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On May 22, 2008, the US Department of Transportation (DOT) issued a final rule (73 FR 24139 [May 22, 2008]) that moved regulations pertaining to non-procurement suspension and debarment from Title 49 CFR Part 29 to Title 2 CFR Part 1200. 49 CFR Part 29 was cancelled as a result of this action. Part1200 adopts the Office of Management and Budget's (OMB) requirements for non-procurement suspension and debarment as found under 2 CFR Part 180. As defined under Part 180.970 - Definitions, an AIP grant falls under the category of a "Federal non-procurement" .
The primary purpose of the non-procurement suspension and debarment provision is to protect the public interest and to ensure the integrity of Federal programs by conducting business only with responsible individuals and firms. The FAA uses the non-procurement debarment and suspension system to exclude individuals and firms who are not presently deemed responsible from participating in the AIP funded project.
A "covered transaction" is defined as any contract, regardless of tier, that is awarded by a contractor, subcontractor, supplier, consultant, or its agent or representative in any transaction under a non procurement transaction (AIP grant) and the amount of the contract is expected to equal or exceed $25,000. This extends the coverage of the non-procurement suspension and debarment requirements to all lower tiers of subcontracts under an AIP grant.
Method of Compliance
Sponsors of an AIP grant must include a term or condition in lower-tier transactions that requires lower-tier participants to comply with Subpart C of the OMB guidance in 2 CFR part 180. The following represents an acceptable contract clause that meets the requirements of Subpart C.
Certification Regarding Debarment and Suspension (Non-Procurement) - 2 CFR Part 180 & 2 CFR Part 1200)
The contract agreement that ultimately results from this solicitation is a "covered transaction" as defined by 2 CFR Part 180. Bidder must certify at the time they submit their proposal that neither it nor its principals are presently debarred or suspended any Federal department or agency from participation in this transaction. The bidder with the successful bid further agrees to comply with 2 CFR Part 1200 and 2 CFR Part 180, Subpart C by administering each lower tier subcontract that exceeds $25,000 as a "covered transaction".
Certification Statement -
As a "covered transaction" under 2 CFR Part 180, the bidder:
- Certifies by submission of their proposal that neither it nor its principals are presently debarred or suspended by any Federal department or agency from participation in this transaction.
- Agrees to comply with 2 CFR Part 1200 and 2 CFR Part 180, Subpart C by administering each lower tier subcontract that exceeds $25,000 as a "covered transaction". As such, the successful bidder must verify each lower tier participant of a "covered transaction" under the Project is not presently debarred or otherwise disqualified from participation in this federally assisted project. The successful bidder shall accomplish this by:
- Checking the Exclusion Extract located on the System for Award Management (SAM) at https://www.sam.gov/SAM/
- Collecting a certification statement similar to paragraph (a)
- Inserting a clause or condition in the covered transaction with the lower tier contract
(Optional Statement) If the FAA later determines that an individual failed to tell a higher tier that they were excluded or disqualified at the time they entered the covered transaction with that person, the FAA may pursue any available remedy, including suspension and debarment
Exclusion Extract (Formerly Excluded Parties List)
As of November 22, 2012, the General Services Administration (GSA) officially retired the Excluded Parties List System (EPLS) and implemented the "Exclusions Extract", which is located under the System for Award Management (SAM). All information provided under the previous Excluded Parties List System is now available under the Exclusion Extract listing. GSA did make some minor changes. Cause Treatment (CT) codes are no longer used. Also, the Exclusion Extract uses four classification types: 1) Firm 2) Individual, 3) Vessel and 4) Special Entity Designation.
Any person can access the SAM Exclusion Extract regardless of whether they have a SAM account. The extract is public domain information and does not contain Sensitive Personal Information.
How to Search for an exclusion -
- Access SAM system at https://www.sam.gov/SAM/
- On the home page under the Search Records Tab, type the Entity's name, DUNS number or the Commercial and Government Entity (CAGE) code in the search bar.
- Click Search Icon
- If there is no result, the entity does not have an active exclusion
- If an exclusion if found, the result will show a box labeled as "Exclusion"; check the status in the top-right corner of the box. If the status indicates "Active", the entity has an active exclusion.
Addtional Exclusion Extract Resources -
- Exclusion Extract User Guide (PDF)
- Public User - Identifying Excluded Entities (PDF) - Informational guide