49 C.F.R. Subpart C—Responsibilities of Participants Regarding Transactions
Title 49 - Transportation
When you enter into a covered transaction with another person at the next lower tier, you must verify that the person with whom you intend to do business is not excluded or disqualified. You do this by: (a) Checking the EPLS; or (b) Collecting a certification from that person if allowed by this rule; or (c) Adding a clause or condition to the covered transaction with that person. (a) You as a participant may not enter into a covered transaction with an excluded person, unless the Department of Transportation grants an exception under §29.120. (b) You may not enter into any transaction with a person who is disqualified from that transaction, unless you have obtained an exception under the disqualifying statute, Executive order, or regulation. (a) You as a participant may continue covered transactions with an excluded person if the transactions were in existence when the agency excluded the person. However, you are not required to continue the transactions, and you may consider termination. You should make a decision about whether to terminate and the type of termination action, if any, only after a thorough review to ensure that the action is proper and appropriate. (b) You may not renew or extend covered transactions (other than no-cost time extensions) with any excluded person, unless the Department of Transportation grants an exception under §29.120. (a) You as a participant may continue to use the services of an excluded person as a principal under a covered transaction if you were using the services of that person in the transaction before the person was excluded. However, you are not required to continue using that person's services as a principal. You should make a decision about whether to discontinue that person's services only after a thorough review to ensure that the action is proper and appropriate. (b) You may not begin to use the services of an excluded person as a principal under a covered transaction unless the Department of Transportation grants an exception under §29.120. Yes, you as a participant are responsible for determining whether any of your principals of your covered transactions is excluded or disqualified from participating in the transaction. You may decide the method and frequency by which you do so. You may, but you are not required to, check the EPLS. If as a participant you knowingly do business with an excluded person, we may disallow costs, annul or terminate the transaction, issue a stop work order, debar or suspend you, or take other remedies as appropriate. Before entering into a covered transaction with a participant at the next lower tier, you must require that participant to— (a) Comply with this subpart as a condition of participation in the transaction. You may do so using any method(s), unless §29.440 requires you to use specific methods. (b) Pass the requirement to comply with this subpart to each person with whom the participant enters into a covered transaction at the next lower tier.
Title 49: Transportation
PART 29—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT)
Subpart C—Responsibilities of Participants Regarding Transactions
Doing Business With Other Persons
§ 29.300 What must I do before I enter into a covered transaction with another person at the next lower tier?
§ 29.305 May I enter into a covered transaction with an excluded or disqualified person?
§ 29.310 What must I do if a Federal agency excludes a person with whom I am already doing business in a covered transaction?
§ 29.315 May I use the services of an excluded person as a principal under a covered transaction?
§ 29.320 Must I verify that principals of my covered transactions are eligible to participate?
§ 29.325 What happens if I do business with an excluded person in a covered transaction?
§ 29.330 What requirements must I pass down to persons at lower tiers with whom I intend to do business?
Disclosing Information—Primary Tier Participants
§ 29.335 What information must I provide before entering into a covered transaction with the Department of Transportation?
Before you enter into a covered transaction at the primary tier, you as the participant must notify the DOT office that is entering into the transaction with you, if you know that you or any of the principals for that covered transaction:
(a) Are presently excluded or disqualified;
(b) Have been convicted within the preceding three years of any of the offenses listed in §29.800(a) or had a civil judgment rendered against you for one of those offenses within that time period;
(c) Are presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses listed in §29.800(a); or
(d) Have had one or more public transactions (Federal, State, or local) terminated within the preceding three years for cause or default.
§ 29.340 If I disclose unfavorable information required under §29.335, will I be prevented from participating in the transaction?
As a primary tier participant, your disclosure of unfavorable information about yourself or a principal under §29.335 will not necessarily cause us to deny your participation in the covered transaction. We will consider the information when we determine whether to enter into the covered transaction. We also will consider any additional information or explanation that you elect to submit with the disclosed information.
§ 29.345 What happens if I fail to disclose information required under §29.335?
If we later determine that you failed to disclose information under §29.335 that you knew at the time you entered into the covered transaction, we may—
(a) Terminate the transaction for material failure to comply with the terms and conditions of the transaction; or
(b) Pursue any other available remedies, including suspension and debarment.
§ 29.350 What must I do if I learn of information required under §29.335 after entering into a covered transaction with the Department of Transportation?
At any time after you enter into a covered transaction, you must give immediate written notice to the DOT office with which you entered into the transaction if you learn either that—
(a) You failed to disclose information earlier, as required by §29.335; or
(b) Due to changed circumstances, you or any of the principals for the transaction now meet any of the criteria in §29.335.
Disclosing Information—Lower Tier Participants
§ 29.355 What information must I provide to a higher tier participant before entering into a covered transaction with that participant?
Before you enter into a covered transaction with a person at the next higher tier, you as a lower tier participant must notify that person if you know that you or any of the principals are presently excluded or disqualified.
§ 29.360 What happens if I fail to disclose the information required under §29.355?
If we later determine that you failed to tell the person at the higher tier that you were excluded or disqualified at the time you entered into the covered transaction with that person, we may pursue any available remedies, including suspension and debarment.
§ 29.365 What must I do if I learn of information required under §29.355 after entering into a covered transaction with a higher tier participant?
At any time after you enter into a lower tier covered transaction with a person at a higher tier, you must provide immediate written notice to that person if you learn either that—
(a) You failed to disclose information earlier, as required by §29.355; or
(b) Due to changed circumstances, you or any of the principals for the transaction now meet any of the criteria in §29.355.
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