Definitions for Use With Certification Regarding DebarmentIndex: ACYF-PI-CC-97-02 | Preprint | Assurance of Compliance with Title VI of the Civil Rights Act of 1964 | Certification Regarding Debarment | Definitions for Use with the Certification of Debarment| HHS Certification regarding Drug-Free Workplace Requirements | Certification regarding Lobbying and Certification of Compliance with the Pro-Children Act of 1994. |
DEFINITIONS FOR USE WITH CERTIFICATION REGARDING DEBARMENT (FROM 45 CFR PART 76)
Covered transaction
For purposes of these regulations, a covered transaction is a primary covered transaction or a lower tier covered transaction. Covered transactions at any tier need not involve the transfer of Federal funds.
Primary covered transaction
Except as noted at 45 CFR 76.110(a)(2), a primary covered transaction is any nonprocurement transaction between an agency and a person, regardless of type, including: grants, cooperative agreements, scholarships, fellowships, contracts of assistance, loans, loan guarantees, subsidies, insurance, payments for specified use, donation agreements and any other nonprocurement transactions between a Federal agency and a person. Primary covered transactions also include those transactions specially designated by the U.S. Department of Housing and Urban Development in such agency's regulations governing debarment and suspension.
Lower tier covered transaction
A lower tier covered transaction is:
¥ Any transaction between a participant and a person other than a procurement contract for goods or services, regardless of type, under a primary covered transaction.
¥ Any procurement contract for goods or services between a participant and a person, regardless of type, expected to equal or exceed the Federal procurement small purchase threshold fixed at 10 U.S.C. 2304(g) and 41 U.S.C. 253(g) (currently $25,000) under a primary covered transaction.
¥ Any procurement contract for goods or services between a participant and a person under a covered transaction, regardless of amount, under which that person will have a critical influence on or substantive control over that covered transaction. Such persons are:
- Principal investigators
- Providers of Federally-required audit services
- Researchers
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.
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 example, 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.
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 organized, 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.
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:
¥ Principal investigators
¥ Researchers
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.
Suspension
An action taken by a suspending official in accordance with these regulations that immediately excludes a person from participating in covered transactions for a temporary period, pending completion of an investigation and such legal, debarment, or Program Fraud Civil Remedies Act proceedings as may ensue. A person so excluded is suspended.
Voluntary exclusion/voluntarily excluded
A status of nonparticipation or limited participation in covered transactions assumed by a person pursuant to the terms of a settlement.