RESPONSE TO SUSPENSION OR PROPOSED DEBARMENT

PART A: RESPONSE TO NOTICE OF PROPOSED DEBARMENT

CONTRACTOR'S RESPONSE TO NOTICE OF PROPOSED DEBARMENT
Pursuant to FAR 9.406-3

CONTRACTOR INFORMATION

Contractor Name: [________________________________]

Address: [________________________________]

City, State, ZIP: [________________________________]

DUNS/UEI Number: [________________________________]

CAGE Code: [________________________________]

Telephone: [________________________________]

Email: [________________________________]

Counsel for Contractor:

Attorney Name: [________________________________]

Firm: [________________________________]

Address: [________________________________]

Telephone: [________________________________]

Email: [________________________________]

AGENCY AND NOTICE INFORMATION

Agency: [________________________________]

Suspending and Debarring Official (SDO): [________________________________]

Title: [________________________________]

Address: [________________________________]

Date of Notice of Proposed Debarment: [__/__/____]

Date Notice Received: [__/__/____]

Response Due Date: [__/__/____] (30 days from receipt)

GROUNDS CITED IN NOTICE

The Notice of Proposed Debarment cites the following grounds under FAR 9.406-2:

☐ (a)(1) Conviction or civil judgment for fraud or criminal offense in connection with Government contract
☐ (a)(2) Conviction or civil judgment for violation of Federal or State antitrust statutes
☐ (a)(3) Conviction or civil judgment for embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, receiving stolen property, or obstruction of justice
☐ (a)(4) Conviction or civil judgment for intentionally affixing "Made in America" label to non-American product
☐ (b)(1) Violation of contract terms so serious as to justify debarment
☐ (b)(2) Willful failure to perform contract in accordance with specifications
☐ (b)(3) History of failure to perform, or of unsatisfactory performance
☐ (b)(4) Violation of the Drug-Free Workplace Act
☐ (b)(5) Intentionally affixing a label bearing "Made in America" to a product not made in America (non-criminal)
☐ (b)(6) Commission of unfair trade practices
☐ (b)(7) Delinquent Federal taxes
☐ (b)(8) Knowing failure to disclose required information
☐ (c) Any other cause so serious or compelling that it affects present responsibility

Specific Allegations:
[________________________________]
[________________________________]
[________________________________]
[________________________________]

Proposed Period of Debarment: [____] years

I. INTRODUCTION

[Contractor Name] submits this response to the Notice of Proposed Debarment dated [date] pursuant to FAR 9.406-3. The Contractor respectfully requests that the Suspending and Debarring Official:

☐ Decline to debar the Contractor
☐ Limit debarment to specific divisions/facilities
☐ Reduce the proposed period of debarment
☐ Other: [________________________________]

II. FACTUAL BACKGROUND

A. Company Overview

[________________________________]
[________________________________]
[________________________________]
[________________________________]

B. Relevant Contract History

[________________________________]
[________________________________]
[________________________________]

C. Facts Surrounding the Alleged Conduct

[________________________________]
[________________________________]
[________________________________]
[________________________________]
[________________________________]

III. RESPONSE TO SPECIFIC ALLEGATIONS

Allegation 1: [________________________________]

Contractor's Response:

☐ Contractor denies this allegation
☐ Contractor admits this allegation but provides mitigating circumstances
☐ Contractor admits this allegation

Explanation:
[________________________________]
[________________________________]
[________________________________]
[________________________________]

Allegation 2: [________________________________]

Contractor's Response:

☐ Contractor denies this allegation
☐ Contractor admits this allegation but provides mitigating circumstances
☐ Contractor admits this allegation

Explanation:
[________________________________]
[________________________________]
[________________________________]
[________________________________]

IV. DISPUTED MATERIAL FACTS

☐ There are genuine disputes over material facts requiring fact-finding under FAR 9.406-3(b)(2)

The following material facts are in dispute:

1. [________________________________]
2. [________________________________]
3. [________________________________]

Request for Fact-Finding Proceeding:

☐ The Contractor requests a fact-finding proceeding before a neutral fact-finder pursuant to FAR 9.406-3(b)(2)

