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Federal Register / Vol. 67, No.

15 / Wednesday, January 23, 2002 / Proposed Rules 3315

310.805 What notice does the debarring PART 310—GOVERNMENTWIDE Subpart D—Responsibilities of Peace Corps
official give me if I am proposed for DEBARMENT AND SUSPENSION Awarding Officials
debarment? 312.400 What are my responsibilities as a
310.810 When does a debarment take
(NONPROCUREMENT)
Peace Corps awarding official?
effect? 2. Part 310 is further amended as set
310.815 How may I contest a proposed Subpart E—Violations of This Part and
debarment? forth below. Consequences
310.820 How much time do I have to a. ‘‘[Agency noun]’’ is removed and
312.500 How are violations of this part
contest a proposed debarment? ‘‘Peace Corps’’ is added in its place determined for recipients other than
310.825 What information must I provide to wherever it occurs. individuals?
the debarring official if I contest a b. ‘‘[Agency adjective]’’ is removed 312.505 How are violations of this part
proposed debarment? and ‘‘Peace Corps’’ is added in its place determined for recipients who are
310.830 Under what conditions do I get an
additional opportunity to challenge the wherever it occurs. individuals?
c. ‘‘[Agency head or designee]’’ is 312.510 What actions will the Federal
facts on which the proposed debarment
removed and ‘‘Peace Corps Director or Government take against a recipient
is based?
310.835 Are debarment proceedings formal? determined to have violated this part?
designee’’ is added in its place wherever 312.515 Are there any exceptions to those
310.840 Is a record made of fact-finding it occurs.
proceedings? actions?
3. Section 310.440 is added to read as
310.845 What does the debarring official Subpart F—Definitions
consider in deciding whether to debar follows:
312.605 Award.
me? § 310.440 What method do I use to 312.610 Controlled substance.
310.850 What is the standard of proof in a communicate those requirements to
debarment action? 312.615 Conviction.
participants? 312.620 Cooperative agreement.
310.855 Who has the burden of proof in a
debarment action? To communicate the requirements to 312.625 Criminal drug statute.
310.860 What factors may influence the participants, you must include a term or 312.630 Debarment.
312.635 Drug-free workplace.
debarring official’s decision? condition in the transaction requiring
310.865 How long may my debarment last? 312.640 Employee.
the participant’s compliance with 312.645 Federal agency or agency.
310.870 When do I know if the debarring subpart C of this part and requiring
official debars me? 312.650 Grant.
them to include a similar term or 312.655 Individual.
310.875 May I ask the debarring official to
reconsider a decision to debar me? condition in lower tier covered 312.660 Recipient.
310.880 What factors may influence the transactions. 312.665 State.
debarring official during 4. Part 312 is added to read as set 312.670 Suspension.
reconsideration? forth in instruction 2 at the end of the Authority: 22 U.S.C. 2503(b); 41 U.S.C. 701
310.885 May the debarring official extend a common preamble. et seq.
debarment?
PART 312—GOVERNMENTWIDE 5. Part 312 is further amended as set
Subpart I—Definitions forth below.
REQUIREMENTS FOR DRUG-FREE
310.900 Adequate evidence. a. ‘‘[Agency noun]’’ is removed and
310.905 Affiliate.
WORKPLACE (FINANCIAL
‘‘Peace Corps’’ is added in its place
310.910 Agency. ASSISTANCE)
wherever it occurs.
310.915 Agent or representative. Subpart A—Purpose and Coverage b. ‘‘[Agency adjective]’’ is removed
310.920 Civil judgment. and ‘‘Peace Corps’’ is added in its place
310.925 Conviction. Sec.
310.930 Debarment. 312.100 What does this part do? wherever it occurs.
310.935 Debarring official. 312.105 Does this part apply to me? c. ‘‘[Agency head or designee]’’ is
310.940 Disqualified. 312.110 Are any of my federal assistance removed and ‘‘Peace Corps Director or
310.945 Excluded or exclusion. awards exempt from this part? designee’’ is added in its place wherever
310.950 Indictment. 312.115 Does this part affect the federal it occurs.
310.955 Ineligible or ineligibility. contracts that I receive? d. ‘‘[Agency head]’’ is removed and
310.960 Legal proceedings. Subpart B—Requirements for Recipients ‘‘Peace Corps Director’’ is added in its
310.965 List of Parties Excluded or Other Than Individuals place wherever it occurs.
Disqualified From Federal Procurement 6. Section 312.510(c) is further
and Nonprocurement Programs. 312.200 What must I do to comply with this
310.970 Nonprocurement transaction. part? amended by removing ‘‘[CFR citation for
310.975 Notice. 312.205 What must I include in my drug- the federal agency’s regulations
310.980 Participant. free workplace statement? implementing Executive Order 12549
310.985 Person. 312.210 To whom must I distribute my and Executive Order 12689]’’ and
310.990 Preponderance of the evidence. drug-free workplace statement? adding ‘‘22 CFR part 310’’ in its place.
310.995 Principal. 312.215 What must I include in my drug- 7. Section 312.605 is further amended
310.100 Respondent. free awareness program? by adding a paragraph (c) to read as
310.1005 State. 312.220 By when must I publish my drug- follows:
310.1010 Suspending official. free workplace statement and establish
310.1015 Suspension. my drug-free awareness program? § 312.605 Award.
310.1020 Voluntary exclusion or 312.225 What actions must I take
concerning employees who are convicted
* * * * *
voluntarily excluded.
of drug violations in the workplace? (c) Notwithstanding paragraph (a)(2)
Subpart J [Reserved] 312.230 How and when must I identify of this section, this paragraph is not
Appendix to Part 310—Covered workplaces? applicable for the Peace Corps.
Transactions Subpart C—Requirements for Recipients INTER-AMERICAN FOUNDATION
Authority: 22 U.S.C. 2503; Sec. 2455, Pub. Who Are Individuals
22 CFR Parts 1006 and 1008
L. 103–355, 108 Stat. 3327 (31 U.S.C. 6101 312.300 What must I do to comply with this
note); E.O. 12549 (3 CFR, 1986 Comp., p. part if I am an individual recipient? FOR FURTHER INFORMATION CONTACT:
189); E.O. 12689 (3 CFR, 1989 Comp., p. 235). 312.301 [Reserved] Carolyn Karr, General Counsel, Inter-

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3316 Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules

American Foundation, 901 N. Stuart 1006.205 Why is it important to know if a 1006.410 May I approve a participant’s use
Street, Arlington, Virginia 22203, (703) particular transaction is a covered of the services of an excluded person?
306–4350, ckarr@iaf.gov. transaction? 1006.415 What must I do if a Federal
1006.210 Which nonprocurement agency excludes the participant or a
List of Subjects transactions are covered transactions? principal after I enter into a covered
1006.215 Which nonprocurement transaction?
22 CFR Part 1006 transactions are not covered 1006.420 May I approve a transaction with
transactions? an excluded or disqualified person at a
Administrative practice and 1006.220 Are any procurement contracts lower tier?
procedure, Government contracts, Grant included as covered transactions? 1006.425 When do I check to see if a person
programs, Loan programs, Reporting 1006.225 How do I know if a transaction is excluded or disqualified?
and recordkeeping requirements, that I may participate in is a covered 1006.430 How do I check to see if a person
Technical assistance. transaction? is excluded or disqualified?
1006.435 What must I require of a primary
22 CFR Part 1008 Subpart C—Responsibilities of Participants tier participant?
Regarding Transactions Doing Business 1006.440 What method do I use to
Administrative practice and With Other Persons communicate those requirements to
procedure, Drug abuse, Grant programs, 1006.300 May I enter into a covered participants?
Reporting and recordkeeping transaction with an excluded or 1006.445 What action may I take if a
requirements. disqualified persons? primary tier participant knowingly does
1006.305 Must I do if a Federal agency business with an excluded or
Approved:
excludes a person with whom I am disqualified person?
David Valenzuela, already doing business in a covered 1006.450 What action may I take if a
President, Inter-American Foundation. transaction? primary tier participant fails to disclose
1006.310 May I use the services of an the information required under
For the reasons stated in the common
excluded person under a covered § 1006.330?
preamble, the Inter-American transaction? 1006.455 What may I do if a lower tier
Foundation proposes to amend 22 CFR 1006.315 I verify that principals of my participant fails to disclose the
chapter X, as follows: covered transactions are eligible to information required under § 1006.350 to
1. Part 1006 is revised to read as set participate? the next higher tier?
forth in instruction 1 at the end of the 1006.320 What happens if I do business
with an excluded person in a covered Subpart E—Governmentwide List of Parties
common preamble. Excluded or Disqualified From Federal
transaction?
1006.325 What requirements must I pass Procurement and Nonprocurement
PART 1006—GOVERNMENTWIDE Programs
down to persons at lower tiers with
DEBARMENT AND SUSPENSION whom I intend to do business? 1006.500 What is the purpose of the List?
(NONPROCUREMENT) 1006.505 Who uses the List?
Disclosing Information—Primary Tier 1006.510 Who maintains the List?
Sec. Participants 1006.515 What specific information is on
1006.25 How is this part organized? 1006.330 What information must I provide the List?
1006.50 How is this part written? before entering into a covered 1006.520 Who gives the GSA the
1006.75 Do terms in this part have special transaction with the Inter-American information that it puts on the List?
meanings? Foundation? 1006.525 Whom do I ask if I have questions
Subpart A—General 1006.335 If I disclose unfavorable about a person on the List?
information required under § 1006.330 1006.530 Where can I get the List?
1006.100 What does this part do? will I be prevented from entering into the
1006.105 Does this part apply to me? transaction? Subpart F—General Principles Relating to
1006.110 What is the purpose of the 1006.340 What happens if I fail to disclose Suspension and Debarment Actions
nonprocurement debarment and the information required under 1006.600 How do suspension and
suspension system? § 1006.330? debarment actions start?
1006.115 How does an exclusion restrict a 1006.345 What must I do if I learn of the 1006.605 How does suspension differ from
person’s involvement in covered information required under § 1006.330 debarment?
transactions? after entering into a covered transaction 1006.610 What procedures does the Inter-
1006.120 May we grant an exception to let with the Inter-American Foundation? American Foundation use in suspension
an excluded person participate in a and debarment actions?
covered transaction? Disclosing Information—Lower Tier 1006.615 How does the Inter-American
1006.125 Does an exclusion under the Participants Foundation notify a person of
nonprocurement system affect a person’s 1006.350 What information must I provide suspension and debarment actions?
eligibility to participate in Federal to a higher tier participant before 1006.620 Do Federal agencies coordinate
procurement contracts? entering into a covered transaction with suspension and debarment actions?
1006.130 Does an exclusion under the that participant? 1006.625 What is the scope of a suspension
Federal procurement system affect a 1006.355 What happens if I fail to disclose or debarment action?
person’s eligibility to participate in the information required under 1006.630 May the Inter-American
nonprocurement transactions? § 1006.350? Foundation impute the conduct of one
1006.135 May the Inter-American 1006.360 What must I do if I learn of person to another?
Foundation exclude a person who is not information required under § 1006.350 1006.635 May the Inter-American
currently participating in a after entering into a covered transaction Foundation settle a debarment or
nonprocurement transaction? with a higher tier participant? suspension action?
1006.140 How do I know if a person is 1006.640 May a settlement include a
excluded? Subpart D—Responsibilities of Inter-
voluntary exclusion?
1006.145 Does this part cover persons who American Foundation Officials Regarding
1006.645 Do other Federal agencies know if
are disqualified as well as those who are Transactions the Inter-American Foundation agrees to
excluded from nonprocurement 1006.400 May I enter into a transaction a voluntary exclusion?
transactions? with an excluded or disqualified person?
1006.405 May I enter into a covered Subpart G—Suspension
Subpart B—Covered Transactions transaction with a participant if a 1006.700 When may the suspending official
1006.200 What is a covered transaction? principal of the transaction is excluded? issue a suspension?

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Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules 3317

1006.705 What does the suspending official 1006.920 Civil judgment. 1008.110 Are any of my Federal assistance
consider in issuing a suspension? 1006.925 Conviction. awards exempt from this part?
1006.710 When does a suspension take 1006.930 Debarment. 1008.115 Does this part affect the Federal
effect? 1006.935 Debarring official. contracts that I receive?
1006.715 What notice does the suspending 1006.940 Disqualified.
Subpart B—Requirements for Recipients
official give me if I am suspended? 1006.945 Excluded or exclusion.
Other Than Individuals
1006.720 How may I contest a suspension? 1006.950 Indictment.
1006.725 How much time do I have to 1006.955 Ineligible or ineligibility. 1008.200 What must I do to comply with
contest a suspension? 1006.960 Legal proceedings. this part?
1006.730 What information must I provide 1006.965 List of Parties Excluded or 1008.205 What must I include in my drug-
to the suspending official if I contest a Disqualified From Federal Procurement free workplace statement?
suspension? and Nonprocurement Programs. 1008.210 To whom must I distribute my
1006.735 Under what conditions do I get an 1006.970 Nonprocurement transaction. drug-free workplace statement?
additional opportunity to challenge the 1006.975 Notice. 1008.215 What must I include in my drug-
facts on which the suspension is based? 1006.980 Participant. free awareness program?
1006.740 Are suspension proceedings 1006.985 Person. 1008.220 By when must I publish my drug-
formal? 1006.990 Preponderance of the evidence. free workplace statement and establish
my drug-free awareness program?
1006.745 Is a record made of fact-finding 1006.995 Principal.
1008.225 What actions must I take
proceedings? 1006.1000 Respondent.
concerning employees who are convicted
1006.750 What does the suspending official 1006.1005 State.
of drug violations in the workplace?
consider in deciding whether to continue 1006.1010 Suspending official.
1008.230 How and when must I identify
or terminate my suspension? 1006.1015 Suspension. workplaces?
1006.755 When will I know whether the 1006.1020 Voluntary exclusion or
suspension is continued or terminated? voluntarily excluded Subpart C—Requirements for Recipients
1006.760 How long may my suspension Who Are Individuals
last? Subpart J [Reserved]
1008.300 What must I do to comply with
Subpart H—Debarment Appendix to Part 1006—Covered this part if I am an individual recipient?
Transactions 1008.301 [Reserved]
1006.800 What are the causes for
debarment? Authority: Sec. 2455, Pub. L. 103–355, 108 Subpart D—Responsibilities of Inter-
1006.805 What notice does the debarring Stat. 3327 (31 U.S.C. 6101 note); E.O. 12549, American Foundation Awarding Officials
official give me if I am proposed for 3 CFR, 1986 Comp., p. 189; E.O. 12689, 3 1008.400 What are my responsibilities as an
debarment? CFR, 1989 Comp., p. 235. Inter-American Foundation awarding
1006.810 When does a debarment take official?
effect? 2. Part 1006 is further amended as set
1006.815 How may I contest a proposed forth below. Subpart E—Violations of This Part and
debarment? a. ‘‘[Agency noun]’’ is removed and Consequences
1006.820 How much time do I have to ‘‘Inter-American Foundation’’ is added 1008.500 How are violations of this part
contest a proposed debarment? in its place wherever it occurs. determined for recipients other than
1006.825 What information must I provide b. ‘‘[Agency adjective]’’ is removed individuals?
to the debarring official if I contest a and ‘‘Inter-American Foundation’’ is 1008.505 How are violations of this part
proposed debarment? determined for recipients who are
added in its place wherever it occurs. individuals?
1006.830 Under what conditions do I get an
additional opportunity to challenge the c. ‘‘[Agency head or designee]’’ is 1008.510 What actions will the Federal
fact on which the proposed debarment is removed and ‘‘Inter-American Government take against a recipient
based? Foundation Debarring Official’’ is added determined to have violated this part?
1006.835 Are debarment proceedings in its place wherever it occurs. 1008.515 Are there any exceptions to those
formal? 3. Section 1006.440 is added to read actions?
1006.840 Is a record made of fact-finding as follows: Subpart F—Definitions
proceedings?
1006.845 What does the debarring official § 1006.440 What method do I use to 1008.605 Award.
communicate those requirements to 1008.610 Controlled substance.
consider in deciding whether to debar
participants? 1008.615 Conviction.
me?
1008.620 Cooperative agreement.
1006.850 What is the standard of proof in To communicate the requirements to 1008.625 Criminal drug statute.
a debarment action? participants, you must include a term or 1008.630 Debarment.
1006.855 Who has the burden of proof in a 1008.635 Drug-free workplace.
debarment action?
condition in the transaction requiring
the participant’s compliance with 1008.640 Employee.
1006.860 What factors may influence the 1008.645 Federal agency or agency.
debarring official’s decision? Subpart C of this part and requiring
1008.650 Grant.
1006.865 How long may my debarment them to include a similar term or 1008.655 Individual.
last? condition in lower tier covered 1008.660 Recipient.
1006.870 When do I know if the debarring transactions. 1008.665 State.
official debars me? 5. Part 1008 is added to read as set 1008.670 Suspension.
1006.875 May I ask the debarring official to forth in instruction 2 at the end of the
reconsider a decision to debar me? Authority: 41 U.S.C. 701 et seq.
common preamble.
1006.880 What factors may influence the 5. Part 1008 is further amended as set
debarring official during PART 1008—GOVERNMENTWIDE forth below.
reconsideration? a. ‘‘[Agency noun]’’ is removed and
1006.885 May the debarring official extend
REQUIREMENTS FOR DRUG-FREE
WORKPLACE (FINANCIAL ‘‘Inter-American Foundation’’ is added
a debarment?
ASSISTANCE) in its place wherever it occurs.
Subpart I—Definitions b. ‘‘[Agency adjective]’’ is removed
1006.900 Adequate evidence. Subpart A—Purpose and Coverage and ‘‘Inter-American Foundation’’ is
1006.905 Affiliate. Sec. added in its place wherever it occurs.
1006.910 Agency. 1008.100 What does this part do? c. ‘‘[Agency head or designee]’’ is
1006.915 Agent or representative. 1008.105 Does this part apply to me? removed and ‘‘Inter-American

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3318 Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules

Foundation President or designee’’ is 1508.110 What is the purpose of the 1508.340 What happens if I fail to disclose
added in its place wherever it occurs. nonprocurement debarment and the information required under
suspension system? § 1508.330?
d. ‘‘[Agency head]’’ is removed and 1508.115 How does an exclusion restrict a 1508.345 What must I do if I learn of the
‘‘Inter-American Foundation’’ is added person’s involvement in covered information required under § 1508.330
in its place wherever it occurs. transactions? after entering into a covered transaction
6. Section 1008.510(c) is further 1508.120 May we grant an exception to let with the African Development
amended by removing ‘‘[CFR citation for an excluded person participate in a Foundation?
the Federal Agency’s regulations covered transaction?
1508.125 Does an exclusion under the Disclosing Information—Lower Tier
implementing Executive Order 12549 nonprocurement system affect a person’s Participants
and Executive Order 12689]’’ and eligibility to participate in Federal
adding ‘‘22 CFR part 1006’’ in its place. 1508.350 What information must I provide
procurement contracts? to a higher tier participant before
7. Section 1008.605 is further 1508.130 Does an exclusion under the entering into a covered transaction with
amended by adding a paragraph (c) to Federal procurement system affect a that participant?
read as follows: person’s eligibility to participate in
1508.355 What happens if I fail to disclose
nonprocurement transactions?
the information required under
§ 1008.605 Award. 1508.135 May the African Development
§ 1508.350?
* * * * * Foundation exclude a person who is not
currently participating in a 1508.360 What must I do if I learn of
(c) Notwithstanding paragraph (a)(2) nonprocurement transaction? information required under § 1508.350
of this section, this paragraph is not 1508.140 How do I know if a person is after entering into a covered transaction
applicable for the Inter-American excluded? with a higher tier participant?
Foundation. 1508.145 Does this part cover persons who Subpart D—Responsibilities of ADF
are disqualified as well as those who are Officials Regarding Transactions
AFRICAN DEVELOPMENT excluded from nonprocurement
FOUNDATION transactions? 1508.400 May I enter into a transaction
with an excluded or disqualified person?
22 CFR Parts 1508 and 1509 Subpart B—Covered Transactions 1508.405 May I enter into a covered
RIN Number 3005–ZA00 1508.200 What is a covered transaction? transaction with a participant if a
1508.205 Why is it important to know if a principal of the transaction is excluded?
FOR FURTHER INFORMATION CONTACT: particular transaction is a covered 1508.410 May I approve a participant’s use
Doris Martin at 202–673–3916 (phone) transaction? of the services of an excluded person?
or domartin@adf.gov. 1508.210 Which nonprocurement 1508.415 What must I do if a Federal
transactions are covered transactions? agency excludes the participant or a
List of Subjects 1508.215 Which nonprocurement principal after I enter into a covered
transactions are not covered transaction?
22 CFR Part 1508 transactions? 1508.420 May I approve a transaction with
Administrative practice and 1508.220 Are any procurement contracts an excluded or disqualified person at a
included as covered transactions? lower tier?
procedure, Debarment and suspension,
1508.225 How do I know if a transaction in 1508.425 When do I check to see if a person
Government contracts, Grant programs, which I may participate is a covered is excluded or disqualified?
Loan programs, Reporting and transaction? 1508.430 How do I check to see if a person
recordkeeping requirements. is excluded or disqualified?
Subpart C—Responsibilities of Participants
22 CFR Part 1509 Regarding Transactions Doing Business 1508.435 What must I require of a primary
With Other Persons tier participant?
Administrative practice and 1508.440 What method do I use to
procedure, Drug abuse, Grant programs, 1508.300 May I enter into a covered communicate those requirements to
transaction with an excluded or
Reporting and recordkeeping participants?
disqualified person?
requirements. 1508.445 What action may I take if a
1508.305 What must I do if a Federal
primary tier participant knowingly does
Approved: agency excludes a person with whom I
business with an excluded or
Doris Martin, am already doing business in a covered
transaction? disqualified person?
General Counsel. 1508.310 May I use the services of an 1508.450 What action may I take if a
For the reasons stated in the excluded person under a covered primary tier participant fails to disclose
transaction? the information required under
preamble, the African Development
1508.315 Must I verify that principals of my § 1508.330?
Foundation proposes to amend 22 CFR 1508.455 What may I do if a lower tier
chapter XV as follows: covered transactions are eligible to
participate? participant fails to disclose the
1. Part 1508 is revised to read as set 1508.320 What happens if I do business information required under § 1508.350 to
forth in instruction 1 at the end of the with an excluded person in a covered the next higher tier?
common preamble. transaction? Subpart E—Governmentwide List of Parties
1508.325 What requirements must I pass Excluded or Disqualified From Federal
PART 1508—GOVERNMENTWIDE down to persons at lower tiers with Procurement and Nonprocurement
DEBARMENT AND SUSPENSION whom I intend to do business? Programs
(NONPROCUREMENT) Disclosing Information—Primary Tier 1508.500 What is the purpose of the List?
Sec. Participants 1508.505 Who uses the List?
1508.25 How is this part organized? 1508.330 What information must I provide 1508.510 Who maintains the List?
1508.50 How is this part written? before entering into a covered 1508.515 What specific information is on
1508.75 Do terms in this part have special transaction with the African the List?
meanings? Development Foundation? 1508.520 Who gives the GSA the
1508.335 If I disclose unfavorable information that it puts on the List?
Subpart A—General information required under § 1508.330 1508.525 Whom do I ask if I have questions
1508.100 What does this part do? will I be prevented from entering into the about a person on the List?
1508.105 Does this part apply to me? transaction? 1508.530 Where can I get the List?

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Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules 3319

Subpart F—General Principles Relating to 1508.835 Are debarment proceedings 3. Part 1509 is added to read as set
Suspension and Debarment Actions formal? forth in instruction 2 at the end of the
1508.600 How do suspension and 1508.840 Is a record made of fact-finding common preamble.
debarment actions start? proceedings?
1508.605 How does suspension differ from 1508.845 What does the debarring official PART 1509—GOVERNMENTWIDE
debarment? consider in deciding whether to debar REQUIREMENTS FOR DRUG-FREE
1508.610 What procedures does the African me?
1508.850 What is the standard of proof in
WORKPLACE (FINANCIAL
Development Foundation use in
a debarment action? ASSISTANCE)
suspension and debarment actions?
1508.615 How does the African 1508.855 Who has the burden of proof in a Subpart A—Purpose and Coverage
Development Foundation notify a person debarment action?
of suspension and debarment actions? 1508.860 What factors may influence the Sec.
1508.620 Do Federal agencies coordinate debarring official’s decision? 1509.100 What does this part do?
suspension and debarment actions? 1508.865 How long may my debarment 1509.105 Does this part apply to me?
1508.625 What is the scope of a suspension last? 1509.110 Are any of my Federal assistance
or debarment action? 1508.870 When do I know if the debarring awards exempt from this part?
1508.630 May the African Development official debars me? 1509.115 Does this part affect the Federal
Foundation impute the conduct of one 1508.875 May I ask the debarring official to contracts that I receive?
person to another? reconsider a decision to debar me? Subpart B—Requirements for Recipients
1508.635 May the African Development 1508.880 What factors may influence the Other Than Individuals
Foundation settle a debarment or debarring official during
suspension action? 1509.200 What must I do to comply with
reconsideration?
1508.640 May a settlement include a this part?
1508.885 May the debarring official extend
voluntary exclusion? 1509.205 What must I include in my drug-
a debarment?
1508.645 Do other Federal agencies know if free workplace statement?
the African Development Foundation Subpart I—Definitions 1509.210 To whom must I distribute my
agrees to a voluntary exclusion? 1508.900 Adequate evidence. drug-free workplace statement?
1508.905 Affiliate. 1509.215 What must I include in my drug-
Subpart G—Suspension free awareness program?
1508.910 Agency.
1508.700 When may the suspending official 1508.915 Agent or representative. 1509.220 By when must I publish my drug-
issue a suspension? free workplace statement and establish
1508.920 Civil judgment.
1508.705 What does the suspending official my drug-free awareness program?
1508.925 Conviction.
consider in issuing a suspension? 1509.225 What actions must I take
1508.930 Debarment.
1508.710 When does a suspension take concerning employees who are convicted
1508.935 Debarring official.
effect? of drug violations in the workplace?
1508.940 Disqualified.
1508.715 What notice does the suspending 1509.230 How and when must I identify
1508.945 Excluded or exclusion.
official give me if I am suspended? workplaces?
1508.950 Indictment.
1508.720 How may I contest a suspension? 1508.955 Ineligible or ineligibility. Subpart C—Requirements for Recipients
1508.725 How much time do I have to
1508.960 Legal proceedings. Who Are Individuals
contest a suspension?
1508.965 List of Parties Excluded or 1509.300 What must I do to comply with
1508.730 What information must I provide
Disqualified From Federal Procurement this part if I am an individual recipient?
to the suspending official if I contest a
and Nonprocurement Programs. 1509.301 [Reserved]
suspension?
1508.735 Under what conditions do I get an 1508.970 Nonprocurement transaction.
1508.975 Notice. Subpart D—Responsibilities of ADF
additional opportunity to challenge the
1508.980 Participant. Awarding Officials
facts on which the suspension is based?
1508.740 Are suspension proceedings 1508.985 Person. 1509.400 What are my responsibilities as
formal? 1508.990 Preponderance of the evidence. an ADF awarding official?
1508.745 Is a record made of fact-finding 1508.995 Principal.
1508.1000 Respondent. Subpart E—Violations of This Part and
proceedings? Consequences
1508.750 What does the suspending official 1508.1005 State.
consider in deciding whether to continue 1508.1010 Suspending official. 1509.500 How are violations of this part
or terminate my suspension? 1508.1015 Suspension. determined for recipients other than
1508.755 When will I know whether the 1508.1020 Voluntary exclusion or individuals?
suspension is continued or terminated? voluntarily excluded. 1509.505 How are violations of this part
1508.760 How long may my suspension determined for recipients who are
Subpart J [Reserved] individuals?
last?
Appendix to Part 1508—Covered 1509.510 What actions will the Federal
Subpart H—Debarment Transactions Government take against a recipient
1508.800 What are the causes for determined to have violated this part?
debarment? Authority: Sec. 2455, Pub.L. 103–355, 108 1509.515 Are there any exceptions to those
1508.805 What notice does the debarring Stat. 3327; E.O. 12549, 3CFR, 1986 Comp., actions?
official give me if I am proposed for p.89; E.O. 12689, 3CFR, 1989 Comp., p. 235.
Subpart F—Definitions
debarment?
1508.810 When does a debarment take 2. Part 1508 is further amended as set 1509.605 Award.
effect? forth below: 1509.610 Controlled substance.
1508.815 How may I contest a proposed a. ‘‘[Agency noun]’’ is removed and 1509.615 Conviction.
debarment? 1509.620 Cooperative agreement.
‘‘African Development Foundation’’ is 1509.625 Criminal drug statute.
1508.820 How much time do I have to
contest a proposed debarment? added in its place wherever it occurs. 1509.630 Debarment.
1508.825 What information must I provide b. ‘‘[Agency adjective]’’ is removed 1509.635 Drug-free workplace.
to the debarring official if I contest a and ‘‘ADF’’ is added in its place 1509.640 Employee.
proposed debarment? wherever it occurs. 1509.645 Federal agency or agency.
1508.830 Under what conditions do I get an 1509.650 Grant.
additional opportunity to challenge the c. ‘‘[Agency head or designee]’’ is 1509.655 Individual.
facts on which the proposed debarment removed and ‘‘ADF President’’ is added 1509.660 Recipient.
is based? in its place wherever it occurs. 1509.665 State.

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3320 Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules

1509.670 Suspension. PART 94—GOVERNMENTWIDE a. ‘‘[Agency noun]’’ is removed and


Authority: 41 U.S.C. 701 et seq. REQUIREMENTS FOR DRUG-FREE ‘‘Department of Labor’’ is added in its
WORKPLACE (FINANCIAL place wherever it occurs.
4. Part 1509 is further amended as set ASSISTANCE) b. ‘‘[Agency adjective]’’ is removed
forth below. and ‘‘Department of Labor’’ is added in
a. ‘‘[Agency noun]’’ is removed and Subpart A—Purpose and Coverage its place wherever it occurs.
‘‘African Development Foundation’’ is Sec. c. ‘‘[Agency head or designee]’’ is
added in its place wherever it occurs. 94.100 What does this part do? removed and ‘‘Secretary of Labor or
94.105 Does this part apply to me?
b. ‘‘[Agency adjective]’’ is removed 94.110 Are any of my Federal assistance
designee’’ is added in its place wherever
and ‘‘ADF’’ is added in its place awards exempt from this part? it occurs.
wherever it occurs. 94.115 Does this part affect the Federal d. ‘‘[Agency head]’’ is removed and
c. ‘‘[Agency head or designee]’’ is contracts that I receive? ‘‘Secretary of Labor or designee’’ is
removed and ‘‘ADF President’’ is added Subpart B—Requirements for Recipients
added in its place wherever it occurs.
in its place wherever it occurs. Other Than Individuals 3. Section 94.510(c) is further
d. ‘‘[Agency head]’’ is removed and amended by removing ‘‘CFR citation for
94.200 What must I do to comply with this
‘‘ADF President’’ is added in its place part? the Federal Agency’s regulations
wherever it occurs. 94.205 What must I include in my drug-free implementing Executive Order 12549
workplace statement? and Executive Order 12689]’’ and
5. Section 1509.310(c) is further
94.210 To whom must I distribute my drug- adding ‘‘29 CFR Part 98’’ in its place.
amended by removing ‘‘[CFR citation for free workplace statement? 4. Section 98.605(a)(2) is further
the Federal Agency’s regulations 94.215 What must I include in my drug-free amended by removing ‘‘[Agency-
implementing Executive Order 12549 awareness program? specific CFR citation]’’ and adding ‘‘29
and Executive Order 12689]’’ and 94.220 By when must I publish my drug-
CFR part 97’’ in its place.
adding ‘‘22 CFR part 1508’’ in its place. free workplace statement and establish
my drug-free awareness program? 5. Part 98 is revised to read as set
6. Section 1509.605 is further forth in instruction 1 at the end of the
94.225 What actions must I take concerning
amended by adding a paragraph (c) to employees who are convicted of drug common preamble.
read as follows: violations in the workplace?
§ 1509.605 Award. 94.230 How and when must I identify PART 98—GOVERNMENTWIDE
workplaces? DEBARMENT AND SUSPENSION
* * * * * (NONPROCUREMENT)
Subpart C—Requirements for Recipients
(c) Notwithstanding paragraph (a)(2) Who Are Individuals
of this section, this paragraph is not Sec.
94.300 What must I do to comply with this 98.25 How is this part organized?
applicable for ADF.
part if I am an individual recipient? 98.50 How is this part written?
DEPARTMENT OF LABOR 94.301 [Reserved] 98.75 Do terms in this part have special
Subpart D—Responsibilities of Department meanings?
29 CFR Part 94 and 98
of Labor Awarding Officials Subpart A—General
RIN 1291–AA33
94.400 What are my responsibilities as a 98.100 What does this part do?
FOR FURTHER INFORMATION CONTACT: Department of Labor awarding official? 98.105 Does this part apply to me?
Phyllis McMeekin, Director Division of Subpart E—Violations of this Part and 98.110 What is the purpose of the
Departmental Procurement Policy, Consequences nonprocurement debarment and
N5425 Washington, DC 20210, (202) suspension system?
94.500 How are violations of this part 98.115 How does an exclusion restrict a
219–9174, email McMeekin- determined for recipients other than
person’s involvement in covered
Phyllis@dol.gov individuals?
transactions?
94.505 How are violations of this part
List of Subjects 98.120 May we grant an exception to let an
determined for recipients who are
excluded person participate in a covered
individuals?
29 CFR Part 94 94.510 What actions will the Federal transaction?
Government take against a recipient 98.125 Does an exclusion under the
Administrative practices and nonprocurement system affect a person’s
determined to have violated this part?
procedures, Drug abuse, Grant eligibility to participate in Federal
94.515 Is there any provision for exceptions
programs, Reporting and recordkeeping to those actions? procurement contracts?
requirements. 98.130 Does an exclusion under the Federal
Subpart F—Definitions procurement system affect a person’s
29 CFR Part 98 94.605 Award. eligibility to participate in
Administrative practices and 94.610 Controlled substance. nonprocurement transactions?
94.615 Conviction. 98.135 May the U.S. Department of Labor
procedures, Grant programs, Loan exclude a person who is not currently
94.620 Cooperative agreement.
programs, Reporting and recordkeeping 94.625 Criminal drug statute. participating in a nonprocurement
requirements. 94.630 Debarment. transaction?
Dated: June 15, 2001. 94.635 Drug-free workplace. 98.140 How do I know if a person is
Elaine L. Chao, 94.640 Employee. excluded?
94.645 Federal agency or agency. 98.145 Does this part cover persons who are
Secretary of Labor. 94.650 Grant. disqualified as well as those who are
For the reasons stated in the common 94.655 Individual. excluded from nonprocurement
preamble, the Department of Labor 94.660 Recipient. transactions?
proposes to amend 29 CFR subtitle A as 94.665 State.
94.670 Suspension. Subpart B—Covered Transactions
follows:
Authority: 41 U.S.C. 701 et seq. 98.200 What is a covered transaction?
Part 94 is added to read as set forth 98.205 Why is it important to know if a
in instruction 2 at the end of the 2. Part 94 is further amended as set particular transaction is a covered
common preamble. forth below. transaction?

