1、286 21 CFR Ch. III (4111 Edition) Pt. 1404 opinion of the agency, is failing to comply with Circular. 21. Regulations. Each Federal agency shall include the provisions of this Circular in its regulations implementing the Single Audit Act. 22. Effective date. This Circular is effective upon publicati
2、on and shall apply to fiscal years of State and local governments that begin after December 31, 1984. Earlier imple-mentation is encouraged. However, until it is implemented, the audit provisions of Attach-ment P to Circular A102 shall continue to be observed. 23. Inquiries. All questions or inquiri
3、es should be addressed to Financial Manage-ment Division, Office of Management and Budget, telephone number (202) 3953993. 24. Sunset review date. This Circular shall have an independent policy review to ascer-tain its effectiveness three years from the date of issuance. David A. Stockman, Director.
4、 CIRCULAR A128 ATTACHMENT DEFINITION OF MAJOR PROGRAM AS PROVIDED IN PUB. L. 98502 Major Federal Assistance Program, for State and local governments having Federal assistance expenditures between $100,000 and $100,000,000. means any program for which Federal expenditures during the applicable year e
5、xceed the larger of $300,000, or 3 per-cent of such total expenditures. Where total expenditures of Federal assist-ance exceed $100,000,000, the following cri-teria apply: Total expenditures of Federal financial assistance for all programs Major Federal as-sistance program means any program that exc
6、eeds More than But less than $100 million 1 billion $3 million 1 billion 2 billion 4 million 2 billion 3 billion 7 million 3 billion 4 billion 10 million 4 billion 5 billion 13 million 5 billion 6 billion 16 million 6 billion 7 billion 19 million Over 7 billion 20 million 57 FR 55092, Nov. 24, 1992;
7、 58 FR 26185, Apr. 30, 1993 PART 1404GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) Sec. 1404.25 How is this part organized? 1404.50 How is this part written? 1404.75 Do terms in this part have special meanings? Subpart AGeneral 1404.100 What does this part do? 1404.105 Does this part appl
8、y to me? 1404.110 What is the purpose of the non-procurement debarment and suspension system? 1404.115 How does an exclusion restrict a persons involvement in covered trans-actions? 1404.120 May we grant an exception to let an excluded person participate in a covered transaction? 1404.125 Does an ex
9、clusion under the non-procurement system affect a persons eli-gibility for Federal procurement con-tracts? 1404.130 Does exclusion under the Federal procurement system affect a persons eli-gibility to participate in nonprocure-ment transactions? 1404.135 May the Office of National Drug Control Polic
10、y exclude a person who is not currently participating in a non-procurement transaction? 1404.140 How do I know if a person is ex-cluded? 1404.145 Does this part address persons who are disqualified, as well as those who are excluded from nonprocurement trans-actions? Subpart BCovered Transactions 14
11、04.200 What is a covered transaction? 1404.205 Why is it important to know if a particular transaction is a covered trans-action? 1404.210 Which nonprocurement trans-actions are covered transactions? 1404.215 Which nonprocurement trans-actions are not covered transactions? 1404.220 Are any procureme
12、nt contracts in-cluded as covered transactions? 1404.225 How do I know if a transaction in which I may participate is a covered transaction? Subpart CResponsibilities of Participants Regarding Transactions DOING BUSINESS WITH OTHER PERSONS 1404.300 What must I do before I enter into a covered transa
13、ction with another per-son at the next lower tier? 1404.305 May I enter into a covered trans-action with an excluded or disqualified person? 1404.310 What must I do if a Federal agency excludes a person with whom I am al-ready doing business in a covered trans-action? 1404.315 May I use the services
14、 of an ex-cluded person as a principal under a cov-ered transaction? VerDate Mar2010 07:57 May 04, 2011 Jkt 223073 PO 00000 Frm 00296 Fmt 8010 Sfmt 8010 Y:SGML223073.XXX 223073erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IH
15、S-,-,-287 Office of National Drug Control Policy Pt. 1404 1404.320 Must I verify that principals of my covered transactions are eligible to par-ticipate? 1404.325 What happens if I do business with an excluded person in a covered trans-action? 1404.330 What requirements must I pass down to persons a
16、t lower tiers with whom I intend to do business? DISCLOSING INFORMATIONPRIMARY TIER PARTICIPANTS 1404.335 What information must I provide before entering into a covered trans-action with the Office of National Drug Control Policy? 1404.340 If I disclose unfavorable informa-tion required under 1404.3
