ISSUES TO BE ADDRESSED IN AWARD TERMS/CONDITIONS 32 CFR 34.20 through 34.25 Specify if want • To allow for-profit entities to acquire real property under awards [32 CFR 34.21(a)). • University or other nonprofit to have any further obligation to • To retain right to transfer title [32 CFR 32.34(h). 32 CFR 33.32(g)] • To waive data rights [32 CFR 34.25(b)(2)}. • To require recipients to record liens [32 CFR 32.37]. For research awards to certain recipients, include patents clause • When recipients are to submit periodic and final performance • Frequency of financial status/cash transaction reports [32 CFR • Whether want reports on cash or accrual basis [32 CFR SOURCE OF REQUIREMENT, FOR EACH TYPE OF Governmental For-profit entity 32 CFR 32.5, 32 CFR 33.37, and 32 CFR 34.1(b)(2) 32 CFR 32.30 through 32.37 32 CFR 33.31 through 33.34 25.616 25.620 Effect of violation. 25.625 Exception provision. 25.630 Certification requirements and proce Determinations of grantee violations. dures. 25.635 Reporting of and employee sanctions for convictions of criminal drug offenses. APPENDIX A TO PART 25 CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS-PRIMARY COVERED TRANSACTIONS APPENDIX B TO PART 25-CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSIONLOWER TIER COVERED TRANSACTIONS APPENDIX C TO PART 25 CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS AUTHORITY: 41 U.S.C. 701 et seq.; sec. 2455, Pub. L. 103-355, 108 Stat. 3327 (31 U.S.C. 6101 note); E.O. 12549, 3 CFR, 1986 Comp.; 189; E.O. 12689, 3 CFR, 1989 Comp., p. 235. SOURCE: 53 FR 19190 and 19204, May 26, 1988, unless otherwise noted. Redesignated at 57 FR 6199, Feb. 21, 1992. CROSS REFERENCE: See also Office of Management and Budget notice published at 55 FR 21697, May 25, 1990, and 60 FR 33036, June 26, 1995. Subpart A-General § 25.100 Purpose. (a) Executive Order (E.O.) 12549 provides that, to the extent permitted by law, Executive departments and agencies shall participate in a governmentwide system for nonprocurement debarment and suspension. A person who is debarred or suspended shall be excluded from Federal financial and nonfinancial assistance and benefits under Federal programs and activities. Debarment or suspension of a participant in a program by one agency shall have governmentwide effect. (b) These regulations implement section 3 of E.O. 12549 and the guidelines promulgated by the Office of Management and Budget under section 6 of the E.O. by: (1) Prescribing the programs and activities that are covered by the governmentwide system; (2) Prescribing the governmentwide criteria and governmentwide minimum due process procedures that each agency shall use; (3) Providing for the listing of debarred and suspended participants, participants declared ineligible (see 190-116 D-00--3 definition of "ineligible" in §25.105), and participants who have voluntarily excluded themselves from participation in covered transactions; (4) Setting forth the consequences of a debarment, suspension, determination of ineligibility, or voluntary exclusion; and (5) Offering such other guidance as necessary for the effective implementation and administration of the governmentwide system. (c) These regulations also implement Executive Order 12689 (3 CFR, 1989 Comp., p. 235) and 31 U.S.C. 6101 note (Public Law 103-355, sec. 2455, 108 Stat. 3327) by (1) Providing for the inclusion in the List of Parties Excluded from Federal Procurement and Nonprocurement Programs all persons proposed for debarment, debarred or suspended under the Federal Acquisition Regulation, 48 CFR Part 9, subpart 9.4; persons against which governmentwide exclusions have been entered under this part; and persons determined to be ineligible; and (2) Setting forth the consequences of a debarment, suspension, determination of ineligibility, or voluntary exclusion. (d) Although these regulations cover the listing of ineligible participants and the effect of such listing, they do not prescribe policies and procedures governing declarations of ineligibility. [60 FR 33040, 33053, June 26, 1995] $25.105 Definitions. The following definitions apply to this part: Adequate evidence. Information sufficient to support the reasonable belief that a particular act or omission has occurred. Affiliate. Persons are affiliates of each other if, directly or indirectly, either one controls or has the power to control the other, or, a third person controls or has the power to control both. Indicia of control include, but are not limited to: interlocking management or ownership, identity of interests among family members, shared facilities and equipment, common use of employees, or a business entity organized following the suspension or debarment of a person which has the same or similar management, owner ship, or principal employees as the suspended, debarred, ineligible, or voluntarily excluded person. Agency. Any executive department. military department or defense agency or other agency of the executive branch, excluding the independent regulatory agencies. (a) The meaning of agency in Subpart F of this part, Drug-Free Workplace Requirements, is given at §25.605(b)(6) and is different than the meaning given in this section for subparts A through E of this part. Agency in Subpart F of this part means the Department of Defense or a Military Department only. and does not include any Defense Agency. (b) [Reserved] Civil judgment. The disposition