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Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules 3321

98.210 Which nonprocurement transactions 98.420 May I approve a transaction with an 98.735 Under what conditions do I get an
are covered transactions? excluded or disqualified person at a additional opportunity to challenge the
98.215 Which nonprocurement transactions lower tier? facts on which the suspension is based?
are not covered transactions? 98.425 When do I check to see if a person 98.740 Are suspension proceedings formal?
98.220 Are any procurement contracts is excluded or disqualified? 98.745 Is a record made of fact-finding
included as covered transactions? 98.430 How do I check to see if a person is proceedings?
98.225 How do I know if a transaction that excluded or disqualified? 98.750 What does the suspending official
I may participate in is a covered 98.435 What must I require of a primary tier consider in deciding whether to continue
transaction? participant? or terminate my suspension?
98.440 [Reserved] 98.755 When will I know whether the
Subpart C—Responsibilities of Participants 98.445 What action may I take if a primary suspension is continued or terminated?
Regarding Transactions Doing Business tier participant knowingly does business 98.760 How long may my suspension last?
With Other Persons with an excluded or disqualified person?
98.300 May I enter into a covered 98.450 What action may I take if a primary Subpart H—Debarment
transaction with an excluded or tier participant fails to disclose the 98.800 What are the causes for debarment?
disqualified person? information required under § 98.330? 98.805 What notice does the debarring
98.305 What must I do if a Federal agency 98.455 What may I do if a lower tier official give me if I am proposed for
excludes a person with whom I am participant fails to disclose the debarment?
already doing business in a covered information required under § 98.350 to 98.810 When does a debarment take effect?
transaction? the next higher tier? 98.815 How may I contest a proposed
98.310 May I use the services of an debarment?
Subpart E—Governmentwide List of Parties
excluded person under a covered 98.820 How much time do I have to contest
Excluded or Disqualified From Federal
transaction? a proposed debarment?
Procurement and Nonprocurement
98.315 Must I verify that principals of my 98.825 What information must I provide to
Programs
covered transactions are eligible to the debarring official if I contest a
participate? 98.500 What is the purpose of the List? proposed debarment?
98.320 What happens if I do business with 98.505 Who uses the List? 98.830 Under what conditions do I get an
an excluded person in a covered 98.510 Who maintains the List? additional opportunity to challenge the
transaction? 98.515 What specific information is on the facts on which the proposed debarment
98.325 What requirements must I pass List? is based?
down to persons at lower tiers with 98.520 Who gives the GSA the information 98.835 Are debarment proceedings formal?
whom I intend to do business? that it puts on the List? 98.840 Is a record made of fact-finding
98.525 Whom do I ask if I have questions proceedings?
Disclosing Information—Primary Tier about a person on the List?
Participants 98.845 What does the debarring official
98.530 Where can I get the List?
consider in deciding whether to debar
98.330 What information must I provide
Subpart F—General Principles Relating to me?
before entering into a covered
Suspension and Debarment Actions 98.850 What is the standard of proof in a
transaction with the Department of
98.600 How do suspension and debarment debarment action?
Labor?
actions start? 98.855 Who has the burden of proof in a
98.335 If I disclose unfavorable information
98.605 How does suspension differ from debarment action?
required under § 98.330 will I be
debarment? 98.860 What factors may influence the
prevented from entering into the
98.610 What procedures does the U.S. debarring official’s decision?
transaction?
Department of Labor use in suspension 98.865 How long may my debarment last?
98.340 What happens if I fail to disclose the
and debarment actions? 98.870 When do I know if the debarring
information required under § 98.330?
98.615 How does the U.S. Department of official debars me?
98.345 What must I do if I learn of the
Labor notify a person of suspension and 98.875 May I ask the debarring official to
information required under § 98.330 after
debarment actions? reconsider a decision to debar me?
entering into a covered transaction with
98.620 Do Federal agencies coordinate 98.880 What factors may influence the
the U.S. Department of Labor?
suspension and debarment actions? debarring official during
Disclosing information—Lower Tier 98.625 What is the scope of a suspension or reconsideration?
Participants debarment action? 98.885 May the debarring official extend a
98.350 What information must I provide to 98.630 May the U.S. Department of Labor debarment?
a higher tier participant before entering impute the conduct of one person to Subpart I—Definitions
into a covered transaction with that another?
98.635 May the U.S. Department of Labor 98.900 Adequate evidence.
participant?
settle a debarment or suspension action? 98.905 Affiliate.
98.355 What happens if I fail to disclose the
98.640 May a settlement include a 98.910 Agency.
information required under § 98.350?
voluntary exclusion? 98.915 Agent or representative.
98.360 What must I do if I learn of
98.645 Do other Federal agencies know if 98.920 Civil judgment.
information required under § 98.350 after
the U.S. Department of Labor agrees to a 98.925 Conviction.
entering into a covered transaction with
voluntary exclusion? 98.930 Debarment.
a higher tier participant?
98.935 Debarring official.
Subpart D—Responsibilities of the Subpart G—Suspension 98.940 Disqualified.
Department of Labor Officials Regarding 98.700 When may the suspending official 98.945 Excluded or exclusion.
issue a suspension? 98.950 Indictment.
Transactions 98.705 What does the suspending official 98.955 Ineligible or ineligibility.
98.400 May I enter into a transaction with consider in issuing a suspension? 98.960 Legal proceedings.
an excluded or disqualified person? 98.710 When does a suspension take effect? 98.965 List of Parties Excluded or
98.405 May I enter into a covered 98.715 What notice does the suspending Disqualified From Federal Procurement
transaction with a participant if a official give me if I am suspended? and Nonprocurement Programs.
principal of the transaction is excluded? 98.720 How may I contest a suspension? 98.970 Nonprocurement transaction.
98.410 May I approve a participant’s use of 98.725 How much time do I have to contest 98.975 Notice.
the services of an excluded person? a suspension? 98.980 Participant.
98.415 What must I do if a Federal agency 98.730 What information must I provide to 98.985 Person.
excludes the participant or a principal the suspending official if I contest a 98.990 Preponderance of the evidence.
after I enter into a covered transaction? suspension? 98.995 Principal.

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3322 Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules

97.1000 Respondent. PART 1471—GOVERNMENTWIDE 1471.325 What requirements must I pass


98.1005 State. DEBARMENT AND SUSPENSION down to persons at lower tiers with
98.1010 Suspending official. (NONPROCUREMENT) whom I intend to do business?
98.1015 Suspension.
98.1020 Voluntary exclusion or voluntarily Disclosing Information—Primary Tier
Sec.
excluded. Participants
1471.25 How is this part organized?
Subpart J [Reserved] 1471.50 How is this part written? 1471.330 What information must I provide
1471.75 Do terms in this part have special before entering into a covered
Appendix to Part 98—Covered Transactions meanings? transaction with FMCS?
1471.335 If I disclose unfavorable
Authority: 5 U.S.C. 301, Pub. L. 103–355, Subpart A—General
information required under § 1471.330
108 Stat. 3327 (31 U.S.C. 6101 Note); E.O. 1471.100 What does this part do?
11738, 3 CFR, 1973 Comp., p. 799; E.O. will I be prevented from entering into the
1471.105 Does this part apply to me? transaction?
12549, 3 CFR, 1986 Comp., p. 189; E.O. 1471.110 What is the purpose of the
12689, 3 CFR, 1989 Comp., p. 235. 1471.340 What happens if I fail to disclose
nonprocurement debarment and the information required under
6. Part 98 is further amended as suspension system? § 1471.330?
follows: 1471.115 How does an exclusion restrict a
1471.345 What must I do if I learn of the
person’s involvement in covered
a. ‘‘[Agency noun]’’ is removed and information required under § 1471.330
transactions?
‘‘Department of Labor’’ is added in its after entering into a covered transaction
1471.120 May we grant an exception to let
place wherever it occurs. an excluded person participate in a with FMCS?
b. ‘‘[Agency adjective]’’ is removed covered transaction? Disclosing Information—Lower Tier
and ‘‘Department of Labor’’ is added in 1471.125 Does an exclusion under the Participants
its place wherever it occurs. nonprocurement system affect a person’s
eligibility to participate in Federal 1471.350 What information must I provide
c. ‘‘[Agency head or designee]’’ is procurement contracts? to a higher tier participant before
removed and ‘‘Secretary of Labor or 1471.130 Does an exclusion under the entering into a covered transaction with
designee’’ is added in its place wherever Federal procurement system affect a that participant?
it occurs. person’s eligibility to participate in 1471.355 What happens if I fail to disclose
nonprocurement transactions? the information required under
FEDERAL MEDIATION AND § 1471.350?
1471.135 May FMCS exclude a person who
CONCILIATION SERVICE is not currently participating in a 1471.360 What must I do if I learn of
29 CFR Parts 1471 and 1472 nonprocurement transaction? information required under § 1471.350
1471.140 How do I know if a person is after entering into a covered transaction
RIN 3076–AA08 excluded? with a higher tier participant?
FOR FURTHER INFORMATION CONTACT: Jane 1471.145 Does this part cover persons who
are disqualified as well as those who are Subpart D—Responsibilities of FMCS
Lorber, General Counsel, 2100 K St., Officials Regarding Transactions
excluded from nonprocurement
NW, Washington, DC 20427, (202) 606– transactions? 1471.400 May I enter into a transaction
5444, e-mail: jlorber@fmcs.gov. with an excluded or disqualified person?
Subpart B—Covered Transactions
ADDITIONAL SUPPLEMENTARY INFORMATION: 1471.405 May I enter into a covered
This proposed rule relocates the 1471.200 What is a covered transaction? transaction with a participant if a
1471.205 Why is it important to know if a
requirements for maintaining a drug-free principal of the transaction is excluded?
particular transaction is a covered
workplace from 29 CFR part 1471 to 29 1471.410 May I approve a participant’s use
transaction?
CFR part 1472. of the services of an excluded person?
1471.210 Which nonprocurement
transactions are covered transactions? 1471.415 What must I do if a Federal
List of Subjects agency excludes the participant or a
1471.215 Which nonprocurement
29 CFR Part 1471 transactions are not covered principal after I enter into a covered
transactions? transaction?
Administrative practice and 1471.220 Are any procurement contracts 1471.420 May I approve a transaction with
procedure, Debarment and suspension, included as covered transactions? an excluded or disqualified person at a
Grant programs, Loan programs, 1471.225 How do I know if a transaction lower tier?
Reporting and recordkeeping that I may participate in is a covered 1471.425 When do I check to see if a person
requirements. transaction? is excluded or disqualified?
1471.430 How do I check to see if a person
29 CFR Part 1472 Subpart C—Responsibilities of Participants
Regarding Transactions Doing Business is excluded or disqualified?
Administrative practice and With Other Persons 1471.435 What must I require of a primary
procedure, Drug abuse, Grant programs, tier participant?
1471.300 May I enter into a covered 1471.440 What method do I use to
Reporting and recordkeeping transaction with an excluded or communicate those requirements to
requirements. disqualified person?
participants?
Approved: 1471.305 What must I do if a Federal
1471.445 What action may I take if a
agency excludes a person with whom I
C. Richard Barnes, primary tier participant knowingly does
am already doing business in a covered
Director. transaction? business with an excluded or
1471.310 May I use the services of an disqualified person?
Accordingly, as set forth in the
excluded person under a covered 1471.450 What action may I take if a
common preamble, the Federal
transaction? primary tier participant fails to disclose
Mediation and Conciliation Service the information required under
proposes to amend 29 CFR chapter XII, 1471.315 Must I verify that principals of my
covered transactions are eligible to § 1471.330?
as follows: participate? 1471.455 What may I do if a lower tier
1. Part 1471 is revised to read as set 1471.320 What happens if I do business participant fails to disclose the
forth in instruction 1 at the end of the with an excluded person in a covered information required under § 1471.350 to
common preamble. transaction? the next higher tier?

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Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules 3323

Subpart E—Governmentwide List of Parties 1471.815 How may I contest a proposed a. ‘‘[Agency noun]’’ is removed and
Excluded or Disqualified From Federal debarment? ‘‘Federal Mediation and Conciliation
Procurement and Nonprocurement 1471.820 How much time do I have to Service’’ is added in its place wherever
Programs contest a proposed debarment?
1471.825 What information must I provide
it occurs.
1471.500 What is the purpose of the List?
1471.505 Who uses the List? to the debarring official if I contest a b. ‘‘[Agency adjective]’’ is removed
1471.510 Who maintains the List? proposed debarment? and ‘‘FMCS’’ is added in its place
1471.515 What specific information is on 1471.830 Under what conditions do I get an wherever it occurs.
additional opportunity to challenge the
the List? c. ‘‘[Agency Head or designee]’’ is
facts on which the proposed debarment
1471.520 Who gives the GSA the removed and ‘‘Agency Director’’ is
is based?
information that it puts on the List?
1471.525 Whom do I ask if I have questions
1471.835 Are debarment proceedings added in its place wherever it occurs.
formal?
about a person on the List?
1471.840 Is a record made of fact-finding 3. Section 1471.440 is added to read
1471.530 Where can I get the List? as follows:
proceedings?
Subpart F—General Principles Relating to 1471.845 What does the debarring official
consider in deciding whether to debar § 1471.440 What method do I use to
Suspension and Debarment Actions
me? communicate those requirements to
1471.600 How do suspension and participants?
1471.850 What is the standard of proof in
debarment actions start?
a debarment action? To communicate the requirement you
1471.605 How does suspension differ from
1471.855 Who has the burden of proof in a
debarment? must include a term or condition in the
debarment action?
1471.610 What procedures does FMCS use transaction requiring the participants’
1471.860 What factors may influence the
in suspension and debarment actions? compliance with Subpart C of this part
debarring official’s decision?
1471.615 How does FMCS notify a person and requiring them to include a similar
1471.865 How long may my debarment
of suspension and debarment actions?
last? term or condition in lower-tier covered
1471.620 Do Federal agencies coordinate
1471.870 When do I know if the debarring transactions.
suspension and debarment actions?
official debars me?
1471.625 What is the scope of a suspension 1471.875 May I ask the debarring official to 4. Part 1472 is added to read as set
or debarment action? reconsider a decision to debar me? forth in instruction 2 at the end of the
1471.630 May FMCS impute the conduct of 1471.880 What factors may influence the common preamble.
one person to another? debarring official during
1471.635 May FMCS settle a debarment or reconsideration? PART 1472 —GOVERNMENTWIDE
suspension action? 1471.885 May the debarring official extend REQUIREMENTS FOR DRUG-FREE
1471.640 May a settlement include a a debarment?
voluntary exclusion?
WORKPLACE (FINANCIAL
1471.645 Do other Federal agencies know if Subpart I—Definitions ASSISTANCE)
FMCS agrees to a voluntary exclusion? 1471.900 Adequate evidence. Subpart A—Purpose and Coverage
Subpart G—Suspension 1471.905 Affiliate.
1471.910 Agency. Sec.
1471.700 When may the suspending official 1471.915 Agent or representative. 1472.100 What does this part do?
issue a suspension? 1471.920 Civil judgment. 1472.105 Does this part apply to me?
1471.705 What does the suspending official 1471.925 Conviction. 1472.110 Are any of my Federal assistance
consider in issuing a suspension? 1471.930 Debarment. awards exempt from this part?
1471.710 When does a suspension take 1471.935 Debarring official. 1472.115 Does this part affect the Federal
effect? 1471.940 Disqualified. contracts that I receive?
1471.715 What notice does the suspending 1471.945 Excluded or exclusion.
official give me if I am suspended? 1471.950 Indictment. Subpart B—Requirements for Recipients
1471.720 How may I contest a suspension? 1471.955 Ineligible or ineligibility. Other than Individuals
1471.725 How much time do I have to 1471.960 Legal proceedings. 1472.200 What must I do to comply with
contest a suspension? 1471.965 List of parties excluded or this part?
1471.730 What information must I provide disqualified from federal procurement 1472.205 What must I include in my drug-
to the suspending official if I contest a and nonprocurement programs. free workplace statement?
suspension? 1471.970 Nonprocurement transaction. 1472.210 To whom must I distribute my
1471.735 Under what conditions do I get an 1471.975 Notice. drug-free workplace statement?
additional opportunity to challenge the 1471.980 Participant. 1472.215 What must I include in my drug-
facts on which the suspension is based? 1471.985 Person. free awareness program?
1471.740 Are suspension proceedings 1471.990 Preponderance of the evidence. 1472.220 By when must I publish my drug-
formal? 1471.995 Principal.
1471.745 Is a record made of fact-finding free workplace statement and establish
1471.1000 Respondent.
proceedings? my drug-free awareness program?
1471.1005 State.
1471.750 What does the suspending official 1471.1010 Suspending official. 1472.225 What actions must I take
consider in deciding whether to continue 1471.1015 Suspension. concerning employees who are convicted
or terminate my suspension? 1471.1020 Voluntary exclusion or of drug violations in the workplace?
1471.755 When will I know whether the voluntarily excluded. 1472.230 How and when must I identify
suspension is continued or terminated? workplaces?
1471.760 How long may my suspension Subpart J [Reserved]
Subpart C—Requirements for Recipients
last? Appendix to Part 1471—Covered Who Are Individuals
Subpart H—Debarment Transactions 1472.300 What must I do to comply with
1471.800 What are the causes for this part if I am an individual recipient?
Authority: E.O. 12549 ,3 CFR 1986 Comp.,
debarment? p. 189; E.O. 12698, 3 CFR 1989 Comp., p. 1472.301 [Reserved]
1471.805 What notice does the debarring 235; sec. 2455, Pub. L. 103–355, 108 Stat.
official give me if I am proposed for Subpart D—Responsibilities of FMCS
3327 (31 U.S.C. 6101 note); 29 U.S.C. 175a. Awarding Officials
debarment?
1471.810 When does a debarment take 2. Part 1471 is further amended as set 1472.400 What are my responsibilities as an
effect? forth below. FMCS awarding official?

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Subpart E—Violations of This Part and and suspension and on drug-free eligibility to participate in
Consequences workplace requirements for grants and nonprocurement transactions?
1472.500 How are violations of this part agreements. In adopting these rules, the 25.135 May the DoD Component exclude a
determined for recipients other than Office of the Secretary of Defense, person who is not currently participating
individuals? in a nonprocurement transaction?
Military Departments, Defense
1472.505 How are violations of this part 25.140 How do I know if a person is
Agencies, and DoD Field Activities will excluded?
determined for recipients who are
individuals?
maintain uniform policies and 25.145 Does this part cover persons who are
1472.510 What actions will the Federal procedures that are consistent with disqualified as well as those who are
Government take against a recipient those of other Executive Departments excluded from nonprocurement
determined to have violated this part? and Agencies. At the time the final rule transactions?
1472.515 Are there any exceptions to those is adopted, the DoD will make Subpart B—Covered Transactions
actions? conforming amendments in other parts
of the DoD Grant and Agreement 25.200 What is a covered transaction?
Subpart F—Definitions 25.205 Why is it important to know if a
Regulations (32 CFR parts 21, 22, 32, particular transaction is a covered
1472.605 Award.
1472.610 Controlled substance. and 34), to update references to the transaction?
1472.615 Conviction. debarment and suspension and the 25.210 Which nonprocurement transactions
1472.620 Cooperative agreement. drug-free workplace requirements that are covered transactions?
1472.625 Criminal drug statute. currently are in 32 CFR part 25. 25.215 Which nonprocurement transactions
1472.630 Debarment. are not covered transactions?
1472.635 Drug-free workplace. List of Subjects 25.220 Are any procurement contracts
1472.640 Employee. 32 CFR Part 25 included as covered transactions?
1472.645 Federal agency or agency. 25.225 How do I know if a transaction in
1472.650 Grant. Administrative practice and which I may participate is a covered
1472.655 Individual. procedure, Debarment and suspension, transaction?
1472.660 Recipient. Grant programs, Reporting and
1472.665 State. recordkeeping requirements Subpart C—Responsibilities of Participants
1472.670 Suspension. Regarding Transactions Doing Business
32 CFR Part 26 With Other Persons
Authority: 41 U.S.C. 701, et seq.
Administrative practice and 25.300 May I enter into a covered
5. Part 1472 is further amended as set procedure, Drug abuse, Grant programs, transaction with an excluded or
forth below. Reporting and recordkeeping disqualified person?
a. ‘‘[Agency noun]’’ is removed and requirements
25.305 What must I do if a Federal agency
‘‘Federal Mediation and Conciliation excludes a person with whom I am
Service’’ is added in its place wherever Approved: August 22, 2001. already doing business in a covered
it occurs. Patricia L. Toppings, transaction?
b. ‘‘[Agency adjective]’’ is removed Alternate OSD Federal Register Liaison 25.310 May I use the services of an
Officer, Department of Defense. excluded person under a covered
and ‘‘FMCS’’ is added in its place transaction?
wherever it occurs. Accordingly, as set forth in the 25.315 Must I verify that principals of my
c. ‘‘[Agency head or designee]’’ is common preamble, 32 CFR chapter I, covered transactions are eligible to
removed and ‘‘Agency Director’’ is subchapter B, is proposed to be participate?
added in its place wherever it occurs. amended as follows. 25.320 What happens if I do business with
d. ‘‘[Agency head]’’ is removed and 1. Part 25 is revised to read as set an excluded person in a covered
‘‘Agency Director’’ is added in its place forth in instruction 1 at the end of the transaction?
wherever it occurs. common preamble. 25.325 What requirements must I pass
6. Section 1472.510 (c) is further down to persons at lower tiers with
amended by removing ‘‘[CFR citation for PART 25—GOVERNMENTWIDE whom I intend to do business?
the Federal Agency’s regulations DEBARMENT AND SUSPENSION Disclosing Information—Primary Tier
implementing Executive Order 12549 (NONPROCUREMENT) Participants
and Executive Order 12689] and adding 25.330 What Information must I provide
Sec.
‘‘29 CFR part 1471’’ in its place. 25.25 How is this part organized? before entering into a covered
7. Section 1472.605(a)(2) is further 25.50 How is this part written? transaction with the DoD Component?
amended by removing ‘‘[Agency- 25.75 Do terms in this part have special 25.335 If I disclose unfavorable information
specific CFR citation]’’ and adding ‘‘29 meanings? required under § 25.330 will I be
CFR part 1470’’ in its place. prevented from entering into the
Subpart A—General transaction?
DEPARTMENT OF DEFENSE 25.100 What does this part do? 25.340 What happens if I fail to disclose the
Office of the Secretary 25.105 Does this part apply to me? information required under § 25.330?
25.110 What is the purpose of the 25.345 What must I do if I learn of the
32 CFR Parts 25 and 26 nonprocurement debarment and information required under § 25.330 after
suspension system? entering into a covered transaction with
RIN 0790–AG86 25.115 How does an exclusion restrict a the DoD Component?
FOR FURTHER INFORMATION CONTACT: person’s involvement in covered
transactions? Disclosing information—Lower Tier
Mark Herbst, Office of the Deputy Under Participants
Secretary of Defense (Science and 25.120 May we grant an exception to let an
Technology), 3080 Defense Pentagon, excluded person participate in a covered 25.350 What information must I provide to
transaction? a higher tier participant before entering
Washington, DC 20301–3080, telephone: into a covered transaction with that
25.125 Does an exclusion under the
(703) 696–0372. nonprocurement system affect a person’s participant?
ADDITIONAL SUPPLEMENTARY INFORMATION: eligibility to participate in Federal 25.355 What happens if I fail to disclose the
The Department of Defense (DoD) procurement contracts? information required under § 25.350?
proposes to adopt two updated common 25.130 Does an exclusion under the Federal 25.360 What must I do if I learn of
rules, on nonprocurement debarment procurement system affect a person’s information required under § 25.350 after

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entering into a covered transaction with Subpart G—Suspension 25.940 Disqualified.


a higher tier participant? 25.700 When may the suspending official 25.942 DoD Component.
issue a suspension? 25.945 Excluded or exclusion.
Subpart D—Responsibilities of DoD
25.705 What does the suspending official 25.950 Indictment.
Component Officials Regarding
consider in issuing a suspension? 25.955 Ineligible or ineligibility.
Transactions
25.710 When does a suspension take effect? 25.960 Legal proceedings.
25.400 May I enter into a transaction with 25.715 What notice does the suspending 25.965 List of Parties Excluded or
an excluded or disqualified person? Disqualified From Federal Procurement
official give me if I am suspended?
25.405 May I enter into a covered and Nonprocurement Programs.
25.720 How may I contest a suspension?
transaction with a participant if a 25.970 Nonprocurement transaction.
25.725 How much time do I have to contest
principal of the transaction is excluded? 25.975 Notice.
a suspension?
25.415 What must I do if a Federal agency 25.980 Participant.
25.730 What information must I provide to
excludes the participant or a principal 25.985 Person.
the suspending official if I contest a
after I enter into a covered transaction? 25.990 Preponderance of the evidence.
suspension?
25.420 May I approve a transaction with an 25.995 Principal.
25.735 Under what conditions do I get an
excluded or disqualified person at a 25.1000 Respondent.
lower tier? additional opportunity to challenge the
facts on which the suspension is based? 25.1005 State.
25.425 When do I check to see if a person 25.1010 Suspending official.
is excluded or disqualified? 25.740 Are suspension proceedings formal?
25.745 Is a record made of fact-finding 25.1015 Suspension.
25.430 How do I check to see if a person is 25.1020 Voluntary exclusion or voluntarily
excluded or disqualified? proceedings?
25.750 What does the suspending official excluded.
25.435 What must I require of a primary tier
participant? consider in deciding whether to continue
Subpart J [Reserved]
25.440 What method do I use to or terminate my suspension?
communicate those requirements to 25.755 When will I know whether the Appendix to Part 25—Covered Transactions
participants? suspension is continued or terminated?
25.760 How long may my suspension last? Authority: E.O. 12549, 3 CFR 1986 Comp.,
25.445 What action may I take if a primary p. 189; E.O. 12689 , 3 CFR 1989 Comp., p.
tier participant knowingly does business Subpart H—Debarment 235; sec. 2455, Pub. L. 103–355, 108 Stat.
with an excluded or disqualified person? 3327 (31 U.S.C. 6101 note).
25.800 What are the causes for debarment?
25.450 What action may I take if a primary
25.805 What notice does the debarring
tier participant fails to disclose the 2. Part 25 is further amended as set
official give me if I am proposed for
information required under § 25.330?
debarment? forth below.
25.455 What may I do if a lower tier a. ‘‘[Agency noun]’’ is removed and
25.810 When does a debarment take effect?
participant fails to disclose the ‘‘DoD Component’’ is added in its place
25.815 How may I contest a proposed
information required under § 25.350 to wherever it occurs.
debarment?
the next higher tier?
25.820 How much time do I have to contest b. ‘‘[Agency adjective]’’ is removed
Subpart E—Governmentwide List of Parties a proposed debarment? and ‘‘DoD Component’’ is added in its
Excluded or Disqualified From Federal 25.825 What information must I provide to place wherever it occurs.
Procurement and Nonprocurement the debarring official if I contest a c. ‘‘[Agency head or designee]’’ is
Programs proposed debarment? removed and ‘‘Head of the DoD
25.500 What is the purpose of the List? 25.830 Under what conditions do I get an
Component or his or her designee’’ is
25.505 Who uses the List? additional opportunity to challenge the
facts on which a proposed debarment is added in its place wherever it occurs.
25.510 Who maintains the List? 3. Section 25.440 is added to read as
25.515 What specific information is on the based?
25.835 Are debarment proceedings formal? follows:
List?
25.520 Who gives the GSA the information 25.840 Is a record made of fact-finding
§ 25.440 What method do I use to
that it puts on the List? proceedings?
communicate those requirements to
25.525 Whom do I ask if I have questions 25.845 What does the debarring official
participants?
about a person on the List? consider in deciding whether to debar
25.530 Where can I get the List? me? To communicate the requirement, you
25.850 What is the standard of proof in a must include a term or condition in the
Subpart F—General Principles Relating to debarment action? transaction requiring the participants’
Suspension and Debarment Actions 25.855 Who has the burden of proof in a compliance with subpart C of this part
25.600 How do suspension and debarment debarment action? and requiring them to include a similar
actions start? 25.860 What factors may influence the term or condition in lower-tier covered
25.605 How does suspension differ from debarring official’s decision?
25.865 How long may my debarment last?
transactions.
debarment?
25.870 When do I know if the debarring 4. Section 25.935 is further amended
25.610 What procedures does the DoD
Component use in suspension and official debars me? by adding paragraph (b) to read as
debarment actions? 25.875 May I ask the debarring official to follows:
25.615 How does the DoD Component reconsider a decision to debar me?
25.880 What factors may influence the § 25.935 Debarring official.
notify a person of suspension and
debarment actions? debarring official during * * * * *
25.620 Do Federal agencies coordinate reconsideration? (b) DoD Components’ debarring
suspension and debarment actions? 25.885 May the debarring official extend a officials for nonprocurement
25.625 What is the scope of a suspension or debarment? transactions are the same officials
debarment action? identified in 48 CFR part 209, subpart
25.630 May the DoD Component impute the Subpart I—Definitions
25.900 Adequate evidence.
209.4 as debarring officials for
conduct of one person to another?
25.635 May the DoD Component settle a 25.905 Affiliate. procurement contracts.
debarment or suspension action? 25.910 Agency. 5. Section 25.942 is added to read as
25.640 May a settlement include a 25.915 Agent or representative. follows:
voluntary exclusion? 25.920 Civil judgment.
25.645 Do other Federal agencies know if 25.925 Conviction. § 25.942 DoD Component.
the DoD Component agrees to a 25.930 Debarment. DoD Component means the Office of
voluntary exclusion? 25.935 Debarring official. the Secretary of Defense, a Military

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Department, a Defense Agency, or the Subpart F—Definitions audiotape, or computer diskette) on


Office of Economic Adjustment. 26.605 Award. request to the contact person listed
6. Section 25.1010 is further amended 26.610 Controlled substance. under FOR FURTHER INFORMATION
by adding a paragraph (b) to read as 26.615 Conviction. CONTACT.
follows: 26.620 Cooperative agreement.
26.625 Criminal drug statute. ADDITIONAL SUPPLEMENTARY INFORMATION:
§ 25.1010 Suspending official. 26.630 Debarment. The proposed common rule would
* * * * * 26.632 DoD Component. provide agencies with certain areas of
(b) DoD Components’ suspending 26.635 Drug-free workplace. flexibility in adopting the common rule.
officials for nonprocurement 26.640 Employee. An agency can determine the extent to
transactions are the same officials 26.645 Federal agency or agency. which the effect of a debarment or
26.650 Grant. suspension action flows down to tiers
identified in 48 CFR part 209, subpart 26.655 Individual.
209.4 as suspending officials for lower than a nonprocurement
26.660 Recipient.
procurement contracts. 26.665 State.
transaction. Under the original common
7. Part 26 is added to read as set forth 26.670 Suspension. rule, every procurement below the
in instruction 2 at the end of the nonprocurement level is covered if it
Authority: 41 U.S.C. 701, et seq. exceeds the small purchase threshold
common preamble.
8. Part 26 is further amended as set ($25,000). The Department of Education
PART 26—GOVERNMENTWIDE forth below. has significant vulnerabilities to fraud
REQUIREMENTS FOR DRUG-FREE a. ‘‘[Agency noun]’’ is removed and and abuse below the nonprocurement
WORKPLACE (FINANCIAL ‘‘DoD Component’’ is added in its place level, particularly among participants in
ASSISTANCE) wherever it occurs. the financial aid programs authorized
b. ‘‘[Agency adjective]’’ is removed under title IV of the Higher Education
Subpart A—Purpose and Coverage and ‘‘DoD Component’’ is added in its Act of 1965, as amended (HEA), 20
Sec. place wherever it occurs. U.S.C. 1070, et seq. Thus, the Secretary
26.100 What does this part do? c. ‘‘[Agency head or designee]’’ is proposes language for § 85.220(d) that
26.105 Does this part apply to me? removed and ‘‘Head of the DoD
26.110 Are any of my Federal assistance preserves coverage at multiple lower
Component or his or her designee’’ is tiers for any contract or subcontract that
awards exempt from this part?
26.115 Does this part affect the Federal added in its place wherever it occurs. is greater than $25,000, and language for
contracts that I receive? d. ‘‘[Agency head]’’ is removed and § 85.220(e) that reaches contracts for
‘‘Secretary of Defense or Secretary of a services for title IV HEA programs
Subpart B—Requirements for Recipients Military Department’’ is added in its
Other Than Individuals without regard to dollar amount.
place wherever it occurs. For example, if a subgrantee entered
26.200 What must I do to comply with this 9. Section 26.510(c) is further
part?
into a contract with a third party and
amended by removing ‘‘[CFR citation for the contract exceeds the $25,000
26.205 What must I include in my drug-free the Federal agency’s regulations
workplace statement? threshold, the contract would be
implementing Executive Order 12549 covered under the proposed rule and
26.210 To whom must I distribute my drug-
free workplace statement? and Executive Order 12689]’’ and every subcontract after that would be
26.215 What must I include in my drug-free adding ‘‘32 CFR part 25’’ in its place. covered if it exceeds that threshold.
awareness program? 10. Section 26.605(a)(2) is further The Secretary also proposes to adopt
26.220 By when must I publish my drug- amended by removing ‘‘[Agency- the rule so that direct notice between
free workplace statement and establish specific CFR citation]’’ and adding ‘‘32 one tier and the next of the potential for
my drug-free awareness program? CFR part 33’’ in its place.
26.225 What actions must I take concerning suspension and debarment is not
11. Section 26.632 is added to read as
employees who are convicted of drug needed to impose coverage. As
follows:
violations in the workplace? explained more fully later in this
26.230 How and when must I identify § 26.632 DoD Component. preamble, certain persons pose
workplaces? DoD Component means the Office of significant risks to the U.S. Department
Subpart C—Requirements for Recipients the Secretary of Defense, a Military of Education (ED) funded programs even
Who Are Individuals Department, a Defense Agency, or the though in some cases those people
26.300 What must I do to comply with this Office of Economic Adjustment. receive no funds directly from ED
part if I am an individual recipient? related to the transaction over which
26.301 [Reserved]
DEPARTMENT OF EDUCATION they have a significant control or
34 CFR Parts 84, 85, 668, and 682 influence.
Subpart D—Responsibilities of DoD The Secretary proposes additional
Component Awarding Officials RIN 1890–AA07 changes to the common rule. These
26.400 What are my responsibilities as a changes would clarify the effect of
FOR FURTHER INFORMATION CONTACT:
DoD Component awarding official?
Peter Wathen-Dunn, Office of the debarment and suspension actions on
Subpart E—Violations of This Part and General Counsel, U.S. Department of an institution’s eligibility to participate
Consequences Education, 400 Maryland Avenue, SW., in student assistance programs
26.500 How are violations of this part room 6E211, Washington, DC 20202– authorized under title IV of the HEA, 20
determined for recipients other than 2243. Telephone: 202–401–6700 or via U.S.C. 1070, et seq. These changes are
individuals? e-mail Peter.Wathen-Dunn@ed.gov. consistent with the original common
26.505 How are violations of this part If you use a telecommunications rule, as adopted by the Department in
determined for recipients who are 1988.
device for the deaf (TDD), you may call
individuals?
26.510 What actions will the Federal the Federal Information Relay Service The Secretary also proposes to clarify
Government take against a recipient (FIRS) at 1–800–877–8339. some of the coverage definitions to
determined to have violated this part? Individuals with disabilities may ensure that any person who has a
26.515 Are there any exceptions to those obtain this document in an alternative significant control or influence over an
actions? format (e.g., Braille, large print, ED transaction would be covered. The

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Secretary would also clarify the under this kind of agreement or Printing Office (GPO), toll free, at 1–
meaning of ‘‘principal’’ and arrangement. Thus, the Secretary— 888–293–6498; or in the Washington,
‘‘participant’’ in the context of title IV, solely for the purpose of this rule— DC, area at (202) 512–1530.
HEA transactions. The Secretary proposes to treat these agreements as Note: The official version of this document
considers an excluded person to pose having limited duration, regardless of is the document published in the Federal
significant risk to the integrity of the other regulatory or contractual Register. Free Internet access to the official
title IV, HEA programs. Thus, the provisions that control their duration as edition of the Federal Register and the Code
Secretary proposes changes to the between the participant and the of Federal Regulations is available on GPO
common rule regarding the definition of Government. The Secretary considers Access at: http://www.access.gpo.gov/nara/
an excluded ‘‘principal.’’ The proposed index.html.
this approach necessary in order to
revised definition would include those ensure a level of protection for these (Catalog of Federal Domestic Assistance
persons who would— kinds of transactions or agreements that Number 84.032 Federal Family Education
• Provide services as third-party the common rule is intended to achieve Loan Program)
servicers to schools, lenders, and for other Federal agreements. List of Subjects
guarantors that participate in the title Thus, for the purposes of title IV, HEA
IV, HEA programs. transactions, the Secretary proposes to 34 CFR Part 84
• Provide counsel or guidance allow a participant to continue to use Debarment and suspension, Drug
directly to third-party servicers; or the services of the excluded person for abuse, Grant programs, Reporting and
• Provide counsel or guidance a period of 90 days or up to the close recordkeeping requirements.
through a third-party servicer, indirectly of the Federal fiscal year in which the
or directly, to the lender, school, or 34 CFR Part 85
participant learns of the exclusion,
guarantor. whichever is longer. This would give Administrative practice and
To further clarify this position and to the participant time to arrange for a procedure, Debarment and suspension,
make participants aware of this substitute to perform needed services. Drug abuse, Grant programs, Loan
precaution, the Secretary expressly Because this NPRM would reorganize programs, Reporting and recordkeeping
designates as a covered lower-tier part 85 of title 34 of the Code of Federal requirements.
transaction any contract between a Regulations (CFR), some of the cross-
third-party servicer and a lender, 34 CFR Part 668
references to this part in parts 668 and
school, or guarantor, regardless of the 682 of the CFR would become obsolete Administrative practice and
amount of the contract. when this rule becomes final. Therefore, procedure, Colleges and universities,
Parties apparently have structured Consumer protection, Grant programs-
the Secretary proposes to make
these types of transactions to avoid the education, Loan programs-education,
conforming amendments to parts 668
dollar threshold needed to extend Reporting and recordkeeping
and 682 of the CFR so they refer to the
coverage to lower-tier procurement requirements, Student aid.
proper provisions in part 85.
transactions. The Secretary proposes Also, the Secretary proposes to 34 CFR Part 682
this change to avoid attempts by remove 34 CFR 682.705(a)(3), which
excluded parties to use agreements or Administrative practice and
prescribes the duration of a suspension procedure, Colleges and universities,
arrangements that contain indefinite or by another Federal agency. Because the
ambiguously phrased compensation Education, Loan programs-education,
period of the suspension is expressly Reporting and recordkeeping
provisions to evade sanction. In covered in proposed 34 CFR 85.612(b),
addition, the Secretary considers the requirements, Student aid, Vocational
there is no need to retain the separate education.
dollar amount of the procurement explanation.
contract for the services of an excluded Finally, we note that the common rule Dated: September 6, 2001.
person to have no necessary connection clarifies the conditions under which a Rod Paige,
with the amount of abuse that may be Federal agency gives a respondent an Secretary of Education.
caused by the excluded person. opportunity to challenge facts on which For the reasons stated in the common
The proposed changes would make the agency based a suspension or preamble and in the specific preamble
the scope of the exclusion clearer and proposed debarment. of the Department of Education (ED), the
easier for participants to apply to their Secretary proposes to amend title 34 of
transactions. Assessment of Educational Impact the Code of Federal Regulations by
The common rule allows a participant The Secretary particularly requests adding part 84, revising part 85, and
to continue to use the services of an comments on whether these proposed amending parts 668 and 682 to read as
excluded person on the premise that the regulations would require transmission follows:
transaction or agreement under which a of information that any other agency or 1. Part 84 is added to read as set forth
participant operates has a limited authority of the United States gathers or in instruction 2 at the end of the
duration. However, it is contrary to the makes available. common preamble.
intent of the rule, to apply that approach
to situations in which the party Electronic Access to This Document PART 84—GOVERNMENTWIDE
participates under an agreement or You may view this document, as well REQUIREMENTS FOR DRUG-FREE
arrangement of extended or even as all other Department of Education WORKPLACE (FINANCIAL
indefinite duration. Several major title documents published in the Federal ASSISTANCE)
IV, HEA agreements have no stated Register, in text or Adobe Portable
Subpart A—Purpose and Coverage
expiration date; others, including Document Format (PDF) on the Internet
program participation agreements with at the following site: http://www.ed.gov/ Sec.
84.100 What does this part do?
postsecondary institutions, commonly legislation/FedRegister. 84.105 Does this part apply to me?
extend for six years. To use PDF you must have Adobe 84.110 Are any of my Federal assistance
The Secretary wishes to prevent a title Acrobat Reader, which is available free awards exempt from this part?
IV, HEA participant from continuing to at this site. If you have questions about 84.115 Does this part affect the Federal
use the services of an excluded person using PDF, call the U.S. Government contracts that I receive?

