[Federal Register: January 23, 2002 (Volume 67, Number 15)]
[Proposed Rules]
[Page 3365-3368]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr23ja02-26]
[[pp. 3365-3368]] Governmentwide Debarment and Suspension (Nonprocurement) and
Governmentwide Requirements for Drug-Free Workplace (Grants)
[[Continued from page 3364]]
[[Page 3365]]
6101 note); E.O. 12549 (3 CFR, 1986 Comp., p. 189); E.O. 12689 (3
CFR, 1989 Comp., p. 235).
2. Part 2542 is further amended as set forth below.
a. ``[Agency noun]'' is removed and ``Corporation'' is added in its
place wherever it occurs.
b. ``[Agency adjective]'' is removed and ``Corporation'' is added
in its place wherever it occurs.
c. ``[Agency head or designee]'' is removed and ``Corporation Chief
Executive Officer or designee'' is added in its place wherever it
occurs.
3. Section 2542.440 is added to read as follows:
Sec. 2542.440 What method do I use to communicate requirements to
participants?
To communicate the requirements, you must include a term or
condition in the transaction requiring the participant's compliance
with subpart C of this part and requiring them to include a similar
term or condition in lower-tier covered transactions.
4. Part 2545 is added to read as set forth in instruction 2 at the
end of the common preamble.
PART 2545--GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE WORKPLACE
(FINANCIAL ASSISTANCE)
Subpart A--Purpose and Coverage
Sec.
2545.100 What does this part do?
2545.105 Does this part apply to me?
2545.110 Are any of my Federal assistance awards exempt from this
part?
2545.115 Does this part affect the Federal contracts that I
receive?
Subpart B--Requirements for Recipients Other Than Individuals
2545.200 What must I do to comply with this part?
2545.205 What must I include in my drug-free workplace statement?
2545.210 To whom must I distribute my drug-free workplace
statement?
2545.215 What must I include in my drug-free awareness program?
2545.220 By when must I publish my drug-free workplace statement
and establish my drug-free awareness program?
2545.225 What actions must I take concerning employees who are
convicted of drug violations in the workplace?
2545.230 How and when must I identify workplaces?
Subpart C--Requirements for Recipients Who Are Individuals
2545.300 What must I do to comply with this part if I am an
individual recipient?
2545.301 [Reserved]
Subpart D--Responsibilities of Corporation Awarding Officials
2545.400 What are my responsibilities as a Corporation awarding
official?
Subpart E--Violations of This Part and Consequences
2545.500 How are violations of this part determined for recipients
other than individuals?
2545.505 How are violations of this part determined for recipients
who are individuals?
2545.510 What actions will the Federal Government take against a
recipient determined to have violated this part?
2545.515 Are there any exceptions to those actions?
Subpart F--Definitions
2545.605 Award.
2545.610 Controlled substance.
2545.615 Conviction.
2545.620 Cooperative agreement.
2545.625 Criminal drug statute.
2545.630 Debarment.
2545.635 Drug-free workplace.
2545.640 Employee.
2545.645 Federal agency or agency.
2545.650 Grant.
2545.655 Individual.
2545.660 Recipient.
2545.665 State.
2545.670 Suspension.
Authority: 41 U.S.C. 701, et seq.; 42 U.S.C. 12644 and 12651(c).
5. Part 2545 is further amended as set forth below.
a. ``[Agency noun]'' is removed and ``Corporation'' is added in its
place wherever it occurs.
b. ``[Agency adjective]'' is removed and ``Corporation'' is added
in its place wherever it occurs.
c. ``[Agency head or designee]'' is removed and ``Corporation Chief
Executive Officer or designee'' is added in its place wherever it
occurs.
d. ``[Agency head]'' is removed and ``Corporation Chief Executive
Officer'' is added in its place wherever it occurs.
6. Section 2545.510(c) is further amended by removing ``[CFR
citation for the Federal Agencies' regulations implementing Executive
Order 12549 and Executive Order 12689]'' and adding ``45 CFR part
2542'' in its place.
7. Section 2545.605(a)(2) is further amended by removing ``[Agency-
specific CFR citation]'' and adding ``45 CFR part 2541'' in its place.
DEPARTMENT OF TRANSPORTATION
49 CFR Parts 29 and 32
RIN 2105-AD07
FOR FURTHER INFORMATION CONTACT: Ladd Hakes, Office of the Senior
Procurement Executive (M-62), 400 Seventh Street SW., Washington, DC
20590, (202) 366-4268, e-mail: ladd.hakes@ost.dot.gov.
