Missouri Code of State Regulations › Title 4 - Department of Economic Development › Division 170 - Missouri Housing Development Commission › Chapter 8 - Debarment and Suspension Policy › Section 4 CSR 170-8.010 - Definitions

Current through Register Vol. 49, No. 14, July 15, 2024
PURPOSE: This rule defines terms used in 4 CSR
				  170-8.
(1) When used in this
				chapter, the following terms shall have the following meaning:
(A) Adequate evidence. Information sufficient
				to support the reasonable belief that a particular act or omission has
				occurred;
(B) Affiliate. Persons
				are affiliates of each other if, directly or indirectly, either one controls or
				has the power to control the other or a third person has control or has the
				power to control both. The ways used to determine control include, but are not
				limited to:
a) interlocking management or
				ownership;
b) identity of interest
				among family members;
c) shared
				facilities and equipment;
d) common
				use of employees; or
e) a business
				entity which has been organized following the exclusion of a person which has
				the same or similar management, ownership, or principal employees as the
				excluded person;
(C)
				Civil judgment. The disposition of a civil action by any court of competent
				jurisdiction, whether entered by verdict, decision, settlement, stipulation, or
				otherwise creating a civil liability for the wrongful acts complained of; or a
				final determination of liability under the Program Fraud Civil Remedies Act of
				1986 ( 31 U.S.C. 3801-12 );
(D)
				Commission. A governmental instrumentality of the state and a body corporate
				and politic created by Chapter 215, RSMo, and supplemented in Appendix B-1 to
				the Missouri Omnibus Reorganization Act of 1974;
(E) Commissioners. The appointed and ex
				officio members of the commission or their lawfully authorized
				designees;
(F) Commission
				subcommittee. A subgroup of the commission consisting of at least three (3)
				persons selected by the commission at the annual meeting of the commission (as
				defined in the Missouri Housing Development Commission (MHDC) bylaws) to which,
				among other responsibilities, is charged with carrying out the duties assigned
				to it under
				4 CSR
				170-8.140;
(G) Competent and substantial evidence.
				Evidence that is reliable and probative and which a reasonable mind could
				accept as adequate to support a conclusion (i.e., evidence upon which the
				suspending official or debarring official could reasonably base its
				decision);
(H) Conviction. A
				judgment or conviction of a criminal offense by any court of competent
				jurisdiction, whether entered upon a verdict or a plea, including a plea of
nolo contendere
;
(I) Counsel. An attorney or other legal
				advisor;
(J) Covered transaction.
				Any activity supported in part or in whole with funds and/or resources
				administered, granted, or disbursed by MHDC, including but not limited to
				grants, developments, or contracts for work paid for through funds and/or
				resources;
(K) Debarment. An action
				taken by a debarring official in accordance with these regulations to exclude a
				person from participating in covered transactions. A person so excluded is
				"debarred";
(L) Debarring official.
				A commission subcommittee which is authorized to impose debarment following
				review of evidence and/or a hearing;
(M) Disqualification. Refers to a prohibition
				of a person from participation in one (1) or more programs or covered
				transactions for inability to meet some rule or basic requirement for
				participation outside of the terms of a suspension or debarment;
(N) Excluded Parties List System (EPLS). List
				of parties debarred or otherwise excluded from receiving federal contracts
				maintained by the General Services Administration pursuant to
				48 CFR
				9.404;
(O) Excluded person. Refers to a person
				prohibited from participation in one (1) or more programs or covered
				transactions with the commission by virtue of being suspended or debarred under
				this chapter;
(P) Exclusion or
				excluded. Refers to a prohibition of a person from participation in one (1) or
				more programs or covered transactions with the commission by virtue of being
				suspended or debarred under this chapter;
(Q) Executive director. The person selected
				by the commissioners to serve as the chief executive of the MHDC;
(R) Funds. All monetary assistance granted
				and/or loaned by MHDC in relation to covered transactions, including but not
				limited to HOME funds, Missouri Housing Trust Funds, Affordable Housing
				Assistance Program, tax credit, and MHDC fund balance;
(S) General counsel. Chief lawyer of the
				MHDC;
(T) Grantee/subgrantee. A
				person or persons receiving funds in the form of a grant through an MHDC
				covered transaction, or a person subordinate to them who receives those grant
				funds from the grantee as part of an MHDC covered transaction;
(U) Identity of interest. An identity of
				interest relationship exists if any officer, corporate director, board member,
				or authorized agent of any participant-
1. Is
				also an officer, corporate director, board member, or authorized agent of any
				other participant or subparticipant;
2. Has a financial interest in any other
				participant or subparticipant;
3.