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Subpart B—Requirements for Recipients d. ‘‘[Agency head]’’ is removed and 85.215 Which nonprocurement transactions
Other Than Individuals ‘‘ED Deciding Official’’ is added in its are not covered transactions?
84.200 What must I do to comply with this place wherever it occurs. 85.220 Are any procurement contracts
part? 3. Section 84.510(c) is further included as covered transactions?
84.205 What must I include in my drug-free 85.225 How do I know if a transaction that
amended by removing ‘‘[CFR citation for
workplace statement? I may participate in is a covered
the Federal Agency’s regulations transaction?
84.210 To whom must I distribute my drug- implementing Executive Order 12549
free workplace statement? Subpart C—Responsibilities of Participants
84.215 What must I include in my drug-free
and Executive Order 12689]’’ and
adding ‘‘34 CFR part 85’’ in its place. Regarding Transactions Doing Business
awareness program? With Other Persons
84.220 By when must I publish my drug- 4. Section 84.605(a)(2) is further
free workplace statement and establish amended by removing ‘‘[Agency- 85.300 May I enter into a covered
my drug-free awareness program? specific CFR citation]’’ and adding ‘‘34 transaction with an excluded or
84.225 What actions must I take concerning CFR part 85’’ in its place. disqualified person?
employees who are convicted of drug 85.305 What must I do if a Federal agency
5. Each section in part 84 is further
violations in the workplace? excludes a person with whom I am
amended by adding to the end of each already doing business in a covered
84.230 How and when must I identify section the following authority citation
workplaces? transaction?
to read: 85.310 May I use the services of an
Subpart C—Requirements for Recipients (Authority: E.O.s 12549 and 12689; 20 U.S.C. excluded person under a covered
Who Are Individuals 1082, 1094, 1221e–3 and 3474; and Sec. transaction?
84.300 What must I do to comply with this 2455, Pub. L. 103–355, 108 Stat. 3243 at 85.315 Must I verify that principals of my
part if I am an individual recipient? 3327) covered transactions are eligible to
84.301 [Reserved] participate?
6. Part 85 is revised to read as 85.320 What happens if I do business with
Subpart D—Responsibilities of ED provided in instruction 1 at the end of an excluded person in a covered
Awarding Officials the common preamble: transaction?
84.400 What are my responsibilities as an 85.325 What requirements must I pass
ED awarding official? PART 85—GOVERNMENTWIDE down to persons at lower tiers with
DEBARMENT AND SUSPENSION whom I intend to do business?
Subpart E—Violations of This Part and
Consequences
(NONPROCUREMENT) Disclosing Information—Primary Tier
84.500 How are violations of this part Sec. Participants
determined for recipients other than 85.25 How is this part organized? 85.330 What information must I provide
individuals? 85.50 How is this part written? before entering into a covered
84.505 How are violations of this part 85.75 Do terms in this part have special transaction with the Department of
determined for recipients who are meanings? Education?
individuals? 85.335 If I disclose unfavorable information
Subpart A—General
84.510 What actions will the Federal required under § 85.330 will I be
Government take against a recipient 85.100 What does this part do? prevented from entering into the
determined to have violated this part? 85.105 Does this part apply to me? transaction?
84.515 Are there any exceptions to those 85.110 What is the purpose of the 85.340 What happens if I fail to disclose the
actions? nonprocurement debarment and information required under § 85.330?
suspension system? 85.345 What must I do if I learn of the
Subpart F—Definitions 85.115 How does an exclusion restrict a information required under § 85.330 after
84.605 Award. person’s involvement in covered entering into a covered transaction with
84.610 Controlled substance. transactions? the Department of Education?
84.615 Conviction. 85.120 May we grant an exception to let an
84.620 Cooperative agreement. excluded person participate in a covered Disclosing Information—Lower Tier
84.625 Criminal drug statute. transaction? Participants
84.630 Debarment. 85.125 Does an exclusion under the 85.350 What information must I provide to
84.635 Drug-free workplace. nonprocurement system affect a person’s a higher tier participant before entering
84.640 Employee. eligibility to participate in Federal into a covered transaction with that
84.645 Federal agency or agency. procurement contracts? participant?
84.650 Grant. 85.130 Does an exclusion under the Federal 85.355 What happens if I fail to disclose the
84.655 Individual. procurement system affect a person’s information required under § 85.350?
84.660 Recipient. eligibility to participate in 85.360 What must I do if I learn of
84.665 State. nonprocurement transactions? information required under § 85.350 after
84.670 Suspension. 85.135 May the Department of Education entering into a covered transaction with
Authority: E.O.s 12549 and 12689; 20 U.S.C. exclude a person who is not currently a higher tier participant?
1082, 1094, 1221e–3 and 3474; and Sec. participating in a nonprocurement
Subpart D—Responsibilities of ED Officials
2455, Pub. L. 103–355, 108 Stat. 3243 at transaction?
Regarding Transactions
3327, unless otherwise noted. 85.140 How do I know if a person is
excluded? 85.400 May I enter into a transaction with
2. Part 84 is further amended as 85.145 Does this part cover persons who are an excluded or disqualified person?
follows: disqualified as well as those who are 85.405 May I enter into a covered
a. ‘‘[Agency noun]’’ is removed and excluded from nonprocurement transaction with a participant if a
‘‘Department of Education’’ is added in transactions? principal of the transaction is excluded?
its place wherever it occurs. 85.410 May I approve a participant’s use of
Subpart B—Covered Transactions the services of an excluded person?
b. ‘‘[Agency adjective]’’ is removed
85.200 What is a covered transaction? 85.415 What must I do if a Federal agency
and ‘‘ED’’ is added in its place wherever 85.205 Why is it important to know if a excludes the participant or a principal
it occurs. particular transaction is a covered after I enter into a covered transaction?
c. ‘‘[Agency head or designee]’’ is transaction? 85.420 May I approve a transaction with an
removed and ‘‘ED Deciding Official’’ is 85.210 Which nonprocurement transactions excluded or disqualified person at a
added in its place wherever it occurs. are covered transactions? lower tier?

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85.425 When do I check to see if a person 85.715 What notice does the suspending 85.950 Indictment.
is excluded or disqualified? official give me if I am suspended? 85.955 Ineligible or ineligibility.
85.430 How do I check to see if a person is 85.720 How may I contest a suspension? 85.960 Legal proceedings.
excluded or disqualified? 85.725 How much time do I have to contest 85.965 List of Parties Excluded or
85.435 What must I require of a primary tier a suspension? Disqualified From Federal Procurement
participant? 85.730 What information must I provide to and Nonprocurement Programs.
85.440 What method do I use to the suspending official if I contest a 85.970 Nonprocurement transaction.
communicate those requirements to suspension? 85.975 Notice.
participants? 85.735 Under what conditions do I get an 85.980 Participant.
85.445 What action may I take if a primary additional opportunity to challenge the 85.985 Person.
tier participant knowingly does business facts on which the suspension is based? 85.990 Preponderance of the evidence.
with an excluded or disqualified person? 85.740 Are suspension proceedings formal? 85.995 Principal.
85.450 What action may I take if a primary 85.745 Is a record made of fact-finding 85.1000 Respondent.
tier participant fails to disclose the proceedings? 85.1005 State.
information required under § 85.330? 85.750 What does the suspending official 85.1010 Suspending official.
85.455 What may I do if a lower tier consider in deciding whether to continue 85.1015 Suspension.
participant fails to disclose the or terminate my suspension? 85.1016 Title IV, HEA participant.
information required under § 85.350 to 85.755 When will I know whether the 85.1017 Title IV, HEA program.
the next higher tier? suspension is continued or terminated? 85.1018 Title IV, HEA transaction.
Subpart E—Governmentwide List of Parties 85.760 How long may my suspension last? 85.1020 Voluntary exclusion or voluntarily
Excluded or Disqualified From Federal excluded.
Subpart H—Debarment
Procurement and Nonprocurement Subpart J [Reserved]
Programs 85.800 What are the causes for debarment?
85.805 What notice does the debarring Appendix to Part 85—Covered Transactions
85.500 What is the purpose of the List? official give me if I am proposed for
85.505 Who uses the List? debarment? Authority: E.O. 12549 (3 CFR 1986 Comp.,
85.510 Who maintains the List? 85.810 When does a debarment take effect? p. 189); E.O. 12698 (3 CFR 1989 Comp., p.
85.515 What specific information is on the 85.811 When does a debarment affect title 235); sec. 2455, Pub. L. 103–355, 108 Stat.
List? IV, HEA transactions? 3327 (31 U.S.C. 6101 note); 20 U.S.C. 1082,
85.520 Who gives the GSA the information 85.815 How may I contest a proposed 1094, 1221e-3, and 3474, unless otherwise
that it puts on the List? debarment? noted.
85.525 Whom do I ask if I have questions 85.820 How much time do I have to contest
about a person on the List? a proposed debarment?
7. Part 85 is further amended as
85.530 Where can I get the List? follows:
85.825 What information must I provide to
Subpart F—General Principles Relating to the debarring official if I contest a a. ‘‘[Agency noun]’’ is removed and
Suspension and Debarment Actions proposed debarment? ‘‘Department of Education’’ is added in
85.600 How do suspension and debarment 85.830 Under what conditions do I get an its place wherever it occurs.
actions start? additional opportunity to challenge the b. ‘‘[Agency adjective]’’ is removed
85.605 How does suspension differ from facts on which the proposed debarment and ‘‘ED’’ is added in its place wherever
debarment? is based? it occurs.
85.610 What procedures does the 85.835 Are debarment proceedings formal? c. ‘‘[Agency head or designee]’’ is
Department of Education use in 85.840 Is a record made of fact-finding
proceedings?
removed and ‘‘ED Deciding Official’’ is
suspension and debarment actions? added in its place wherever it occurs.
85.611 What procedures do we use for a 85.845 What does the debarring official
consider in deciding whether to debar d. Each section in part 85 is further
suspension or debarment action
involving title IV, HEA transaction? me? amended by adding to the end of each
85.612 When does an exclusion by another 85.850 What is the standard of proof in a section the following authority citation
agency affect the ability of the excluded debarment action? to read:
person to participate in title IV, HEA 85.855 Who has the burden of proof in a
(Authority: E.O. 12549 (3 CFR, 1986 Comp.,
transaction? debarment action?
p. 189); E.O 12689 (3 CFR, 1989 Comp., p.
85.615 How does the Department of 85.860 What factors may influence the
235); 20 U.S.C. 1082, 1094, 1221e–3 and
Education notify a person of suspension debarring official’s decision?
3474; and Sec. 2455, Pub. L. 103–355, 108
and debarment actions? 85.865 How long may my debarment last?
Stat. 3243 at 3327)
85.620 Do Federal agencies coordinate 85.870 When do I know if the debarring
suspension and debarment actions? official debars me? 8. Section 85.220 is further amended
85.625 What is the scope of a suspension or 85.875 May I ask the debarring official to by adding new paragraphs (d) and (e) to
debarment action? reconsider a decision to debar me? read as follows.
85.630 May the Department of Education 85.880 What factors may influence the
impute the conduct of one person to debarring official during § 85.220 Are any procurement contracts
another? reconsideration? included as covered transactions?
85.635 May the Department of Education 85.885 May the debarring official extend a * * * * *
settle a debarment or suspension action? debarment?
(d) The contract is awarded by any
85.640 May a settlement include a Subpart I—Definitions
voluntary exclusion?
contractor, subcontractor, supplier,
85.645 Do other Federal agencies know if 85.900 Adequate evidence. consultant or its agent or representative
the Department of Education agrees to a 85.905 Affiliate. in any transaction, regardless of tier,
voluntary exclusion? 85.910 Agency. that is funded or authorized under ED
85.915 Agent or representative. programs and is expected to equal or
Subpart G—Suspension 85.920 Civil judgment. exceed $25,000.
85.700 When may the suspending official 85.925 Conviction. (e) The contract is to perform services
issue a suspension? 85.930 Debarment.
85.705 What does the suspending official 85.935 Debarring official.
as a third party servicer in connection
consider in issuing a suspension? 85.940 Disqualified. with a title IV, HEA program.
85.710 When does a suspension take effect? 85.942 ED Deciding Official. 9. Section 85.305 is further amended
85.711 When does a suspension affect title 85.945 Excluded or exclusion. by adding paragraph (c) to read as
IV, HEA transactions? 85.947 HEA. follows:

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§ 85.305 What must I do if a Federal subpart C of this part and requiring the 20 U.S.C. 1082, 1094, 1221e–3 and 3474; and
agency excludes a person with whom I am participant to include a similar term or Sec. 2455 of Pub. L. 103–355, 108 Stat. 3243
already doing business in a covered condition in lower-tier covered at 3327)
transaction? transactions. 14. Subpart F of Part 85 is further
* * * * * (b) The failure of a participant to amended by adding § 85.612 to read as
(c) If you are a title IV, HEA include a requirement to comply with follows:
participant, you may not continue a title subpart C of this part in the agreement
IV, HEA transaction with an excluded with a lower tier participant does not § 85.612 When does an exclusion by
person after the effective date of the another agency affect the ability of the
affect the lower tier participant’s excluded person to participate in a title IV,
exclusion unless permitted by 34 CFR responsibilities under this part. HEA transaction?
668.26, 682.702, or 668.94, as (Authority: E.O. 12549 (3 CFR, 1985 Comp.,
applicable. (a) If a title IV, HEA participant is
p. 189); E.O. 12689 (3 CFR 1989 Comp., p. debarred by another agency under E.O.
10. Section 85.310 is further amended 235); 20 U.S.C. 1082, 1094, 1221e–3 and
by adding paragraph (c) to read as 12549, using procedures described in
3474; and Sec. 2455 of Pub. L. 103–355, 108
follows: paragraph (d) of this section, that party
Stat. 3243 at 3327)
is not eligible to enter into title IV, HEA
§ 85.310 May I use the services of an 13. Subpart F of part 85 is further transactions for the duration of the
excluded person under a covered amended by adding a new § 85.611 to debarment.
transaction? read as follows: (b)(1) If a title IV, HEA participant is
* * * * * suspended by another agency under
§ 85.611 What procedures do we use for a
(c) Title IV, HEA transactions. If you E.O. 12549 or under a proposed
suspension or debarment action involving a
are a title IV, HEA participant— title IV, HEA transaction? debarment under the Federal
(1) You may not renew or extend the Acquisition Regulation (FAR) (48 CFR
(a) If we suspend a title IV, HEA
term of any contract or agreement for part 9, subpart 9.4), using procedures
participant under Executive Order
the services of an excluded person as a described in paragraph (d) of this
12549, we use the following procedures
principal with respect to a title IV, HEA section, that party is not eligible to enter
to ensure that the suspension prevents
transaction; and into title IV, HEA transactions for the
participation in title IV, HEA
(2) You may not continue to use the duration of the suspension.
transactions: (2)(i) The suspension of title IV, HEA
services of that excluded person as a (1) The notification procedures in
principal under this kind of an eligibility as a result of suspension by
§ 85.715. another agency lasts for at least 60 days.
agreement or arrangement more than 90 (2) Instead of the procedures in
days after you learn of the exclusion or (ii) If the excluded party does not
§§ 85.720 through 85.760, the object to the suspension, the 60-day
after the close of the Federal fiscal year procedures in 34 CFR part 668, subpart
in which the exclusion takes effect, period begins on the 35th day after that
G or 34 CFR part 682, subpart D or G agency issues the notice of suspension.
whichever is later. as applicable.
11. Section 85.415 is further amended (iii) If the excluded party objects to
(3) In addition to the findings and the suspension, the 60-day period
by adding a new paragraph (c) to read conclusions required by 34 CFR part
as follows. begins on the date of the decision of the
668, subpart G or 34 CFR part 682, suspending official.
§ 85.415 What must I do if a Federal
subpart D or G, the suspending official, (3) The suspension of title IV, HEA
agency excludes the participant or a and, on appeal, the Secretary eligibility does not end on the 60th day
principal after I enter into a covered determines whether there is sufficient if—
transaction? cause for suspension as explained in (i) The excluded party agrees to an
* * * * * § 85.700. extension; or
(c) Title IV, HEA transactions. If you (b) If we debar a title IV, HEA (ii) Before the 60th day we begin a
are a title IV, HEA participant— participant under E.O. 12549, we use limitation or termination proceeding
(1) You may not renew or extend the the following procedures to ensure that against the excluded party under 34
term of any contract or agreement for the debarment also precludes CFR part 668, subpart G or part 682,
the services of an excluded person as a participation in title IV, HEA subpart D or G.
principal with respect to a title IV, HEA transactions: (c)(1) If a title IV, HEA participant is
transaction; and (1) The notification procedures in debarred or suspended by another
(2) You may not continue to use the §§ 85.805 and 85.870. Federal agency—
(2) Instead of the procedures in (i) We notify the participant whether
services of that excluded person as a
§§ 85.810 through 85.885, the the debarment or suspension prohibits
principal under this kind of an
procedures in 34 CFR part 668, subpart participation in title IV, HEA
agreement or arrangement more than 90
G or 34 CFR part 682, subpart D or G, transactions; and
days after you learn of the exclusion or
as applicable. (ii) If participation is prohibited, we
after the close of the Federal fiscal year (3) On appeal from a decision
in which the exclusion takes effect, state the effective date and duration of
debarring a title IV, HEA participant, we the prohibition.
whichever is later. issue a final decision after we receive
12. Subpart D of part 85 is further (2) If a debarment or suspension by
any written materials from the parties. another agency prohibits participation
amended by adding § 85.440 to read as (4) In addition to the findings and
follows: in title IV, HEA transactions, that
conclusions required by 34 CFR part prohibition takes effect 20 days after we
§ 85.440 What method do I use to 668, subpart G or 682, subpart D or G, mail notice of our action.
communicate those requirements to the debarring official, and, on appeal, (3) If ED or another Federal agency
participants? the Secretary determines whether there suspends a title IV, HEA participant, we
(a) To communicate those is sufficient cause for debarment as determine whether grounds exist for an
requirements, you must include a term explained in § 85.800. emergency action against the participant
or condition in the transaction requiring (Authority: E.O. 12549 (3 CFR 1986 Comp., under 34 CFR part 668, subpart G or
each participant’s compliance with p. 189); E.O. 12689 (3 CFR Comp., p. 235); part 682, subpart D or G, as applicable.

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(4) We use the procedures in § 85.611 expiration of the 20 days under a title IV, HEA participant, whether or
to exclude a title IV, HEA participant paragraph (b)(1) of this section, the not that person is retained or paid
excluded by another Federal agency suspension takes effect when the directly by the title IV, HEA participant.
using procedures that did not meet the respondent receives the Secretary’s * * * * *
standards in paragraph (d) of this decision. 20. Subpart I of part 85 is further
section. (Authority: E.O. 12549 (3 CFR, 1986 Comp., amended by adding § 85.1016 to read as
(d) If a title IV, HEA participant is p. 189), E.O. 12689 (3 CFR, 1989 Comp., p. follows:
excluded by another agency, we debar, 235); 20 U.S.C. 1082, 1094, 1221e–3 and
terminate, or suspend the participant— 3474; and Sec. 2455 of Pub. L. 103–355, 108 § 85.1016 Title IV, HEA participant.
as provided under this part, 34 CFR part Stat. 3243 at 3327) A title IV, HEA participant is—
668, or 34 CFR part 682, as applicable— 16. Subpart H is further amended by (a) An institution described in 34 CFR
if that agency followed procedures that adding a new § 85.811 to read as 600.4, 600.5, or 600.6 that provides
gave the excluded party— follows: postsecondary education; or
(1) Notice of the proposed action;
(2) An opportunity to submit and § 85.811 When does a debarment affect (b) A lender, third-party servicer, or
have considered evidence and argument title IV, HEA transactions? guaranty agency, as those terms are
to oppose the proposed action; (a) A debarment under § 85.611(b) defined in 34 CFR 668.2 or 682.200.
(3) An opportunity to present its takes effect 30 days after those (Authority: E.O. 12549 (3 CFR, 1986 Comp.,
objection at a hearing— procedures are complete. p. 189); E.O. 12689 (3 CFR, 1989 Comp., p.
(i) At which the agency has the (b) If the respondent appeals the 235); 20 U.S.C. 1082, 1094, 1221e–3 and
burden of persuasion by a debarment to the Secretary before the 3474; and Sec. 2455 of Pub. L. 103–355, 108
preponderance of the evidence that expiration of the 30 days under Stat. 3243 at 3327)
there is cause for the exclusion; and paragraph (a) of this section, the 21. Subpart I of part 85 is further
(ii) Conducted by an impartial person debarment takes effect when the amended by adding § 85.1017 to read as
who does not also exercise prosecutorial respondent receives the Secretary’s follows:
or investigative responsibilities with decision.
respect to the exclusion action; § 85.1017 Title IV, HEA program.
(Authority: E.O. 12549 (3 CFR, 1986 Comp.,
(4) An opportunity to present witness p. 189) E.O. 12689 (3 CFR, Comp., p. 235); A title IV, HEA program includes any
testimony, unless the hearing official 20 U.S.C. 1082, 1094, 1221e–3 and 3474; and program listed in 34 CFR 668.1(c).
finds that there is no genuine dispute Sec. 2455 of Pub. L. 103–355, 108 Stat. 3243
about a material fact; (Authority: E.O. 12549 (3 CFR, 1986 Comp.,
at 3327)
(5) An opportunity to have agency p.1890: E.O. 12689 (3 CFR, 1989 Comp., p.
17. Subpart I of part 85 is further 235); 20 U.S.C. 1082, 1094, 1221e-3 and
witnesses with personal knowledge of 3474; and Sec. 2455 of Pub. L. 103–355, 108
amended by adding § 85.942 to read as
material facts in genuine dispute testify Stat. 3243 at 3327)
follows:
about those facts, if the hearing official
determines their testimony to be § 85.942 ED Deciding Official. 22. Subpart I of part 85 is further
needed, in light of other available The ED Deciding Official is an ED amended by adding § 85.1018 to read as
evidence and witnesses; and officer who has delegated authority follows:
(6) A written decision stating findings under the procedures of the Department § 85.1018 Title IV, HEA transaction.
of fact and conclusions of law on which of Education to decide whether to affirm
the decision is rendered. A title IV, HEA transaction includes:
a suspension or enter a debarment.
(Authority: E.O. 12549 (3 CFR, 1986 Comp., (a) A disbursement or delivery of
(Authority: E.O. 12549 (3 CFR, 1986 Comp., funds provided under a title IV, HEA
p. 189), E.O. 12689 (3 CFR, 1989 Comp., p. p. 189), E.O. 12689 (3 CFR, 1989 Comp., p.
235); 20 U.S.C. 1082, 1094, 1221e–3 and program to a student or borrower;
235); 20 U.S.C. 1082, 1094, 1221e–3 and
3474; and Sec. 2455 of Pub. L. 103–355, 108 3474; and Sec. 2455 of Pub. L. 103–355, 108 (b) A certification by an educational
Stat. 3243 at 3327) Stat. 3243 at 3327) institution of eligibility for a loan under
15. Subpart G is further amended by a title IV, HEA program;
18. Subpart I of part 85 is further
adding a new § 85.711,to read as amended by adding § 85.947 to read as (c) Guaranteeing a loan made under a
follows: follows: title IV, HEA program; and
(d) The acquisition or exercise of any
§ 85.711 When does a suspension affect § 85.947 HEA. servicing responsibility for a grant, loan,
title IV, HEA transactions?
HEA means the Higher Education Act or work study assistance under a title
(a) A suspension under § 85.611(a) of 1965, as amended. IV, HEA program.
takes effect immediately if the Secretary 19. Section 85.995 is further amended
takes an emergency action under 34 CFR (Authority: E.O. 12549 (3 CFR, 1986 Comp.,
by adding paragraph (c) to read as p. 189) E.O. 12689 (3 CFR, 1989 Comp., p.
part 668, subpart G or 34 CFR part 682, follows: 235); 20 U.S.C. 1082, 1094, 1221e–3 and
subpart D or G at the same time the 3474; and Sec. 2455 of Pub. L. 103–355, 108
Secretary issues the suspension. § 85.995 Principal.
Stat. 3243 at 3327)
(b)(1) Except as provided under * * * * *
paragraph (a) of this section, a (c) For the purposes of Department of 23. The appendix to part 85 is
suspension under § 85.611(a) takes Education title IV, HEA transactions— amended by removing and reserving the
effect 20 days after those procedures are (1) A third-party servicer, as defined Covered Transactions Chart and by
complete. in 34 CFR 668.2 or 682.200; or adding a Covered Transactions for ED
(2) If the respondent appeals the (2) Any person who provides services Chart to read as follows.
suspension to the Secretary before the described in 34 CFR 668.2 or 682.200 to BILLING CODE 6325–01–P et al.

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BILLING CODE 6325–01–C et al.

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PART 668—STUDENT ASSISTANCE Records Administration amends 36 CFR 1209.315 Must I verify that principals of my
GENERAL PROVISIONS chapter XII as follows: covered transactions are eligible to
participate?
24. The authority citation for part 668 1. Part 1209 is revised to read as set 1209.320 What happens if I do business
is revised to read as follows: forth in instruction 1 at the end of the with an excluded person in a covered
common preamble. transaction?
Authority: 20 U.S.C. 1001, 1002, 1003, 1209.325 What requirements must I pass
1085, 1088, 1091, 1092, 1094, 1099c, and PART 1209—GOVERNMENTWIDE down to persons at lower tiers with
1099c–1, unless otherwise noted. DEBARMENT AND SUSPENSION whom I intend to do business?
§ 668.82 [Amended] (NONPROCUREMENT)
Disclosing Information—Primary Tier
25. Amend § 668.82 as follows: Sec. Participants
a. In paragraph (e)(1)(i)(B), by 1209.25 How is this part organized? 1209.330 What information must I provide
removing the words ‘‘Cause exists under 1209.50 How is this part written? before entering into a covered
34 CFR 85.305 or 85.405’’ and adding, 1209.75 Do terms in this part have special transaction with NARA?
in their place, the words ‘‘Cause exists meanings? 1209.335 If I disclose unfavorable
under 34 CFR 85.700 or 85.800’’. information required under § 1209.330
Subpart A—General
b. In paragraphs (f)(1) and (f)(2)(i), by will I be prevented from entering into the
1209.100 What does this part do? transaction?
removing the citation ‘‘34 CFR
1209.105 Does this part apply to me? 1209.340 What happens if I fail to disclose
85.201(c)’’ and adding, in its place, the 1209.110 What is the purpose of the the information required under
citation ‘‘34 CFR 85.612(d)’’. nonprocurement debarment and § 1209.330?
suspension system? 1209.345 What must I do if I learn of the
PART 682—FEDERAL FAMILY 1209.115 How does an exclusion restrict a information required under § 1209.330
EDUCATION LOAN (FFEL) PROGRAM person’s involvement in covered after entering into a covered transaction
transactions? with NARA?
26. The authority citation for part 682
1209.120 May we grant an exception to let
continues to read as follows: an excluded person participate in a Disclosing Information—Lower Tier
Authority: 20 U.S.C. 1071 to 1087–2, covered transaction? Participants
unless otherwise noted. 1209.125 Does an exclusion under the 1209.350 What information must I provide
nonprocurement system affect a person’s to a higher tier participant before
§ 682.416 [Amended] eligibility to participate in Federal entering into a covered transaction with
27. Amend § 682.416(d)(1)(ii)(B) by procurement contracts? that participant?
removing the words ‘‘cause under 34 1209.130 Does an exclusion under the 1209.355 What happens if I fail to disclose
CFR 85.305 or 85.405’’ and adding, in Federal procurement system affect a the information required under
person’s eligibility to participate in § 1209.350?
their place, the words ‘‘cause under 34 1209.360 What must I do if I learn of
nonprocurement transactions?
CFR 85.700 or 85.800.’’ 1209.135 May NARA exclude a person who information required under § 1209.350
§ 682.705 [Amended] is not currently participating in a after entering into a covered transaction
nonprocurement transaction? with a higher tier participant?
28. Amend § 682.705 by removing 1209.140 How do I know if a person is
paragraph (a)(3). Subpart D—Responsibilities of NARA
excluded?
Officials Regarding Transactions
NATIONAL ARCHIVES AND RECORDS 1209.145 Does this part cover persons who
are disqualified as well as those who are 1209.400 May I enter into a transaction
ADMINISTRATION with an excluded or disqualified person?
excluded from nonprocurement
36 CFR Parts 1209 and 1212 transactions? 1209.405 May I enter into a covered
transaction with a participant if a
RIN 3095–AB04 Subpart B—Covered Transactions principal of the transaction is excluded?
1209.200 What is a covered transaction? 1209.410 May I approve a participant’s use
FOR FURTHER INFORMATION CONTACT:
1209.205 Why is it important to know if a of the services of an excluded person?
Nancy Allard at Policy and particular transaction is a covered 1209.415 What must I do if a Federal
Communications Staff (NPOL), Room transaction? agency excludes the participant or a
4100, 8601 Adelphi Road, College Park, 1209.210 Which nonprocurement principal after I enter into a covered
Maryland 20740–6001, 301–713–7360, transactions are covered transactions? transaction?
extension 226, or comments@nara.gov. 1209.215 Which nonprocurement 1209.420 May I approve a transaction with
transactions are not covered an excluded or disqualified person at a
List of Subjects transactions? lower tier?
36 CFR Part 1209 1209.220 Are any procurement contracts 1209.425 When do I check to see if a person
included as covered transactions? is excluded or disqualified?
Administrative practice and 1209.225 How do I know if a transaction 1209.430 How do I check to see if a person
procedure, Debarment and suspension, that I may participate in is a covered is excluded or disqualified?
Grant programs, Reporting and transaction? 1209.435 What must I require of a primary
recordkeeping requirements. tier participant?
Subpart C—Responsibilities of Participants 1209.440 What method do I use to
36 CFR Part 1212 Regarding Transactions Doing Business communicate those requirements to
With Other Persons participants?
Administrative practice and
1209.300 May I enter into a covered 1209.445 What action may I take if a
procedure, Drug abuse, Grant programs, transaction with an excluded or primary tier participant knowingly does
Reporting and recordkeeping disqualified person? business with an excluded or
requirements. 1209.305 What must I do if a Federal disqualified person?
Approved: May 4, 2001. agency excludes a person with whom I 1209.450 What action may I take if a
am already doing business in a covered primary tier participant fails to disclose
John W. Carlin,
transaction? the information required under
Archivist of the United States. 1209.310 May I use the services of an § 1209.330?
For the reasons stated in the common excluded person under a covered 1209.455 What may I do if a lower tier
preamble, the National Archives and transaction? participant fails to disclose the

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3334 Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules

information required under § 1209.350 to 1209.810 When does a debarment take 2. Part 1209 is further amended as set
the next higher tier? effect? forth below.
1209.815 How may I contest a proposed
Subpart E—Governmentwide List of Parties debarment? a. ‘‘[Agency noun]’’ is removed and
Excluded or Disqualified From Federal 1209.820 How much time do I have to ‘‘NARA’’ is added in its place wherever
Procurement and Nonprocurement contest a proposed debarment? it occurs.
Programs 1209.825 What information must I provide b. ‘‘[Agency adjective]’’ is removed
1209.500 What is the purpose of the List? to the debarring official if I contest a and ‘‘NARA’’ is added in its place
1209.505 Who uses the List? proposed debarment? wherever it occurs.
1209.510 Who maintains the List? 1209.830 Under what conditions do I get an
1209.515 What specific information is on additional opportunity to challenge the c. ‘‘[Agency head or designee]’’ is
the List? facts on which the proposed debarment removed and ‘‘Archivist of the United
1209.520 Who gives the GSA the is based? States or designee’’ is added in its place
information that it puts on the List? 1209.835 Are debarment proceedings wherever it occurs.
1209.525 Whom do I ask if I have questions formal? 3. Section 1209.440 is added to read
about a person on the List? 1209.840 Is a record made of fact-finding
proceedings? as follows:
1209.530 Where can I get the List?
1209.845 What does the debarring official § 1209.440 What method do I use to
Subpart F—General Principles Relating to consider in deciding whether to debar
Suspension and Debarment Actions communicate those requirements to
me? participants?
1209.600 How do suspension and 1209.850 What is the standard of proof in
debarment actions start? a debarment action? To communicate the requirement, you
1209.605 How does suspension differ from 1209.855 Who has the burden of proof in a must include a term or condition in the
debarment? debarment action? transaction requiring the participants’
1209.610 What procedures does NARA use 1209.860 What factors may influence the compliance with subpart C of this part
in suspension and debarment actions? debarring official’s decision? and requiring them to include a similar
1209.615 How does NARA notify a person 1209.865 How long may my debarment
of suspension and debarment actions? last?
term or condition in lower-tier covered
1209.620 Do Federal agencies coordinate 1209.870 When do I know if the debarring transactions.
suspension and debarment actions? official debars me? 4. Part 1212 is added to read as set
1209.625 What is the scope of a suspension 1209.875 May I ask the debarring official to forth in instruction 2 at the end of the
or debarment action? reconsider a decision to debar me? common preamble.
1209.630 May NARA impute the conduct of 1209.880 What factors may influence the
one person to another? debarring official during PART 1212—GOVERNMENTWIDE
1209.635 May NARA settle a debarment or reconsideration? REQUIREMENTS FOR DRUG-FREE
suspension action? 1209.885 May the debarring official extend
WORKPLACE (FINANCIAL
1209.640 May a settlement include a a debarment?
voluntary exclusion? ASSISTANCE)
Subpart I—Definitions
1209.645 Do other Federal agencies know if Subpart A—Purpose and Coverage
NARA agrees to a voluntary exclusion? 1209.900 Adequate evidence.
1209.905 Affiliate. Sec.
Subpart G—Suspension 1209.910 Agency. 1212.100 What does this part do?
1209.700 When may the suspending official 1209.915 Agent or representative. 1212.105 Does this part apply to me?
issue a suspension? 1209.920 Civil judgment. 1212.110 Are any of my Federal assistance
1209.705 What does the suspending official 1209.925 Conviction. awards exempt from this part?
consider in issuing a suspension? 1209.930 Debarment 1212.115 Does this part affect the Federal
1209.710 When does a suspension take 1209.935 Debarring official. contracts that I receive?
effect? 1209.940 Disqualified.
Subpart B—Requirements for Recipients
1209.715 What notice does the suspending 1209.945 Excluded or exclusion.
Other Than Individuals
official give me if I am suspended? 1209.950 Indictment.
1209.720 How may I contest a suspension? 1209.955 Ineligible or ineligibility. 1212.200 What must I do to comply with
1209.725 How much time do I have to 1209.960 Legal proceedings. this part?
contest a suspension? 1209.965 List of Parties Excluded or 1212.205 What must I include in my drug-
1209.730 What information must I provide Disqualified From Federal Procurement free workplace statement?
to the suspending official if I contest a and Nonprocurement Programs. 1212.210 To whom must I distribute my
suspension? 1209.970 Nonprocurement transaction. drug-free workplace statement?
1209.735 Under what conditions do I get an 1209.975 Notice. 1212.215 What must I include in my drug-
additional opportunity to challenge the 1209.980 Participant. free awareness program?
facts on which the suspension is based? 1209.985 Person. 1212.220 By when must I publish my drug-
1209.740 Are suspension proceedings 1209.990 Preponderance of the evidence. free workplace statement and establish
formal? 1209.995 Principal. my drug-free awareness program?
1209.745 Is a record made of fact-finding 1209.1000 Respondent. 1212.225 What actions must I take
proceedings? 1209.1005 State. concerning employees who are convicted
1209.750 What does the suspending official 1209.1010 Suspending official. of drug violations in the workplace?
consider in deciding whether to continue 1209.1015 Suspension. 1212.230 How and when must I identify
or terminate my suspension? 1209.1020 Voluntary exclusion or workplaces?
1209.755 When will I know whether the voluntarily excluded.
suspension is continued or terminated? Subpart C—Requirements for Recipients
Subpart J [Reserved] Who are Individuals
1209.760 How long may my suspension
last? Appendix to Part 1209—Covered 1212.300 What must I do to comply with
Transactions this part if I am an individual recipient?
Subpart H—Debarment 1212.301 [Reserved]
1209.800 What are the causes for Authority: 44 U.S.C. 2104(a); sec. 2455,
debarment? Pub. L. 103–355, 108 Stat. 3327 (31 U.S.C. Subpart D—Responsibilities of NARA
1209.805 What notice does the debarring 6101 note); E.O. 12549 (3 CFR, 1986 Comp., Awarding Officials
official give me if I am proposed for p. 189); E.O. 12689 (3 CFR, 1989 Comp., p. 1212.400 What are my responsibilities as a
debarment? 235). NARA awarding official?