Request for In-Person Presentation:

☐ The Contractor requests an in-person presentation to the SDO pursuant to FAR 9.406-3(c)

V. MITIGATING FACTORS

The Contractor requests that the SDO consider the following mitigating factors under FAR 9.406-1(a):

☐ (1) Actual or potential harm to the Government
The actual or potential harm or impact was minimal because:
[________________________________]
[________________________________]

☐ (2) Frequency of incidents and/or duration of wrongdoing
This was an isolated incident, not a pattern of misconduct:
[________________________________]
[________________________________]

☐ (3) Whether there is a pattern or prior history of wrongdoing
The Contractor has no prior history of similar conduct:
[________________________________]
[________________________________]

☐ (4) Whether the contractor has been excluded by other Federal agencies
☐ The Contractor has not been excluded by other agencies
☐ Explanation: [________________________________]

☐ (5) Whether the contractor brought the activity to the attention of appropriate Government officials
Self-disclosure: [________________________________]
[________________________________]

☐ (6) Whether the contractor has fully investigated and taken corrective action
Investigation and corrective action: [________________________________]
[________________________________]

☐ (7) Whether the contractor has paid or agreed to pay all criminal, civil, and administrative liabilities
Payment/restitution: [________________________________]
[________________________________]

☐ (8) Whether the contractor has cooperated with Government agencies
Cooperation: [________________________________]
[________________________________]

☐ (9) Whether the wrongdoing was pervasive within the organization
The conduct was not pervasive: [________________________________]
[________________________________]

☐ (10) The kind of positions held by the individuals involved
Positions of individuals: [________________________________]
[________________________________]

☐ (11) Whether management at any level participated in, condoned, or was willfully ignorant of the conduct
Management involvement: [________________________________]
[________________________________]

☐ (12) Whether the contractor has implemented an adequate ethics and compliance program
Ethics program: [________________________________]
[________________________________]

☐ (13) Whether the contractor has had adequate ethics training
Ethics training: [________________________________]
[________________________________]

☐ (14) Whether the contractor brought the activity to the attention of the appropriate Government officials in a timely manner
Timely reporting: [________________________________]

☐ (15) Whether the contractor has fully investigated the circumstances and, if so, what remedial measures have been taken
Investigation results: [________________________________]

☐ (16) Whether effective standards of conduct and internal control systems exist
Internal controls: [________________________________]

☐ (17) Other factors appropriate to the circumstances of a particular case
Other factors: [________________________________]
[________________________________]

VI. REMEDIAL MEASURES AND CORRECTIVE ACTIONS

The Contractor has taken the following remedial measures:

A. Personnel Actions

B. Organizational Changes

[________________________________]
[________________________________]
[________________________________]

C. Policy and Procedure Changes

[________________________________]
[________________________________]
[________________________________]

D. Training Implemented

[________________________________]
[________________________________]
[________________________________]

E. Enhanced Compliance Program

[________________________________]
[________________________________]
[________________________________]

F. Third-Party Monitoring (if applicable)

[________________________________]
[________________________________]

VII. PRESENT RESPONSIBILITY

Notwithstanding the alleged past conduct, the Contractor is presently responsible because:

1. [________________________________]
2. [________________________________]
3. [________________________________]
4. [________________________________]
5. [________________________________]

VIII. IMPRACTICABILITY OF DEBARMENT

Debarment would be impracticable because:

☐ The Contractor is a sole-source supplier of critical goods/services
☐ Debarment would harm ongoing Government programs
☐ Other: [________________________________]

Explanation:
[________________________________]
[________________________________]

IX. REQUESTED RELIEF

The Contractor respectfully requests that the Suspending and Debarring Official:

☐ Option 1: Decline to debar the Contractor based on the mitigating factors and demonstrated present responsibility

☐ Option 2: Enter into an Administrative Agreement in lieu of debarment

☐ Option 3: Limit debarment to specific division(s): [________________________________]

☐ Option 4: Reduce the proposed debarment period from [____] years to [____] years

☐ Option 5: Other relief: [________________________________]

X. SUPPORTING DOCUMENTATION

☐ Tab A: Corporate Information and Organization Chart
☐ Tab B: Ethics and Compliance Program Documentation
☐ Tab C: Training Records
☐ Tab D: Internal Investigation Report (if applicable)
☐ Tab E: Personnel Action Documentation
☐ Tab F: Corrective Action Implementation Evidence
☐ Tab G: Character References/Letters of Support
☐ Tab H: Contract Performance History
☐ Tab I: [________________________________]
☐ Tab J: [________________________________]

XI. CERTIFICATION

I certify that the statements made in this response are true and accurate to the best of my knowledge and belief, and that I am authorized to submit this response on behalf of [Contractor Name].

