The FAR and CFR state that agencies are required to enter information about exclusion actions into the Excluded Parties List System database within 5 workdays after the action becomes effective (FAR 9.404(c)(3) and 22 CFR 208.520(c)). The purpose of this entry is to disseminate, in a timely manner, information on parties that are excluded from Federal awards.
Automated Directives System 502.5.1b asserts that official records must be preserved because of the informational value of evidence of an agency’s decisions. Furthermore, FAR 9.404(c)(6) requires each agency to maintain records relating to each debarment, suspension, or proposed debarment taken by the agency. Title 22 of the CFR implies a similar requirement in that agencies must be able to respond to inquiries about exclusions (22 CFR 208.525).
Specifically, FAR 9.405(d) requires that the Excluded Parties List System (EPLS) database be reviewed twice by the contracting officer—once during the bidding process, as bids and proposals are received, and again prior to the award of a contract—to make sure that no award is made to a contractor listed as excluded. Additionally, FAR 9.105-2(b) requires that documents supporting a responsibility determination, such as database reviews, be included in the contract file.
General Recommendations
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Conduct Excluded Parties List System reviews during the bidding and awarding process and document those reviews, in accordance with Federal Acquisition Regulation 9.405(d) and 9.105-2(b).
Source: AUDIT REPORT NO. 9-000-10-001-P October 1, 2009.
The recommendations are derived from audit reports of the Office of the Inspector General. The source refers to the audit report, which is available on this site as part of the Audit Database Project: an educational tool for compliance with USAID regulations. Please see the disclaimer of this site before using recommendations.
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- Contractor Overbilling - FAR 31.2, Contracts with Commercial Organizations
- Contractor Performance Reviews Were Not Completed - FAR 42.15024 - USAID Acquisition Regulation (AIDAR) 742.15
- Unauthorized Commitments - 22 CFR 226.25(e) - ADS 303.3
- Conduct Audits of Foreign Organizations - ADS 591.3.2 - Guidelines for Financial Audits Contracted by Foreign Recipients - General Act of 1978
- Implementing Partner Record Retention Regulations - 22 CFR 226.53(b)
- Verify Continued Separate Maintenance Allowance Eligibility - Department of State Standardized Regulations, General Provisions, Section 077.3, Granting Allowances and Difficult to Staff Incentive Differential on SF-1190 (Foreign Allowances Application
- Local Subgrantees Need Codes of Conduct for Interactions with Orphans and Vulnerable Children - U.S. Global AIDS Coordinator (OGAC) Guidance July 2006
- Technical Representative Requirements - ADS 458.3.5.5 - ADS 303.3.14
- Assistance Awards and Requirements - ADS 303 - ADS 621.3.4
- Certification Regarding Responsibility Matters - FAR 9.104-6 - FAR 9.105-2(b) - FAR 9.4
- Strengthen Program Oversight - ADS 302
- Implementer Performed Unauthorized Program Activities - ADS 202.3.6.1
- Ensure That Funding Requests Are Appropriate - ADS 602.3.2
- Strengthen Oversight of Renovation Activities - FAR Part 36, “Construction and Architect-Engineer Contracts” - GAO/AIMD-00-21.3.1 (11/99), page 20
- Mission Did Not Complete Contractor Performance Review - USAID Acquisition Regulation 742.15 (also known as 48 CFR 742.1502) - FAR 42.1502
- Contracting Officials Did Not Document Contract Files or Communicate Adequately - 22 CFR 226 - FAR 4.801 (b)
- Fixed-Amount Reimbursement Agreements Reduce Risk - ADS Supplemental 317
- Contract Not Adequately Reviewed by Contract Review Board - (ADS) 302.3.1.2 - Contract Review Board Guidelines
- Questionable Spending Occurred - Federal Acquisition Regulations 52.216-7 and 52.216-8 USAID Acquisition Regulation 752.7003 FAR Subpart 31.2-Contracts with Commercial Organizations
- Contracting Mechanism Used for Program is not Appropriate - Federal Acquisition Regulation 16.505(a)(2) - supplemental policy to ADS 302, Indefinite Quantity Contract (IQC): Task Order Work Statement Development Checklist - Competition in Contracting Act