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Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules 3335

Subpart E—Violations of This Part and ADDITIONAL SUPPLEMENTARY INFORMATION: 38 CFR Part 48
Consequences VA is a party to the proposed common
1212.500 How are violations of this part rule with the following differences. Administrative practice and
determined for recipients other than procedure, Drug abuse, Grant programs,
Under proposed § 44.435 for certain Reporting and recordkeeping
individuals?
1212.505 How are violations of this part nonprocurement transactions, a primary requirements.
determined for recipients who are tier participant must communicate to
each lower tier participant that the Approved: June 15, 2001.
individuals?
1212.510 What actions will the Federal lower tier participant must not have Anthony J. Principi,
Government take against a recipient been debarred or suspended. We Secretary of Veterans Affairs.
determined to have violated this part? propose to add § 44.440 to require the
1212.515 Are there any exceptions to those
For the reasons stated in the
communication to be included as a preamble, the Department of Veterans
actions? condition in the covered transaction Affairs proposes to amend 38 CFR
Subpart F—Definitions document. We believe this is adequate chapter I as follows:
1212.605 Award. to ensure that the parties understand
and comply with debarment and 1. Part 44 is revised to read as set
1212.610 Controlled substance.
1212.615 Conviction. suspension requirements. forth in instruction 1 at the end of the
1212.620 Cooperative agreement. common preamble.
Under the proposed common rule, the
1212.625 Criminal drug statute.
1212.630 Debarment.
debarring and suspending official is the PART 44—GOVERNMENTWIDE
1212.635 Drug-free workplace. agency head or an official designated by DEBARMENT AND SUSPENSION
1212.640 Employee. the agency head. We propose at § 44.935 (NONPROCUREMENT)
1212.645 Federal agency or agency. and § 44.1010 of the proposed common
1212.650 Grant. rule to add as the debarring and Sec.
1212.655 Individual. suspending official the following: for 44.25 How is this part organized?
1212.660 Recipient. the Veterans Health Administration, the 44.50 How is this part written?
1212.665 State. 44.75 Do terms in this part have special
Under Secretary for Health; for the
1212.670 Suspension. meanings?
Veterans Benefits Administration, the
Authority: 41 U.S.C. 701, et seq.; 44 U.S.C. Under Secretary for Benefits; and for the Subpart A—General
2104(a). National Cemetery Administration, the 44.100 What does this part do?
5. Part 1212 is further amended as set Deputy Under Secretary for Operations. 44.105 Does this part apply to me?
forth below. Proposed § 44.995 of the debarment 44.110 What is the purpose of the
a. ‘‘[Agency noun]’’ is removed and nonprocurement debarment and
and suspension common rule, defines
‘‘NARA’’ is added in its place wherever suspension system?
the term ‘‘principal.’’ A principal is 44.115 How does an exclusion restrict a
it occurs. subject to the debarment and person’s involvement in covered
b. ‘‘[Agency adjective]’’ is removed suspension requirements. Agencies transactions?
and ‘‘NARA’’ is added in its place implementing the common rule are 44.120 May we grant an exception to let an
wherever it occurs. allowed to add principals that are excluded person participate in a covered
c. ‘‘[Agency head or designee]’’ is commonly involved in their covered transaction?
removed and ‘‘Archivist of the United transactions. VA proposes to retain as 44.125 Does an exclusion under the
States or designee’’ is added in its place principals, at proposed § 44.995(c), the nonprocurement system affect a person’s
wherever it occurs. positions designated in the current eligibility to participate in Federal
d. ‘‘[Agency head]’’ is removed and regulation, 38 CFR 44.105. This is procurement contracts?
‘‘Archivist of the United States or intended to include those that have 44.130 Does an exclusion under the Federal
designee’’ is added in its place wherever procurement system affect a person’s
significant responsibilities in real estate eligibility to participate in
it occurs. transactions affecting VA. We also
6. Section 1212.510(c) is further nonprocurement transactions?
propose to add mortgage brokers to this 44.135 May the Department of Veterans
amended by removing ‘‘[CFR citation for list due to their significant Affairs exclude a person who is not
the Federal agency’s regulations responsibilities in real estate currently participating in a
implementing Executive Order 12549 transactions with VA. nonprocurement transaction?
and Executive Order 12689]’’ and 44.140 How do I know if a person is
adding ‘‘36 CFR part 1209’’ in its place. Requirements to ensure that certain
excluded?
7. Section 1212.605(a)(2) is further grantees maintain a drug-free workplace
44.145 Does this part cover persons who are
amended by removing ‘‘[Agency- currently are set forth at 38 CFR part 44, disqualified as well as those who are
specific CFR citation]’’ and adding ‘‘36 subpart F. We propose that these excluded from nonprocurement
CFR part 1207’’ in its place . provisions, with proposed amendments transactions?
explained above in the preamble for the
DEPARTMENT OF VETERANS common rule, be transferred to a new 38 Subpart B—Covered Transactions
AFFAIRS CFR part 48. 44.200 What is a covered transaction?
38 CFR Parts 44 and 48 44.205 Why is it important to know if a
List of Subjects particular transaction is a covered
RIN 2900–AK16 transaction?
38 CFR Part 44 44.210 Which nonprocurement transactions
FOR FURTHER INFORMATION CONTACT: Mr.
are covered transactions?
Robert D. Finneran, Assistant Director Administrative practice and
44.215 Which nonprocurement transactions
for Loan Policy and Valuation (262), procedure, Condominiums, Debarment are not covered transactions?
Loan Guaranty Service, Veterans and suspension, Grant programs, 44.220 Are any procurement contracts
Benefits Administration, Department of Handicapped, Housing loan programs— included as covered transactions?
Veterans Affairs, Washington, DC housing and community development, 44.225 How do I know if a transaction that
20420, (202) 273–7369, e-mail: Manufactured homes, Reporting and I may participate in is a covered
lgyrfinn@vba.va.gov. recordkeeping requirements, Veterans. transaction?

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3336 Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules

Subpart C—Responsibilities of Participants 44.440 What method do I use to 44.750 What does the suspending official
Regarding Transactions Doing Business communicate those requirements to consider in deciding whether to continue
With Other Persons participants? or terminate my suspension?
44.300 May I enter into a covered 44.445 What action may I take if a primary 44.755 When will I know whether the
tier participant knowingly does business suspension is continued or terminated?
transaction with an excluded or
with an excluded or disqualified person? 44.760 How long may my suspension last?
disqualified person?
44.450 What action may I take if a primary
44.305 What must I do if a Federal agency tier participant fails to disclose the Subpart H—Debarment
excludes a person with whom I am information required under § 44.330? 44.800 What are the causes for debarment?
already doing business in a covered 44.455 What may I do if a lower tier 44.805 What notice does the debarring
transaction? participant fails to disclose the official give me if I am proposed for
44.310 May I use the services of an information required under § 44.350 to debarment?
excluded person under a covered the next higher tier? 44.810 When does a debarment take effect?
transaction? 44.815 How may I contest a proposed
44.315 Must I verify that principals of my Subpart E—Governmentwide List of Parties
Excluded or Disqualified From Federal debarment?
covered transactions are eligible to 44.820 How much time do I have to contest
participate? Procurement and Nonprocurement
Programs a proposed debarment?
44.320 What happens if I do business with 44.825 What information must I provide to
an excluded person in a covered 44.500 What is the purpose of the List? the debarring official if I contest a
transaction? 44.505 Who uses the List? proposed debarment?
44.325 What requirements must I pass 44.510 Who maintains the List? 44.830 Under what conditions do I get an
down to persons at lower tiers with 44.515 What specific information is on the additional opportunity to challenge the
whom I intend to do business? List? facts on which the proposed debarment
44.520 Who gives the GSA the information is based?
Disclosing Information—Primary Tier that it puts on the List?
Participants 44.835 Are debarment proceedings formal?
44.525 Whom do I ask if I have questions 44.840 Is a record made of fact-finding
44.330 What information must I provide about a person on the List? proceedings?
before entering into a covered 44.530 Where can I get the List? 44.845 What does the debarring official
transaction with the Department of consider in deciding whether to debar
Subpart F—General Principles Relating to
Veterans Affairs? me?
Suspension and Debarment Actions
44.335 If I disclose unfavorable information 44.850 What is the standard of proof in a
required under § 44.330 will I be 44.600 How do suspension and debarment
debarment action?
prevented from entering into the actions start?
44.855 Who has the burden of proof in a
transaction?. 44.605 How does suspension differ from
debarment action?
44.340 What happens if I fail to disclose the debarment?
44.860 What factors may influence the
information required under § 44.330? 44.610 What procedures does the
Department of Veterans Affairs use in debarring official’s decision?
44.345 What must I do if I learn of the 44.865 How long may my debarment last?
information required under § 44.330 after suspension and debarment actions?
44.615 How does the Department of 44.870 When do I know if the debarring
entering into a covered transaction with official debars me?
the Department of Veterans Affairs? Veterans Affairs notify a person of
suspension and debarment actions? 44.875 May I ask the debarring official to
Disclosing Information—Lower Tier 44.620 Do Federal agencies coordinate reconsider a decision to debar me?
Participants suspension and debarment actions? 44.880 What factors may influence the
44.625 What is the scope of a suspension or debarring official during
44.350 What information must I provide to reconsideration?
a higher tier participant before entering debarment action?
44.630 May the Department of Veterans 44.885 May the debarring official extend a
into a covered transaction with that debarment?
participant? Affairs impute the conduct of one person
44.355 What happens if I fail to disclose the to another? Subpart I—Definitions
information required under § 44.350? 44.635 May the Department of Veterans
Affairs settle a debarment or suspension 44.900 Adequate evidence.
44.360 What must I do if I learn of 44.905 Affiliate.
action?
information required under § 44.350 after 44.910 Agency.
44.640 May a settlement include a
entering into a covered transaction with 44.915 Agent or representative.
voluntary exclusion?
a higher tier participant? 44.920 Civil judgment.
44.645 Do other Federal agencies know if
the Department of Veterans Affairs 44.925 Conviction.
Subpart D—Responsibilities of Department
agrees to a voluntary exclusion? 44.930 Debarment
of Veterans Affairs Officials Regarding
44.935 Debarring official.
Transactions Subpart G—Suspension 44.940 Disqualified.
44.400 May I enter into a transaction with 44.700 When may the suspending official 44.945 Excluded or exclusion.
an excluded or disqualified person? issue a suspension? 44.950 Indictment.
44.405 May I enter into a covered 44.705 What does the suspending official 44.955 Ineligible or ineligibility.
transaction with a participant if a consider in issuing a suspension? 44.960 Legal proceedings.
principal of the transaction is excluded? 44.710 When does a suspension take effect? 44.965 List of Parties Excluded or
44.410 May I approve a participant’s use of 44.715 What notice does the suspending Disqualified From Federal Procurement
the services of an excluded person? official give me if I am suspended? and Nonprocurement Programs.
44.415 What must I do if a Federal agency 44.720 How may I contest a suspension? 44.970 Nonprocurement transaction.
excludes the participant or a principal 44.725 How much time do I have to contest 44.975 Notice.
after I enter into a covered transaction? a suspension? 44.980 Participant.
44.420 May I approve a transaction with an 44.730 What information must I provide to 44.985 Person.
excluded or disqualified person at a the suspending official if I contest a 44.990 Preponderance of the evidence.
lower tier? suspension? 44.995 Principal.
44.425 When do I check to see if a person 44.735 Under what conditions do I get an 44.1000 Respondent.
is excluded or disqualified? additional opportunity to challenge the 44.1005 State.
44.430 How do I check to see if a person is facts on which the suspension is based? 44.1010 Suspending official.
excluded or disqualified? 44.740 Are suspension proceedings formal? 44.1015 Suspension.
44.435 What must I require of a primary tier 44.745 Is a record made of fact-finding 44.1020 Voluntary exclusion or voluntarily
participant? proceedings? excluded.

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Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules 3337

Subpart J [Reserved] (7) Office managers. 48.230 How and when must I identify
(8) Staff appraisers and inspectors. workplaces?
Appendix to Part 44—Covered Transactions
(9) Fee appraisers and inspectors. Subpart C—Requirements for Recipients
Authority: 38 U.S.C. 501 and 38 U.S.C. (10) Underwriters. Who Are Individuals
3703(c); Sec. 2455, Pub. L. 103–355, 108 Stat. (11) Bonding companies. 48.300 What must I do to comply with this
3327 (31 U.S.C. 6101 note); E.O. 11738 (3 (12) Real estate agents and brokers. part if I am an individual recipient?
CFR, 1973 Comp., p. 799); E.O. 12549 (3 CFR (13) Management and marketing 48.301 [Reserved]
1986 comp., p. 189) E.O. 12689 (3 CFR 1989 agents.
Comp., p. 235). (14) Accountants, consultants, Subpart D—Responsibilities of the
investments bankers, architects, Department of Veterans Affairs Awarding
PART 44—GOVERNMENTWIDE Officials
DEBARMENT AND SUSPENSION engineers, attorneys, and others in a
business relationship with participants 48.400 What are my responsibilities as a
(NONPROCUREMENT) Department of Veterans Affairs awarding
in connection with a covered
official?
2. Part 44 is further amended as set transaction under the Department of
forth below. Veterans Affairs loan guaranty program. Subpart E—Violations of This Part and
a. ‘‘[Agency noun]’’ is removed and (15) Contractors involved in the Consequences
‘‘Department of Veterans Affairs’’ is construction, improvement or repair of 48.500 How are violations of this part
added in its place wherever it occurs. properties financed with Department of determined for recipients other than
b. ‘‘[Agency adjective]’’ is removed Veterans Affairs guaranteed loans. individuals?
and ‘‘Department of Veterans Affairs’’ is (16) Closing Agents. 48.505 How are violations of this part
added in its place wherever it occurs. 6. Section 44.1010 is further amended determined for recipients who are
c. ‘‘[Agency head or designee]’’ is individuals?
by adding paragraph (b) to read as
removed and ‘‘Secretary’’ is added in its 48.510 What actions will the Federal
follows: Government take against a recipient
place wherever it occurs. determined to have violated this part?
3. Section 44.440 is added to read as § 44.1010 Suspending official.
48.515 Are there any exceptions to those
follows: * * * * * actions?
(b) For the Department of Veterans
§ 44.440 What method do I use to Affairs the suspending official is: Subpart F—Definitions
communicate those requirements to (1) For the Veterans Health 48.605 Award.
participants? 48.610 Controlled substance.
Administration, the Under Secretary for
To communicate the requirement, you Health; 48.615 Conviction.
must include a term or condition in the (2) For the Veterans Benefits 48.620 Cooperative agreement.
transaction requiring the participants’ 48.625 Criminal drug statute.
Administration, the Under Secretary for
compliance with subpart C of this part 48.630 Debarment.
Benefits; and 48.635 Drug-free workplace.
and requiring them to include a similar (3) For the National Cemetery 48.640 Employee.
term or condition in lower-tier covered Administration, the Deputy Under 48.645 Federal agency or agency.
transactions. Secretary for Operations. 48.650 Grant.
4. Section 44.935 is further amended 7. Part 48 is added to read as set forth 48.655 Individual.
by adding paragraph (b) to read as in instruction 2 at the end of the 48.660 Recipient.
follows: common preamble. 48.665 State.
48.670 Suspension.
§ 44.935 Debarring official.
PART 48—GOVERNMENTWIDE Authority: 41 U.S.C. 701, et seq.; 38 U.S.C
* * * * * REQUIREMENTS FOR DRUG-FREE 501.
(b) For the Department of Veterans WORKPLACE (FINANCIAL
Affairs the debarring official is: ASSISTANCE) 8. Part 48 is further amended as set
(1) For the Veterans Health forth below.
Administration, the Under Secretary for Subpart A—Purpose and Coverage a. ‘‘[Agency noun]’’ is removed and
Health; ‘‘Department of Veterans Affairs’’ is
(2) For the Veterans Benefits Sec.
48.100 What does this part do? added in its place wherever it occurs.
Administration, the Under Secretary for
Benefits; and 48.105 Does this part apply to me? b. ‘‘[Agency adjective]’’ is removed
(3) For the National Cemetery 48.110 Are any of my Federal assistance and ‘‘Department of Veterans Affairs’’ is
awards exempt from this part? added in its place wherever it occurs.
Administration, the Deputy Under 48.115 Does this part affect the Federal
Secretary for Operations. contracts that I receive?
c. ‘‘[Agency head or designee]’’ is
5. Section 44.995 is further amended removed and ‘‘Secretary’’ is added in its
by adding a paragraph (c) to read as Subpart B—Requirements for Recipients place wherever it occurs.
follows: Other Than Individuals
d. ‘‘[Agency head]’’ is removed and
48.200 What must I do to comply with this ‘‘Secretary’’ is added in its place
§ 44.995 Principal. part? wherever it occurs.
* * * * * 48.205 What must I include in my drug-free
workplace statement? 9. Section 48.510(c) is further
(c) In the Department of Veterans
48.210 To whom must I distribute my drug- amended by removing ‘‘[CFR citation for
Affairs loan guaranty program,
free workplace statement? the Federal Agency’s regulations
principals include, but are not limited
48.215 What must I include in my drug-free implementing Executive Order 12549
to the following: awareness program?
(1) Loan officers. and Executive Order 12689] and adding
48.220 By when must I publish my drug- ‘‘38 CFR part 44’’ in its place.
(2) Loan solicitors, free workplace statement and establish
(3) Loan processors. my drug-free awareness program? 10. Section 48.605(a)(2) is further
(4) Loan servicers. 48.225 What actions must I take concerning amended by removing ‘‘[Agency specific
(5) Loan supervisors. employees who are convicted of drug CFR citation]’’ and adding ‘‘38 CFR part
(6) Mortgage brokers. violations in the workplace? 43’’ in its place.

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3338 Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules

ENVIRONMENTAL PROTECTION B. Clean Air Act and Clean Water Act actions, and explains those procedures
AGENCY Disqualification in a plain language format. Thus,
40 CFR Parts 32 and 36 The EPA proposes to include a Executive Order 13175 does not apply
subpart J in its version of the common to this rule.
[FRL 7075–5]
rule to address CAA and CWA D. Drug-Free Workplace Requirements
RIN 2030 AA48 disqualification and reinstatement. In This proposed rule relocates the
1994, the EPA transferred the requirements for maintaining a drug-free
FOR FURTHER INFORMATION CONTACT: responsibility for administration of
Robert F. Meunier, EPA Debarring workplace from 40 CFR part 32 to 40
those requirements from the Office of CFR part 36 and proposes to restate
Official, Office of Grants and Debarment Enforcement and Compliance Assurance
(3901R), U. S. Environmental Protection those requirements in plain language
to the Office of Administration and format.
Agency, 1200 Pennsylvania Ave., NW, Resources Management in an effort to
Washington, DC 20460, (202) 564–5399, consolidate all of the Agency’s statutory List of Subjects
e-mail: meunier.robert@epa.gov. and discretionary debarment authority 40 CFR Part 32
ADDITIONAL SUPPLEMENTARY INFORMATION: into a single program. In 1996, the EPA
removed its regulations at 40 CFR part Environmental protection,
A. Optional Provisions 15 and amended various provisions Administrative practice and procedure,
within 40 CFR part 32 to accommodate Air pollution control, Government
This part proposes optional lower tier
the change. A separate subpart J in part contracts, Grant programs, Loan
suspension and debarment coverage by
32 will highlight the various differences programs, Reporting and recordkeeping
including a paragraph (d) in § 32.220 for
between EPA’s discretionary and requirements, Technical assistance,
all contracts that equal or exceed the
statutory debarment authorities, while Water pollution control.
$25,000 award threshold under EPA
nonprocurement transactions. This retaining these complementary actions 40 CFR Part 36
election maintains the EPA’s present under a single program.
Administrative practice and
practice under the common rule. C. Executive Order 13175 (Consultation procedure, Drug abuse, Grant programs,
In addition, § 32.440 proposes to use and Coordination with Indian Tribal Reporting and record keeping
terms or conditions to award Governments) requirements.
transactions as the ordinary means of Executive Order 13175, entitled Dated: June 11, 2001.
enforcing exclusions under EPA ‘‘Consultation and Coordination with David J. O’Connor,
transactions rather than obtaining Indian Tribal Governments’’ (65 FR
written certifications. This alternative Acting Assistant Administrator, Office of
67249, November 6, 2000), requires EPA Administration and Resources Management,
available under the common rule is to develop an accountable process to Environmental Protection Agency.
more efficient than the EPA’s current ensure ‘‘meaningful and timely input by
certification process for prospective For the reasons stated in the common
tribal officials in the development of preamble, the Environmental Protection
recipients and participants. regulatory policies that have tribal Agency proposes to amend 40 CFR
Sections 32.765 and 32.890 are implications.’’ ‘‘Policies that have tribal chapter I, as follows:
included as additional sections under implications’’ is defined in the 1. Part 32 is revised to read as set
part 32 to continue the EPA’s practice Executive Order to include regulations forth in instruction 1 at the end of the
of permitting persons who have been that have ‘‘substantial direct effects on common preamble.
suspended or debarred by the EPA one or more Indian tribes, on the
Debarring Official to obtain a limited relationship between the Federal PART 32—GOVERNMENTWIDE
review of that decision. However, these government and the Indian tribes, or on DEBARMENT AND SUSPENSION
sections transfer the authority for the distribution of power and (NONPROCUREMENT)
issuing a stay on a suspension or responsibilities between the Federal
debarment decision from the debarring Sec.
government and Indian tribes.’’
official to the review official. This 32.25 How is this part organized?
This proposed rule does not have 32.50 How is this part written?
change from current practice reflects a tribal implications. It will not have 32.75 Do terms in this part have special
more practical approach to matters substantial direct effects on tribal meanings?
accepted for review. A similar provision governments, on the relationship
appears at § 32.1400 of subpart J to this between the Federal government and Subpart A—General
part for persons seeking review of Indian tribes, or on the distribution of 32.100 What does this part do?
reinstatement denials under the Clean power and responsibilities between the 32.105 Does this part apply to me?
Air Act (CAA) or Clean Water Act Federal government and Indian tribes, 32.110 What is the purpose of the
(CWA) disqualification provisions. nonprocurement debarment and
as specified in Executive Order 13175. suspension system?
Section 32.995 of the nonprocurement The disqualification from procurement 32.115 How does an exclusion restrict a
suspension and debarment common and nonprocurement awards of persons person’s involvement in covered
rule defines the term ‘‘principal.’’ who have been convicted of designated transactions?
Agencies implementing the common offenses under the CAA and CWA are 32.120 May we grant an exception to let an
rule are permitted to provide additional statutorily mandated, as are the excluded person participate in a covered
examples of principals that are requirements for reestablishing transaction?
commonly involved in their covered procurement and nonprocurement 32.125 Does an exclusion under the
transactions. EPA is proposing to eligibility. This proposed rule sets forth nonprocurement system affect a person’s
eligibility to participate in Federal
include several examples by adding a the procedures EPA uses under existing procurement contracts?
paragraph (c) to this section for the rules to decide petitions for CAA and 32.130 Does an exclusion under the Federal
benefit of individuals who may be CWA reinstatement in a separate procurement system affect a person’s
excluded, or employers who may have subpart from those procedures that eligibility to participate in
employees who are excluded. apply to discretionary debarment nonprocurement transactions?

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32.135 May the EPA exclude a person who Subpart D—Responsibilities of EPA 32.705 What does the suspending official
is not currently participating in a Officials Regarding Transactions consider in issuing a suspension?
nonprocurement transaction? 32.400 May I enter into a transaction with 32.710 When does a suspension take effect?
32.140 How do I know if a person is an excluded or disqualified person? 32.715 What notice does the suspending
excluded? 32.405 May I enter into a covered official give me if I am suspended?
32.145 Does this part cover persons who are transaction with a participant if a 32.720 How may I contest a suspension?
disqualified as well as those who are principal of the transaction is excluded? 32.725 How much time do I have to contest
excluded from nonprocurement 32.410 May I approve a participant’s use of a suspension?
transactions? the services of an excluded person? 32.730 What information must I provide to
32.415 What must I do if a Federal agency the suspending official if I contest a
Subpart B—Covered Transactions suspension?
excludes the participant or a principal
32.200 What is a covered transaction? after I enter into a covered transaction? 32.735 Under what conditions do I get an
32.205 Why is it important to know if a 32.420 May I approve a transaction with an additional opportunity to challenge the
particular transaction is a covered excluded or disqualified person at a facts on which the suspension is based?
transaction? lower tier? 32.740 Are suspension proceedings formal?
32.210 Which nonprocurement transactions 32.425 When do I check to see if a person 32.745 Is a record made of fact-finding
are covered transactions? is excluded or disqualified? proceedings?
32.215 Which nonprocurement transactions 32.430 How do I check to see if a person is 32.750 What does the suspending official
are not covered transactions? excluded or disqualified? consider in deciding whether to continue
32.220 Are any procurement contracts 32.435 What must I require of a primary tier or terminate my suspension?
included as covered transactions? participant? 32.755 When will I know whether the
32.225 How do I know if a transaction that 32.440 What method do I use to suspension is continued or terminated?
I may participate in is a covered communicate those requirements to 32.760 How long may my suspension last?
transaction? participants? 32.765 How may I appeal my suspension?
32.445 What action may I take if a primary
Subpart C—Responsibilities of Participants Subpart H—Debarment
tier participant knowingly does business
Regarding Transactions Doing Business 32.800 What are the causes for debarment?
with an excluded or disqualified person?
With Other Persons 32.805 What notice does the debarring
32.450 What action may I take if a primary
32.300 May I enter into a covered tier participant fails to disclose the official give me if I am proposed for
transaction with an excluded or information required under § 32.330? debarment?
disqualified person? 32.455 What may I do if a lower tier 32.810 When does a debarment take effect?
32.305 What must I do if a Federal agency participant fails to disclose the 32.815 How may I contest a proposed
excludes a person with whom I am information required under § 32.350 to debarment?
already doing business in a covered the next higher tier? 32.820 How much time do I have to contest
transaction? a proposed debarment?
32.310 May I use the services of an Subpart E—Governmentwide List of Parties 32.825 What information must I provide to
excluded person under a covered Excluded or Disqualified From Federal the debarring official if I contest a
transaction? Procurement and Nonprocurement proposed debarment?
32.315 Must I verify that principals of my Programs 32.830 Under what conditions do I get an
covered transactions are eligible to 32.500 What is the purpose of the List? additional opportunity to challenge the
participate? 32.505 Who uses the List? facts on which a proposed debarment is
32.320 What happens if I do business with 32.510 Who maintains the List? based?
an excluded person in a covered 32.515 What specific information is on the 32.835 Are debarment proceedings formal?
transaction? List? 32.840 Is a record made of fact-finding
32.325 What requirements must I pass 32.520 Who gives the GSA the information proceedings?
down to persons at lower tiers with that it puts on the List? 32.845 What does the debarring official
whom I intend to do business? 32.525 Whom do I ask if I have questions consider in deciding whether to debar
about a person on the List? me?
Disclosing Information—Primary Tier 32.850 What is the standard of proof in a
32.530 Where can I get the List?
Participants debarment action?
32.330 What information must I provide Subpart F—General Principles Relating to 32.855 Who has the burden of proof in a
before entering into a covered Suspension and Debarment Actions debarment action?
transaction with the EPA? 32.600 How do suspension and debarment 32.860 What factors may influence the
32.335 If I disclose unfavorable information actions start? debarring official’s decision?
required under § 32.330 will I be 32.605 How does suspension differ from 32.865 How long may my debarment last?
prevented from entering into the debarment? 32.870 When do I know if the debarring
transaction? 32.610 What procedures does the EPA use official debars me?
32.340 What happens if I fail to disclose the in suspension and debarment actions? 32.875 May I ask the debarring official to
information required under § 32.330? 32.615 How does the EPA notify a person reconsider a decision to debar me?
32.345 What must I do if I learn of the of suspension and debarment actions? 32.880 What factors may influence the
information required under § 32.330 after 32.620 Do Federal agencies coordinate debarring official during
entering into a covered transaction with suspension and debarment actions? reconsideration?
the EPA? 32.625 What is the scope of a suspension or 32.885 May the debarring official extend a
debarment action? debarment?
Disclosing Information—Lower Tier
32.630 May the EPA impute the conduct of 32.890 How may I appeal my debarment?
Participants
one person to another?
32.350 What information must I provide to 32.635 May the EPA settle a debarment or Subpart I—Definitions
a higher tier participant before entering suspension action? 32.900 Adequate evidence.
into a covered transaction with that 32.640 May a settlement include a 32.905 Affiliate.
participant? voluntary exclusion? 32.910 Agency.
32.355 What happens if I fail to disclose the 32.645 Do other Federal agencies know if 32.915 Agent or representative.
information required under § 32.350? the EPA agrees to a voluntary exclusion? 32.920 Civil judgment.
32.360 What must I do if I learn of 32.925 Conviction.
information required under § 32.350 after Subpart G—Suspension 32.930 Debarment.
entering into a covered transaction with 32.700 When may the suspending official 32.935 Debarring official.
a higher tier participant? issue a suspension? 32.940 Disqualified.

