstances, you or any of the principals for the transaction now meet any of the criteria in §1006.355.
(a) You as an agency official may not enter into a covered transaction with an excluded person unless you obtain an exception under §1006.120.
As an agency official, you may not enter into a covered transaction with a participant if you know that a principal of the transaction is excluded, unless you obtain an exception under §1006.120.
After entering into a covered transaction with a participant, you as an agency official may not approve a participant's use of an excluded person as a principal under that transaction, unless you obtain an exception under §1006.120.
(b) You may not renew or extend covered transactions (other than no-cost time extensions) with any excluded person, or under which an excluded person is a principal, unless you obtain an exception under §1006.120.
(a) A covered transaction with a person who is currently excluded, unless you obtain an exception under §1006.120; or
(a) You as an agency official must check the EPLS when you take any action listed in §1006.425.
(b) You must review information that a participant gives you, as required by §1006.335, about its status or the status of the principals of a transaction.
To communicate the requirements to participants, you must include a term or condition in the transaction requiring the participant's compliance with Subpart C of this part and requiring them to include a similar term or condition in lower tier covered transactions.
If you as an agency official determine that a participant failed to disclose information, as required by §1006.335, at the time it entered into a covered transaction with you, you may—
If you as an agency official determine that a lower tier participant failed to disclose information, as required by §1006.355, at the time it entered into a covered transaction with a participant at the next higher tier, you may pursue any remedies available to you, including the initiation of a suspension or debarment action.
(a) Federal agency officials use the EPLS to determine whether to enter into a transaction with a person, as required under §1006.430.
(1) Principals of their transactions are excluded or disqualified, as required under §1006.320; or
(a) Information required by §1006.515(a);
(b) As of November 26, 2003, you may also subscribe to a printed version. However, we anticipate discontinuing the printed version. Until it is discontinued, you may obtain the printed version by purchasing a yearly subscription from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402, or by calling the Government Printing Office Inquiry and Order Desk at (202) 783-3238.
(1) Have adequate evidence that there may be a cause for debarment of a person; and
(2) Conclude that immediate action is necessary to protect the Federal interest Must conclude, based on a preponderance of the evidence, that the person has engaged in conduct that warrants debarment.
(a) There exists an indictment for, or other adequate evidence to suspect, an offense listed under §1006.800(a), or
(b) There exists adequate evidence to suspect any other cause for debarment listed under §1006.800(b) through (d); and
(d) Of the cause(s) upon which we relied under §1006.700 for imposing suspension;
(f) Of the applicable provisions of this subpart, Subpart F of this part, and any other Inter-American Foundation procedures governing suspension decision making; and
(b) If you fail to disclose this information, or provide false information, the Inter-American Foundation may seek further criminal, civil or administrative action against you, as appropriate.
(b) A transcribed record of fact-finding proceedings must be made, unless you as a respondent and the Inter-American Foundation agree to waive it in advance. If you want a copy of the transcribed record, you may purchase it.
(2) Knowingly doing business with an ineligible person, except as permitted under §1006.120;
(4) Violation of a material provision of a voluntary exclusion agreement entered into under §1006.640 or of any settlement of a debarment or suspension action; or
After consideration of the causes in §1006.800 of this subpart, if the debarring official proposes to debar you, the official sends you a Notice of Proposed Debarment, pursuant to §1006.615, advising you—
(c) Of the cause(s) under §1006.800 upon which the debarring official relied for proposing your debarment;
(d) Of the applicable provisions of this subpart, Subpart F of this part, and any other Inter-American Foundation procedures governing debarment; and
(1) Specific facts that contradict the statements contained in the Notice of Proposed Debarment. Include any information about any of the factors listed in §1006.860. A general denial is insufficient to raise a genuine dispute over facts material to the debarment;
(a) The debarring official may debar you for any of the causes in §1006.800. However, the official need not debar you even if a cause for debarment exists. The official may consider the seriousness of your acts or omissions and the mitigating or aggravating factors set forth at §1006.860.
(b) In determining the period of debarment, the debarring official may consider the factors in §1006.860. If a suspension has preceded your debarment, the debarring official must consider the time you were suspended.
(b) The debarring official sends you written notice, pursuant to §1006.615 that the official decided, either—
Notice means a written communication served in person, sent by certified mail or its equivalent, or sent electronically by e-mail or facsimile. (See §1006.615.)