FAR Part 9 Deck 2 Flashcards
(98 cards)
1
Q
What does Subpart 9.4 govern?
A
The debarment and suspension of contractors by agencies for specified causes
See 9.406-2 and 9.407-2 for specific causes.
2
Q
What does Subpart 9.4 provide regarding contractors?
A
It provides for the listing of contractors debarred, suspended, proposed for debarment, and declared ineligible
Refer to the definition of ‘ineligible’ in 2.101.
3
Q
What are the consequences of listing a contractor?
A
Contractors face exclusion from receiving contracts and agencies shall not solicit offers from them
See 9.405 for details.
4
Q
What is the applicability of Subpart 9.4?
A
Recognizes debarment and suspension actions initiated under the Nonprocurement Common Rule as effective for Executive Branch agencies
As per Public Law 103-355 and Executive Order 12689.
5
Q
What is the policy regarding debarment and suspension?
A
Agencies shall only solicit offers from responsible contractors; debarment and suspension are discretionary actions
Imposed only in the public interest for the Government’s protection.
6
Q
What is an administrative agreement?
A
An agreement used to resolve a suspension or debarment proceeding
Between an agency suspending and debarring official and the contractor.
7
Q
Define ‘affiliates’ in the context of this subpart.
A
Business concerns, organizations, or individuals that control or have the power to control each other
Includes interlocking management, shared facilities, and identity of interests.
8
Q
What does ‘civil judgment’ mean?
A
The disposition of a civil action by any court creating civil liability for wrongful acts
Includes determinations under the Program Fraud Civil Remedies Act.
9
Q
What constitutes a ‘conviction’?
A
A judgment or determination of guilt of a criminal offense by a competent court
Includes pleas of nolo contendere and other equivalent judgments.
10
Q
Who is considered a ‘contractor’?
A
Any individual or entity that submits offers for or is awarded a Government contract
Includes agents or representatives of another contractor.
11
Q
What is meant by ‘nonprocurement common rule’?
A
Procedures used by Federal Executive Agencies to suspend or debar individuals from nonprocurement transactions
Examples include grants and loans as per Executive Order 12549.
12
Q
What is a ‘pre-notice letter’?
A
Written correspondence to a contractor in a debarment matter that does not immediately result in an exclusion
Issued at the discretion of the suspending and debarring official.
13
Q
True or False: ‘Voluntary exclusion’ means a contractor’s written agreement to be excluded for a period.
A
True
It must have Governmentwide effect.
14
Q
What information does an exclusion record in SAM contain?
A
Includes names, addresses, agency taking action, cause for action, and termination date
See 9.404 for details.
15
Q
What actions are prohibited for contractors with an active exclusion record?
A
They are excluded from receiving contracts or subcontracts
Agencies shall not solicit offers from such contractors.
16
Q
What must agencies do regarding contractors declared ineligible under 22 U.S.C. 2593e?
A
They shall not enter into, renew, or extend contracts with these contractors
Includes restrictions on placing new orders or awards.
17
Q
Fill in the blank: Agencies must maintain records relating to each _______.
A
debarment, suspension, proposed debarment, or voluntary exclusion
As per 9.404(c)(4).
18
Q
What must a contracting officer do prior to awarding a contract?
A
Review exclusion records in SAM to ensure no award is made to a listed contractor
This is crucial to comply with 9.405(e).
19
Q
What is the threshold amount for subcontracts that require notification to the contracting officer if involving a debarred party?
A
$35,000
20
Q
What clause requires a contractor to notify the contracting officer before entering into a subcontract with a debarred party?
A
52.209-6
21
Q
For contracts acquiring commercial products, the notification requirement applies only for _______.
A
first-tier subcontracts
22
Q
What must the notice include regarding the subcontractor’s exclusion record?
A
- Name of the subcontractor
- Contractor’s knowledge of reasons for exclusion
- Compelling reasons for doing business
- Systems to protect Government’s interests
23
Q
What is reviewed during Contractor Purchasing System Reviews?
A
Compliance with requirements of 52.209-6
24
Q
Who is responsible for determining whether debarment is in the Government’s interest?
A
The suspending and debarring official
25
The existence of a cause for debarment does not necessarily require that the contractor be _______.
debarred
26
What should be considered before making a debarment decision?