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32.945 Excluded or exclusion. 32.1500 If I am reinstated, when will my (2) You may request the Director,
32.950 Indictment. name be removed from the GSA List? Office of Grants and Debarment (OGD
32.955 Ineligible or ineligibility. 32.1600 What definitions apply specifically Director), to review the suspending
32.960 Legal proceedings. to actions under this subpart?
32.965 List of Parties Excluded or
official’s decision to continue your
Disqualified From Federal Procurement Appendix to Part 32—Covered Transactions suspension within 30 days of your
and Nonprocurement Programs. receipt of the suspending official’s
Authority: 33 U.S.C. 1251 et seq.; 42 U.S.C.
32.970 Nonprocurement transaction. 7401 et seq.; Sec. 2455, Pub. L. 103–355, 108 decision under § 32.755 or paragraph
32.975 Notice. Stat. 3327 (31 U.S.C. 6101 note); E.O. 11738 (a)(1) of this section. However, the OGD
32.980 Participant. (3 CFR, 1973 Comp., p. 799); E.O. 12549 (3 Director can reverse the suspending
32.985 Person. CFR, 1986 Comp., p. 189); E.O. 12689 (3 CFR, official’s decision only where the OGD
32.990 Preponderance of the evidence. 1989 Comp., p. 235). Director finds that the decision is based
32.995 Principal.
32.1000 Respondent. 2. Part 32 is further amended as set on a clear error of material fact or law,
32.1005 State. forth below. or where the OGD Director finds that the
32.1010 Suspending official. a. ‘‘[Agency noun]’’ is removed and suspending official’s decision was
32.1015 Suspension. ‘‘EPA’’ is added in its place wherever it arbitrary, capricious, or an abuse of
32.1020 Voluntary exclusion or voluntarily occurs. discretion.
excluded. b. ‘‘[Agency adjective]’’ is removed (b) A request for review under this
Subpart J—Statutory Disqualification and and ‘‘EPA’’ is added in its place section must be in writing; state the
Reinstatement Under the Clean Air Act and wherever it occurs. specific findings you believe to be in
Clean Water Act c. ‘‘[Agency head or designee]’’ is error; and include the reasons or legal
32.1100 What does this subpart do? removed and ‘‘EPA Debarring Official’’ bases for your position.
32.1105 Does this subpart apply to me? is added in its place wherever it occurs. (c) A review under paragraph (a)(2) of
32.1110 How will a CAA or CWA 3. Section 32.220 is further amended this section is solely within the
conviction affect my eligibility to by adding a paragraph (d) to read as discretion of the OGD Director who may
participate in Federal contracts, follows: also stay the suspension pending review
subcontracts, assistance, loans and other of the suspending official’s decision.
benefits? § 32.220 Are any procurement contracts (d) The EPA suspending official and
32.1115 Can the EPA extend a CAA or CWA included as covered transactions?
disqualification to other facilities? the OGD Director must notify you of
* * * * * their decisions under this section, in
32.1120 What is the purpose of CAA or (d) The contract is awarded by any
CWA disqualification? writing, using the notice procedures at
contractor, subcontractor, supplier, §§ 32.615 and 32.975.
32.1125 How do award officials and others
know if I am disqualified? consultant or its agent or representative 6. Section 32.890 is added to subpart
32.1130 How does disqualification under in any transaction, regardless of tier, to H to read as follows:
the CAA or CWA differ from a Federal be funded or provided by the EPA under
discretionary suspension or debarment a nonprocurement transaction that is § 32.890 How may I appeal my debarment?
action? expected to equal or exceed $25,000. (a) If the EPA debarring official issues
32.1135 Does CAA or CWA disqualification (See optional lower tier coverage shown a decision under § 32.870 to debar you
mean that I must remain ineligible? in the diagram in the appendix to this after you present information in
32.1140 Can an exception be made to allow part.)
me to receive an award even though I opposition to a proposed debarment
4. Section 32.440 is added to read as under § 32.815, you can ask for review
may be disqualified?
32.1200 How will I know if I am follows: of the debarring official’s decision in
disqualified under the CAA or CWA? § 32.440 What method do I use to two ways:
32.1205 What procedures must I follow to communicate those requirements to (1) You may ask the debarring official
have my procurement and participants? to reconsider the decision for material
nonprocurement eligibility reinstated errors of fact or law that you believe will
under the CAA or CWA? To communicate the requirements to
participants, you must include a term or change the outcome of the matter; and/
32.1210 Will anyone else provide
condition in the transaction requiring or
information to the EPA debarring official
concerning my reinstatement request? the participant’s compliance with (2) You may request the Director,
32.1215 What happens if I disagree with the subpart C of this part, and requiring Office of Grants and Debarment (OGD
information provided by others to the them to include a similar term or Director), to review the debarring
EPA debarring official on my condition in lower tier covered official’s decision to debar you within
reinstatement request?
transactions. 30 days of your receipt of the debarring
32.1220 What will the EPA debarring official’s decision under § 32.870 or
official consider in making a decision on 5. Section 32.765 is added to subpart
G to read as follows: paragraph (a)(1) of this section.
my reinstatement request? However, the OGD Director can reverse
32.1225 When will the EPA debarring
official make a decision on my
§ 32.765 How may I appeal my the debarring official’s decision only
suspension? where the OGD Director finds that the
reinstatement request?
32.1230 How will the EPA debarring (a) If the EPA suspending official decision is based on a clear error of
official notify me of the reinstatement issues a decision under § 32.755 to material fact or law, or where the OGD
decision? continue your suspension after you Director finds that the debarring
32.1300 Can I resolve my eligibility status present information in opposition to official’s decision was arbitrary,
under terms of an administrative that suspension under § 32.720, you can capricious, or an abuse of discretion.
agreement without having to submit a ask for review of the suspending (b) A request for review under this
formal reinstatement request? section must be in writing; state the
official’s decision in two ways:
32.1305 What are the consequences if I
mislead the EPA in seeking
(1) You may ask the suspending specific findings you believe to be in
reinstatement or fail to comply with my official to reconsider the decision for error; and include the reasons or legal
administrative agreement? material errors of fact or law that you bases for your position.
32.1400 How may I appeal a decision believe will change the outcome of the (c) A review under paragraph (a)(2) of
denying my request for reinstatement? matter; and/or this section is solely within the

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discretion of the OGD Director who may convicted of any offense under section effective enforcement of the CAA or
also stay the debarment pending review 7413(c) of the CAA or section 1319(c) of CWA.
of the debarring official’s decision. the CWA.
(d) The EPA debarring official and the § 32.1125 How do award officials and
(b) Portions of this subpart apply to others know if I am disqualified?
OGD Director must notify you of their you if you are the EPA debarring
decisions under this section, in writing, official, a Federal procurement or If you are convicted under these
using the notice procedures at §§ 32.615 nonprocurement award official, a statutes, the EPA sends your name and
and 32.975. participant in a Federal procurement or address and that of the violating facility
7. Section 32.995 is further amended nonprocurement program that is to the General Services Administration
by adding a paragraph (c) to read as precluded from entering into a covered (GSA) as soon as possible after the EPA
follows: transaction with a person disqualified learns of your conviction. The GSA
under the CAA or CWA, or if you are places your name and that of the
§ 32.995 Principal. violating facility on the List of Parties
a Federal department or agency
* * * * * anticipating issuing an exception to a Excluded from Procurement and
(c) Other examples of individuals who person otherwise disqualified under the Nonprocurement Programs (List), along
are principals in EPA covered CAA or CWA. with other information describing the
transactions include: nature of your disqualification . Federal
(1) Principal investigators; § 32.1110 How will a CAA or CWA award officials and others who
(2) Technical or management conviction affect my eligibility to participate administer Federal programs consult the
consultants; in Federal contracts, subcontracts, List before entering into or approving
assistance, loans and other benefits? procurement and nonprocurement
(3) Individuals performing chemical
or scientific analysis or oversight; If you are convicted of any offense transactions. Award officials and others,
(4) Professional service providers described in § 32.1105, you are including the public, may obtain a
such as doctors, lawyers, accountants, automatically disqualified from yearly subscription to a printed version
engineers, etc.; eligibility to receive any contract, of the List from the Superintendent of
(5) Individuals responsible for the subcontract, assistance, sub-assistance, Documents, U.S. Government Printing
inspection, sale, removal, loan or other nonprocurement benefit or Office, Washington, DC 20402, or by
transportation, storage or disposal of transaction that is prohibited by a calling the Government Printing Office
solid or hazardous waste or materials; Federal department or agency under the Inquiry and Order Desk at (202) 783–
(6) Individuals whose duties require Governmentwide debarment and 3238. As an alternative, anyone may
special licenses; suspension system (i.e., covered access the List through the internet,
(7) Individuals that certify, transactions under subparts A through I currently at http://epls.arnet.gov.
authenticate or authorize billings; and of this part, or prohibited awards under
48 CFR part 9, subpart 9.4), if you: § 32.1130 How does disqualification under
(8) Individuals that serve in positions the CAA or CWA differ from a Federal
of public trust. (a) Will perform any part of the
discretionary suspension or debarment
8. Subpart J is added to read as transaction or award at the facility action?
follows: giving rise to your conviction (called the
violating facility); and (a) CAA and CWA disqualifications
Subpart J—Statutory Disqualification are exclusions mandated by statute. In
(b) You own, lease or supervise the
and Reinstatement Under the Clean Air contrast, suspensions and debarments
violating facility.
Act and Clean Water Act imposed under subparts A through I of
§ 32.1115 Can the EPA extend a CAA or this part or under 48 CFR part 9, subpart
§ 32.1100 What does this subpart do? CWA disqualification to other facilities? 9.4, are exclusions imposed at the
This subpart explains how the EPA The CAA specifically authorizes the discretion of Federal suspending or
administers section 306 of the Clean Air EPA to extend a CAA disqualification to debarring officials. This means that if
Act (CAA) (42 U.S.C. 7606), and section other facilities that are owned or you are convicted of violating the CAA
508 of the Clean Water Act (CWA) (33 operated by the convicted person. The or CWA provisions described under
U.S.C. 1368), which disqualify persons EPA also has authority under subparts § 32.1105, ordinarily your name and
convicted for certain offenses under A through I of this part, or under 48 CFR that of the violating facility is placed on
those statutes (see § 32.1105), from part 9, subpart 9.4, to take discretionary the GSA List before you receive a
eligibility to receive certain contracts, suspension and debarment actions on confirmation notice of the listing, or
subcontracts, assistance, loans and other the basis of misconduct leading to a have an opportunity to discuss the
benefits (see coverage under the Federal CAA or CWA conviction, or for disqualification with, or seek
Acquisition Regulation (FAR), 48 CFR activities that the EPA debarring official reinstatement from, the EPA.
part 9, subpart 9.4, and subparts A believes were designed to improperly (b) CAA or CWA disqualification
through I of this part). It also explains: circumvent a CAA or CWA applies to both the person convicted of
the procedures for seeking reinstatement disqualification. the offense, and to the violating facility
of a person’s eligibility under the CAA during performance of an award or
or CWA; the criteria and standards that § 32.1120 What is the purpose of CAA or covered transaction under the Federal
CWA disqualification? procurement and nonprocurement
apply to EPA’s decision-making process;
and requirements of award officials and As provided for in Executive Order suspension and debarment system. It is
others involved in Federal procurement 11738 (3 CFR, 1973 Comp., p. 799), the the EPA’s policy to carry out CAA and
and nonprocurement activities in purpose of CAA and CWA CWA disqualifications in a manner
carrying out their responsibilities under disqualification is to enforce the Federal which integrates the disqualifications
the CAA and CWA. Government’s policy of undertaking into the Governmentwide suspension
Federal procurement and and debarment system. Whenever the
§ 32.1105 Does this subpart apply to me? nonprocurement activities in a manner EPA determines that the risk presented
(a) Portions of this subpart apply to that improves and enhances to Federal procurement or
you if you are convicted or likely be environmental quality by promoting nonprocurement activities on the basis

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of the misconduct which gives rise to a § 32.1205 What procedures must I follow § 32.1215 What happens if I disagree with
person’s CAA or CWA conviction to have my procurement and the information provided by others to the
exceeds the coverage afforded by nonprocurement eligibility reinstated under EPA debarring official on my reinstatement
mandatory disqualification, the EPA the CAA or CWA? request?
may use its discretionary authority to (a) If your reinstatement request is
(a) You must submit a written request
suspend or debar a person under based on factual information (as
for reinstatement to the EPA debarring
subparts A through I of this part, or opposed to a legal matter or
official stating what you believe the
under 48 CFR part 9, subpart 9.4. discretionary conclusion) that is
conditions were that led to your
different from the information provided
§ 32.1135 Does CAA or CWA conviction, and how those conditions by others or otherwise contained in the
disqualification mean that I must remain have been corrected, relieved or administrative record, the debarring
ineligible? addressed. Your request must include official will decide whether those facts
You must remain ineligible until the documentation sufficient to support all are genuinely in dispute, and material to
EPA debarring official certifies that the material assertions you make. The making a decision. If so, a fact-finding
condition giving rise to your conviction debarring official must determine that proceeding will be conducted in
has been corrected. If you desire to have all the technical and non-technical accordance with §§ 32.830 through
your disqualification terminated, you causes, conditions and consequences of 32.840, and the debarring official will
must submit a written request for your actions have been sufficiently consider the findings when making a
reinstatement to the EPA debarring addressed so that the Government can decision on your reinstatement request.
official and support your request with confidently conduct future business (b) If the basis for your disagreement
persuasive documentation. For activities with you, and that your future with the information contained in the
information about the process for operations will be conducted in administrative record relates to a legal
reinstatement see §§ 32.1205 and compliance with the CAA and CWA. issue or discretionary conclusion, or is
32.1300. not a genuine dispute over a material
(b) You may begin the reinstatement
§ 32.1140 Can an exception be made to process by having informal discussions fact, you will not have a fact-finding
allow me to receive an award even though with the EPA representative named in proceeding. However, the debarring
I may be disqualified?
your notification of listing. Having official will allow you ample
(a) After consulting with the EPA informal dialogue with that person will opportunity to support your position for
debarring official, the head of any the record and present matters in
make you aware of the EPA concerns
Federal department or agency (or opposition to your continued
that must be addressed. The EPA
designee) may exempt any particular disqualification. A summary of any
representative is not required to
award or a class of awards with that information you provide orally, if not
negotiate conditions for your already recorded, should also be
department or agency from the
reinstatement. However, beginning the submitted to the debarring official in
prohibitions otherwise resulting from
reinstatement process with informal writing to assure that it is preserved for
CAA or CWA disqualification. In the
dialogue increases the chance of the debarring official’s consideration
event an exemption is granted, the
exemption must: achieving a favorable outcome, and and the administrative record.
(1) Be in writing; and avoids unnecessary delay that may
(2) State why the exemption is in the result from an incomplete or inadequate § 32.1220 What will the EPA debarring
reinstatement request. It may also allow official consider in making a decision on my
paramount interests of the United reinstatement request?
States. you to resolve your disqualification by
(b) In the event an exemption is reaching an agreement with the EPA (a) The EPA debarring official will
granted, the exempting department or debarring official under informal consider all information and arguments
agency must send a copy of the procedures. Using your informal option contained in the administrative record
exemption decision to the EPA first does not prevent you from in support of, or in opposition to, your
debarring official for inclusion in the submitting a formal reinstatement request for reinstatement, including any
official record. request with the debarring official at any findings of material fact.
(b) The debarring official will also
time.
§ 32.1200 How will I know if I am consider any mitigating or aggravating
disqualified under the CAA or CWA? § 32.1210 Will anyone else provide factors that may relate to your
There may be several ways that you information to the EPA debarring official conviction or the circumstances
learn about your disqualification. You concerning my reinstatement request? surrounding it, including any of those
are legally on notice by the statutes that factors that appear in § 32.860 that may
a criminal conviction under the CAA or If you request reinstatement under apply to your situation.
CWA automatically disqualifies you. As § 32.1205, the EPA debarring official (c) Finally, if disqualification applies
a practical matter, you may learn about may obtain review and comment on to a business entity, the debarring
your disqualification from your defense your request by anyone who may have official will consider any corporate or
counsel, a Federal contract or award information about, or an official interest business attitude, policies, practices and
official, or from someone else who sees in, the matter. For example, the procedures that contributed to the
your name on the GSA List. As a debarring official may consult with the events leading to conviction, or that
courtesy, the EPA will attempt to notify EPA Regional offices, the Department of may have been implemented since the
you and the owner, lessor or supervisor Justice or other Federal agencies, or date of the misconduct or conviction.
of the violating facility that your names state, tribal or local governments. The You can obtain any current policy
have been sent to the GSA for inclusion EPA debarring official will make sure directives issued by the EPA that apply
in the List. The EPA will inform you of that you have an opportunity to address to CAA or CWA disqualification or
the procedures for seeking reinstatement important allegations or information reinstatement by contacting the Office of
and give you the name of a person you contained in the administrative record the EPA Debarring Official, U.S.
can contact to discuss your before making a final decision on your Environmental Protection Agency,
reinstatement request. request for reinstatement. Office of Grants and Debarment (3901–

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R), 1200 Pennsylvania Avenue NW., conditioned upon the accuracy of the § 32.1500 If I am reinstated, when will my
Washington, DC 20460. information, representations or name be removed from the GSA List?
assurances made during development of (a) If your eligibility for procurement
§ 32.1225 When will the EPA debarring and nonprocurement participation is
the administrative record.
official make a decision on my restored under the CAA or CWA,
reinstatement request? (b) If the EPA debarring official finds
whether by decision, appeal, or by
(a) The EPA debarring official will that he or she has certified correction of
administrative agreement, the EPA will
make a decision regarding your the condition giving rise to a CAA or
notify the GSA within 5 working days
reinstatement request under CWA conviction or violation on the
of your reinstatement and ask GSA to
§ 32.1205(a), when the administrative basis of a false, misleading, incomplete
remove your name and that of the
record is complete, and he or she can or inaccurate information; or if a person
violating facility from the List.
determine whether the condition giving fails to comply with material condition (b) You may check the List manually
rise to the CAA or CWA conviction has of an administrative agreement, the EPA or through the internet as stated at
been corrected—usually within 45 days debarring official may revoke the § 32.1125, to confirm that your name
of closing the administrative record. certification of correction and and that of the violating facility are
(b) A reinstatement request is not immediately reinstate the CAA or CWA removed from the List following
officially before the debarring official disqualification. In addition, the EPA reinstatement. In the event your name is
while you are having informal debarring official may take suspension not removed in a timely manner, you
discussions under § 32.1205(b). or debarment action against the should call the EPA debarring official or
person(s) responsible for the the EPA representative identified under
§ 32.1230 How will the EPA debarring misinformation or noncompliance with
official notify me of the reinstatement the agency contacts section of the List to
the agreement as appropriate. If anyone inform them that the listing has not
decision?
provides false, inaccurate, incomplete or been removed.
The EPA debarring official will notify misleading information to EPA in an
you of the reinstatement decision in attempt to obtain reinstatement, the EPA § 32.1600 What definitions apply
writing, using the same methods for debarring official will refer the matter to specifically to actions under this subpart?
communicating debarment or the EPA Office of the Inspector General In addition to definitions under
suspension action notices under for potential criminal or civil action. subpart I of this part that apply to this
§ 32.615. part as a whole, the following two
§ 32.1400 How may I appeal a decision definitions apply specifically to CAA
§ 32.1300 Can I resolve my eligibility denying my request for reinstatement?
status under terms of an administrative and CWA disqualifications under this
agreement without having to submit a (a) If the EPA debarring official denies subpart:
formal reinstatement request? your request for reinstatement under the (a) Person means an individual,
(a) The EPA debarring official may, at CAA or CWA, you can ask for review of corporation, partnership, association,
any time, resolve your CAA or CWA the EPA debarring official’s decision in state, municipality, commission, or
eligibility status under the terms of an two ways: political subdivision of a state, or any
administrative agreement. Ordinarily, interstate body.
(1) You may ask the debarring official (b) Violating facility means any
the debarring official will not make an to reconsider the decision for material building, plant, installation, structure,
offer to you for reinstatement until after errors of fact or law that you believe will mine, vessel, floating craft, location or
the administrative record for decision is change the outcome of the matter; and/ site of operations that gives rise to a
complete, or contains enough or CAA or CWA conviction, and is a
information to enable him or her to
(2) You may request the Director, location at which or from which a
make an informed decision in the
Office of Grants and Debarment (OGD Federal contract, subcontract, loan,
matter.
Director), to review the debarring assistance award or other covered
(b) Any resolution of your eligibility
official’s denial within 30 days of your transaction may be performed. If a site
status under the CAA or CWA resulting
receipt of the debarring official’s of operations giving rise to a CAA or
from an administrative agreement must
decision under § 32.1230 or paragraph CWA conviction contains or includes
include a certification that the condition
(a)(1) of this section. However, the OGD more than one building, plant,
giving rise to the conviction has been
Director can reverse the debarring installation, structure, mine, vessel,
corrected.
official’s decision denying reinstatement floating craft, or other operational
(c) The EPA debarring official may
only where the OGD Director finds that element, the entire location or site of
enter into an administrative agreement
there is a clear error of material fact or operation is regarded as the violating
to resolve CAA or CWA disqualification
law, or where the OGD Director finds facility unless otherwise limited by the
issues as part of a comprehensive
that the debarring official’s decision was EPA.
criminal plea, civil or administrative 9. Part 36 is added to read as set forth
arbitrary, capricious, or an abuse of
agreement when it is in the best interest in instruction 2 at the end of the
discretion.
of the United States to do so. common preamble.
(b) A request for review under this
§ 32.1305 What are the consequences if I section must be in writing and state the
mislead the EPA in seeking reinstatement PART 36—GOVERNMENTWIDE
specific findings you believe to be in REQUIREMENTS FOR DRUG-FREE
or fail to comply with my administrative
agreement?
error and the reason for your position. WORKPLACE (FINANCIAL
(a) Any certification of correction (c) A review by the OGD Director ASSISTANCE)
issued by the EPA debarring official, under this section is solely within the
discretion of the OGD Director. Subpart A—Purpose and Coverage
whether the certification results from a
Sec.
reinstatement decision under (d) The OGD Director must notify you 36.100 What does this part do?
§§ 32.1205(a) and 32.1230, or from an of his or her decision under this section, 36.105 Does this part apply to me?
administrative agreement under in writing, using the notice procedures 36.110 Are any of my Federal assistance
§§ 32.1205(b) and 32.1300, is identified at §§ 32.615 and 32.975. awards exempt from this part?

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36.115 Does this part affect the Federal d. ‘‘[Agency head]’’ is removed and 105–68.120 May we grant an exception to
contracts that I receive? ‘‘EPA Administrator’’ is added in its let an excluded person participate in a
place wherever it occurs. covered transaction?
Subpart B—Requirements for Recipients 105–68.125 Does an exclusion under the
Other Than Individuals 11. Section 36.510(c) is further
nonprocurement system affect a person’s
36.200 What must I do to comply with this amended by removing ‘‘[CFR citation for eligibility to participate in Federal
part? the Federal Agency’s regulations procurement contracts?
36.205 What must I include in my drug-free implementing Executive Order 12549 105–68.130 Does an exclusion under the
workplace statement? and Executive Order 12689]’’ and Federal procurement system affect a
36.210 To whom must I distribute my drug- adding ‘‘40 CFR part 32’’ in its place. person’s eligibility to participate in
free workplace statement? 12. Section 36.605(a)(2) is further nonprocurement transactions?
36.215 What must I include in my drug-free amended by removing ‘‘[Agency- 105–68.135 May the General Services
awareness program? Administration exclude a person who is
36.220 By when must I publish my drug-
specific CFR citation]’’and adding ‘‘40
not currently participating in a
free workplace statement and establish CFR part 31’’ in its place. nonprocurement transaction?
my drug-free awareness program? GENERAL SERVICES 105–68.140 How do I know if a person is
36.225 What actions must I take concerning ADMINISTRATION excluded?
employees who are convicted of drug 105–68.145 Does this part cover persons
violations in the workplace? 41 CFR Parts 105–68 and 105–74 who are disqualified as well as those
36.230 How and when must I identify who are excluded from nonprocurement
workplaces? RIN 3090–AH35 transactions?
Subpart C—Requirements for Recipients FOR FURTHER INFORMATION CONTACT: Subpart B—Covered Transactions
Who Are Individuals Donald J. Suda, Special Assistant for 105–68.200 What is a covered transaction?
36.300 What must I do to comply with this Contractor Integrity, General Services 105–68.205 Why is it important to know if
part if I am an individual recipient? Administration, 1800 F Street NW., a particular transaction is a covered
36.301 [Reserved] Washington, DC 20405–0002, (202) 501– transaction?
Subpart D—Responsibilities of EPA
4770, e-mail: donald.suda.@gsa.gov 105–68.210 Which nonprocurement
transactions are covered transactions?
Awarding Officials List of Subjects 105–68.215 Which nonprocurement
36.400 What are my responsibilities as an transactions are not covered
EPA awarding official?
41 CFR Part 105–68
transactions?
Subpart E—Violations of This Part and
Administrative practice and 105–68.220 Are any procurement contracts
Consequences procedure, Debarment and suspension, included as covered transactions?
Grant programs, Reporting and 105–68.225 How do I know if a transaction
36.500 How are violations of this part that I may participate in is a covered
determined for recipients other than recordkeeping requirements.
transaction?
individuals? 41 CFR Part 105–74
36.505 How are violations of this part Subpart C—Responsibilities of Participants
determined for recipients who are Administrative practice and Regarding Transactions
individuals? procedure, Drug abuse, Grant programs, Doing Business With Other Persons
36.510 What actions will the Federal Reporting and recordkeeping
Government take against a recipient requirements. 105–68.300 May I enter into a covered
determined to have violated this part? transaction with an excluded or
36.515 Are there any exceptions to those Approved: July 5, 2001. disqualified person?
actions? Stephen A. Perry, 105–68.305 What must I do if a Federal
Administrator of General Services. agency excludes a person with whom I
Subpart F—Definitions am already doing business in a covered
For the reasons stated in the transaction?
36.605 Award.
36.610 Controlled substance. preamble, the General Services 105–68.310 May I use the services of an
36.615 Conviction. Administration proposes to amend 41 excluded person under a covered
36.620 Cooperative agreement. CFR chapter 105 as follows: transaction?
36.625 Criminal drug statute. 105–68.315 Must I verify that principals of
CHAPTER 105—[AMENDED]
36.630 Debarment. my covered transactions are eligible to
36.635 Drug-free workplace. 1. Part 105–68 is revised to read as set participate?
36.640 Employee. forth in instruction 1 at the end of the 105–68.320 What happens if I do business
36.645 Federal agency or agency. common preamble. with an excluded person in a covered
36.650 Grant. transaction?
36.655 Individual. PART 105–68—GOVERNMENTWIDE 105–68.325 What requirements must I pass
36.660 Recipient. DEBARMENT AND SUSPENSION down to persons at lower tiers with
36.665 State. (NONPROCUREMENT) whom I intend to do business?
36.670 Suspension.
Disclosing Information—Primary Tier
Sec.
Authority: 41 U.S.C. 701 et seq. Participants
105–68.25 How is this part organized?
10. Part 36 is further amended as set 105–68.50 How is this part written? 105–68.330 What information must I
forth below. 105–68.75 Do terms in this part have provide before entering into a covered
a. ‘‘[Agency noun]’’ is removed and special meanings? transaction with the General Services
‘‘EPA’’ is added in its place wherever it Administration?
Subpart A—General 105–68.335 If I disclose unfavorable
occurs.
b. ‘‘[Agency adjective]’’ is removed 105–68.100 What does this part do? information required under § 105–68.330
105–68.105 Does this part apply to me? will I be prevented from entering into the
and ‘‘EPA’’ is added in its place 105–68.110 What is the purpose of the transaction?
wherever it occurs. nonprocurement debarment and 105–68.340 What happens if I fail to
c. ‘‘[Agency head or designee]’’ is suspension system? disclose the information required under
removed and ‘‘EPA Administrator or 105–68.115 How does an exclusion restrict § 105–68.330?
designee’’ is added in its place wherever a person’s involvement in covered 105–68.345 What must I do if I learn of the
it occurs. transactions? information required under § 105–68.330

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after entering into a covered transaction 105–68.605 How does suspension differ 105–68.835 Are debarment proceedings
with the General Services from debarment? formal?
Administration? 105–68.610 What procedures does the 105–68.840 Is a record made of fact-finding
General Services Administration use in proceedings?
Disclosing Information Lower—Tier suspension and debarment actions? 105–68.845 What does the debarring official
Participants 105–68.615 How does the General Services consider in deciding whether to debar
105–68.350 What information must I Administration notify a person of me?
provide to a higher tier participant before suspension and debarment actions? 105–68.850 What is the standard of proof in
entering into a covered transaction with 105–68.620 Do Federal agencies coordinate a debarment action?
that participant? suspension and debarment actions? 105–68.855 Who has the burden of proof in
105–68.355 What happens if I fail to 105–68.625 What is the scope of a a debarment action?
disclose the information required under suspension or debarment action? 105–68.860 What factors may influence the
§ 105–68.350? 105–68.630 May the General Services debarring official’s decision?
105–68.360 What must I do if I learn of Administration impute the conduct of 105–68.865 How long may my debarment
information required under § 105–68.350 one person to another? last?
after entering into a covered transaction 105–68.635 May the General Services 105–68.870 When do I know if the
with a higher tier participant? Administration settle a debarment or debarring official debars me?
suspension action? 105–68.875 May I ask the debarring official
Subpart D—Responsibilities of GSA 105–68.640 May a settlement include a to reconsider a decision to debar me?
Officials Regarding Transactions voluntary exclusion? 105–68.880 What factors may influence the
105–68.400 May I enter into a transaction 105–68.645 Do other Federal agencies know debarring official during
with an excluded or disqualified person? if the General Services Administration reconsideration?
105–68.405 May I enter into a covered agrees to a voluntary exclusion? 105–68.885 May the debarring official
transaction with a participant if a extend a debarment?
principal of the transaction is excluded? Subpart G—Suspension
Subpart I—Definitions
105–68.410 May I approve a participant’s 105–68.700 When may the suspending
use of the services of an excluded official issue a suspension? 105–68.900 Adequate evidence.
person? 105–68.705 What does the suspending 105–68.905 Affiliate.
105–68.415 What must I do if a Federal official consider in issuing a suspension? 105–68.910 Agency.
agency excludes the participant or a 105–68.710 When does a suspension take 105–68.915 Agent or representative.
principal after I enter into a covered effect? 105–68.920 Civil judgment.
transaction? 105–68.715 What notice does the 105–68.925 Conviction.
suspending official give me if I am 105–68.930 Debarment
105–68.420 May I approve a transaction
suspended? 105–68.935 Debarring official.
with an excluded or disqualified person
105–68.720 How may I contest a 105–68.940 Disqualified.
at a lower tier?
suspension? 105–68.945 Excluded or exclusion.
105–68.425 When do I check to see if a
105–68.725 How much time do I have to 105–68.950 Indictment.
person is excluded or disqualified?
contest a suspension? 105–68.955 Ineligible or ineligibility.
105–68.430 How do I check to see if a
105–68.730 What information must I 105–68.960 Legal proceedings.
person is excluded or disqualified?
provide to the suspending official if I 105–68.965 List of Parties Excluded or
105–68.435 What must I require of a
contest a suspension? Disqualified From Federal Procurement
primary tier participant?
105–68.735 Under what conditions do I get and Nonprocurement Programs.
105–68.440 What method do I use to
an additional opportunity to challenge 105–68.970 Nonprocurement transaction.
communicate those requirements to
the facts on which the suspension is 105–68.975 Notice.
participants?
based? 105–68.980 Participant
105–68.445 What action may I take if a
105–68.740 Are suspension proceedings 105–68.985 Person.
primary tier participant knowingly does
formal? 105–68.990 Preponderance of the evidence.
business with an excluded or
105–68.745 Is a record made of fact-finding 105–68.995 Principal.
disqualified person?
proceedings? 105–68.1000 Respondent.
105–68.450 What action may I take if a
105–68.750 What does the suspending 105–68.1005 State.
primary tier participant fails to disclose
official consider in deciding whether to 105–68.1010 Suspending official.
the information required under § 105–
continue or terminate my suspension? 105–68.1015 Suspension.
68.330?
105–68.755 When will I know whether the 105–68.1020 Voluntary exclusion or
105–68.455 What may I do if a lower tier
suspension is continued or terminated? voluntarily excluded.
participant fails to disclose the
information required under § 105–68.350 105–68.760 How long may my suspension Subpart J [Reserved]
to the next higher tier? last?
Appendix to Part 105–68—Covered
Subpart E—Governmentwide List of Parties Subpart H—Debarment Transactions
Excluded or Disqualified From Federal 105–68.800 What are the causes for
Procurement and Nonprocurement debarment? Authority: Sec. 2455, Pub.L. 103–355, 108
Programs 105–68.805 What notice does the debarring Stat. 3327; E.O. 12549, 3 CFR, 1986 Comp.,
official give me if I am proposed for p. 189; E.O. 12689, 3 CFR, 1989 Comp., p.
105–68.500 What is the purpose of the List?
debarment? 235.
105–68.505 Who uses the List?
105–68.510 Who maintains the List? 105–68.810 When does a debarment take 2. Part 105–68 is further amended as
105–68.515 What specific information is on effect? set forth below.
the List? 105–68.815 How may I contest a proposed a. ‘‘[Agency noun]’’ is removed and
105–68.520 Who gives the GSA the debarment? ‘‘General Services Administration’’ is
information that it puts on the List? 105–68.820 How much time do I have to added in its place wherever it occurs.
105–68.525 Whom do I ask if I have contest a proposed debarment? b. ‘‘[Agency adjective]’’ is removed
questions about a person on the List? 105–68.825 What information must I
provide to the debarring official if I
and ‘‘GSA’’ is added in its place
105–68.530 Where can I get the List?
contest a proposed debarment? wherever it occurs.
Subpart F—General Principles Relating to 105–68.830 Under what conditions do I get c. ‘‘[Agency head or designee]’’ is
Suspension and Debarment Actions an additional opportunity to challenge removed and ‘‘Administrator of General
105–68.600 How do suspension and the facts on which the proposed Services’’ is added in its place wherever
debarment actions start? debarment is based? it occurs.

