debarment
and suspension procedures
H-100 Scope.
H-101 Notification.
H-102 Nature of proceeding.
H-103 Presentation of matters
in opposition.
H-104 Fact-finding.
H-105 Timing requirements.
H-106 Subsequent to
fact-finding.
H-100 Scope.
This appendix provides uniform
debarment and suspension procedures to be followed by all debarring and
suspending officials.
H-101 Notification.
Contractors will be notified of
the proposed debarment or suspension in accordance with FAR 9.406-3 or
9.407-3. A copy of the record which
formed the basis for the decision by the debarring and suspending official will
be made available to the contractor. If
there is a reason to withhold from the contractor any portion of the record,
the contractor will be informed of what is withheld and the reasons for such
withholding.
H-102 Nature of proceeding.
There are two distinct
proceedings which may be involved in the suspension or debarment process. The first is the presentation of matters in
opposition to the suspension or proposed debarment by the contractor. The second is fact-finding which occurs only
in cases in which the contractor’s presentation of matters in opposition raises
a genuine dispute over one or more material facts. In a suspension action based upon an indictment or in a proposed
debarment action based upon a conviction or civil judgment, there will be no
fact-finding proceeding concerning the matters alleged in the indictment, or
the facts underlying the convictions or civil judgment. However, to the extent that the proposed
action stems from the contractor’s affiliation with an individual or firm
indicted or convicted, or the subject of a civil judgment, fact-finding is
permitted if a genuine dispute of fact is raised as to the question of
affiliation as defined in FAR 9.403.
H-103 Presentation of matters
in opposition.
(a) In accordance with FAR 9.406-3(c) and
9.407-3(c), matters in opposition may be presented in person, in writing, or through
a representative. Matters in opposition
may be presented through any combination of the foregoing methods, but if a
contractor desires to present matters in person or through a representative,
any written material should be delivered at least 5 working days in advance of
the presentation. Usually, all matters
in opposition are presented in a single proceeding. A contractor who becomes aware of a pending indictment or
allegations of wrongdoing that the contractor believes may lead to suspension
or debarment action may contact the debarring and suspending official or
designee to provide information as to the contractor’s present responsibility.
(b) An in-person presentation is an informal
meeting, nonadversarial in nature. The
debarring and suspending official and/or other agency representatives may ask
questions of the contractor or its representative making the presentation. The contractor may select the individuals
who will attend the meeting on the contractor’s behalf; individual respondents
or principals of a business firm respondent may attend and speak for
themselves.
(c) In accordance with FAR 9.406-3(c) and 9.407-3(c), the contractor may submit matters in opposition within 30 days from receipt of the notice of suspension or proposed debarment.
(d) The opportunity to present matters in
opposition to debarment includes the opportunity to present matters concerning
the duration of the debarment.
H-104 Fact-finding.
(a) The debarring and suspending official will
determine whether the contractor’s presentation has raised a genuine dispute of
material fact(s). If the debarring and
suspending official has decided against debarment or continued suspension, or
the provisions of FAR 9.4 preclude fact-finding, no fact-finding will be
conducted. If the debarring and
suspending official has determined a genuine dispute of material fact(s)
exists, a designated fact-finder will conduct the fact-finding proceeding. The proceeding before the fact-finder will
be limited to a finding of the facts in dispute as determined by the debarring
and suspending official.
(b) The designated fact-finder will establish
the date for a fact-finding proceeding, normally to be held within 45 working
days of the contractor’s presentation of matters in opposition. An official record will be made of the
fact-finding proceeding.
(c) The Government’s representative and the
contractor will have an opportunity to present evidence relevant to the facts
at issue. The contractor may appear in
person or through a representative in the fact-finding proceeding.
(d) Neither the Federal Rules of Evidence nor
the Federal Rules of Civil Procedure govern fact-finding. Hearsay evidence may be presented and will
be given appropriate weight by the fact-finder.
(e) Witnesses may testify in person. Witnesses will be reminded of the official
nature of the proceeding and that any false testimony given is subject to
criminal prosecution. Witnesses are
subject to cross-examination.
H-105 Timing requirements.
All timing requirements set forth
in these procedures may be extended by the debarring and suspending official
for good cause.
H-106 Subsequent to
fact-finding.
(a) Written findings of fact will be prepared by
the fact-finder as mandated by FAR 9.406-3(d)(2)(i) and 9.407-3(d)(2)(i).
(b) The fact-finder will determine the disputed
fact(s) by a preponderance of the evidence.
A copy of the findings of fact will be provided to the debarring and
suspending official, the Government’s representative, and the contractor.
(c) The debarring and suspending official will
determine whether to continue the suspension or to debar the contractor based
upon the entire administrative record, including the findings of fact.
(d) Prompt written notice of the debarring and
suspending official’s decision will be sent to the contractor and any
affiliates involved, in compliance with FAR 9.406-3(e) and 9.407-3(d)(4).