* Effective standards of conduct
* Timely reporting of issues
* Cooperation with investigations
* Disciplinary actions taken
* Implementation of remedial measures
27
What factors can affect the seriousness of a contractor's acts or omissions?
* Remedial measures
* Mitigating factors
* Aggravating factors
28
What does debarment constitute for a contractor?
Debarment of all divisions or organizational elements
29
What must be included in a debarment notice when debarment is issued?
* The specific FAR and FMR citations
* Indication of simultaneous debarment from contracts
30
What is a cause for debarment related to criminal activity?
Commission of fraud or a criminal offense
31
A contractor can be debarred for violation of Federal or State _______ statutes.
antitrust
32
What constitutes a serious violation leading to debarment related to contract performance?
Willful failure to perform
33
Delinquent Federal taxes for debarment must exceed _______.
$10,000
34
A contractor must disclose credible evidence of violation of Federal criminal law within _______ years after final payment.
3 years
35
What must agencies establish regarding debarment procedures?
Prompt reporting, investigation, and referral processes
36
What opportunity must be afforded to contractors during the debarment decision-making process?
Submit information and arguments in opposition
37
What must be included in a notice of proposed debarment?
Written notice sent to the contractor and affiliates
38
True or False: A contractor's debarment is effective only within the agency that issued it.
False
39
The contractor has the burden of demonstrating its _______ to avoid debarment.
present responsibility
40
What is required for a transcript to be waived?
Mutual agreement between the contractor and the agency
## Footnote
The waiver could be for the requirement of a transcript in certain proceedings.
41
What is the purpose of a notice of proposed debarment?
To inform the contractor and any specifically named affiliates about the consideration of debarment
## Footnote
The notice must be sent to the contractor and affiliates, detailing the reasons for the proposed debarment.
42
How should the written notice of proposed debarment be sent?
By U.S. mail, private delivery service, email, or certified mail
## Footnote
Specific methods include delivery notification, using the contractor's SAM registration email, or confirmed last known email address.
43
What information must the notice of proposed debarment include?
* Notice that debarment is being considered
* Reasons for proposed debarment
* Causes relied upon for proposing debarment
* Contractor's right to submit information in opposition
* Agency's procedures for debarment decision making
* Effects of the notice and potential debarment
* Specific facts required to be identified by the contractor
* Consequences of failing to disclose information
## Footnote
The notice should outline the contractor's rights and obligations regarding the debarment process.
44
What is the timeframe for a contractor to submit information opposing proposed debarment?
30 days after receipt of the notice
## Footnote
This allows the contractor to present arguments or information that may dispute the basis for debarment.
45
What must the suspending and debarring official do if there are no disputed material facts?
Make a decision based on the administrative record within 45 days
## Footnote
The decision period can be extended for good cause if necessary.
46
What is the standard of evidence required for establishing cause for debarment?
Preponderance of the evidence
## Footnote
This applies in cases where the proposed debarment is not based on a conviction or civil judgment.
47
What must the notice of the suspending and debarring official's decision include if debarment is imposed?
* Reference to the notice of proposed debarment
* Reasons for debarment
* Period of debarment and effective dates
* Statement of effectiveness throughout the executive branch
## Footnote
This notice is crucial for informing the contractor and affiliates of the decision and its implications.
48
What is the role of the suspending and debarring official regarding administrative agreements?
To access the relevant website, enter information, and upload documentation reflecting the agreement
## Footnote
This action must be completed within 3 working days of entering into an administrative agreement.
49
What are the potential causes for a contractor's suspension?
* Commission of fraud or criminal offense
* Violation of Federal or State antitrust statutes
* Embezzlement, theft, forgery, bribery, falsification, tax evasion
* Violations of the Drug-Free Workplace Act
* Intentionally mislabeling products as 'Made in America'
* Unfair trade practices
* Delinquent Federal taxes over $10,000
## Footnote
Each cause reflects serious misconduct that warrants immediate action to protect the Government's interests.
50
What is the maximum period for debarment under normal circumstances?
3 years
## Footnote
Exceptions exist, such as for violations of drug-free workplace provisions, which may extend to 5 years.
51
What can lead to a reduction in the period of debarment?