ADDITIONAL SUPPLEMENTARY INFORMATION: This part proposes additional
debarment and suspension exception authority by including a paragraph
(c) in Sec. 29.120 to allow any DOT debarring or suspending official to
grant exceptions and make written determinations under that section. In
addition, Sec. 29.440 proposes to use terms or conditions to the award
transactions as a means to enforce exclusions under DOT transactions
rather than written certifications. This alternative available under
the common rule is more efficient that DOT's current certification
process for prospective recipients and participants. This part also
proposes to add a paragraph (d) to Sec. 29.520 requiring DOT officials,
when providing information to GSA, to include their Operating
Administration identifying code. This part also proposes to add a
paragraph (b) to the definitions of a ``debarring official'' at
Sec. 29.935 and ``suspending official'' at Sec. 29.1010 to include the
head of a Departmental operating administration, with downward
delegation authority. Finally, this proposed rule relocates the
requirements for maintaining a drug-free workplace from 49 CFR part 29
to 49 CFR part 32.
List of Subjects
49 CFR Part 29
Administrative practice and procedure, Government contracts, Grant
programs, Loan programs, Reporting and recordkeeping requirements.
49 CFR Part 32
Administrative practice and procedure, Drug abuse, Grant programs,
Reporting and recordkeeping requirements.
Approved: November 2, 2001.
Norman Y. Mineta,
Secretary of Transportation.
For the reasons stated in the common preamble, the Department of
Transportation proposes to amend 49 CFR chapter I, as follows:
1. Part 29 is revised to read as set forth in instruction 1 at the
end of the common preamble.
PART 29--GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT)
Sec.
29.25 How is this part organized?
29.50 How is this part written?
29.75 Do terms in this part have special meanings?
Subpart A--General
29.100 What does this part do?
29.105 Does this part apply to me?
29.110 What is the purpose of the nonprocurement debarment and
suspension system?
[[Page 3366]]
29.115 How does an exclusion restrict a person's involvement in
covered transactions?
29.120 May we grant an exception to let an excluded person
participate in a covered transaction?
29.125 Does an exclusion under the nonprocurement system affect a
person's eligibility to participate in Federal procurement
contracts?
29.130 Does an exclusion under the Federal procurement system
affect a person's eligibility to participate in nonprocurement
transactions?
29.135 May DOT exclude a person who is not currently participating
in a nonprocurement transaction?
29.140 How do I know if a person is excluded?
29.145 Does this part cover persons who are disqualified as well
as those who are excluded from nonprocurement transactions?
Subpart B--Covered Transactions
29.200 What is a covered transaction?
29.205 Why is it important to know if a particular transaction is
a covered transaction?
29.210 Which nonprocurement transactions are covered transactions?
29.215 Which nonprocurement transactions are not covered
transactions?
29.220 Are any procurement contracts included as covered
transactions?
29.225 How do I know if a transaction that I may participate in is
a covered transaction?
Subpart C--Responsibilities of Participants Regarding Transactions
Doing Business With Other Persons
29.300 May I enter into a covered transaction with an excluded or
disqualified person?
29.305 What must I do if a Federal agency excludes a person with
whom I am already doing business in a covered transaction?
29.310 May I use the services of an excluded person under a
covered transaction?
29.315 Must I verify that principals of my covered transactions
are eligible to participate?
29.320 What happens if I do business with an excluded person in a
covered transaction?
29.325 What requirements must I pass down to persons at lower
tiers with whom I intend to do business?
Disclosing Information--Primary Tier Participants
29.330 What information must I provide before entering into a
covered transaction with DOT?
29.335 If I disclose unfavorable information required under
Sec. 29.330 will I be prevented from entering into the transaction?
29.340 What happens if I fail to disclose the information required
under Sec. 29.330?
29.345 What must I do if I learn of the information required under
Sec. 29.330 after entering into a covered transaction with DOT?
Disclosing Information--Lower Tier Participants
29.350 What information must I provide to a higher tier
participant before entering into a covered transaction with that
participant?
29.355 What happens if I fail to disclose the information required
under Sec. 29.350?
29.360 What must I do if I learn of information required under
Sec. 29.350 after entering into a covered transaction with a higher
tier participant?
Subpart D--Responsibilities of DOT Officials Regarding Transactions
29.400 May I enter into a transaction with an excluded or
disqualified person?
29.405 May I enter into a covered transaction with a participant
if a principal of the transaction is excluded?
29.410 May I approve a participant's use of the services of an
excluded person?
29.415 What must I do if a Federal agency excludes the participant
or a principal after I enter into a covered transaction?
29.420 May I approve a transaction with an excluded or
disqualified person at a lower tier?
29.425 When do I check to see if a person is excluded or
disqualified?
29.430 How do I check to see if a person is excluded or
disqualified?
29.435 What must I require of a primary tier participant?
29.440 What method do I use to communicate those requirements to
participants?
29.445 What action may I take if a primary tier participant
knowingly does business with an excluded or disqualified person?
29.450 What action may I take if a primary tier participant fails
to disclose the information required under Sec. 29.330?
