EFFECTIVE DATE: November 30, 2021
ISSUE #: 2
PRESIDENT: Dr. Loren J. Blanchard
POLICY
Executive Orders 12549 and 12689, and 2 CFR Part 180 provide that a person who is
debarred orsuspended shall be excluded from Federal financial and non-financial assistance
and benefits under Federal programs and activities. To this extent, this PS emphasizes the
commitment of the University of Houston- Downtown (UHD) to insure that when applying
for federal funds, the University’s principals and researchers are not debarred, suspended,
or proposed for debarment or suspension.
2 CFR Part 200.214 Suspension and debarment. – “Non-Federal entities are subject to the
non-procurement debarment and suspension regulations implementing Executive Orders
12549 and 12689, 2 CFR part 180. The regulations in 2 CFR Part 180 restrict awards,
subawards, and contracts with certain parties that are debarred, suspended, or otherwise
excluded from or ineligible for participation in Federal assistance programs or activities.”
2 CFR Part 180: “ To protect the public interest, the Federal Government ensures the
integrity of Federal programs by conducting business only with responsible persons. A
Federal agency uses the non-procurement debarment and suspension system to exclude
from Federal programs persons who are not presently responsible.”
DEFINITIONS
2.1 Person or Applicant is defined as any individual, corporation, partnership, and
association, unit of government or legal entity.
2.2 Principal is defined as an officer, director, owner, partner, key employee or other
person with primary management responsibilities. In this context, principals will
include the members of the UH System Board of Regents and senior administrative
staff.
2.3 Researchers are defined as the faculty and their professional colleagues undertaking
research activities.
2.4 Debarment is an action taken to exclude a person from participating in covered
transactions.
2.5 Suspension is an action that immediately excludes a person from participating in
covered transactions for a temporary period pending completion of an investigation.
2.6 Ineligible is defined as excluded from participation in Federal non-procurement programs pursuant to a determination of ineligibility under statutory, executive order,
or regulatory authority.
2.7 Voluntary Exclusion is a status of nonparticipation or limited participation in
covered transactions by a person pursuant to the terms of a settlement.
2.8 Covered Transactions refers to any non-procurement transaction between an agency
and a person, regardless of the 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.
POLICY
3.1 UHD requires that individuals applying for federal funds meet the following criteria:
3.1.1 Are not presently debarred, suspended, proposed for debarment, declared
ineligible or voluntarily excluded from covered transactions by any federal department
or agency.
3.1.2 Have not, within a three year period preceding the application, been convicted of
or had a civil judgment rendered against them for commission of fraud or a criminal
offense in connection with obtaining, attempting to obtain or performing a public
(federal, state or local) transaction or contract under a public transaction; violation of
federal or state antitrust statutes or commission of embezzlement, theft, forgery,
bribery, falsification, or destruction of records, making false statements, or receiving
stolen property.
3.1.3 Are not presently indicted or otherwise criminally or civilly charged by a
government entity (federal, state or local) with commission of any of the offenseslisted
in 3.1.1 above.
3.1.4 Have not, within a three year period preceding the application, had one or more
public transactions (federal, state or local) terminated for cause or default.
PROCEDURES
Any individual who is debarred or suspended (or proposed for such) is required to notify the Associate Vice President for Faculty, Research, and Sponsored Programs immediately upon notification of such action.
REVIEW PROCESS
Responsible Party (Reviewer): Associate Vice President for Faculty, Research, and
Sponsored Programs
Review: Every three years on or before May 1
st.
Signed original on file in Employment Services and Operations.
POLICY HISTORY
Issue #1: 05/16/94
REFERENCES
Executive Order 12549
Executive Order 12689
2 CFR 200.214
2 CFR Part 180
System of Award Management (SAM) – Government wide Lists of Exclusion