* Newly discovered material evidence
* Reversal of conviction or civil judgment
* Bona fide change in ownership or management
* Elimination of other causes for debarment
* Other reasons deemed appropriate by the official
## Footnote
The contractor must support their request for reduction with documentation.
52
True or False: A pre-notice letter is required to initiate debarment.
False
## Footnote
A pre-notice letter may be issued at the discretion of the agency but is not a requirement.
53
What must happen if a contractor is suspended?
The suspension is effective throughout the executive branch unless justified otherwise
## Footnote
This includes all divisions or organizational elements of the contractor unless specified.
54
Fill in the blank: The contractor's _______ may be imputed for fraudulent conduct of individuals associated with it.
[conduct]
## Footnote
This includes actions performed in connection with the individual's duties for or on behalf of the contractor.
55
What is the definition of 'unfair trade practice' as per the Defense Production Act?
Commission of an unfair trade practice as defined in 9.403
## Footnote
Refer to section 201 of the Defense Production Act (Pub.L.102-558) for complete definitions.
56
What amount of delinquent Federal taxes triggers a suspension under the Defense Production Act?
Delinquent Federal taxes in an amount that exceeds $10,000
## Footnote
See the criteria at 9.406-2(b)(1)(v) for determination of when taxes are delinquent.
57
What constitutes knowing failure by a principal related to Government contracts?
Failure to timely disclose credible evidence of violations of Federal criminal law, civil False Claims Act, or significant overpayments on the contract
## Footnote
This obligation lasts until 3 years after final payment on any Government contract.
58
What can lead to the determination of a false certification under the Defense Production Act?
Determination of a false certification under 52.209-13, Violation of Arms Control Treaties or Agreements-Certification.
59
List some actions that indicate a lack of business integrity affecting a Government contractor.
* Commission of any offense indicating a lack of business integrity
* Indictment for causes listed in paragraph (a)
* Any other cause of serious or compelling nature affecting present responsibility.
60
What must agencies establish for reporting and investigating matters for suspension?
Procedures for prompt reporting, investigation, and referral to the suspending and debarring official.
61
What is required from a contractor after notice of suspension is received?
The contractor may submit information and argument in opposition to the suspension within 30 days.
62
True or False: A pre-notice letter is required before initiating a suspension.
False
## Footnote
A pre-notice letter may be issued at the discretion of the agency but is not required.
63
What is the maximum duration of suspension without legal proceedings initiated?
18 months
## Footnote
Suspension can be extended for an additional 6 months if requested by a prosecuting official.
64
What is the scope of suspension under the Defense Production Act?
The same as that for debarment, with procedures outlined in 9.407-3.
65
What is the definition of a 'marketing consultant' as per the regulations?
Any independent contractor who furnishes advice, information, direction, or assistance to an offeror or contractor in preparing a Government contract offer.
66
List some examples of situations likely to cause organizational conflicts of interest.
* Management support services
* Consultant or professional services
* Contractor performance of technical evaluations
* Systems engineering and technical direction work.
67
Who can waive general rules or procedures regarding organizational conflicts of interest?
The agency head or a designee.
68
What must contracting officers do regarding potential organizational conflicts of interest?
* Identify and evaluate potential conflicts early
* Avoid, neutralize, or mitigate significant potential conflicts before contract award.
69
Fill in the blank: The contracting officer shall award the contract to the apparent successful offeror unless a _______ is determined to exist that cannot be avoided or mitigated.
[conflict of interest]
70
What should be included in the contract file when a waiver request is submitted?
The waiver request and decision.
71
What must be submitted if a conflict of interest is found to be in the best interest of the United States?
A request for waiver shall be submitted in accordance with 9.503.
## Footnote
The waiver request and decision must be included in the contract file.
72
What do the general rules in 9.505-1 through 9.505-4 prescribe?
Limitations on contracting to avoid, neutralize, or mitigate organizational conflicts of interest.
## Footnote
Illustrative examples are provided in 9.508.
73
What are the two underlying principles of avoiding conflicts of interest?
* Preventing conflicting roles that might bias a contractor's judgment
* Preventing unfair competitive advantage
74
What constitutes an unfair competitive advantage according to 9.505?