				Is a business partner of an officer, corporate director, board member, or
				authorized agent of any other participant or sub-participant;
4. Has a family relationship through blood,
				marriage, or adoption with an officer, corporate director, board member, or
				authorized agent of any participant or subparticipant; or
5. Advanced any funds or items of value to
				the sponsor/borrower participant;
(V) Indictment. Formal written accusation of
				a crime made by a grand jury and presented to a court of competent jurisdiction
				for prosecution against the accused person;
(W) Member of the immediate family. Refers to
				any spouse, child, parent, or sibling of any person;
(X) MHDC. Missouri Housing Development
				Commission;
(Y) Ownership interest.
				An ownership interest shall be deemed to exist if a person, or member of the
				immediate family of a person, owns or controls, either directly or indirectly,
				more than twenty percent (20%) of the profits or assets of a firm, association,
				or partnership or more than twenty percent (20%) of the stock in a corporation
				for profit;
(Z) Participant. Any
				person who submits a proposal for or enters into a covered transaction,
				including all principals, agents, or representatives of a
				participant;
(AA) Person. Any
				individual, corporation, partnership, association, unit of government, or legal
				entity, however organized;
(BB)
				Primary participant. Any person who submits a proposal for or enters into a
				covered transaction, including an agent or representative of a participant who
				has directly and immediately contracted with MHDC in a covered
				transaction;
(CC) Principal. Any
				person who is a) an officer, corporate director, owner, partner, principal
				investigator, or other person within a participant with management or
				supervisory responsibilities related to a covered transaction; or b) a
				consultant or other person, whether or not employed by the participant or paid
				with MHDC funds, who:
1) is in a position to
				handle MHDC funds;
2) is in a
				position to influence or control the use of those funds; or
3) occupies a technical or professional
				position capable of substantially influencing the development or outcome of an
				activity required to perform a covered transaction;
(DD) Program. Any activity which utilizes any
				funds and/or resources administered or controlled by the commission;
(EE) Recipient/subrecipient. A person or
				persons receiving funds and/or resources in any form through an MHDC covered
				transaction or a person subordinate to them who receives those funds from the
				primary recipient as part of an MHDC covered transaction;
(FF) Resources. All non-monetary benefits or
				assistance awarded or administered by MHDC in relation to covered transactions,
				including, but not limited to, federal and state tax credits;
(GG) Standards of conduct. The commission
				approved policy which identifies the way in which commissioners, commission
				staff, and persons must act in connection with all dealings relating to the
				work of the commission;
(HH) State.
				State of Missouri;
(II)
				Subparticipant. Any person who enters into a covered transaction, including an
				agent or representative of a subparticipant, who is or has directly and
				immediately contracted with a primary participant in a covered
				transaction;
(JJ) Suspending
				official. A commission subcommittee authorized to impose suspension pending
				review of evidence and/or a hearing;
(KK) Suspension. An action taken by a
				suspending official in accordance with these regulations that immediately
				excludes a person from participating in covered transactions for a temporary
				period, pending completion of an investigation and such legal and debar-ment,
				or other proceedings as may ensue; and
(LL) Workforce eligibility policy. Refers to
				the then-existing policy of the MHDC which addresses worker eligibility. If no
				such policy exists, no action shall be taken under this section relating to
				such a policy.