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3. Section 105–68.440 is added to Subpart F—Definitions for the Department. This preamble also
read as follows: 105–74.605 Award. explains the deviations from the
105–74.610 Controlled substance. proposed common rules.
§ 105–68.440 What method do I use to 105–74.615 Conviction. The Department joined in the
communicate those requirements to 105–74.620 Cooperative agreement. publication of the governmentwide
participants? 105–74.625 Criminal drug statute. common rule which provided
To communicate the requirement, you 105–74.630 Debarment. requirements for nonprocurement
must include a term or condition in the 105–74.635 Drug-free workplace. debarment and suspension by Executive
transaction requiring the participants’ 105–74.640 Employee.
branch agencies published on May 26,
compliance with subpart C of this part 105–74.645 Federal agency or agency.
105–74.650 Grant. 1988 (53 FR 19160), found at 43 CFR
and requiring them to include a similar 12.100 to 12.510. In 43 CFR 12.200(c)(8),
105–74.655 Individual.
term or condition in lower-tier covered the Department excluded from the
105–74.660 Recipient.
transactions. 105–74.665 State. requirements of the rule any
4. Part 105–74 is added to read as set 105–74.670 Suspension. transactions entered into pursuant to
forth in instruction 2 at the end of the Pub. L. 93–638, ‘‘Indian Self
common preamble. Authority: 41 U.S.C. 701 et seq.
Determination and Education
5. Part 105–74 is further amended as Assistance Act,’’ since application of the
PART 105–74—GOVERNMENTWIDE set forth below. common rule to such transactions was
REQUIREMENTS FOR DRUG-FREE a. ‘‘[Agency noun]’’ is removed and prohibited by Pub. L. 93–638.
WORKPLACE (FINANCIAL ‘‘General Services Administration’’ is The Department also joined in the
ASSISTANCE) added in its place wherever it occurs. January 31, 1989, publication of the
Subpart A—Purpose and Coverage b. ‘‘[Agency adjective]’’ is removed amendment to the governmentwide
and ‘‘GSA’’ is added in its place common rule on nonprocurement
Sec.
wherever it occurs. debarment and suspension and revised
105–74.100 What does this part do?
105–74.105 Does this part apply to me? c. ‘‘[Agency head or designee]’’ is Subpart D to implement the Drug-Free
105–74.110 Are any of my Federal removed and ‘‘Administrator of General Workplace Act of 1988 (54 FR 4946),
assistance awards exempt from this part? Services’’ is added in its place wherever found at 43 CFR 12.600 to 12.635.
105–74.115 Does this part affect the Federal it occurs. At the time of the revision to the
contracts that I receive? d. ‘‘[Agency head]’’ is removed and common rule for nonprocurement
Subpart B—Requirements for Recipients ‘‘Administrator of General Services’’ is debarment and suspension which was
Other Than Individuals added in its place wherever it occurs. issued in response to Executive Order
6. Section 105–74.510(c) is further 12689 and section 2455 of the Federal
105–74.200 What must I do to comply with
this part? amended by removing ‘‘[CFR citation for Acquisition Streamlining Act of 1994,
105–74.205 What must I include in my the Federal agency’s regulations and published on June 26, 1995 (60 FR
drug-free workplace statement? implementing Executive Order 12549 33035), the Department excluded
105–74.210 To whom must I distribute my and Executive Order 12689]’’ and additional transactions from the
drug-free workplace statement? adding ‘‘41 CFR part 105–68’’ in its requirements of the nonprocurement
105–74.215 What must I include in my place. debarment and suspension regulations.
drug-free awareness program? 7. Section 105–74.605(a)(2) is further Specifically, in 43 CFR 12.200(c)(9)–
105–74.220 By when must I publish my amended by removing ‘‘[Agency-
drug-free workplace statement and (11), the Department excluded all
establish my drug-free awareness specific CFR citation]’’ and adding transactions concerning permits,
program? ‘‘41CFR part 105–71’’ in its place. licenses, exchanges and other
105–74.225 What actions must I take DEPARTMENT OF THE INTERIOR acquisitions of real property, rights-of-
concerning employees who are convicted way, easements, mineral patent claims,
of drug violations in the workplace? 43 CFR Parts 12, 42 and 43 water service contracts, and repayment
105–74.230 How and when must I identify contracts from the nonprocurement
workplaces?
RIN 1090–AA79
debarment and suspension regulations.
FOR FURTHER INFORMATION CONTACT: In this proposed rule, the Department
Subpart C—Requirements for Recipients
Who Are Individuals Debra E. Sonderman, Director, Office of will continue to exclude all transactions
Acquisition and Property Management, excluded in the current regulations at 43
105–74.300 What must I do to comply with
this part if I am an individual recipient?
(202) 208–6431. CFR 12.200(c)(8)–(11). These exclusions
105–74.301 [Reserved] ADDITIONAL SUPPLEMENTARY INFORMATION: are found at 43 CFR 42.215 (h)–(k) in
The Department of the Interior the proposed rule.
Subpart D—Responsibilities of GSA
Awarding Officials
(Department) proposes to adopt the In this proposed rule, the Department
proposed common, governmentwide will discontinue the use of a
105–74.400 What are my responsibilities as rule for debarment and suspension, and
a GSA awarding official?
certification from participants contained
the common, governmentwide rule in 43 CFR 12.510(a). The Department
Subpart E—Violations of This Part and implementing the Drug-Free Workplace proposes to include a term or condition
Consequences Act of 1988, with several specific in transaction documents which
105–74.500 How are violations of this part provisions that apply to the Department requires the participants’ compliance.
determined for recipients other than of the Interior. The two proposed The term or condition will also require
individuals? common rules are contained in the participants to include a similar term or
105–74.505 How are violations of this part Notice of Proposed Rulemaking for a condition in lower-tier covered
determined for recipients who are number of agencies, earlier in this
individuals?
transactions as well. This new provision
105–74.510 What actions will the Federal
document. This preamble for the is found at 43 CFR 42.440 of the
Government take against a recipient Department sets out the headings of the proposed rule.
determined to have violated this part? sections of the proposed common rules The requirements for nonprocurement
105–74.515 Are there any exceptions to that the Department proposes to adopt, debarment and suspension, currently
those actions? with the appropriate numbering system found at 43 CFR 12.100 to 12.510 are

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being removed from 43 CFR part 12 and Dated: May 30, 2001. 42.210 Which nonprocurement transactions
are proposed to be placed in 43 CFR Robert J. Lamb, are covered transactions?
part 42. Acting Assistant Secretary-Policy, 42.215 Which nonprocurement transactions
Management and Budget. are not covered transactions?
The requirements for maintaining a 42.220 Are any procurement contracts
drug-free workplace, currently found at Accordingly, for the reasons stated in included as covered transactions?
43 CFR 12.600 to 12.635, are being the common preamble and in the above 42.225 How do I know if a transaction that
removed from 43 CFR part 12 and are additional supplementary information I may participate in is a covered
proposed to be placed in 43 CFR part section, 43 CFR subtitle A is proposed transaction?
43. to be amended as follows: Subpart C—Responsibilities of Participants
Compliance With Laws, Executive Regarding Transactions Doing Business
PART 12—ADMINISTRATIVE AND With Other Persons
Orders, and Department Policy AUDIT REQUIREMENTS AND COST
42.300 May I enter into a covered
In addition to the certifications stated PRINCIPLES FOR ASSISTANCE
transaction with an excluded or
in the general preamble, the Department PROGRAMS disqualified person?
is including the following statements: 1. The authority citation for part 12 is 42.305 What must I do if a Federal agency
In accordance with Executive Order revised to read as follows: excludes a person with whom I am
12630, the rule does not have significant already doing business in a covered
Authority: E.O. 12549 (3 CFR, 1986 Comp., transaction?
takings implications. A takings
p. 189); E.O. 12689 (3 CFR, 1989 Comp., p. 42.310 May I use the services of an
implication assessment is not required. 235); sec. 2455, Pub. L. 103–355, 108 Stat.
No takings of personal property will excluded person under a covered
3327 (31 U.S.C. 6101 note); 5 U.S.C. 301; transaction?
occur as a result of this rule. U.S.C 6101 note. 42.315 Must I verify that principals of my
In accordance with Executive Order 2. Part 12, Subpart D is removed and covered transactions are eligible to
12988, the Office of the Solicitor has reserved. participate?
determined that this rule does not 3. Part 42 is added to read as set forth 42.320 What happens if I do business with
unduly burden the judicial system and in instruction 1 at the end of the an excluded person in a covered
meets the requirements of sections 3(a) transaction?
common preamble.
and 3 (b) of the Order. 42.325 What requirements must I pass
PART 42—GOVERNMENTWIDE down to persons at lower tiers with
This rule does not constitute a major whom I intend to do business?
Federal action significantly affecting the DEBARMENT AND SUSPENSION
quality of the human environment. A (NONPROCUREMENT) Disclosing Information—Primary Tier
detailed statement under the National Participants
Sec.
Environmental Policy Act of 1969 is not 42.330 What information must I provide
42.25 How is this part organized?
required. before entering into a covered
42.50 How is this part written?
transaction with the Department of the
In accordance with the President’s 42.75 Do terms in this part have special
Interior?
memorandum of April 29, 1994, meanings?
42.335 If I disclose unfavorable information
Government-to-Government Relations Subpart A—General required under § 42.330 will I be
with Native American Tribal 42.100 What does this part do? prevented from entering into the
Governments’’ (59 FR 22951), 512 DM 2, 42.105 Does this part apply to me? transaction?
and Executive Order 13175 (65 FR 42.110 What is the purpose of the 42.340 What happens if I fail to disclose the
67249), we have evaluated possible nonprocurement debarment and information required under § 42.330?
effects on Federally recognized Indian suspension system? 42.345 What must I do if I learn of the
tribes and have determined that there 42.115 How does an exclusion restrict a information required under § 42.330 after
person’s involvement in covered entering into a covered transaction with
are no effects on trust resources.
transactions? the Department of the Interior?
List of Subjects 42.120 May we grant an exception to let an Disclosing Information—Lower Tier
excluded person participate in a covered Participants
43 CFR Part 12 transaction?
42.125 Does an exclusion under the 42.350 What information must I provide to
Administrative practice and a higher tier participant before entering
nonprocurement system affect a person’s
procedure, Contract programs, eligibility to participate in Federal into a covered transaction with that
Cooperative agreements, Debarment and procurement contracts? participant?
suspension, Grant programs, Grant 42.130 Does an exclusion under the Federal 42.355 What happens if I fail to disclose the
administration. procurement system affect a person’s information required under § 42.350?
eligibility to participate in 42.360 What must I do if I learn of
43 CFR Part 42 nonprocurement transactions? information required under § 42.350 after
Administrative practice and 42.135 May the Department of the Interior entering into a covered transaction with
exclude a person who is not currently a higher tier participant?
procedure, Contract programs,
participating in a nonprocurement
Cooperative agreements, Debarment and transaction?
Subpart D—Responsibilities of Department
suspension, Grant programs, Grants of the Interior Officials Regarding
42.140 How do I know if a person is
administration, Reporting and Transactions
excluded?
recordkeeping requirements. 42.145 Does this part cover persons who are 42.400 May I enter into a transaction with
disqualified as well as those who are an excluded or disqualified person?
43 CFR Part 43 excluded from nonprocurement 42.405 May I enter into a covered
Administrative practice and transactions? transaction with a participant if a
principal of the transaction is excluded?
procedure, Contract programs, Subpart B—Covered Transactions 42.410 May I approve a participant’s use of
Cooperative agreements, Drug abuse, 42.200 What is a covered transaction? the services of an excluded person?
Grant programs, Grants administration, 42.205 Why is it important to know if a 42.415 What must I do if a Federal agency
Reporting and recordkeeping particular transaction is a covered excludes the participant or a principal
requirements. transaction? after I enter into a covered transaction?

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3348 Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules

42.420 May I approve a transaction with an 42.735 Under what conditions do I get an 42.1000 Respondent.
excluded or disqualified person at a additional opportunity to challenge the 42.1005 State.
lower tier? facts on which the suspension is based? 42.1010 Suspending official.
42.425 When do I check to see if a person 42.740 Are suspension proceedings formal? 42.1015 Suspension.
is excluded or disqualified? 42.745 Is a record made of fact-finding 42.1020 Voluntary exclusion or voluntarily
42.430 How do I check to see if a person is proceedings? excluded.
excluded or disqualified? 42.750 What does the suspending official
42.435 What must I require of a primary tier consider in deciding whether to continue Subpart J [Reserved]
participant? or terminate my suspension? Appendix to Part 42—Covered Transactions
42.440 What method do I use to 42.755 When will I know whether the
communicate those requirements to suspension is continued or terminated? Authority: E.O. 12549 (3 CFR, 1986 Comp.,
participants? 42.760 How long may my suspension last? p. 189); E.O. 12689 (3 CFR, 1989 Comp., p.
42.445 What action may I take if a primary 235); sec. 2455, Pub. L. 103–355, 108 Stat.
tier participant knowingly does business Subpart H—Debarment 3327 (31 U.S.C. 6101 note); 5 U.S.C. 301; 31
with an excluded or disqualified person? 42.800 What are the causes for debarment? U.S.C.
42.450 What action may I take if a primary 42.805 What notice does the debarring
tier participant fails to disclose the 4. Part 42 is further amended as set
official give me if I am proposed for
information required under § 42.330? debarment? forth below.
42.455 What may I do if a lower tier 42.810 When does a debarment take effect? a. ‘‘[Agency noun]’’ is removed and
participant fails to disclose the 42.815 How may I contest a proposed ‘‘Department of the Interior’’ is added in
information required under § 42.350 to debarment? its place wherever it occurs.
the next higher tier? 42.820 How much time do I have to contest b. ‘‘[Agency adjective]’’ is removed
Subpart E—Governmentwide List of Parties a proposed debarment? and ‘‘Department of the Interior’’ is
Excluded or Disqualified From Federal 42.825 What information must I provide to added in its place where it occurs.
Procurement and Nonprocurement the debarring official if I contest a c. ‘‘[Agency head or designee]’’ is
Programs proposed debarment? removed and ‘‘Director, Office of
42.830 Under what conditions do I get an Acquisition and Property Management’’
42.500 What is the purpose of the List? additional opportunity to challenge the
42.505 Who uses the List? facts on which the proposed debarment
is added in its place wherever it occurs.
42.510 Who maintains the List? is based?
5. Section 42.215 is further amended
42.520 Who gives the GSA the information 42.835 Are debarment proceedings formal? by adding paragraphs (h) through (k) to
that it puts on the List? 42.840 Is a record made of fact-finding read as follows:
42.525 Whom do I ask if I have questions proceedings?
about a person on the List? § 42.215 Which nonprocurement
42.845 What does the debarring official
42.530 Where can I get the List? transactions are not covered transactions?
consider in deciding whether to debar
Subpart F—General Principles Relating to me? * * * * *
Suspension and Debarment Actions 42.850 What is the standard of proof in a (h) Transactions entered into pursuant
42.600 How do suspension and debarment debarment action? to Public Law 93–638, 88 Stat. 2203.
actions start? 42.855 Who has the burden of proof in a (i) Under natural resource
42.605 How does suspension differ from debarment action? management programs, permits,
debarment? 42.860 What factors may influence the licenses, exchanges and other
42.610 What procedures does the debarring official’s decision? acquisitions of real property, rights-of-
Department of the Interior use in 42.865 How long may my debarment last?
42.870 When do I know if the debarring
way, and easements.
suspension and debarment actions? (j) Transactions concerning mineral
42.615 How does the Department of the official debars me?
42.875 May I ask the debarring official to patent claims entered into pursuant to
Interior notify a person of suspension
and debarment actions? reconsider a decision to debar me? 30 U.S.C. 22 et. seq.
42.620 Do Federal agencies coordinate 42.880 What factors may influence the (k) Water service contracts and
suspension and debarment actions? debarring official during repayments entered into pursuant to 43
42.625 What is the scope of a suspension or reconsideration? U.S.C. 485.
debarment action? 42.885 May the debarring official extend a 6. Section 42.440 is added to read as
42.630 May the Department of the Interior debarment? follows:
impute the conduct of one person to Subpart I—Definitions
another? § 42.440 What method do I use to
42.635 May the Department of the Interior 42.900 Adequate evidence. communicate those requirements to
settle a debarment or suspension action? 42.905 Affiliate. participants?
42.640 May a settlement include a 42.910 Agency. To communicate the requirement to
voluntary exclusion? 42.915 Agent or representative.
42.920 Civil judgment.
participants, you must include a term or
42.645 Do other Federal agencies know if condition in the transaction requiring
the Department of the Interior agrees to 42.925 Conviction.
a voluntary exclusion? 42.930 Debarment. the participants’ compliance with
42.935 Debarring official. subpart C of this part and requiring
Subpart G—Suspension 42.940 Disqualified. them to include a similar term or
42.700 When may the suspending official 42.945 Excluded or exclusion. condition in lower-tier covered
issue a suspension? 42.950 Indictment. transactions.
42.705 What does the suspending official 42.955 Ineligible or ineligibility. 7. Section 42.935 is further amended
consider in issuing a suspension? 42.960 Legal proceedings. by adding paragraph (b) to read as
42.710 When does a suspension take effect? 42.965 List of Parties Excluded or
follows:
42.715 What notice does the suspending Disqualified From Federal Procurement
official give me if I am suspended? and Nonprocurement Programs. § 42.935 Debarring official.
42.720 How may I contest a suspension? 42.970 Nonprocurement transaction.
42.725 How much time do I have to contest 42.975 Notice. * * * * *
a suspension? 42.980 Participant. (b) The debarring official for the
42.730 What information must I provide to 42.985 Person. Department of the Interior is the
the suspending official if I contest a 42.990 Preponderance of the evidence. Director, Office of Acquisition and
suspension? 42.995 Principal. Property Management.

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Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules 3349

8. Section 42.970 is further amended Subpart D—Responsibilities of Department 14. Section 43.605(a)(2) is further
by adding paragraphs (a)(12) through (a) of the Interior Awarding Officials? amended by removing ‘‘[Agency-
(15) to read as follows: 43.400 What are my responsibilities as a specific CFR citation]’’ and adding ‘‘43
Department of the Interior awarding CFR part 12’’ in its place.
§ 42.970 Nonprocurement transaction. official?
* * * * * FEDERAL EMERGENCY
Subpart E—Violations of This Part and MANAGEMENT AGENCY
(a) * * * Consequences
(12) Federal acquisition of a leasehold 43.500 How are violations of this part 44 CFR Parts 17 and 21
interest or any other interest in real determined for recipients other than RIN 3067–AD15
property. individuals?
43.505 How are violations of this part FOR FURTHER INFORMATION CONTACT:
(13) Concession contracts. determined for recipients who are Edward Broyles, Office of General
(14) Disposition of Federal real and individuals? Counsel, Federal Emergency
personal property and natural resources. 43.510 What actions will the Federal
Management Agency, 500 C Street, SW.,
(15) Any other nonprocurement Government take against a recipient
determined to have violated this part? Washington, DC 20472, (202) 646–3961,
transactions between the Department e-mail Edward.Broyles@fema.gov.
43.515 Are there any exceptions to those
and a person. actions? ADDITIONAL SUPPLEMENTARY INFORMATION:
* * * * * This part proposes optional lower tier
Subpart F—Definitions
9. Section 42.1010 is further amended suspension and debarment coverage by
43.605 Award.
by adding paragraph (b) to read as 43.610 Controlled substance. including a paragraph (d) in § 17.220 for
follows: 43.615 Conviction. all contracts that equal or exceed the
§ 42.1010 Suspending official. 43.620 Cooperative agreement. $25,000 award threshold under FEMA
43.625 Criminal drug statute. nonprocurement transactions. This
* * * * * 43.630 Debarment. election maintains FEMA’s present
(b) The suspending official for the 43.635 Drug-free workplace.
practice under the common rule.
Department of the Interior is the 43.640 Employee.
43.645 Federal agency or agency. In addition, § 17.440 proposes to use
Director, Office of Acquisition and terms or conditions to award
43.650 Grant.
Property Management. 43.655 Individual. transactions as the ordinary means of
10. Part 43 is added to read as set 43.660 Recipient. enforcing exclusions under FEMA
forth in instruction 2 at the end of the 43.665 State. transactions rather than obtaining
common preamble. 43.670 Suspension. written certifications. This alternative
Authority: 5 U.S.C. 301; 31 U.S.C. 6101 available under the common rule is
PART 43—GOVERNMENTWIDE note, 7501; 41 U.S.C. Sections 252a and 701 more efficient than FEMA’s current
REQUIREMENTS FOR DRUG-FREE et seq. certification process for prospective
WORKPLACE (FINANCIAL 11. Part 43 is further amended as set recipients and participants.
ASSISTANCE) forth below. This proposed rule relocates the
Subpart A—Purpose and Coverage a. ‘‘[Agency noun]’’ is removed and requirements for maintaining a drug-free
‘‘Department of the Interior’’ is added in workplace from 44 CFR part 17 to 44
Sec.
43.100 What does this part do? its place where it occurs. CFR part 21.
43.105 Does this part apply to me? b. ‘‘[Agency adjective]’’ is removed
List of Subjects
43.110 Are any of my Federal assistance and ‘‘Department of the Interior’’ is
awards exempt from this part? added in its place wherever it occurs. 44 CFR Part 17
43.115 Does this part affect the Federal c. ‘‘[Agency head or designee]’’ is
Administrative practice and
contracts that I receive? removed and ‘‘Director, Office of
procedure, Grant programs.
Acquisition and Property Management’’
Subpart B—Requirements for Recipients
Other Than Individuals is added in its place wherever it occurs. 44 CFR Part 21
d. ‘‘[Agency head]’’ is removed and
43.200 What must I do to comply with this Administrative practice and
‘‘Secretary of the Interior’’ is added in
part? procedure, Grant programs, Drug abuse,
its place wherever it occurs.
43.205 What must I include in my drug-free
12. Section 43.301 is added to read as Reporting and recordkeeping
workplace statement? requirements.
43.210 To whom must I distribute my drug- follows:
free workplace statement? Dated: June 22, 2001.
§ 43.301 Is there a central point to which
43.215 What must I include in my drug-free Patricia A. English,
I may report information required by
awareness program? § 43.300? Acting Chief Financial Officer, Federal
43.220 By when must I publish my drug- Emergency Management Agency.
free workplace statement and establish No. The Department of the Interior is
not designating a central location for the For the reasons stated in the common
my drug-free awareness program? preamble, the Federal Emergency
43.225 What actions must I take concerning receipt of these reports. Therefore you
shall provide this report to every grant Management Agency proposes to amend
employees who are convicted of drug
violations in the workplace? officer, or other designee within a 44 CFR chapter I, as follows:
43.230 How and when must I identify Bureau/Office of the Department on 1. Part 17 is revised to read as set
workplaces? whose grant activity the convicted forth in instruction 1 at the end of the
employee was working. common preamble.
Subpart C—Requirements for Recipients
Who Are Individuals 13. Section 43.510(c) is further
PART 17—GOVERNMENTWIDE
43.300 What must I do to comply with this
amended by removing ‘‘[CFR citation for
DEBARMENT AND SUSPENSION
part if I am an individual recipient? the Federal Agency’s regulations
(NONPROCUREMENT)
43.301 Is there a central point to which I implementing Executive Order 12549
may report information required by and Executive Order 12689]’’ and Sec.
§ 43.300? adding ‘‘43 CFR part 42’’ in its place. 17.25 How is this part organized?

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3350 Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules

17.50 How is this part written? 17.335 If I disclose unfavorable information Subpart F—General Principles Relating to
17.75 Do terms in this part have special required under § 17.330 will I be Suspension and Debarment Actions
meanings? prevented from entering into the 17.600 How do suspension and debarment
Subpart A—General transaction? actions start?
17.340 What happens if I fail to disclose the 17.605 How does suspension differ from
17.100 What does this part do? information required under § 17.330? debarment?
17.105 Does this part apply to me? 17.345 What must I do if I learn of the 17.610 What procedures does FEMA use in
17.110 What is the purpose of the information required under § 17.330 after suspension and debarment actions?
nonprocurement debarment and 17.615 How does FEMA notify a person of
entering into a covered transaction with
suspension system? suspension and debarment actions?
FEMA?
17.115 How does an exclusion restrict a 17.620 Do Federal agencies coordinate
person’s involvement in covered Disclosing Information—Lower Tier suspension and debarment actions?
transactions? Participants 17.625 What is the scope of a suspension or
17.120 May we grant an exception to let an debarment action?
17.350 What information must I provide to
excluded person participate in a covered 17.630 May FEMA impute the conduct of
a higher tier participant before entering
transaction? one person to another?
17.125 Does an exclusion under the into a covered transaction with that 17.635 May FEMA settle a debarment or
nonprocurement system affect a person’s participant? suspension action?
eligibility to participate in Federal 17.355 What happens if I fail to disclose the 17.640 May a settlement include a
procurement contracts? information required under § 17.350? voluntary exclusion?
17.130 Does an exclusion under the Federal 17.360 What must I do if I learn of 17.645 Do other Federal agencies know if
procurement system affect a person’s information required under § 17.350 after FEMA agrees to a voluntary exclusion?
eligibility to participate in entering into a covered transaction with
Subpart G—Suspension
nonprocurement transactions? a higher tier participant?
17.135 May FEMA exclude a person who is 17.700 When may the suspending official
Subpart D—Responsibilities of FEMA issue a suspension?
not currently participating in a
Officials Regarding Transactions 17.705 What does the suspending official
nonprocurement transaction?
17.140 How do I know if a person is 17.400 May I enter into a transaction with consider in issuing a suspension?
an excluded or disqualified person? 17.710 When does a suspension take effect?
excluded?
17.715 What notice does the suspending
17.145 Does this part cover persons who are 17.405 May I enter into a covered
official give me if I am suspended?
disqualified as well as those who are transaction with a participant if a 17.720 How may I contest a suspension?
excluded from nonprocurement principal of the transaction is excluded? 17.725 How much time do I have to contest
transactions? 17.410 May I approve a participant’s use of a suspension?
Subpart B—Covered Transactions the services of an excluded person? 17.730 What information must I provide to
17.415 What must I do if a Federal agency the suspending official if I contest a
17.200 What is a covered transaction? excludes the participant or a principal suspension?
17.205 Why is it important if a particular after I enter into a covered transaction? 17.735 Under what conditions do I get an
transaction is a covered transaction? additional opportunity to challenge the
17.420 May I approve a transaction with an
17.210 Which nonprocurement transactions facts on which the suspension is based?
excluded or disqualified person at a
are covered transactions? 17.740 Are suspension proceedings formal?
lower tier?
17.215 Which nonprocurement transactions 17.745 Is a record made of fact-finding
are not covered transactions? 17.425 When do I check to see if a person
is excluded or disqualified? proceedings?
17.220 Are any procurement contracts 17.750 What does the suspending official
included as covered transactions? 17.430 How do I check to see if a person is
excluded or disqualified? consider in deciding whether to continue
17.225 How do I know if a transaction in or terminate my suspension?
which I may participate is a covered 17.435 What must I require of a primary tier
17.755 When will I know whether the
transaction? participant? suspension is continued or terminated?
17.440 What method do I use to 17.760 How long may my suspension last?
Subpart C—Responsibilities of Participants communicate those requirements to
Regarding Transactions Doing Business participants? Subpart H—Debarment
With Other Persons 17.445 What action may I take if a primary 17.800 What are the causes for debarment?
17.300 May I enter into a covered tier participant knowingly does business 17.805 What notice does the debarring
transaction with an excluded or with an excluded or disqualified person? official give me if I am proposed for
disqualified person? 17.450 What action may I take if a primary debarment?
17.305 What must I do if a Federal agency tier participant fails to disclose the 17.810 When does a debarment take effect?
excludes a person with whom I am information required under § 17.330? 17.815 How may I contest a proposed
already doing business in a covered 17.455 What may I do if a lower tier debarment?
transaction? participant fails to disclose the 17.820 How much time do I have to contest
17.310 May I use the services of an a proposed debarment?
information required under § 17.350 to
excluded person under a covered 17.825 What information must I provide to
the next higher tier?
transaction? the debarring official if I contest a
17.315 Must I verify that principals of my Subpart E—Governmentwide List of Parties proposed debarment?
covered transactions are eligible to Excluded or Disqualified From Federal 17.830 Under what conditions do I get an
participate? Procurement and Nonprocurement additional opportunity to challenge the
17.320 What happens if I do business with Programs facts on which a proposed debarment is
an excluded person in a covered based?
17.500 What is the purpose of the List?
transaction? 17.835 Are debarment proceedings formal?
17.505 Who uses the List?
17.325 What requirements must I pass 17.840 Is a record made of fact-finding
down to persons at lower tiers with 17.510 Who maintains the List? proceedings?
whom I intend to do business? 17.515 What specific information is on the 17.845 What does the debarring official
List? consider in deciding whether to debar
Disclosing Information—Primary Tier 17.520 Who gives the GSA the information me?
Participants that it puts on the List? 17.850 What is the standard of proof in a
17.330 What information must I provide 17.525 Whom do I ask if I have questions debarment action?
before entering into a covered about a person on the List? 17.855 Who has the burden of proof in a
transaction with FEMA? 17.530 Where can I get the List? debarment action?

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Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules 3351

17.860 What factors may influence the be funded or provided by FEMA under 21.505 How are violations of this part
debarring official’s decision? a nonprocurement transaction that is determined for recipients who are
17.865 How long may my debarment last? expected to equal or exceed $25,000. individuals?
17.870 When do I know if the debarring 21.510 What actions will the Federal
(See optional lower tier coverage shown
official debars me? Government take against a recipient
17.875 May I ask the debarring official to in the diagram in the appendix to this determined to have violated this part?
reconsider a decision to debar me? part.) 21.515 Are there any exceptions to those
17.880 What factors may influence the 4. Section 17.440 is added to read as actions?
debarring official during follows:
reconsideration? Subpart F—Definitions
17.885 May the debarring official extend a § 17.440 What method do I use to 21.605 Award.
debarment? communicate those requirements to 21.610 Controlled substance.
participants? 21.615 Conviction.
Subpart I—Definitions
21.620 Cooperative agreement.
17.900 Adequate evidence. To communicate the requirements to 21.625 Criminal drug statute.
17.905 Affiliate. participants, you must include a term or 21.630 Debarment.
17.910 Agency. condition in the transaction requiring 21.635 Drug-free workplace.
17.915 Agent or representative. the participant’s compliance with 21.640 Employee.
17.920 Civil judgment. Subpart C of this part, and requiring 21.645 Federal agency or agency.
17.925 Conviction. them to include a similar term or 21.650 Grant.
17.930 Debarment. condition in lower tier covered 21.655 Individual.
17.935 Debarring official. 21.660 Recipient.
transactions.
17.940 Disqualified. 21.665 State.
17.945 Excluded or exclusion. 5. Part 21 is added to read as set forth 21.670 Suspension.
17.950 Indictment. in instruction 2 at the end of the
17.955 Ineligible or ineligibility. common preamble. Authority: 41 U.S.C. 701 et seq.
17.960 Legal proceedings. 6. Part 21 is further amended as set
17.965 List of Parties Excluded or PART 21—GOVERNMENTWIDE forth below.
Disqualified From Federal Procurement REQUIREMENTS FOR DRUG-FREE a. ‘‘[Agency noun]’’ is removed and
and Nonprocurement Programs. WORKPLACE (FINANCIAL ‘‘FEMA’’ is added in its place wherever
17.970 Nonprocurement transaction. ASSISTANCE) it occurs.
17.975 Notice. b. ‘‘[Agency adjective]’’ is removed
17.980 Participant. Subpart A—Purpose and Coverage
17.985 Person.
and ‘‘FEMA’’ is added in its place
Sec. wherever it occurs.
17.990 Preponderance of the evidence.
21.100 What does this part do? c. ‘‘[Agency head or designee]’’ is
17.995 Principal.
21.105 Does this part apply to me? removed and ‘‘FEMA Director or
17.1000 Respondent.
21.110 Are any of my Federal assistance designee’’ is added in its place wherever
17.1005 State.
awards exempt from this part?
17.1010 Suspending official.
21.115 Does this part affect the Federal
it occurs.
17.1015 Suspension.
contracts that I receive?
d. ‘‘[Agency head]’’ is removed and
17.1020 Voluntary exclusion or voluntarily ‘‘FEMA Director’’ is added in its place
excluded. Subpart B—Requirements for Recipients wherever it occurs.
Other Than Individuals 7. Section 21.1510(c) is further
Subpart J [Reserved]
21.200 What must I do to comply with this amended by removing ‘‘[CFR citation for
Appendix to Part 17—Covered Transactions part? the Federal Agency’s regulations
21.205 What must I include in my drug-free implementing Executive Order 12549
Authority: 41 U.S.C. 701 et seq.; Sec. 2455,
workplace statement? and Executive Order 12689]’’ and
Pub. L. 103–355, 108 Stat. 3327 (31 U.S.C.
21.210 To whom must I distribute my drug-
6101 note); E.O. 12549 (3 CFR, 1986 Comp., adding ‘‘44 CFR part 17’’ in its place.
free workplace statement?
p. 189); E.O. 12689 (3 CFR, 1989 Comp., p. 8. Section 21.1605(a)(2) is further
21.215 What must I include in my drug-free
235).
awareness program? amended by removing ‘‘[Agency-
2. Part 17 is further amended as set 21.220 By when must I publish my drug- specific CFR citation]’’and adding ‘‘44
forth below. free workplace statement and establish CFR part 13’’ in its place.
a. ‘‘[Agency noun]’’ is removed and my drug-free awareness program?
DEPARTMENT OF HEALTH AND
‘‘FEMA’’ is added in its place wherever 21.125 What actions must I take concerning
employees who are convicted of drug HUMAN SERVICES
it occurs.
b. ‘‘[Agency adjective]’’ is removed violations in the workplace? 45 CFR Parts 76 and 82
21.230 How and when must I identify
and ‘‘FEMA’’ is added in its place RIN 0991–AB12
workplaces?
wherever it occurs.
FOR FURTHER INFORMATION CONTACT:
c. ‘‘[Agency head or designee]’’ is Subpart C—Requirements for Recipients
removed and ‘‘FEMA Debarring Who Are Individuals Terrence J. Tychan, Deputy Assistant
Official’’ is added in its place wherever 21.300 What must I do to comply with this
Secretary, Office of Grants and
it occurs. part if I am an individual recipient? Acquisition Management, 202–690–
3. Section 17.220 is further amended 21.301 [Reserved] 6901; for the hearing impaired only:
by adding a paragraph (d) to read as TDD 202–690–6415.
Subpart D—Responsibilities of FEMA ADDITIONAL SUPPLEMENTARY INFORMATION:
follows: Awarding Officials The Department of Health and Human
§ 17.220 Are any procurement contracts 21.400 What are my responsibilities as a Services (HHS) proposes to adopt the
included as covered transactions? FEMA awarding official? common rule on nonprocurement
* * * * * Subpart E—Violations of This Part and debarment and suspension with a few
(d) The contract is awarded by any Consequences amendments. The first proposed
contractor, subcontractor, supplier, 21.500 How are violations of this part amendment would cover additional
consultant or its agent or representative determined for recipients other than tiers of contracts below covered
in any transaction, regardless of tier, to individuals? nonprocurement transactions. The

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3352 Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules

common rule as drafted includes care program exclusions under Title XI PART 76—GOVERNMENTWIDE
automatic coverage for any contract at of the Social Security Act. Specifically, DEBARMENT AND SUSPENSION
the first tier below a covered an individual or entity excluded by the (NONPROCUREMENT)
nonprocurement transaction, if the OIG from Medicare, Medicaid and other
amount of the contract is expected to Sec.
Federal health care program
equal or exceed a threshold value of 76.25 How is this part organized?
participation would also be prohibited 76.50 How is this part written?
$25,000. It also includes an option for from participating in all other Federal 76.75 Do terms in this part have special
agencies to extend that coverage to Government procurement and meanings?
lower tiers of contracts expected to nonprocurement programs.
equal or exceed the threshold value of Subpart A—General
$25,000. HHS proposes to extend 2. Adding a new section in Subpart D, 76.100 What does this part do?
coverage to lower tiers of contracts, but Responsibilities of Agency (HHS) 76.105 Does this part apply to me?
at a higher threshold value equal to the Officials Regarding Transactions, that 76.110 What is the purpose of the
‘‘simplified acquisition threshold’’ would address the obligations of nonprocurement debarment and
Medicare carriers, intermediaries and suspension system?
defined at 41 U.S.C. 403(11), which is 76.115 How does an exclusion restrict a
currently set at $100,000. At final other Medicare contractors. Specifically,
person’s involvement in covered
rulemaking, this proposed amendment proposed § 76.460 would state that these transactions?
would require a conforming change in entities assume the same 76.120 May we grant an exception to let an
the illustration at appendix A to the responsibilities and obligations for excluded person participate in a covered
common rule, which shows the $25,000 checking the GSA List as Medicare transaction?
threshold amount for optional coverage agency officials under this part. 76.125 Does an exclusion under the
of lower tier contracts. nonprocurement system affect a person’s
3. Amending the proposed definition eligibility to participate in Federal
In addition, § 76.440 proposes to use
of the term ‘‘disqualified’’ in § 76.940 in procurement contracts?
terms or conditions to the award
Subpart I to include direct reference to 76.130 Does an exclusion under the Federal
transaction as a means to enforce
exclusions under HHS transactions the OIG exclusion authorities. The procurement system affect a person’s
amended definition would indicate that eligibility to participate in
rather than written certifications. This nonprocurement transactions?
alternative available under the common an example of disqualifications include
76.135 May HHS exclude a person who is
rule is more efficient than HHS’s current persons prohibited under the ‘‘* * * not currently participating in a
certification process for prospective program exclusion authorities under nonprocurement transaction?
recipients and participants. Title XI of the Social Security Act (42 76.140 How do I know if a person is
Section 76.995 of the debarment and U.S.C. 1320a-7) * * * ’’ For purposes of excluded?
suspension common rule defines the exclusions from participation in Federal 76.145 Does this part cover persons who are
term ‘‘principal.’’ Agencies health care programs by the HHS OIG, disqualified as well as those who are
implementing the common rule are the governing regulations are set forth in excluded from nonprocurement
transactions?
permitted to provide additional 42 CFR part 1001.
examples of principals that are In addition, the requirements for Subpart B—Covered Transactions
commonly involved in their covered maintaining a drug-free workplace are 76.200 What is a covered transaction?
transactions. HHS is proposing to 76.205 Why is it important to know if a
being removed as a subpart in the
include several examples by adding a particular transaction is a covered
current debarment and suspension
paragraph (c) to this section for the transaction?
benefit of individuals who may be common rule, and re-codified as a new 76.210 Which nonprocurement transactions
excluded, or employers who may have separate part 82. are covered transactions?
an individual employee who is 76.215 Which nonprocurement transactions
List of Subjects are not covered transactions?
excluded.
45 CFR Part 76 76.220 Are any procurement contracts
In addition to the general regulatory
included as covered transactions?
language developed by the Interagency 76.225 How do I know if a transaction that
Committee on Debarment and Administrative practice and
procedure, Grant programs, Reporting I may participate in is a covered
Suspension to be used governmentwide, transaction?
we are proposing to add clarifying and recordkeeping requirements. 76.230 What is the relationship between
language to the HHS nonprocurement 45 CFR Part 82 covered transactions and exclusions
common rule at 45 CFR part 76. This from participation in Federal health care
additional language reflects minor Administrative practice and programs under Title XI of the Social
changes to address adequately the procedure, Drug abuse, Grant programs, Security Act?
relationship of the HHS Office of Reporting and recordkeeping Subpart C—Responsibilities of Participants
Inspector General’s (OIG) program requirements. Regarding Transactions Doing Business
exclusion authorities (42 U.S.C. 1320a– With Other Persons
Approved: June 5, 2001.
7) to the common rule, and the 76.300 May I enter into a covered
applicability of these exclusion Tommy G. Thompson, transaction with an excluded or
authorities to participation in Executive Secretary, Department of Health and Human disqualified person?
branch procurement and Services. 76.305 What must I do if a Federal agency
nonprocurement programs. excludes a person with whom I am
For the reasons stated in the common already doing business in a covered
Accordingly, we are proposing the
preamble, the Department of Health and transaction?
inclusion of the following additional 76.310 May I use the services of an
Human Services proposes to amend 45
language in 45 CFR part 76: excluded person under a covered
1. Adding a new § 76.230 in subpart CFR subtitle A as follows:
transaction?
B, Covered Transactions, that would 1. Part 76 is revised to read as set 76.315 Must I verify that principals of my
address the relationship between forth in instruction 1 at the end of the covered transactions are eligible to
covered transactions and Federal health common preamble. participate?