of a civil action by any court of competent jurisdiction, whether entered by verdict, decision, settlement, stipulation, or otherwise creating a civil liability for the wrongful acts complained of; or a final determination of liability under the Program Fraud Civil Remedies Act of 1988 (31 U.S.C. 3801-12). Conviction. A judgment or conviction of a criminal offense by any court of competent jurisdiction, whether entered upon a verdict or a plea, including a plea of nolo contendere. Debarment. An action taken by a debarring official in accordance with these regulations to exclude a person from participating in covered transactions. A person SO excluded is "debarred.” Debarring official. An official authorized to impose debarment. The debarring official is either: (a) The agency head, or (b) An official designated by the agency head. (c) DoD Components' debarring officials for nonprocurement transactions are the same officials identified in 48 CFR part 209, subpart 209.4, as debarring officials for procurement contracts. Indictment. Indictment for a criminal offense. An information or other filing by competent authority charging a criminal offense shall be given the same effect as an indictment. Ineligible. Excluded from participation in Federal nonprocurement programs pursuant to a determination of ineligibility under statutory, executive order, or regulatory authority, other than Executive Order 12549 and its agency implementing regulations; for exemple, excluded pursuant to the Davis-Bacon Act and its implementing regulations, the equal employment opportunity acts and executive orders, or the environmental protection acts and executive orders. A person is ineligible where the determination of ineligibility affects such person's eligibility to participate in more than one covered transaction. Legal proceedings. Any criminal proceeding or any civil judicial proceeding to which the Federal Government or a State or local government or quasigovernmental authority is a party. The term includes appeals from such proceedings. List of Parties Excluded from Federal Procurement and Nonprocurement Programs. A list compiled, maintained and distributed by the General Services Administration (GSA) containing the names and other information about persons who have been debarred, suspended, or voluntarily excluded under Executive Orders 12549 and 12689 and these regulations or 48 CFR part 9, subpart 9.4, persons who have been proposed for debarment under 48 CFR part 9, subpart 9.4, and those persons who have been determined to be ineligible. Notice. A written communication served in person or sent by certified mail, return receipt requested, or its equivalent, to the last known address of a party, its identified counsel, its agent for service of process, or any partner, officer, director, owner, or joint venturer of the party. Notice, if undeliverable, shall be considered to have been received by the addressee five days after being properly sent to the last address known by the agency. Participant. Any person who submits a proposal for, enters into, or reasonably may be expected to enter into a covered transaction. This term also includes any person who acts on behalf of or is authorized to commit a participant in a covered transaction as an agent or representative of another participant. Person. Any individual, corporation, partnership, association, unit of government or legal entity, however orga nized, except: foreign governments or foreign governmental entities, public international organizations, foreign government owned (in whole or in part) or controlled entities, and entities consisting wholly or partially of foreign governments or foreign governmental entities. Preponderance of the evidence. Proof by information that, compared with that opposing it, leads to the conclusion that the fact at issue is more probably true than not. Principal. Officer, director, owner, partner, key employee, or other person within a participant with primary management or supervisory responsibilities; or a person who has a critical influence on or substantive control over a covered transaction, whether or not employed by the participant. Persons who have a critical influence on or substantive control over a covered transaction are: (a) Principal investigators. (b) Reserved. Proposal. A solicited or unsolicited bid, application, request, invitation to consider or similar communication by or on behalf of a person seeking to participate or to receive a benefit, directly or indirectly, in or under a covered transaction. Respondent. A person against whom a debarment or suspension action has been initiated. State. Any of the States of the United States, the District of Columbia, the Commonwealth of Puerto Rico, any territory or possession of the United States, or any agency of a State, exclusive of institutions of higher education, hospitals, and units of local government. A State instrumentality will be considered part of the State government if it has a written determination from a State government that such State considers that instrumentality to be an agency of the State government. Suspending official. An official authorized to impose suspension. The suspending official is either: (a) The agency head, or (b) An official designated by the agency head. (c) DoD Components' suspending officials for nonprocurement transactions are the same officials identified in 48 |