17、35, will I be prevented from participating in the transaction? 1404.345 What happens if I fail to disclose the information required under 1404.335? 1404.350 What must I do if I learn of the in-formation required under 1404.335 after entering into a covered transaction with the Office of National Dru
18、g Control Pol-icy? DISCLOSING INFORMATIONLOWER TIER PARTICIPANTS 1404.355 What information must I provide to a higher tier participant before entering into a covered transaction with that par-ticipant? 1404.360 What happens if I fail to disclose the information required under 1404.355? 1404.365 What
19、 must I do if I learn of infor-mation required under 1404.355 after en-tering into a covered transaction with a higher tier participant? Subpart DResponsibilities of Office of Na-tional Drug Control Policy Officials Re-garding Transactions 1404.400 May I enter into a transaction with an excluded or
20、disqualified person? 1404.405 May I enter into a covered trans-action with a participant if a principal of the transaction is excluded? 1404.410 May I approve a participants use of the services of an excluded person? 1404.415 What must I do if a Federal agency excludes the participant or a principal
21、 after I enter into a covered transaction? 1404.420 May I approve a transaction with an excluded or disqualified person at a lower tier? 1404.425 When do I check to see if a person is excluded or disqualified? 1404.430 How do I check to see if a person is excluded or disqualified? 1404.435 What must
22、 I require of a primary tier participant? 1404.440 What method do I use to commu-nicate those requirements to partici-pants? 1404.445 What action may I take if a pri-mary tier participant knowingly does business with an excluded or disqualified person? 1404.450 What action may I take if a pri-mary t
23、ier participant fails to disclose the information required under 1404.335? 1404.455 What may I do if a lower tier par-ticipant fails to disclose the information required under 1404.355 to the next high-er tier? Subpart EExcluded Parties List System 1404.500 What is the purpose of the Excluded Partie
24、s List System (EPLS)? 1404.505 Who uses the EPLS? 1404.510 Who maintains the EPLS? 1404.515 What specific information is in the EPLS? 1404.520 Who places the information into the EPLS? 1404.525 Whom do I ask if I have questions about a person in the EPLS? 1404.530 Where can I find the EPLS? Subpart
25、FGeneral Principles Relating to Suspension and Debarment Actions 1404.600 How do suspension and debarment actions start? 1404.605 How does suspension differ from de-barment? 1404.610 What procedures does the Office of National Drug Control Policy use in sus-pension and debarment actions? 1404.615 Ho
26、w does the Office of National Drug Control Policy notify a person of a suspension and debarment action? 1404.620 Do Federal agencies coordinate sus-pension and debarment actions? 1404.625 What is the scope of a suspension or debarment action? 1404.630 May the Office of National Drug Control Policy i
27、mpute the conduct of one person to another? 1404.635 May the Office of National Drug Control Policy settle a debarment or sus-pension action? 1404.640 May a settlement include a vol-untary exclusion? 1404.645 Do other Federal agencies know if the Office of National Drug Control Pol-icy agrees to a v
28、oluntary exclusion? Subpart GSuspension 1404.700 When may the suspending official issue a suspension? 1404.705 What does the suspending official consider in issuing a suspension? 1404.710 When does a suspension take effect? 1404.715 What notice does the suspending of-ficial give me if I am suspended
29、? VerDate Mar2010 07:57 May 04, 2011 Jkt 223073 PO 00000 Frm 00297 Fmt 8010 Sfmt 8010 Y:SGML223073.XXX 223073erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-288 21 CFR Ch. III (4111 Edition) 1404.25 1404.720 How may I
30、contest a suspension? 1404.725 How much time do I have to contest a suspension? 1404.730 What information must I provide to the suspending official if I contest a sus-pension? 1404.735 Under what conditions do I get an additional opportunity to challenge the facts on which the suspension is based? 1
31、404.740 Are suspension proceedings formal? 1404.745 How is fact-finding conducted? 1404.750 What does the suspending official consider in deciding whether to continue or terminate my suspension? 1404.755 When will I know whether the sus-pension is continued or terminated? 1404.760 How long may my su
32、spension last? Subpart HDebarment 1404.800 What are the causes for debarment? 1404.805 What notice does the debarring offi-cial give me if I am proposed for debar-ment? 1404.810 When does a debarment take effect? 1404.815 How may I contest a proposed de-barment? 1404.820 How much time do I have to c
33、ontest a proposed debarment? 1404.825 What information must I provide to the debarring official if I contest a pro-posed debarment? 1404.830 Under what conditions do I get an additional opportunity to challenge the facts on which the proposed debarment is based? 1404.835 Are debarment proceedings fo