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Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules 3353

76.320 What happens if I do business with Subpart E—Governmentwide List of Parties 76.825 What information must I provide to
an excluded person in a covered Excluded or Disqualified From Federal the debarring official if I contest a
transaction? Procurement and Nonprocurement proposed debarment?
76.325 What requirements must I pass Programs 76.830 Under what conditions do I get an
down to persons at lower tiers with 76.500 What is the purpose of the List? additional opportunity to challenge the
whom I intend to do business? facts on which the proposed debarment
76.505 Who uses the List?
is based?
76.510 Who maintains the List?
Disclosing Information—Primary Tier 76.835 Are debarment proceedings formal?
76.515 What specific information is on the 76.840 Is a record made of fact-finding
Participants
List? proceedings?
76.330 What information must I provide 76.520 Who gives the GSA the information 76.845 What does the debarring official
before entering into a covered that it puts on the List? consider in deciding whether to debar
transaction with HHS? 76.525 Whom do I ask if I have questions me?
76.335 If I disclose unfavorable information about a person on the List? 76.850 What is the standard of proof in a
required under § 76.330 will I be 76.530 Where can I get the List? debarment action?
prevented from entering into the Subpart F—General Principles Relating to 76.855 Who has the burden of proof in a
transaction? Suspension and Debarment Actions debarment action?
76.340 What happens if I fail to disclose the 76.860 What factors may influence the
76.600 How do suspension and debarment debarring official’s decision?
information required under § 76.330?
actions start? 76.865 How long may my debarment last?
76.345 What must I do if I learn of the
76.605 How does suspension differ from 76.870 When do I know if the debarring
information required under § 76.330 after debarment? official debars me?
entering into a covered transaction with 76.610 What procedures does HHS use in 76.875 May I ask the debarring official to
HHS? suspension and debarment actions? reconsider a decision to debar me?
Disclosing Information—Lower Tier 76.615 How does HHS notify a person of 76.880 What factors may influence the
Participants suspension and debarment actions? debarring official during
76.620 Do Federal agencies coordinate reconsideration?
76.350 What information must I provide to suspension and debarment actions? 76.885 May the debarring official extend a
a higher tier participant before entering 76.625 What is the scope of a suspension or debarment?
into a covered transaction with that debarment action? Subpart I—Definitions
participant? 76.630 May HHS impute the conduct of one
76.355 What happens if I fail to disclose the person to another? 76.900 Adequate evidence.
information required under § 76.350? 76.635 May HHS settle a debarment or 76.905 Affiliate.
76.360 What must I do if I learn of suspension action? 76.910 Agency.
76.640 May a settlement include a 76.915 Agent or representative.
information required under § 76.350 after
voluntary exclusion? 76.920 Civil judgment.
entering into a covered transaction with 76.925 Conviction.
a higher tier participant? 76.645 Do other Federal agencies know if
76.930 Debarment.
HHS agrees to a voluntary exclusion?
Subpart D—Responsibilities of HHS 76.935 Debarring official.
Officials Regarding Transactions Subpart G—Suspension 76.940 Disqualified.
76.700 When may the suspending official 76.945 Excluded or exclusion.
76.400 May I enter into a transaction with 76.950 Indictment.
an excluded or disqualified person? issue a suspension?
76.955 Ineligible or ineligibility.
76.405 May I enter into a covered 76.705 What does the suspending official
76.960 Legal proceedings.
consider in issuing a suspension?
transaction with a participant if a 76.965 List of Parties Excluded or
76.710 When does a suspension take effect?
principal of the transaction is excluded? Disqualified From Federal Procurement
76.715 What notice does the suspending
76.410 May I approve a participant’s use of and Nonprocurement Programs.
official give me if I am suspended?
the services of an excluded person? 76.970 Nonprocurement transaction.
76.720 How may I contest a suspension? 76.975 Notice.
76.415 What must I do if a Federal agency 76.725 How much time do I have to contest
excludes the participant or a principal 76.980 Participant.
a suspension? 76.985 Person.
after I enter into a covered transaction? 76.730 What information must I provide to 76.990 Preponderance of the evidence.
76.420 May I approve a transaction with an the suspending official if I contest a 76.995 Principal.
excluded or disqualified person at a suspension? 76.1000 Respondent.
lower tier? 76.735 Under what conditions do I get an 76.1005 State.
76.425 When do I check to see if a person additional opportunity to challenge the 76.1010 Suspending official.
is excluded or disqualified? facts on which the suspension is based? 76.1015 Suspension.
76.430 How do I check to see if a person is 76.740 Are suspension proceedings formal? 76.1020 Voluntary exclusion or voluntarily
excluded or disqualified? 76.745 Is a record made of fact-finding excluded.
76.435 What must I require of a primary tier proceedings?
76.750 What does the suspending official Subpart J [Reserved]
participant?
76.440 What method do I use to consider in deciding whether to continue Appendix to Part 76—Covered Transactions
communicate those requirements to or terminate my suspension?
participants? 76.755 When will I know whether the Authority: 5 U.S.C. 301; Sec. 2455, Pub. L.
76.445 What action may I take if a primary suspension is continued or terminated? 103–355, 108 Stat. 3327 (31 U.S.C. 6101
76.760 How long may my suspension last? note); E.O. 11738 (3 CFR, 1973 Comp., p.
tier participant knowingly does business
799); E.O. 12549 (3 CFR, 1986 Comp., p. 189);
with an excluded or disqualified person? Subpart H—Debarment E.O. 12689 (3 CFR, 1989 Comp., p. 235).
76.450 What action may I take if a primary 76.800 What are the causes for debarment?
tier participant fails to disclose the 2. Part 76 is further amended as set
76.805 What notice does the debarring
information required under § 76.330? official give me if I am proposed for forth below.
76.455 What may I do if a lower tier debarment? a. ‘‘[Agency noun]’’ is removed and
participant fails to disclose the 76.810 When does a debarment take effect? ‘‘HHS’’ is added in its place wherever it
information required under § 76.350 to 76.815 How may I contest a proposed occurs.
the next higher tier? debarment? b. ‘‘[Agency adjective]’’ is removed
76.460 What are the obligations of Medicare 76.820 How much time do I have to contest and ‘‘HHS’’ is added in its place
carriers and intermediaries? a proposed debarment? wherever it occurs.

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3354 Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules

c. ‘‘[Agency head or designee]’’ is 6. Section 76.460 is added to read as 82.225 What actions must I take concerning
removed and ‘‘HHS Debarring/ follows: employees who are convicted of drug
Suspension Official’’ is added in its violations in the workplace?
place wherever it occurs. § 76.460 What are the obligations of 82.230 How and when must I identify
Medicare carriers and intermediaries? workplaces?
3. Section 76.220 is further amended
by adding a paragraph (d) to read as Because Medicare carriers, Subpart C—Requirements for Recipients
follows: intermediaries and other Medicare Who Are Individuals
contractors undertake responsibilities 82.300 What must I do to comply with this
§ 76.220 Are any procurement contracts on behalf of the Medicare program (Title part if I am an individual recipient?
included as covered transactions? XVIII of the Social Security Act), these 82.301 [Reserved]
* * * * * entities assume the same obligations
(d) The contract is a subcontract at Subpart D—Responsibilities of HHS
and responsibilities as Medicare agency Awarding Officials
any tier below a procurement officials with respect to actions under
transaction that is covered under 82.400 What are my responsibilities as an
45 CFR part 76. This would include
paragraph (a) of this section, and the HHS awarding official?
these entities checking the GSA List and
value of the contract exceeds or is taking necessary steps to effectuate this Subpart E—Violations of This Part and
expected to exceed the ‘‘simplified part. Consequences
acquisition threshold’’ defined at 42 7. Section 76.940 is further amended 82.500 How are violations of this part
U.S.C. 403(11). This extends the by adding a paragraph (d) to read as determined for recipients other than
coverage of paragraph (a) of this section follows: individuals?
to all lower tiers of contracts that exceed 82.505 How are violations of this part
the simplified acquisition threshold (see § 76.940 Disqualified. determined for recipients who are
optional lower tier coverage shown in * * * * * individuals?
82.510 What actions will the Federal
the diagram in the appendix to this (d) The program exclusion authorities Government take against a recipient
part). under Title XI of the Social Security Act determined to have violated this part?
4. Section 76.230 is added to read as (42 U.S.C. 1320a–7) and enforced by the 82.515 Are there any exceptions to those
follows: HHS Office of Inspector General. actions?
§ 76.230 What is the relationship between 8. Section 76.995 is further amended Subpart F—Definitions
covered transactions and exclusions from by adding a paragraph (c) to read as
82.605 Award.
participation in Federal health care follows:
82.610 Controlled substance.
programs under Title XI of the Social 82.615 Conviction.
Security Act? § 76.995 Principal.
82.620 Cooperative agreement.
Any individual or entity excluded * * * * * 82.625 Criminal drug statute.
from participation in Medicare, (c) Other examples of individuals who 82.630 Debarment.
Medicaid and other Federal health care are principals in HHS covered 82.635 Drug-free workplace.
programs under Title XI of the Social transactions include: 82.640 Employee.
Security Act, 42 U.S.C. 1320a–7, will be (1) Principal investigators; 82.645 Federal agency or agency.
subject to the prohibitions against (2) Providers of Federally-required 82.650 Grant.
audit services; and 82.655 Individual.
participating in covered transactions, as 82.660 Recipient.
set forth in this part. In addition, these (3) Researchers. 82.665 State.
excluded parties are also prohibited 9. Part 82 is added to read as set forth 82.670 Suspension.
from participating in all Executive in instruction 2 at the end of the
Authority: 41 U.S.C. 701 et seq.
Branch procurement programs and common preamble.
activities. (Public Law 103–355, section 10. Part 82 is further amended as set
2455) For example, if an individual or PART 82—GOVERNMENTWIDE forth below.
entity is excluded by the HHS Office of REQUIREMENTS FOR DRUG-FREE a. ‘‘[Agency noun]’’ is removed and
Inspector General from participation in WORKPLACE (FINANCIAL ‘‘HHS’’ is added in its place wherever it
Medicare, Medicaid and all other ASSISTANCE) occurs.
Federal health care programs, in Subpart A—Purpose and Coverage b. ‘‘[Agency adjective]’’ is removed
accordance with 42 U.S.C. 1320a–7, and ‘‘HHS’’ is added in its place
Sec.
then that individual or entity is 82.100 What does this part do? wherever it occurs.
prohibited from participating in all 82.105 Does this part apply to me? c. ‘‘[Agency head or designee]’’ is
Federal Government procurement and 82.110 Are any of my Federal assistance removed and ‘‘HHS Official or
nonprocurement programs (42 CFR part awards exempt from this part? designee’’ is added in its place wherever
1001). 82.115 Does this part affect the Federal it occurs.
5. Section 76.440 is added to read as contracts that I receive? d. ‘‘[Agency head]’’ is removed and
follows: Subpart B—Requirements for Recipients ‘‘the Secretary of HHS’’ is added in its
§ 76.440 What method do I use to Other Than Individuals place wherever it occurs.
communicate those requirements to 82.200 What must I do to comply with this 11. Section 82.510(c) is further
participants? part? amended by removing ‘‘[CFR citation for
To communicate the requirements to 82.205 What must I include in my drug-free the Federal Agency’s regulations
participants, you must include a term or workplace statement? implementing Executive Order 12549
condition in the transaction requiring 82.210 To whom must I distribute my drug- and Executive Order 12689]’’ and
free workplace statement?
the participant’s compliance with adding ‘‘45 CFR part 76’’ in its place.
82.215 What must I include in my drug-free
Subpart C of this part and requiring awareness program? 12. Section 82.605(a)(2) is further
them to include a similar term or 82.220 By when must I publish my drug- amended by removing ‘‘[Agency-
condition in lower tier covered free workplace statement and establish specific CFR citation]’’and adding ‘‘45
transactions. my drug-free awareness program? CFR part 92’’ in its place.

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Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules 3355

NATIONAL SCIENCE FOUNDATION Subpart B—Covered Transactions 620.405 May I enter into a covered
620.200 What is a covered transaction? transaction with a participant if a
45 CFR Parts 620 and 630 principal of the transaction is excluded?
620.205 Why is it important to know if a
FOR FURTHER INFORMATION CONTACT: particular transaction is a covered 620.410 May I approve a participant’s use
Anita Eisenstadt, Assistant General transaction? of the services of an excluded person?
Counsel, National Science Foundation, 620.210 Which nonprocurement 620.415 What must I do if a Federal agency
transactions are covered transactions? excludes the participant or a principal
4201 Wilson Boulevard, Room 1265, after I enter into a covered transaction?
Arlington, Virginia, 22230, (703) 292– 620.215 Which nonprocurement
transactions are not covered 620.420 May I approve a transaction with
8060; e:mail: aeisenst@nsf.gov. an excluded or disqualified person at a
transactions?
lower tier?
List of Subjects 620.215 Are any procurement contracts
620.425 When do I check to see if a person
included as covered transactions?
45 CFR Part 620 is excluded or disqualified?
620.225 How do I know if a transaction that
620.430 How do I check to see if a person
Administrative practice and I may participate in is a covered
is excluded or disqualified?
procedure, Debarment and suspension, transaction?
620.435 What must I require of a primary
Grant programs, Reporting and Subpart C—Responsibilities of Participants tier participant?
recordkeeping requirements. Regarding Transactions Doing Business 620.440 What method do I use to
With Other Persons communicate those requirements to
45 CFR Part 630 participants?
620.300 May I enter into a covered
Administrative practice and 620.445 What action may I take if a primary
transaction with an excluded or
procedure, Drug abuse, Grant programs, tier participant knowingly does business
disqualified person?
Reporting and recordkeeping with an excluded or disqualified person?
620.305 What must I do if a Federal agency
620.450 What action may I take if a primary
requirements. excludes a person with whom I am
tier participant fails to disclose the
already doing business in a covered
Lawrence Rudolph, information required under § 620.330?
transaction?
General Counsel, National Science 620.455 What may I do if a lower tier
620.310 May I use the services of an
Foundation. participant fails to disclose the
excluded person under a covered
information required under § 620.350 to
Accordingly, as set forth in the transaction?
the next higher tier?
common preamble, the National Science 620.315 Must I verify that principals of my
Foundation proposes to amend 45 CFR covered transactions are eligible to Subpart E—Governmentwide List of Parties
chapter VI as follows: participate? Excluded or Disqualified From Federal
1. Part 620 is revised to read as set 620.320 What happens if I do business with Procurement and Nonprocurement
an excluded person in a covered Programs
forth in instruction 1 at the end of the
transaction? 620.500 What is the purpose of the List?
common preamble. 620.325 What requirements must I pass 620.505 Who uses the List?
down to persons at lower tiers with 620.510 Who maintains the List?
PART 620—GOVERNMENTWIDE whom I intend to do business?
DEBARMENT AND SUSPENSION 620.515 What specific information is on the
Disclosing Information—Primary Tier List?
(NONPROCUREMENT) 620.520 Who gives the GSA the information
Participants
Sec. that it puts on the List?
620.330 What information must I provide 620.525 Whom do I ask if I have questions
620.25 How is this part organized? before entering into a covered
620.50 How is this part written? about a person on the List?
transaction with the National Science 620.530 Where can I get the List?
620.75 Do terms in this part have special Foundation?
meanings? Subpart F—General Principles Relating to
620.335 If I disclose unfavorable
Subpart A—General information required under § 620.330 Suspension and Debarment Actions
620.100 What does this part do? will I be prevented from entering into the 620.600 How do suspension and debarment
620.105 Does this part apply to me? transaction? actions start?
620.110 What is the purpose of the 620.340 What happens if I fail to disclose 620.605 How does suspension differ from
nonprocurement debarment and the information required under debarment?
suspension system? § 620.330? 620.610 What procedures does the National
620.115 How does an exclusion restrict a 620.345 What must I do if I learn of the Science Foundation use in suspension
person’s involvement in covered information required under § 620.330 and debarment actions?
transactions? after entering into a covered transaction 620.615 How does the National Science
620.120 May we grant an exception to let an with the National Science Foundation? Foundation notify a person of
excluded person participate in a covered suspension and debarment actions?
Disclosing Information—Lower Tier
transaction? 620.620 Do Federal agencies coordinate
Participants
620.125 Does an exclusion under the suspension and debarment actions?
nonprocurement system affect a person’s 620.350 What information must I provide to 620.625 What is the scope of a suspension
eligibility to participate in Federal a higher tier participant before entering or debarment action?
procurement contracts? into a covered transaction with that 620.630 May the National Science
620.130 Does an exclusion under the participant? Foundation impute the conduct of one
Federal procurement system affect a 620.355 What happens if I fail to disclose person to another?
person’s eligibility to participate in the information required under 620.635 May the National Science
nonprocurement transactions? § 620.350? Foundation settle a debarment or
620.135 May the National Science 620.360 What must I do if I learn of suspension action?
Foundation exclude a person who is not information required under § 620.350 620.640 May a settlement include a
currently participating in a after entering into a covered transaction voluntary exclusion?
nonprocurement transaction? with a higher tier participant? 620.645 Do other Federal agencies know if
620.140 How do I know if a person is the National Science Foundation agrees
excluded? Subpart D—Responsibilities of National
to a voluntary exclusion?
620.145 Does this part cover persons who Science Foundation Officials Regarding
are disqualified as well as those who are Transactions Subpart G—Suspension
excluded from nonprocurement 620.400 May I enter into a transaction with 620.700 When may the suspending official
transactions? an excluded or disqualified person? issue a suspension?

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3356 Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules

620.705 What does the suspending official 620.940 Disqualified. Subpart B—Requirements for Recipients
consider in issuing a suspension? 620.945 Excluded or exclusion. Other Than Individuals
620.710 When does a suspension take 620.950 Indictment. 630.200 What must I do to comply with this
effect? 620.955 Ineligible or ineligibility. part?
620.715 What notice does the suspending 620.960 Legal proceedings. 630.205 What must I include in my drug-
official give me if I am suspended? 620.965 List of Parties Excluded or free workplace statement?
620.720 How may I contest a suspension? Disqualified From Federal Procurement 630.210 To whom must I distribute my
620.725 How much time do I have to and Nonprocurement Programs. drug-free workplace statement?
contest a suspension? 620.970 Nonprocurement transaction. 630.215 What must I include in my drug-
620.730 What information must I provide to 620.975 Notice. free awareness program?
the suspending official if I contest a 620.980 Participant. 630.220 By when must I publish my drug-
suspension? 620.985 Person. free workplace statement and establish
620.735 Under what conditions do I get an 620.990 Preponderance of the evidence. my drug-free awareness program?
additional opportunity to challenge the 620.995 Principal. 630.225 What actions must I take
facts on which the suspension is based? 620.1000 Respondent. concerning employees who are convicted
620.740 Are suspension proceedings 620.1005 State. of drug violations in the workplace?
formal? 620.1010 Suspending official. 630.230 How and when must I identify
620.745 Is a record made of fact-finding 620.1015 Suspension. workplaces?
proceedings? 620.1020 Voluntary exclusion or
620.750 What does the suspending official voluntarily excluded. Subpart C—Requirements for Recipients
consider in deciding whether to continue Who Are Individuals
or terminate my suspension? Subpart J [Reserved]
630.300 What must I do to comply with this
620.755 When will I know whether the Appendix to Part 620—Covered part if I am an individual recipient?
suspension is continued or terminated? Transactions 630.301 [Reserved]
620.760 How long may my suspension last?
Authority: 42 U.S.C. 1870(a); Sec. 2455, Subpart D—Responsibilities of National
Subpart H—Debarment Pub. L. 103–355, 108 Stat. 3327 (31 U.S.C. Science Foundation Awarding Officials
620.800 What are the causes for debarment? 6101 note); E.O. 12549 (3 CFR, 1986 Comp., 630.400 What are my responsibilities as a
620.805 What notice does the debarring p. 189); E.O. 12689 (3 CFR, 1989 Comp., p. National Science Foundation awarding
official give me if I am proposed for 235). official?
debarment?
620.810 When does a debarment take 2. Part 620 is further amended as set Subpart E—Violations of This Part and
effect? forth below. Consequences
620.815 How may I contest a proposed a. ‘‘[Agency noun]’’ is removed and 630.500 How are violations of this part
debarment? ‘‘National Science Foundation’’ is added determined for recipients other than
620.820 How much time do I have to in its place wherever it occurs. individuals?
contest a proposed debarment? b. ‘‘[Agency adjective]’’ is removed 630.505 How are violations of this part
620.825 What information must I provide to and ‘‘National Science Foundation’’ is determined for recipients who are
the debarring official if I contest a individuals?
added in its place wherever it occurs.
proposed debarment? 630.510 What actions will the Federal
620.830 Under what conditions do I get an c. ‘‘[Agency head or designee]’’ is Government take against a recipient
additional opportunity to challenge the removed and ‘‘Director or designee’’ is determined to have violated this part?
facts on which the proposed debarment added in its place wherever it occurs. 630.515 Are there any exceptions to those
is based? 3. Section 620.440 is added to read as actions?
620.835 Are debarment proceedings formal? follows:
620.840 Is a record made of fact-finding Subpart F—Definitions
proceedings? § 620.440 What method do I use to 630.605 Award.
620.845 What does the debarring official communicate those requirements to 630.610 Controlled substance.
consider in deciding whether to debar participants? 630.615 Conviction.
me? To communicate the requirements to 630.620 Cooperative agreement.
620.850 What is the standard of proof in a participants, you must include a term or 630.625 Criminal drug statute.
debarment action? 630.630 Debarment.
620.855 Who has the burden of proof in a
condition in the transaction requiring 630.635 Drug-free workplace.
debarment action? the participant’s compliance with 630.640 Employee.
620.860 What factors may influence the Subpart C of this part and requiring 630.645 Federal agency or agency.
debarring official’s decision? them to include a similar term or 630.650 Grant.
620.865 How long may my debarment last? condition in lower tier covered 630.655 Individual.
620.870 When do I know if the debarring transactions. 630.660 Recipient.
official debars me? 4. Part 630 is added to read as set 630.665 State.
620.875 May I ask the debarring official to forth in instruction 2 at the end of the 630.670 Suspension.
reconsider a decision to debar me? common preamble. Authority: 41 U.S.C. 701 et seq.
620.880 What factors may influence the
debarring official during 5. Part 630 is further amended as set
PART 630—GOVERNMENTWIDE
reconsideration? forth below.
620.885 May the debarring official extend a
REQUIREMENTS FOR DRUG-FREE a. ‘‘[Agency noun]’’ is removed and
debarment? WORKPLACE (FINANCIAL ‘‘National Science Foundation’’ is added
ASSISTANCE) in its place wherever it occurs.
Subpart I—Definitions
Subpart A—Purpose and Coverage b. ‘‘[Agency adjective]’’ is removed
620.900 Adequate evidence.
620.905 Affiliate. Sec.
and ‘‘National Science Foundation’’ is
620.910 Agency. 630.100 What does this part do? added in its place wherever it occurs.
620.915 Agent or representative. 620.105 Does this part apply to me? c. ‘‘[Agency head or designee]’’ is
620.920 Civil judgment. 630.110 Are any of my Federal assistance removed and ‘‘Director or designee’’ is
620.925 Conviction. awards exempt from this part? added in its place wherever it occurs.
620.930 Debarment 630.115 Does this part affect the Federal d. ‘‘[Agency head]’’ is removed and
620.935 Debarring official. contracts that I receive? ‘‘Director, National Science

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Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules 3357

Foundation’’ is added in its place PART 1154—GOVERNMENTWIDE 1154.325 What requirements must I pass
wherever it occurs. DEBARMENT AND SUSPENSION down to persons at lower tiers with
6. Section 630.510(c) is further (NONPROCUREMENT) whom I intend to do business?
amended by removing ‘‘[CFR citation for Disclosing Information—Primary Tier
the Federal Agency’s regulations Sec.
Participants
1154.25 How is this part organized?
implementing Executive Order 12549 1154.330 What information must I provide
1154.50 How is this part written?
and Executive Order 12689]’’ and 1154.75 Do terms in this part have special before entering into a covered
adding ‘‘45 CFR part 620’’ in its place. meanings? transaction with the National
7. Section 630.605(a)(2) is further Endowment for the Arts?
amended by removing ‘‘[Agency- Subpart A—General
1154.335 If I disclose unfavorable
specific CFR citation]’’ and adding ‘‘45 1154.100 What does this part do? information required under § 1154.330
CFR part 602’’ in its place. 1154.105 Does this part apply to me? will I be prevented from entering into the
1154.110 What is the purpose of the transaction?
NATIONAL FOUNDATION ON THE nonprocurement debarment and 1154.340 What happens if I fail to disclose
ARTS AND HUMANITIES suspension system? the information required under
1154.115 How does an exclusion restrict a § 1154.330?
National Endowment for the Arts person’s involvement in covered 1154.345 What must I do if I learn of the
45 CFR Parts 1154 and 1155 transactions? information required under § 1154.330
1154.120 May we grant an exception to let
RIN 3135–AA18 and 3135–AA19 after entering into a covered transaction
an excluded person participate in a
with the National Endowment for the
FOR FURTHER INFORMATION CONTACT: covered transaction?
Arts?
1154.125 Does an exclusion under the
Karen Elias, Deputy General Counsel,
nonprocurement system affect a person’s Disclosing information—Lower Tier
National Endowment for the Arts, Room eligibility to participate in Federal Participants
518, 1100 Pennsylvania Avenue, NW, procurement contracts?
Washington, DC 20506, (202) 682–5418, 1154.350 What information must I provide
1154.130 Does an exclusion under the
or by e-mail: eliask@arts.gov. to a higher tier participant before
Federal procurement system affect a
entering into a covered transaction with
ADDITIONAL SUPPLEMENTARY INFORMATION: person’s eligibility to participate in
nonprocurement transactions? that participant?
Section 1154.440 of this part proposes 1154.355 What happens if I fail to disclose
1154.135 May the National Endowment for
to use terms or conditions to award the information required under
the Arts exclude a person who is not
transactions as the ordinary means of currently participating in a § 1154.350?
enforcing exclusions under NEA nonprocurement transaction? 1154.360 What must I do if I learn of
transactions rather than obtaining 1154.140 How do I know if a person is information required under § 1154.350
written certifications. This alternative excluded? after entering into a covered transaction
available under the common rule is 1154.145 Does this part cover persons who with a higher tier participant?
more efficient than the NEA’s current are disqualified as well as those who are Subpart D—Responsibilities of NEA
reliance on the certification process for excluded from nonprocurement Officials Regarding Transactions
prospective recipients and participants. transactions?
1154.400 May I enter into a transaction
This proposed rule relocates the Subpart B—Covered Transactions with an excluded or disqualified person?
requirements for maintaining a drug-free 1154.200 What is a covered transaction? 1154.405 May I enter into a covered
workplace from 45 CFR part 1154 to 45 1154.205 Why is it important to know if a transaction with a participant if a
CFR part 1155 and proposes to restate particular transaction is a covered principal of the transaction is excluded?
those requirements in plain language transaction? 1154.410 May I approve a participant’s use
format. 1154.210 Which nonprocurement of the services of an excluded person?
transactions are covered transactions? 1154.415 What must I do if a Federal
List of Subjects 1154.215 Which nonprocurement agency excludes the participant or a
transactions are not covered principal after I enter into a covered
45 CFR Part 1154 transactions? transaction?
Administrative practice and 1154.220 Are any procurement contracts 1154.420 May I approve a transaction with
procedure, Debarment and suspension, included as covered transactions? an excluded or disqualified person at a
Government contracts, Grant programs, 1154.225 How do I know if a transaction in lower tier?
Loan programs, Reporting and which I may participate is a covered 1154.425 When do I check to see if a person
transaction? is excluded or disqualified?
recordkeeping requirements.
Subpart C—Responsibilities of Participants 1154.430 How do I check to see if a person
45 CFR Part 1155 Regarding Transactions Doing Business is excluded or disqualified?
Administrative practice and With Other Persons 1154.435 What must I require of a primary
procedure, Drug abuse, Grant programs, 1154.300 May I enter into a covered tier participant?
Reporting and recordkeeping transaction with an excluded or 1154.440 What method do I use to
disqualified person? communicate those requirements to
requirements.
1154.305 What must I do if a Federal participants?
Dated: June 28, 2001. agency excludes a person with whom I 1154.445 What action may I take if a
Karen L. Elias, am already doing business in a covered primary tier participant knowingly does
Deputy General Counsel, National transaction? business with an excluded or
Endowment for the Arts. 1154.310 May I use the services of an disqualified person?
excluded person under a covered 1154.450 What action may I take if a
For the reasons stated in the
transaction? primary tier participant fails to disclose
preamble, the National Endowment for the information required under
1154.315 Must I verify that principals of my
the Arts proposes to amend 45 CFR covered transactions are eligible to § 1154.330?
chapter XI as follows: participate? 1154.455 What may I do if a lower tier
1. Part 1154 is revised to read as set 1154.320 What happens if I do business participant fails to disclose the
forth in instruction 1 at the end of the with an excluded person in a covered information required under § 1154.350 to
common preamble. transaction? the next higher tier?

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3358 Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules

Subpart E—Governmentwide List of Parties 1154.805 What notice does the debarring p. 189; E.O. 12689, 3 CFR, 1989 Comp., p.
Excluded or Disqualified From Federal official give me if I am proposed for 235.
Procurement and Nonprocurement debarment?
1154.810 When does a debarment take
2. Part 1154 is further amended as set
Programs
effect? forth below.
1154.500 What is the purpose of the List? a. ‘‘[Agency noun]’’ is removed and
1154.505 Who uses the List? 1154.815 How may I contest a proposed
debarment? ‘‘National Endowment for the Arts’’ is
1154.510 Who maintains the List?
1154.820 How much time do I have to added in its place wherever it occurs.
1154.515 What specific information is on
the List?
contest a proposed debarment? b. ‘‘[Agency adjective]’’ is removed
1154.825 What information must I provide and ‘‘NEA’’ is added in its place
1154.520 Who gives the GSA the
to the debarring official if I contest a wherever it occurs.
information that it puts on the List?
proposed debarment? c. ‘‘[Agency head or designee]’’ is
1154.525 Whom do I ask if I have questions
1154.830 Under what conditions do I get an removed and ‘‘NEA Chairman’’ is added
about a person on the List?
additional opportunity to challenge the
1154.530 Where can I get the List?
facts on which the proposed debarment
in its place wherever it occurs.
is based? 3. Section 1154.440 is added to read
Subpart F—General Principles Relating to
Suspension and Debarment Actions 1154.835 Are debarment proceedings as follows:
formal?
1154.600 How do suspension and § 1154.440 What method do I use to
1154.840 Is a record made of fact-finding
debarment actions start? communicate those requirements to
proceedings?
1154.605 How does suspension differ from participants?
1154.845 What does the debarring official
debarment? To communicate the requirements to
consider in deciding whether to debar
1154.610 What procedures does the participants, you must include a term or
me?
National Endowment for the Arts use in
suspension and debarment actions?
1154.850 What is the standard of proof in condition in the transaction requiring
a debarment action? the participant’s compliance with
1154.615 How does the National
1154.855 Who has the burden of proof in a subpart C of this part, and requiring
Endowment for the Arts notify a person
debarment action? them to include a similar term or
of suspension and debarment actions?
1154.860 What factors may influence the
1154.620 Do Federal agencies coordinate
debarring official’s decision?
condition in lower tier covered
suspension and debarment actions? transactions.
1154.865 How long may my debarment
1154.625 What is the scope of a suspension 4. Part 1155 is added to read as set
last?
or debarment action? forth in instruction 2 at the end of the
1154.870 When do I know if the debarring
1154.630 May the National Endowment for common preamble.
official debars me?
the Arts impute the conduct of one 1154.875 May I ask the debarring official to
person to another? reconsider a decision to debar me? PART 1155—GOVERNMENTWIDE
1154.635 May the National Endowment for 1154.880 What factors may influence the REQUIREMENTS FOR DRUG-FREE
the Arts settle a debarment or suspension debarring official during
action? WORKPLACE (FINANCIAL
reconsideration? ASSISTANCE)
1154.640 May a settlement include a 1154.885 May the debarring official extend
voluntary exclusion? a debarment? Subpart A—Purpose and Coverage
1154.645 Do other Federal agencies know if
the National Endowment for the Arts Subpart I—Definitions Sec.
agrees to a voluntary exclusion? 1155.100 What does this part do?
1154.900 Adequate evidence.
1155.105 Does this part apply to me?
Subpart G—Suspension 1154.905 Affiliate.
1155.110 Are any of my Federal assistance
1154.910 Agency.
1154.700 When may the suspending official awards exempt from this part?
1154.915 Agent or representative.
issue a suspension? 1155.115 Does this part affect the Federal
1154.920 Civil judgment.
1154.705 What does the suspending official contracts that I receive?
1154.925 Conviction.
consider in issuing a suspension? 1154.930 Debarment Subpart B—Requirements for Recipients
1154.710 When does a suspension take 1154.935 Debarring official. Other Than Individuals
effect? 1154.940 Disqualified.
1154.715 What notice does the suspending 1155.200 What must I do to comply with
1154.945 Excluded or exclusion. this part?
official give me if I am suspended? 1154.950 Indictment. 1155.205 What must I include in my drug-
1154.720 How may I contest a suspension? 1154.955 Ineligible or ineligibility. free workplace statement?
1154.725 How much time do I have to 1154.960 Legal proceedings. 1155.210 To whom must I distribute my
contest a suspension? 1154.965 List of Parties Excluded or drug-free workplace statement?
1154.730 What information must I provide Disqualified From Federal Procurement 1155.215 What must I include in my drug-
to the suspending official if I contest a and Nonprocurement Programs. free awareness program?
suspension? 1154.970 Nonprocurement transaction. 1155.220 By when must I publish my drug-
1154.735 Under what conditions do I get an 1154.975 Notice. free workplace statement and establish
additional opportunity to challenge the 1154.980 Participant. my drug-free awareness program?
facts on which the suspension is based? 1154.985 Person. 1155.225 What actions must I take
1154.740 Are suspension proceedings 1154.990 Preponderance of the evidence. concerning employees who are convicted
formal? 1154.995 Principal. of drug violations in the workplace?
1154.745 Is a record made of fact-finding 1154.1000 Respondent. 1155.230 How and when must I identify
proceedings? 1154.1005 State. workplaces?
1154.750 What does the suspending official 1154.1010 Suspending official.
consider in deciding whether to continue 1154.1015 Suspension. Subpart C—Requirements for Recipients
or terminate my suspension? 1154.1020 Voluntary exclusion or Who Are Individuals
1154.755 When will I know whether the voluntarily excluded. 1155.300 What must I do to comply with
suspension is continued or terminated? this part if I am an individual recipient?
1154.760 How long may my suspension Subpart J [Reserved]
1155.301 [Reserved]
last? Appendix to Part 1154—Covered
Subpart D—Responsibilities of NEA
Subpart H—Debarment Transactions
Awarding Officials
1154.800 What are the causes for Authority: Sec. 2455, Pub. L. 103–355, 108 1155.400 What are my responsibilities as an
debarment? Stat. 3327; E.O. 12549, 3 CFR, 1986 Comp., NEA awarding official?

