EPA s Suspension and Debarment Program

1. EPA�s Suspension and Debarment Program AGA Audio Conference March 5, 2008

2. What Is Suspension and Debarment? Keeps an individual, organization, or government entity from receiving future federal grants or contracts Has a government-wide effect Suspension and debarment is consumer protection for the federal government.

3. Suspension and Debarment Are Powerful Tools For protection, not punishment The agency is making a business decision.

4. Suspension and DebarmentAre Powerful Tools Individuals or organizations cannot be denied access to Federal grants and contracts without Due Process. The Suspension and Debarment Program provides Due Process.

5. Suspension and DebarmentAre Powerful Tools The main issue in Suspension and Debarment cases is present responsibility.

6. What Is the Difference Between Suspension and Debarment? Suspensions are temporary, pending the outcome of an investigation, legal action, or debarment proceeding. Suspensions are imposed while we are trying to determine whether misconduct has occurred.

7. What Is the Difference Between Suspension and Debarment? Debarment is for a set number of years. Debarment is imposed after all of the facts are known.

8. Suspensions The standard of proof necessary to get a Suspension is �Adequate Evidence.� Adequate Evidence is roughly analogous to �probable cause.� Suspensions are taken �ex parte.� The Government does not have to share its evidence with a suspended party.

9. Debarments The standard of proof for debarments is a preponderance of the evidence. A conviction or civil judgment constitutes a preponderance of the evidence. Collateral information outside of the conviction or judgment can also be considered.

10. Fact-Based Cases Can Be Either Suspension or Debarment Cases that are not based on a conviction or judgment are known as Fact-Based cases. Facts are proven at a Fact-Finding Hearing. Fact-Finding Hearings are informal, in that the rules of evidence do not apply.

11. Who Can Be Suspended or Debarred? Individuals, corporations, non-profit organizations, and, in rare instances, a part of a state, local, or tribal government Misconduct by an individual can be attributed to an organization, and vice versa, through imputation and affiliation.

12. What Conduct Warrants Suspension or Debarment? Fraud False Statements Environmental Misconduct Willful Failure to Perform History of Poor Performance Willful Violation of a Statutory or Regulatory Requirement Any serious and compelling cause

13. How Do I Find Out Whether Someone Is Suspended or Debarred? Everyone who is Suspended or Debarred is listed on the Excluded Parties List System (EPLS). The EPLS also contains a historical list of persons who have been listed and removed from the EPLS. The EPLS is located at: www.epls.gov

14. The EPA Suspension and Debarment Division Compliance Specialists: Gather information and prepare cases for action. Debarment Counsels: Propose suspension and debarment actions and negotiate settlement agreements. Hearing Officer: Presides over fact-finding hearings and determines disputed facts. Debarring Official: Makes the suspension or debarment determination based on the administrative record.

15. SuspensionsImmediate Need Because the rules regarding suspensions strongly favor the Government, the Government must determine that there is an �immediate need� to suspend. To determine whether or not the Government has an immediate need, ask yourself the question, �What will happen if the Respondent gets a grant or contract? �Immediate Need� is strongest when health and safety are at risk, such as when a respondent may commit lab fraud, some misconduct on a contract or grant or certain environmental crimes.

16. Pre-Indictment Suspensions Pre-Indictment Suspension actions are taken when there is an immediate need to protect the public health and safety, as well as strong Federal Government interests. The suspension is implemented before criminal indictment. SDD will always safeguard sensitive information in order to protect the criminal case.

17. Pre-Indictment SuspensionsIn Camera Review of Evidence In Camera review of evidence allows the Government to present enough information to protect its grant and contracting activities while also protecting the ongoing investigation. In order to withhold evidence, the Debarring Official must receive a letter from an AUSA or States Attorney stating that release of the evidence would jeopardize an ongoing investigation.

18. Pre-Indictments SuspensionsIn Camera Review of Evidence We do not have to give the Respondent any specific information such as the names of witnesses or what the witnesses may have said. We do need to give the Respondent general information such as the nature of the allegation, grant number and time frame. Finally, if for any unforeseen reason the evidence is placed in jeopardy, we will simply lift the suspension.

19. What Will Happen If I Refer a Case to Suspension and Debarment? Likely to be resolved by a Compliance Agreement Before we will settle, we require the Respondent to resolve the criminal case, and usually resolve civil and program fraud liability.

20. Cases Intertek NAFF

21. Contact InformationFrank S. Lane, Director(202) 564-5388

22. Contact InformationStefan Silzer, Director(202) 564-5389 Regions 1 and 3 Kathleen Timmins Regions 2 and 5 Dan Barros Region 4 Angelia Blackwell Regions 6 and 7 Carson Hodges Regions 8 and 10 Jeanne Pascal Region 9 Stephanie Ebright