29.455 What may I do if a lower tier participant fails to disclose
the information required under Sec. 29.350 to the next higher tier?
Subpart E--Governmentwide List of Parties Excluded or Disqualified From
Federal Procurement and Nonprocurement Programs
29.500 What is the purpose of the List?
29.505 Who uses the List?
29.510 Who maintains the List?
29.515 What specific information is on the List?
29.520 Who gives the GSA the information that it puts on the List?
29.525 Whom do I ask if I have questions about a person on the
List?
29.530 Where can I get the List?
Subpart F--General Principles Relating to Suspension and Debarment
Actions
29.600 How do suspension and debarment actions start?
29.605 How does suspension differ from debarment?
29.610 What procedures does DOT use in suspension and debarment
actions?
29.615 How does DOT notify a person of suspension and debarment
actions?
29.620 Do Federal agencies coordinate suspension and debarment
actions?
29.625 What is the scope of a suspension or debarment action?
29.630 May DOT impute the conduct of one person to another?
29.635 May DOT settle a debarment or suspension action?
29.640 May a settlement include a voluntary exclusion?
29.645 Do other Federal agencies know if DOT agrees to a voluntary
exclusion?
Subpart G--Suspension
29.700 When may the suspending official issue a suspension?
29.705 What does the suspending official consider in issuing a
suspension?
29.710 When does a suspension take effect?
29.715 What notice does the suspending official give me if I am
suspended?
29.720 How may I contest a suspension?
29.725 How much time do I have to contest a suspension?
29.730 What information must I provide to the suspending official
if I contest a suspension?
29.735 Under what conditions do I get an additional opportunity to
challenge the facts on which the suspension is based?
29.740 Are suspension proceedings formal?
29.745 Is a record made of fact-finding proceedings?
29.750 What does the suspending official consider in deciding
whether to continue or terminate my suspension?
29.755 When will I know whether the suspension is continued or
terminated?
29.760 How long may my suspension last?
Subpart H--Debarment
29.800 What are the causes for debarment?
29.805 What notice does the debarring official give me if I am
proposed for debarment?
29.810 When does a debarment take effect?
29.815 How may I contest a proposed debarment?
29.820 How much time do I have to contest a proposed debarment?
29.825 What information must I provide to the debarring official
if I contest a proposed debarment?
29.830 Under what conditions do I get an additional opportunity to
challenge the facts on which the proposed debarment is based?
29.835 Are debarment proceedings formal?
29.840 Is a record made of fact-finding proceedings?
29.845 What does the debarring official consider in deciding
whether to debar me?
29.850 What is the standard of proof in a debarment action?
29.855 Who has the burden of proof in a debarment action?
29.860 What factors may influence the debarring official's
decision?
29.865 How long may my debarment last?
29.870 When do I know if the debarring official debars me?
29.875 May I ask the debarring official to reconsider a decision
to debar me?
29.880 What factors may influence the debarring official during
reconsideration?
29.885 May the debarring official extend a debarment?
[[Page 3367]]
Subpart I--Definitions
29.900 Adequate evidence.
29.905 Affiliate.
29.910 Agency.
29.915 Agent or representative.
29.920 Civil judgment.
29.925 Conviction.
29.930 Debarment.
29.935 Debarring official.
29.940 Disqualified.
29.945 Excluded or exclusion.
29.950 Indictment.
29.955 Ineligible or ineligibility.
29.960 Legal proceedings.
29.965 List of Parties Excluded or Disqualified from Federal
Procurement and Nonprocurement Programs.
29.970 Nonprocurement transaction.
29.975 Notice.
29.980 Participant.
29.985 Person.
29.990 Preponderance of the evidence.
29.995 Principal.
29.1000 Respondent.
29.1005 State.
29.1010 Suspending official.
29.1015 Suspension.
29.1020 Voluntary exclusion or voluntarily excluded.
Subpart J [Reserved]
Appendix to Part 29--Covered Transactions
Authority: Sec. 2455, Pub. L. 103-355, 108 Stat. 3327 (31 U.S.C.
6101 note); E.O.11738 (3 CFR, 1973 Comp., p.799); E.O.12549 (3 CFR,
1986 Comp., p. 189); E.O. 12689 (3 CFR, 1989 Comp., p. 235).
2. Part 29 is further amended as set forth below.
a. ``[Agency noun]'' is removed and ``Department of
Transportation'' is added in its place wherever it occurs.
b. ``[Agency adjective]'' is removed and ``DOT'' is added in its
place wherever it occurs.
c. ``[Agency head or designee]'' is removed and ``debarring or
suspending official'' is added in its place wherever it occurs.
3. Section 29.120 is further amended by adding a paragraph (c) to
read as follows:
Sec. 29.120 May we grant an exception to an excluded person to
participate in a covered transaction?