34、rmal? 1404.840 How is fact-finding conducted? 1404.845 What does the debarring official consider in deciding whether to debar me? 1404.850 What is the standard of proof in a debarment action? 1404.855 Who has the burden of proof in a de-barment action? 1404.860 What factors may influence the de-barr
35、ing officials decision? 1404.865 How long may my debarment last? 1404.870 When do I know if the debarring of-ficial debars me? 1404.875 May I ask the debarring official to reconsider a decision to debar me? 1404.880 What factors may influence the de-barring official during reconsideration? 1404.885
36、May the debarring official extend a debarment? Subpart IDefinitions 1404.900 Adequate evidence. 1404.905 Affiliate. 1404.910 Agency. 1404.915 Agent or representative. 1404.920 Civil judgment. 1404.925 Conviction. 1404.930 Debarment. 1404.935 Debarring official. 1404.940 Disqualified. 1404.945 Exclud
37、ed or exclusion. 1404.950 Excluded Parties List System. 1404.955 Indictment. 1404.960 Ineligible or ineligibility. 1404.965 Legal proceedings. 1404.970 Nonprocurement transaction. 1404.975 Notice. 1404.980 Participant. 1404.985 Person. 1404.990 Preponderance of the evidence. 1404.995 Principal. 1404
38、.1000 Respondent. 1404.1005 State. 1404.1010 Suspending official. 1404.1015 Suspension. 1404.1020 Voluntary exclusion or voluntarily excluded. Subpart J Reserved APPENDIX TO PART 1404COVERED TRANS-ACTIONS AUTHORITY: E.O. 12549 3 CFR 1986 Comp., p. 189; E.O. 12689 3 CFR 1989 Comp., p. 235; sec. 2455,
39、 Pub. L. 103355, 108 Stat. 3327 (31 U.S.C. 6101 note); 21 U.S.C. 1701. SOURCE: 68 FR 66544, 66580, 66581, Nov. 26, 2003, unless otherwise noted. 1404.25 How is this part organized? (a) This part is subdivided into ten subparts. Each subpart contains infor-mation related to a broad topic or spe-cific
40、 audience with special responsibil-ities, as shown in the following table: In subpart . . . You will find provisions related to . . . A . general information about this rule. B . the types of Office of National Drug Control Policy transactions that are covered by the Government-wide nonprocurement s
41、uspension and debarment system. C . the responsibilities of persons who participate in covered transactions. D . the responsibilities of Office of National Drug Control Policy officials who are authorized to enter into covered transactions. E . the responsibilities of Federal agencies for the Exclud
42、ed Parties List System (Disseminated by the General Services Administration). F . the general principles governing suspension, debarment, voluntary exclusion and settlement. G . suspension actions. H . debarment actions. I . definitions of terms used in this part. VerDate Mar2010 07:57 May 04, 2011
43、Jkt 223073 PO 00000 Frm 00298 Fmt 8010 Sfmt 8010 Y:SGML223073.XXX 223073erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-289 Office of National Drug Control Policy 1404.105 In subpart . . . You will find provisions rela
44、ted to . . . J Reserved (b) The following table shows which subparts may be of special interest to you, depending on who you are: If you are . . . See subpart(s) . . . (1) a participant or principal in a non-procurement transaction.A, B, C, and I. (2) a respondent in a suspension action A, B, F, G a
45、nd I. (3) a respondent in a debarment action A, B, F, H and I. (4) a suspending official A, B, D, E, F, G and I. (5) a debarring official A, B, D, E, F, H and I. (6) a (n) Office of National Drug Control Policy official authorized to enter into a covered transaction.A, B, D, E and I. (7) Reserved J.
46、 1404.50 How is this part written? (a) This part uses a plain language format to make it easier for the gen-eral public and business community to use. The section headings and text, often in the form of questions and an-swers, must be read together. (b) Pronouns used within this part, such as I and
47、you, change from subpart to subpart depending on the audience being addressed. The pronoun we always is the Office of National Drug Control Policy. (c) The Covered Transactions dia-gram in the appendix to this part shows the levels or tiers at which the Office of National Drug Control Policy enforce
48、s an exclusion under this part. 1404.75 Do terms in this part have special meanings? This part uses terms throughout the text that have special meaning. Those terms are defined in Subpart I of this part. For example, three important terms are (a) Exclusion or excluded, which refers only to discretio
49、nary actions taken by a suspending or debarring official under this part or the Federal Acquisi-tion Regulation (48 CFR part 9, subpart 9.4); (b) Disqualification or disqualified, which refers to prohibitions under spe-cific statutes, executive orders (other than Executive Order 12549 and Execu-tive Order 12689), or other authorities. Disqualifications frequently are not subject to the discretion of an agency official, may h