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Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules 3359

Subpart E—Violations of This Part and List of Subjects 1169.220 Are any procurement contracts
Consequences included as covered transactions?
45 CFR Part 1169 1169.225 How do I know if a transaction
1155.500 How are violations of this part
determined for recipients other than Administrative practice and that I may participate in is a covered
individuals? procedure, Debarment and suspension, transaction?
1155.505 How are violations of this part Grant programs, Reporting and Subpart C—Responsibilities of Participants
determined for recipients who are recordkeeping requirements. Regarding Transactions Doing Business
individuals? With Other Persons
1155.510 What actions will the Federal 45 CFR Part 1173
Government take against a recipient 1169.300 May I enter into a covered
determined to have violated this part? Administrative practice and transaction with an excluded or
1155.515 Are there any exceptions to those procedure, Drug abuse, Grant programs, disqualified person?
actions? Reporting and recordkeeping 1169.305 What must I do if a Federal
requirements. agency excludes a person with whom I
Subpart F—Definitions am already doing business in a covered
Dated: June 15, 2001. transaction?
1155.605 Award.
1155.610 Controlled substance. Laura S. Nelson, 1169.310 May I use the services of an
1155.615 Conviction. Assistant General Counsel. excluded person under a covered
1155.620 Cooperative agreement. Accordingly, as set forth in the transaction?
1155.625 Criminal drug statute. 1169.315 Must I verify that principals of my
common preamble, 45 CFR chapter XI is
1155.630 Debarment. covered transactions are eligible to
proposed to be amended as follows. participate?
1155.635 Drug-free workplace.
1155.640 Employee.
1. Part 1169 is revised to read as set 1169.320 What happens if I do business
1155.645 Federal agency or agency. forth in instruction 1 at the end of the with an excluded person in a covered
1155.650 Grant. common preamble. transaction?
1155.655 Individual. 1169.325 What requirements must I pass
1155.660 Recipient. PART 1169—GOVERNMENTWIDE down to persons at lower tiers with
1155.665 State. DEBARMENT AND SUSPENSION whom I intend to do business?
1155.670 Suspension. (NONPROCUREMENT) Disclosing Information—Primary Tier
Authority: 41 U.S.C. 701 et seq. Sec. Participants
1169.25 How is this part organized? 1169.330 What information must I provide
5. Part 1155 is further amended as set 1169.50 How is this part written? before entering into a covered
forth below. 1169.75 Do terms in this part have special transaction with the NEH?
a. ‘‘[Agency noun]’’ is removed and meanings? 1169.335 If I disclose unfavorable
‘‘National Endowment for the Arts’’ is information required under § 1169.330
Subpart A—General
added in its place wherever it occurs. will I be prevented from entering into the
1169.100 What does this part do? transaction?
b. ‘‘[Agency adjective]’’ is removed 1169.105 Does this part apply to me? 1169.340 What happens if I fail to disclose
and ‘‘NEA’’ is added in its place 1169.110 What is the purpose of the the information required under
wherever it occurs. nonprocurement debarment and § 1169.330?
c. ‘‘[Agency head or designee]’’ is suspension system? 1169.345 What must I do if I learn of the
1169.115 How does an exclusion restrict a information required under § 1169.330
removed and ‘‘NEA Chairman’’ is added person’s involvement in covered after entering into a covered transaction
in its place wherever it occurs. transactions? with the NEH?
d. ‘‘[Agency head]’’ is removed and 1169.120 May we grant an exception to let
an excluded person participate in a Disclosing Information—Lower Tier
‘‘NEA Chairman’’ is added in its place
covered transaction? Participants
wherever it occurs.
1169.125 Does an exclusion under the 1169.350 What information must I provide
6. Section 1155.310(c) is further nonprocurement system affect a person’s to a higher tier participant before
amended by removing ‘‘[CFR citation for eligibility to participate in Federal entering into a covered transaction with
the Federal Agency’s regulations procurement contracts? that participant?
implementing Executive Order 12549 1169.130 Does an exclusion under the 1169.355 What happens if I fail to disclose
and Executive Order 12689]’’ and Federal procurement system affect a the information required under
adding ‘‘45 CFR part 1154’’ in its place. person’s eligibility to participate in § 1169.350?
nonprocurement transactions? 1169.360 What must I do if I learn of
7. Section 1155.605(a)(2) is further 1169.135 May the NEH exclude a person information required under § 1169.350
amended by removing ‘‘[Agency- who is not currently participating in a after entering into a covered transaction
specific CFR citation]’’ and adding ‘‘45 nonprocurement transaction? with a higher tier participant?
CFR part 1157’’ in its place. 1169.140 How do I know if a person is
Subpart D—Responsibilities of NEH
excluded?
NATIONAL FOUNDATION ON THE 1169.145 Does this part cover persons who Officials Regarding Transactions
ARTS AND HUMANITIES are disqualified as well as those who are 1169.400 May I enter into a transaction
National Endowment for the excluded from nonprocurement with an excluded or disqualified person?
transactions? 1169.405 May I enter into a covered
Humanities
transaction with a participant if a
45 CFR Part 1169 and 1173 Subpart B—Covered Transactions principal of the transaction is excluded?
1169.200 What is a covered transaction? 1169.410 May I approve a participant’s use
RIN 3136–AA25 1169.205 Why is it important to know if a of the services of an excluded person?
particular transaction is a covered 1169.415 What must I do if a Federal
FOR FURTHER INFORMATION CONTACT:
transaction? agency excludes the participant or a
Laura S. Nelson, Assistant General 1169.210 Which nonprocurement principal after I enter into a covered
Counsel, National Endowment for the transactions are covered transactions? transaction?
Humanities, 1100 Pennsylvania Avenue, 1169.215 Which nonprocurement 1169.420 May I approve a transaction with
NW., Room 530, Washington, DC, transactions are not covered an excluded or disqualified person at a
20506, (202) 606–8322. transactions? lower tier?

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3360 Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules

1169.425 When do I check to see if a person 1169.735 Under what conditions do I get an 1169.970 Nonprocurement transaction.
is excluded or disqualified? additional opportunity to challenge the 1169.975 Notice.
1169.430 How do I check to see if a person facts on which the suspension is based? 1169.980 Participant.
is excluded or disqualified? 1169.740 Are suspension proceedings 1169.985 Person.
1169.435 What must I require of a primary formal? 1169.990 Preponderance of the evidence.
tier participant? 1169.745 Is a record made of fact-finding 1169.995 Principal.
1169.440 What method do I use to proceedings? 1169.1000 Respondent.
communicate requirements to 1169.750 What does the suspending official 1169.1005 State.
participants? consider in deciding whether to continue 1169.1010 Suspending official.
1169.445 What action may I take if a or terminate my suspension? 1169.1015 Suspension.
primary tier participant knowingly does 1169.755 When will I know whether the 1169.1020 Voluntary exclusion or
business with an excluded or suspension is continued or terminated? voluntarily excluded.
disqualified person? 1169.760 How long may my suspension
1169.450 What action may I take if a Subpart J [Reserved]
last?
primary tier participant fails to disclose Appendix to Part 1169—Covered
the information required under Subpart H—Debarment Transactions
§ 1169.330? 1169.800 What are the causes for
1169.455 What may I do if a lower tier debarment? Authority: E.O. 12549 (3 CFR, 1986 Comp.,
participant fails to disclose the 1169.805 What notice does the debarring p. 189); E.O. 12698 (3 CFR, 1989 Comp., p.
information required under § 1169.350 to official give me if I am proposed for 235); sec. 2455, Pub. L. 103–355, 108 Stat.
the next higher tier? debarment? 3327 (31 U.S.C. 6101 note); 20 U.S.C.
1169.810 When does a debarment take 959(a)(1).
Subpart E—Governmentwide List of Parties
Excluded or Disqualified From Federal effect? 2. Part 1169 is further amended as set
Procurement and Nonprocurement 1169.815 How may I contest a proposed forth below.
Programs debarment? a. ‘‘[Agency noun]’’ is removed and
1169.820 How much time do I have to ‘‘NEH’’ is added in its place wherever it
1169.500 What is the purpose of the List? contest a proposed debarment?
1169.505 Who uses the List? occurs.
1169.825 What information must I provide b. ‘‘[Agency adjective]’’ is removed
1169.510 Who maintains the List? to the debarring official if I contest a
1169.515 What specific information is on and ‘‘NEH’’ is added in its place
proposed debarment?
the List? 1169.830 Under what conditions do I get an wherever it occurs.
1169.520 Who gives the GSA the additional opportunity to challenge the c. ‘‘[Agency head or designee]’’ is
information that it puts on the List? facts on which the proposed debarment removed and ‘‘NEH Assistant General
1169.525 Whom do I ask if I have questions Counsel’’ is added in its place wherever
is based?
about a person on the List? it occurs.
1169.835 Are debarment proceedings
1169.530 Where can I get the List? 3. Section 1169.440 is added to read
formal?
Subpart F—General Principles Relating to 1169.840 Is a record made of fact-finding as follows:
Suspension and Debarment Actions proceedings?
1169.845 What does the debarring official § 1169.440 What method do I use to
1169.600 How do suspension and communicate requirements to participants?
debarment actions start? consider in deciding whether to debar
1169.605 How does suspension differ from me? To communicate the requirements,
debarment? 1169.850 What is the standard of proof in you must include a term or condition in
1169.610 What procedures does the NEH a debarment action? the transaction requiring the
use in suspension and debarment 1169.855 Who has the burden of proof in a participants’ compliance with subpart C
actions? debarment action?
of this part and requiring them to
1169.615 How does the NEH notify a 1169.860 What factors may influence the
debarring official’s decision? include a similar term or condition in
person of suspension and debarment lower-tier covered transactions.
actions? 1169.865 How long may my debarment
last? 4. Part 1173 is added to read as set
1169.620 Do Federal agencies coordinate
suspension and debarment actions? 1169.870 When do I know if the debarring forth in instruction 2 at the end of the
1169.625 What is the scope of a suspension official debars me? common preamble.
or debarment action? 1169.875 May I ask the debarring official to
1169.630 May the NEH impute the conduct reconsider a decision to debar me? PART 1173—GOVERNMENTWIDE
of one person to another? 1169.880 What factors may influence the REQUIREMENTS FOR DRUG-FREE
1169.635 May the NEH settle a debarment debarring official during WORKPLACE (FINANCIAL
or suspension action? reconsideration? ASSISTANCE)
1169.640 May a settlement include a 1169.885 May the debarring official extend
voluntary exclusion? a debarment? Subpart A—Purpose and Coverage
1169.645 Do other Federal agencies know if Subpart I—Definitions Sec.
the NEH agrees to a voluntary exclusion? 1173.100 What does this part do?
1169.900 Adequate evidence. 1173.105 Does this part apply to me?
Subpart G—Suspension 1169.905 Affiliate. 1173.110 Are any of my Federal assistance
1169.700 When may the suspending official 1169.910 Agency. awards exempt from this part?
issue a suspension? 1169.915 Agent or representative. 1173.115 Does this part affect the Federal
1169.705 What does the suspending official 1169.920 Civil judgment. contracts that I receive?
consider in issuing a suspension? 1169.925 Conviction.
1169.710 When does a suspension take 1169.930 Debarment. Subpart B—Requirements for Recipients
effect? 1169.935 Debarring official. Other Than Individuals
1169.715 What notice does the suspending 1169.940 Disqualified. 1173.200 What must I do to comply with
official give me if I am suspended? 1169.945 Excluded or exclusion. this part?
1169.720 How may I contest a suspension? 1169.950 Indictment. 1173.205 What must I include in my drug-
1169.725 How much time do I have to 1169.955 Ineligible or ineligibility. free workplace statement?
contest a suspension? 1169.960 Legal proceedings. 1173.210 To whom must I distribute my
1169.730 What information must I provide 1169.965 List of Parties Excluded or drug-free workplace statement?
to the suspending official if I contest a Disqualified From Federal Procurement 1173.215 What must I include in my drug-
suspension? and Nonprocurement Programs. free awareness program?

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Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules 3361

1173.220 By when must I publish my drug- specific CFR citation]’’ and adding ‘‘45 person’s eligibility to participate in
free workplace statement and establish CFR part 1174’’ in its place. nonprocurement transactions?
my drug-free awareness program? 1185.135 May the Institute of Museum and
1173.225 What actions must I take NATIONAL FOUNDATION ON THE Library Services exclude a person who is
concerning employees who are convicted ARTS AND HUMANITIES not currently participating in a
of drug violations in the workplace? nonprocurement transaction?
1173.230 How and when must I identify Institute of Museum and Library 1185.140 How do I know if a person is
workplaces? Services excluded?
45 CFR Parts 1185 and 1186 1185.145 Does this part cover persons who
Subpart C—Requirements for Recipients
are disqualified as well as those who are
Who Are Individuals RIN 3137–AA14 excluded from nonprocurement
1173.300 What must I do to comply with transactions?
FOR FURTHER INFORMATION CONTACT:
this part if I am an individual recipient?
1173.301 [Reserved] Nancy E. Weiss, General Counsel, Subpart B—Covered Transactions
Institute of Museum and Library 1185.200 What is a covered transaction?
Subpart D—Responsibilities of NEH Services, 1100 Pennsylvania Avenue, 1185.205 Why is it important to know if a
Awarding Officials NW., Suite 802, Washington, DC 20506; particular transaction is a covered
1173.400 What are my responsibilities as an Telephone: (202) 606–5414; E-mail: transaction?
NEH awarding official? nweiss@imls.gov. 1185.210 Which nonprocurement
Subpart E—Violations of This Part and transactions are covered transactions?
List of Subjects 1185.215 Which nonprocurement
Consequences
transactions are not covered
1173.500 How are violations of this part 45 CFR Part 1185
transactions?
determined for recipients other than Administrative practice and 1185.220 Are any procurement contracts
individuals? procedure, Debarment and suspension, included as covered transactions?
1173.505 How are violations of this part 1185.225 How do I know if a transaction in
Government contracts, Grant programs,
determined for recipients who are which I may participate is a covered
individuals? Loan programs, Reporting and
recordkeeping requirements. transaction?
1173.510 What actions will the Federal
Government take against a recipient Subpart C—Responsibilities of Participants
45 CFR Part 1186 Regarding Transactions Doing Business
determined to have violated this part?
1173.515 Are there any exceptions to those Administrative practice and With Other Persons
actions? procedure, Drug abuse, Grant programs, 1185.300 May I enter into a covered
Subpart F—Definitions
Reporting and recordkeeping transaction with an excluded or
requirements. disqualified person?
1173.605 Award. 1185.305 What must I do if a Federal
1173.610 Controlled substance. Dated: August 10, 2001.
agency excludes a person with whom I
1173.615 Conviction. Robert S. Martin, am already doing business in a covered
1173.620 Cooperative agreement. Director, Institute of Museum and Library transaction?
1173.625 Criminal drug statute. Services. 1185.310 May I use the services of an
1173.630 Debarment. excluded person under a covered
1173.635 Drug-free workplace. For the reasons stated in the
preamble, the Institute of Museum and transaction?
1173.640 Employee. 1185.315 Must I verify that principals of my
1173.645 Federal agency or agency. Library Services proposes to amend 45 covered transactions are eligible to
1173.650 Grant. CFR chapter XI as follows: participate?
1173.655 Individual. 1. Part 1185 is revised to read as set 1185.320 What happens if I do business
1173.660 Recipient. forth in instruction 1 at the end of the with an excluded person in a covered
1173.665 State. common preamble. transaction?
1173.670 Suspension. 1185.325 What requirements must I pass
Authority: 41 U.S.C. 701, et seq.; 20 U.S.C. PART 1185—GOVERNMENTWIDE down to persons at lower tiers with
959(a)(1). DEBARMENT AND SUSPENSION whom I intend to do business?
5. Part 1173 is further amended as set (NONPROCUREMENT) Disclosing Information—Primary Tier
forth below. Sec. Participants
a. ‘‘[Agency noun]’’ is removed and 1185.25 How is this part organized? 1185.330 What information must I provide
‘‘NEH’’ is added in its place wherever it 1185.50 How is this part written? before entering into a covered
occurs. 1185.75 Do terms in this part have special transaction with the Institute of Museum
b. ‘‘[Agency adjective]’’ is removed meanings? and Library Services?
and ‘‘NEH’’ is added in its place 1185.335 If I disclose unfavorable
Subpart A—General information required under § 1185.330
wherever it occurs. 1185.100 What does this part do?
c. ‘‘[Agency head or designee]’’ is will I be prevented from entering into the
1185.105 Does this part apply to me? transaction?
removed and ‘‘NEH Assistant General 1185.110 What is the purpose of the 1185.340 What happens if I fail to disclose
Counsel’’ is added in its place wherever nonprocurement debarment and the information required under
it occurs. suspension system? § 1185.330?
d. ‘‘[Agency head]’’ is removed and 1185.115 How does an exclusion restrict a 1185.345 What must I do if I learn of the
‘‘NEH Assistant General Counsel’’ is person’s involvement in covered information required under § 1185.330
added in its place wherever it occurs. transactions? after entering into a covered transaction
6. Section 1173.510(c) is further 1185.120 May we grant an exception to let with the Institute of Museum and Library
amended by removing ‘‘[CFR citation for an excluded person participate in a Services?
covered transaction?
the Federal agency’s regulations Disclosing information—Lower Tier
1185.125 Does an exclusion under the
implementing Executive Order 12549 nonprocurement system affect a person’s Participants
and Executive Order 12689]’’ and eligibility to participate in Federal 1185.350 What information must I provide
adding ‘‘45 CFR part 1169’’ in its place. procurement contracts? to a higher tier participant before
7. Section 1173.605(a)(2) is further 1185.130 Does an exclusion under the entering into a covered transaction with
amended by removing ‘‘[Agency- Federal procurement system affect a that participant?

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3362 Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules

1185.355 What happens if I fail to disclose 1185.625 What is the scope of a suspension 1185.865 How long may my debarment
the information required under or debarment action? last?
§ 1185.350? 1185.630 May the Institute of Museum and 1185.870 When do I know if the debarring
1185.360 What must I do if I learn of Library Services impute the conduct of official debars me?
information required under § 1185.350 one person to another? 1185.875 May I ask the debarring official to
after entering into a covered transaction 1185.635 May the Institute of Museum and reconsider a decision to debar me?
with a higher tier participant? Library Services settle a debarment or 1185.880 What factors may influence the
Subpart D—Responsibilities of Institute of suspension action? debarring official during
Museum and Library Services Officials 1185.640 May a settlement include a reconsideration?
Regarding Transactions voluntary exclusion? 1185.885 May the debarring official extend
1185.645 Do other Federal agencies know if a debarment?
1185.400 May I enter into a transaction the Institute of Museum and Library
with an excluded or disqualified person? Services agrees to a voluntary exclusion? Subpart I—Definitions
1185.405 May I enter into a covered 1185.900 Adequate evidence.
transaction with a participant if a Subpart G—Suspension 1185.905 Affiliate.
principal of the transaction is excluded? 1185.700 When may the suspending official 1185.910 Agency.
1185.410 May I approve a participant’s use issue a suspension? 1185.915 Agent or representative.
of the services of an excluded person? 1185.705 What does the suspending official 1185.920 Civil judgment.
1185.415 What must I do if a Federal consider in issuing a suspension? 1185.925 Conviction.
agency excludes the participant or a 1185.710 When does a suspension take 1185.930 Debarment.
principal after I enter into a covered effect? 1185.935 Debarring official.
transaction? 1185.715 What notice does the suspending 1185.940 Disqualified.
1185.420 May I approve a transaction with official give me if I am suspended? 1185.945 Excluded or exclusion.
an excluded or disqualified person at a 1185.720 How may I contest a suspension? 1185.950 Indictment.
lower tier? 1185.725 How much time do I have to 1185.955 Ineligible or ineligibility.
1185.425 When do I check to see if a person contest a suspension? 1185.960 Legal proceedings.
is excluded or disqualified? 1185.730 What information must I provide 1185.965 List of Parties Excluded or
1185.430 How do I check to see if a person to the suspending official if I contest a Disqualified From Federal Procurement
is excluded or disqualified? suspension? and Nonprocurement Programs.
1185.435 What must I require of a primary 1185.735 Under what conditions do I get an 1185.970 Nonprocurement transaction.
tier participant? additional opportunity to challenge the 1185.975 Notice.
1185.440 What method do I use to
facts on which the suspension is based? 1185.980 Participant
communicate those requirements to
1185.740 Are suspension proceedings 1185.985 Person.
participants?
formal? 1185.990 Preponderance of the evidence.
1185.445 What action may I take if a
1185.745 Is a record made of fact-finding 1185.995 Principal.
primary tier participant knowingly does
proceedings? 1185.1000 Respondent.
business with an excluded or
1185.750 What does the suspending official 1185.1005 State.
disqualified person?
consider in deciding whether to continue 1185.1010 Suspending official.
1185.450 What action may I take if a
or terminate my suspension? 1185.1015 Suspension.
primary tier participant fails to disclose
1185.755 When will I know whether the 1185.1020 Voluntary exclusion or
the information required under
§ 1185.330? suspension is continued or terminated? voluntarily excluded.
1185.455 What may I do if a lower tier 1185.760 How long may my suspension
last? Subpart J [Reserved]
participant fails to disclose the
information required under § 1185.350 to Subpart H—Debarment Appendix to Part 1185—Covered
the next higher tier? Transactions
1185.800 What are the causes for
Subpart E—Governmentwide List of Parties debarment? Authority: 20 U.S.C. 9101 et seq.; Sec. 2455
Excluded or Disqualified From Federal 1185.805 What notice does the debarring Pub.L. 103–355, 108 Stat. 311867 (31 U.S.C.
Procurement and Nonprocurement official give me if I am proposed for 6101 note); E.O. 12549 (3 CFR,1986 Comp.,
Programs debarment? p.189); E.O. 12689 (3 CFR, 1989 Comp., p.
1185.500 What is the purpose of the List? 1185.810 When does a debarment take 235).
1185.505 Who uses the List? effect? 2. Part 1185 is further amended as set
1185.510 Who maintains the List? 1185.815 How may I contest a proposed forth below:
1185.515 What specific information is on debarment? a. ‘‘[Agency noun]’’ is removed and
the List? 1185.820 How much time do I have to ‘‘Institute of Museum and Library
1185.520 Who gives the GSA the contest a proposed debarment?
Services’’ is added in its place wherever
information that it puts on the List? 1185.825 What information must I provide
to the debarring official if I contest a it occurs.
1185.525 Whom do I ask if I have questions b. ‘‘[Agency adjective]’’ is removed
about a person on the List? proposed debarment?
1185.830 Under what conditions do I get an and ‘‘IMLS’’ is added in its place
1185.530 Where can I get the List?
additional opportunity to challenge the wherever it occurs.
Subpart F—General Principles Relating to facts on which the proposed debarment c. ‘‘[Agency head or designee]’’ is
Suspension and Debarment Actions is based? removed and ‘‘Director, Institute of
1185.600 How do suspension and 1185.835 Are debarment proceedings Museum and Library Services’’ is added
debarment actions start? formal? in its place wherever it occurs.
1185.605 How does suspension differ from 1185.840 Is a record made of fact-finding 3. Section 1185.440 is added to read
debarment? proceedings?
as follows:
1185.610 What procedures does the 1185.845 What does the debarring official
Institute of Museum and Library Services consider in deciding whether to debar § 1185.440 What method do I use to
use in suspension and debarment me? communicate requirements to participants?
actions? 1185.850 What is the standard of proof in
1185.615 How does the Institute of Museum a debarment action?
To communicate the requirements,
and Library Services notify a person of 1185.855 Who has the burden of proof in a you must include a term or condition in
suspension and debarment actions? debarment action? the transaction requiring the
1185.620 Do Federal agencies coordinate 1185.860 What factors may influence the participant’s compliance with subpart C
suspension and debarment actions? debarring official’s decision? of this part and requiring them to

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Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules 3363

include a similar term or condition in 1186.650 Grant. proposes to amend 45 CFR chapter XXV
lower-tier covered transactions. 1186.655 Individual. as follows:
4. Part 1186 is added to read as set 1186.660 Recipient.
1186.665 State. 1. Part 2542 is revised to read as set
forth in instruction 2 at the end of the forth in instruction 1 at the end of the
1186.670 Suspension.
common preamble. common preamble.
Authority: 41 U.S.C. 701 et seq.
PART 1186—GOVERNMENTWIDE PART 2542—GOVERNMENTWIDE
5. Part 1186 is further amended as set
REQUIREMENTS FOR DRUG-FREE DEBARMENT AND SUSPENSION
forth below.
WORKPLACE (FINANCIAL (NONPROCUREMENT)
a. ‘‘[Agency noun]’’ is removed and
ASSISTANCE)
‘‘Institute of Museum and Library
Sec.
Subpart A—Purpose and Coverage Services’’ is added in its place wherever
2542.25 How is this part organized?
Sec. it occurs. 2542.50 How is this part written?
1186.100 What does this part do? b. ‘‘[Agency adjective]’’ is removed 2542.75 Do terms in this part have special
1186.105 Does this part apply to me? and ‘‘IMLS’’ is added in its place meanings?
1186.110 Are any of my Federal assistance wherever it occurs.
awards exempt from this part? Subpart A—General
c. ‘‘[Agency head or designee]’’ is
1186.115 Does this part affect the Federal removed and ‘‘Director, Institute of 2542.100 What does this part do?
contracts that I receive? Museum and Library Services or 2542.105 Does this part apply to me?
designee’’ is added in its place wherever 2542.110 What is the purpose of the
Subpart B—Requirements for Recipients
nonprocurement debarment and
Other Than Individuals it occurs. suspension system?
1186.200 What must I do to comply with d. ‘‘[Agency head]’’ is removed and 2542.115 How does an exclusion restrict a
this part? ‘‘Director, Institute of Museum and person’s involvement in covered
1186.205 What must I include in my drug- Library Services’’ is added in its place transactions?
free workplace statement? wherever it occurs. 2542.120 May we grant an exception to let
1186.210 To whom must I distribute my 6. Section 1186.310(c) is further an excluded person participate in a
drug-free workplace statement? covered transaction?
amended by removing ‘‘[CFR citation for
1186.215 What must I include in my drug- 2542.125 Does an exclusion under the
free awareness program? the Federal Agency’s regulations
implementing Executive Order 12549 nonprocurement system affect a person’s
1186.220 By when must I publish my drug- eligibility to participate in Federal
free workplace statement and establish and Executive Order 12689]’’ and
procurement contracts?
my drug-free awareness program? adding ‘‘45 CFR part 1185’’ in its place. 2542.130 Does an exclusion under the
1186.225 What actions must I take 7. Section 1186.605(a)(2) is further Federal procurement system affect a
concerning employees who are convicted amended by removing ‘‘[Agency- person’s eligibility to participate in
of drug violations in the workplace? specific CFR citation]’’ and adding ‘‘45 nonprocurement transactions?
1186.230 How and when must I identify
CFR part 1183’’ in its place. 2542.135 May the Corporation exclude a
workplaces?
person who is not currently participating
Subpart C—Requirements for Recipients CORPORATION FOR NATIONAL AND in a nonprocurement transaction?
Who Are Individuals COMMUNITY SERVICE 2542.140 How do I know if a person is
1186.300 What must I do to comply with 45 CFR Parts 2542 and 2545 excluded?
this part if I am an individual recipient? 2542.145 Does this part cover persons who
1186.301 [Reserved]
RIN 3045–AA28 are disqualified as well as those who are
excluded from nonprocurement
Subpart D—Responsibilities of Institute of FOR FURTHER INFORMATION CONTACT: transactions?
Museum and Library Services Awarding Suzanne Dupré, Office of General
Officials Counsel, Corporation for National and Subpart B—Covered Transactions
1186.400 What are my responsibilities as an Community Service, Room 8200, 1201 2542.200 What is a covered transaction?
Institute of Museum and Library Services New York Ave., NW., Washington, DC 2542.205 Why is it important to know if a
awarding official? 20525, (202) 606–5000 ext. 396, e-mail: particular transaction is a covered
sdupre@cns.gov. transaction?
Subpart E—Violations of This Part and 2542.210 Which nonprocurement
Consequences List of Subjects transactions are covered transactions?
1186.500 How are violations of this part 2542.215 Which nonprocurement
determined for recipients other than 45 CFR Part 2542 transactions are not covered
individuals? Administrative practice and transactions?
1186.505 How are violations of this part 2542.220 Are any procurement contracts
procedure, Debarment and suspension,
determined for recipients who are included as covered transactions?
Grant programs, Reporting and 2542.225 How do I know if a transaction
individuals?
1186.510 What actions will the Federal recordkeeping requirements. that I may participate in is a covered
Government take against a recipient 45 CFR Part 2545 transaction?
determined to have violated this part?
Administrative practice and Subpart C—Responsibilities of Participants
1186.515 Are there any exceptions to those
Regarding Transactions Doing Business
actions? procedure, Drug abuse, Grant programs,
With Other Persons
Subpart F—Definitions
Reporting and recordkeeping
requirements. 2542.300 May I enter into a covered
1186.605 Award. transaction with an excluded or
1186.610 Controlled substance. Dated: May 31, 2001. disqualified person?
1186.615 Conviction. Wendy Zenker, 2542.305 What must I do if a Federal
1186.620 Cooperative agreement. Chief Operating Officer, Corporation for agency excludes a person with whom I
1186.625 Criminal drug statute. National and Community Service. am already doing business in a covered
1186.630 Debarment. transaction?
1186.635 Drug-free workplace. Accordingly, as set forth in the 2542.310 May I use the services of an
1186.640 Employee. common preamble, the Corporation for excluded person under a covered
1186.645 Federal agency or agency. National and Community Service transaction?

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3364 Federal Register / Vol. 67, No. 15 / Wednesday, January 23, 2002 / Proposed Rules

2542.315 Must I verify that principals of my information required under § 2542.350 to 2542.805 What notice does the debarring
covered transactions are eligible to the next higher tier? official give me if I am proposed for
participate? debarment?
Subpart E—Governmentwide List of Parties 2542.810 When does a debarment take
2542.320 What happens if I do business
Excluded or Disqualified From Federal effect?
with an excluded person in a covered
Procurement and Nonprocurement 2542.815 How may I contest a proposed
transaction?
Programs debarment?
2542.325 What requirements must I pass
down to persons at lower tiers with 2542.500 What is the purpose of the List? 2542.820 How much time do I have to
whom I intend to do business? 2542.505 Who uses the List? contest a proposed debarment?
2542.510 Who maintains the List? 2542.825 What information must I provide
Disclosing Information—Primary Tier 2542.515 What specific information is on to the debarring official if I contest a
Participants the List? proposed debarment?
2542.330 What information must I provide 2542.520 Who gives the GSA the 2542.830 Under what conditions do I get an
before entering into a covered information that it puts on the List? additional opportunity to challenge the
transaction with the Corporation? 2542.525 Whom do I ask if I have questions facts on which the proposed debarment
2542.335 If I disclose unfavorable about a person on the List? is based?
information required under § 2542.330 2542.530 Where can I get the List? 2542.835 Are debarment proceedings
will I be prevented from entering into the formal?
Subpart F—General Principles Relating to 2542.840 Is a record made of fact-finding
transaction? Suspension and Debarment Actions
2542.340 What happens if I fail to disclose proceedings?
the information required under 2542.600 How do suspension and 2542.845 What does the debarring official
§ 2542.330? debarment actions start? consider in deciding whether to debar
2542.605 How does suspension differ from me?
2542.345 What must I do if I learn of the
debarment? 2542.850 What is the standard of proof in
information required under § 2542.330
2542.610 What procedures does the a debarment action?
after entering into a covered transaction
Corporation use in suspension and 2542.855 Who has the burden of proof in a
with the Corporation?
debarment actions? debarment action?
Disclosing Information—Lower Tier 2542.615 How does the Corporation notify 2542.860 What factors may influence the
Participants a person of suspension and debarment debarring official’s decision?
2542.350 What information must I provide actions? 2542.865 How long may my debarment
to a higher tier participant before 2542.620 Do Federal agencies coordinate last?
entering into a covered transaction with suspension and debarment actions? 2542.870 When do I know if the debarring
2542.625 What is the scope of a suspension official debars me?
that participant?
or debarment action? 2542.875 May I ask the debarring official to
2542.355 What happens if I fail to disclose
2542.630 May the Corporation impute the reconsider a decision to debar me?
the information required under
conduct of one person to another? 2542.880 What factors may influence the
§ 2542.350?
2542.635 May the Corporation settle a debarring official during
2542.360 What must I do if I learn of
debarment or suspension action? reconsideration?
information required under § 2542.350
2542.640 May a settlement include a 2542.885 May the debarring official extend
after entering into a covered transaction
voluntary exclusion? a debarment?
with a higher tier participant?
2542.645 Do other Federal agencies know if
Subpart I—Definitions
Subpart D—Responsibilities of Corporation the Corporation agrees to a voluntary
Officials Regarding Transactions exclusion? 2542.900 Adequate evidence.
2542.905 Affiliate.
2542.400 May I enter into a transaction Subpart G—Suspension 2542.910 Agency.
with an excluded or disqualified person? 2542.700 When may the suspending official 2542.915 Agent or representative.
2542.405 May I enter into a covered issue a suspension? 2542.920 Civil judgment.
transaction with a participant if a 2542.705 What does the suspending official 2542.925 Conviction.
principal of the transaction is excluded? consider in issuing a suspension? 2542.930 Debarment.
2542.410 May I approve a participant’s use 2542.710 When does a suspension take 2542.935 Debarring official.
of the services of an excluded person? effect? 2542.940 Disqualified.
2542.415 What must I do if a Federal 2542.715 What notice does the suspending 2542.945 Excluded or exclusion.
agency excludes the participant or a official give me if I am suspended? 2542.950 Indictment.
principal after I enter into a covered 2542.720 How may I contest a suspension? 2542.955 Ineligible or ineligibility.
transaction? 2542.725 How much time do I have to 2542.960 Legal proceedings.
2542.420 May I approve a transaction with contest a suspension? 2542.965 List of Parties Excluded or
an excluded or disqualified person at a 2542.730 What information must I provide Disqualified From Federal Procurement
lower tier? to the suspending official if I contest a and Nonprocurement Programs.
2542.425 When do I check to see if a person suspension? 2542.970 Nonprocurement transaction.
is excluded or disqualified? 2542.735 Under what conditions do I get an 2542.975 Notice.
2542.430 How do I check to see if a person additional opportunity to challenge the 2542.980 Participant.
is excluded or disqualified? facts on which the suspension is based? 2542.985 Person.
2542.435 What must I require of a primary 2542.740 Are suspension proceedings 2542.990 Preponderance of the evidence.
tier participant? formal? 2542.995 Principal.
2542.440 What method do I use to 2542.745 Is a record made of fact-finding 2542.1000 Respondent.
communicate requirements to primary proceedings? 2542.1005 State.
tier participants? 2542.750 What does the suspending official 2542.1010 Suspending official.
2542.445 What action may I take if a consider in deciding whether to continue 2542.1015 Suspension.
primary tier participant knowingly does or terminate my suspension? 2542.1020 Voluntary exclusion or
business with an excluded or 2542.755 When will I know whether the voluntarily excluded.
disqualified person? suspension is continued or terminated?
2542.450 What action may I take if a Subpart J [Reserved]
2542.760 How long may my suspension
primary tier participant fails to disclose last? Appendix to Part 2542—Covered
the information required under Transactions
§ 2542.330? Subpart H—Debarment
2542.455 What may I do if a lower tier 2542.800 What are the causes for Authority: 42 U.S.C. 12651(c); sec. 2455,
participant fails to disclose the debarment? Pub. L. 103–355, 108 Stat. 3327 (31 U.S.C.

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