* * * * *
(c) A debarring or suspending official may grant exceptions and
make written determinations under this section.
4. Section 29.440 is added to read as follows:
Sec. 29.440 What method do I use to communicate those requirements to
participants?
To communicate the requirement you must include a term or condition
in the transaction requiring the participants' compliance with subpart
C of this part and requiring them to include a similar term or
condition in lower-tier covered transactions.
5. Section 29.520 is further amended by removing the period at the
end of paragraph (c)(4) and adding a semi-colon, and adding a paragraph
(d) to read as follows:
Sec. 29.520. Who gives the GSA the information that it puts on the
List?
* * * * *
(d) The DOT official's Operating Administration code, as follows:
United States Coast Guard [DOT-USCG]; Federal Aviation Administration
[DOT-FAA]; Federal Highway Administration [DOT-FHWA]; Federal Motor
Carrier Safety Administration [DOT-FMCSA]; Federal Railway
Administration [DOT-FRA]; Federal Transit Administration [DOT-FTA];
National Highway Traffic Safety Administration [DOT-NHTSA]; Research
and Special Programs [DOT-RSPA]; Maritime Administration [DOT-MARAD];
and DOT (general) [DOT-OST].
6. Section 29.935 is further amended by adding a paragraph (b) to
read as follows:
Sec. 29.935 Debarring official.
* * * * *
(b) For DOT ``debarring official'' means the designated head of a
DOT operating administration, who may delegate any of his or her
functions under this part and authorize successive delegations.
7. Section 29.1010 is further amended by adding a paragraph (b) to
read as follows:
Sec. 29.1010 Suspending official.
* * * * *
(b) For DOT ``suspending official'' means the designated head of a
DOT operating administration, who may delegate any of his or her
functions under this part and authorize successive delegations.
8. Part 32 is added to read as set forth in instruction 2 at the
end of the common preamble.
PART 32--GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE WORKPLACE
(FINANCIAL ASSISTANCE)
Subpart A--Purpose and Coverage
Sec.
32.100 What does this part do?
32.105 Does this part apply to me?
32.110 Are any of my Federal assistance awards exempt from this
part?
32.115 Does this part affect the Federal contracts that I receive?
Subpart B--Requirements for Recipients Other Than Individuals
32.200 What must I do to comply with this part?
32.205 What must I include in my drug-free workplace statement?
32.210 To whom must I distribute my drug-free workplace statement?
32.215 What must I include in my drug-free awareness program?
32.220 By when must I publish my drug-free workplace statement and
establish my drug-free awareness program?
32.225 What actions must I take concerning employees who are
convicted of drug violations in the workplace?
32.230 How and when must I identify workplaces?
Subpart C--Requirements for Recipients Who Are Individuals
32.300 What must I do to comply with this part if I am an
individual recipient?
32.301 [Reserved]
Subpart D--Responsibilities of DOT Awarding Officials
32.400 What are my responsibilities as a DOT awarding official?
Subpart E--Violations of This Part and Consequences
32.500 How are violations of this part determined for recipients
other than individuals?
32.505 How are violations of this part determined for recipients
who are individuals?
32.510 What actions will the Federal Government take against a
recipient determined to have violated this part?
32.515 Are there any exceptions to those actions?
Subpart F--Definitions
32.605 Award.
32.610 Controlled substance.
32.615 Conviction.
32.620 Cooperative agreement.
32.625 Criminal drug statute.
32.630 Debarment.
32.635 Drug-free workplace.
32.640 Employee.
32.645 Federal agency or agency.
32.650 Grant.
32.655 Individual.
32.660 Recipient.
32.665 State.
32.670 Suspension.
Authority: 41 U.S.C. 701 et seq.
9. Part 32 is further amended as set forth below.
a. ``[Agency noun]'' is removed and ``Department of
Transportation'' is added in its place wherever it occurs.
b. ``[Agency adjective]'' is removed and ``DOT'' is added in its
place wherever it occurs.
c. ``[Agency head or designee]'' is removed and ``Secretary of
Transportation'' is added in its place wherever it occurs.
d. ``[Agency head]'' is removed and ``Secretary of Transportation''
is added in its place wherever it occurs.
[[Page 3368]]
10. Section 32.510 (c) is further amended by removing ``CFR
citation for the Federal Agency's regulations implementing Executive
Order 12549 and Executive Order 12689'' and adding ``49 CFR part 29''
in its place.
11. Section 32.605(a)(2) is further amended by removing ``[Agency-
specific CFR citation]''and adding ``49 CFR part 18'' in its place.
[FR Doc. 02-1 Filed 1-22-02; 8:45 am]
BILLING CODES 6325-01, 3410-KS, 6450-01, 8025-01, 7510-01, 3510-FA,
4191-02, 3180-02, 4710-05, 6116-01, 6051-01, 7025-01, 6117-01, 4510-23,
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