* Possessing proprietary information obtained from a Government official without proper authorization
* Having access to source selection information relevant to the contract not available to all competitors
75
What is prohibited for a contractor that provides systems engineering and technical direction?
They shall not be awarded a contract to supply the system or its major components.
## Footnote
They also cannot be a subcontractor or consultant to a supplier of the system.
76
What activities are included in systems engineering?
* Determining specifications
* Identifying and resolving interface problems
* Developing test requirements
* Evaluating test data
* Supervising design
77
What must happen if a contractor prepares complete specifications for nondevelopmental items?
They shall not be allowed to furnish these items for a reasonable period of time.
## Footnote
This includes at least the duration of the initial production contract.
78
What happens if a contractor drafts complete specifications for nondevelopmental equipment?
They should be eliminated from competition for production based on those specifications for a reasonable time.
79
What is the normal practice regarding work statements in contractor assistance?
Agencies should normally prepare their own work statements.
80
What must a contractor agree to when gaining access to proprietary information?
They must protect the information from unauthorized use or disclosure and refrain from using it for any other purpose.
## Footnote
The contracting officer must obtain copies of these agreements.
81
What is the first step a contracting officer should take for evaluating potential organizational conflicts of interest?
Seek information from within the Government or other readily available sources.
82
What should a contracting officer do if they identify a significant potential organizational conflict of interest?
Submit a written analysis and recommended course of action for approval before issuing the solicitation.
83
What is required to be included in solicitations involving significant potential organizational conflicts of interest?
A provision that invites offerors' attention to this subpart and states the nature of the potential conflict.
84
What is a contractor team arrangement?
An arrangement where two or more companies form a partnership or joint venture to act as a potential prime contractor.
85
What are the benefits of contractor team arrangements?
* Complementing each other's unique capabilities
* Offering the best combination of performance, cost, and delivery
86
What should happen if a contractor team arrangement is formed after the submission of an offer?
The arrangement must be identified and company relationships fully disclosed before it becomes effective.
87
What limitations exist concerning contractor team arrangements?
They cannot violate antitrust statutes and do not limit the Government's rights regarding subcontracts and contractor responsibility.
88
What must a contractor do when evaluating its own offers for products or services?
Ensure proper safeguards to maintain objectivity.
89
What is the duration of the restraint imposed by a contract clause?
It should be limited to a fixed term of reasonable duration, sufficient to avoid unfair competitive advantage.
90
Fill in the blank: A contractor that prepares a work statement may not supply the system unless _______.
[exceptions apply: it is the sole source, has participated in development, or multiple contractors were involved]
91
What does subpart 9.604 limit regarding contractor team arrangements?
It does not authorize arrangements that violate antitrust statutes or limit the Government's rights.
## Footnote
The limitations include consent to subcontracts, determining prime contractor responsibility, and holding the prime contractor fully responsible for contract performance.
92
What is a 'pool' as defined in subpart 9.701?
A group of concerns associated to obtain and perform defense production or research and development contracts.
## Footnote
A pool must have an agreement governing its organization and procedures and must obtain approval from the SBA or a designated official.
93
What are the requirements for contracting with pools under subpart 9.702?
A pool shall be treated like any other contractor and must submit offers in its own name or by a member stating it is on behalf of the pool.
## Footnote
Contracting officers must verify the pool's approved status and document it.
94
What privileges do pools approved by the SBA have?
They are entitled to preferences and privileges accorded to small business concerns.
## Footnote
Approval under the Defense Production Act does not confer these privileges.
95
What must a contracting officer obtain from each member of an unincorporated pool before awarding a contract?
A certified copy of a power of attorney identifying the authorized agent.
## Footnote
This power of attorney must be attached to each signed copy of the contract retained by the Government.
96
Can pool members submit individual offers?
Yes, but not if they participate in a competing offer submitted by the pool.
## Footnote
The contracting officer will consider the pool agreement in determining the member's responsibility as a contractor.
97
True or False: Contracts can be awarded to pools without verifying their approved status.
False
## Footnote
The contracting officer must verify the pool's status with the appropriate agency.
98
Fill in the blank: A pool must have an agreement governing their ________ and procedures.
[organization]
## Footnote
This agreement is essential for the pool's operation and approval process.