Signature: [________________________________]

Printed Name: [________________________________]

Title: [________________________________]

Date: [__/__/____]

PART B: RESPONSE TO NOTICE OF SUSPENSION

CONTRACTOR'S RESPONSE TO NOTICE OF SUSPENSION
Pursuant to FAR 9.407-3

SUSPENSION INFORMATION

Date of Notice of Suspension: [__/__/____]

Date Notice Received: [__/__/____]

Basis for Suspension:

☐ Indictment for or conviction of offenses described in FAR 9.406-2(a)
☐ Adequate evidence of conduct described in FAR 9.406-2(b) or (c)
☐ Indictment for any other offense indicating a lack of business integrity affecting present responsibility

Specific Allegations:
[________________________________]
[________________________________]

CONTRACTOR'S IMMEDIATE RESPONSE

[Follow format similar to Part A, addressing:]

1. Denial of allegations or provision of mitigating circumstances
2. Disputed material facts requiring fact-finding
3. Evidence of present responsibility
4. Remedial measures already taken
5. Request for prompt decision or reduction of suspension scope

PART C: ADMINISTRATIVE AGREEMENT PROPOSAL

PROPOSED ADMINISTRATIVE AGREEMENT IN LIEU OF DEBARMENT

I. PARTIES

This Administrative Agreement ("Agreement") is entered into between:

Agency: [________________________________]

Contractor: [________________________________]

II. RECITALS

WHEREAS, the Agency issued a Notice of [Proposed Debarment/Suspension] dated [date];

WHEREAS, the Contractor denies any wrongdoing but wishes to resolve this matter;

WHEREAS, the parties agree that an Administrative Agreement serves the Government's interest;

III. TERMS AND CONDITIONS

The Contractor agrees to the following terms:

A. Compliance Program Enhancement

☐ Appoint a Chief Compliance Officer
☐ Establish/enhance written code of business ethics
☐ Implement mandatory ethics training
☐ Establish hotline for reporting concerns
☐ Conduct periodic compliance audits
☐ Other: [________________________________]

B. Third-Party Monitoring

☐ Retain independent compliance monitor approved by Government
☐ Monitor term: [____] years
☐ Monitor responsibilities: [________________________________]

C. Reporting Obligations

☐ Quarterly compliance reports to SDO
☐ Immediate reporting of any violations
☐ Annual certification of compliance

D. Personnel Restrictions

☐ Individuals [names] prohibited from Government contract work
☐ Background checks for key personnel
☐ Other: [________________________________]

E. Duration

Agreement effective for [____] years from execution.

F. Breach

Material breach may result in termination of Agreement and initiation of debarment proceedings.

IMPORTANT NOTES

Immediate Effect of Proposed Debarment

Unlike suspension, a Notice of Proposed Debarment has an immediate exclusionary effect. The contractor is immediately excluded from receiving contracts pending the debarment decision.

30-Day Response Period

Contractors have 30 days from receipt of the notice to submit matters in opposition. Extensions may be granted for good cause.

Fact-Finding

If there are genuine disputes over material facts, contractors may request a fact-finding proceeding before a neutral fact-finder.

Written vs. In-Person Presentation

Contractors may present matters in opposition in writing, in person, or through a representative, or any combination thereof.

SDO Decision Timeline

Under FAR 9.406-3(d)(1), the SDO should issue a decision within 45 calendar days of the close of the administrative record.

No Automatic Judicial Review

There is generally no right to judicial review of debarment decisions, though some courts have found limited review available under the APA.

SAM.gov Listing

Debarred and suspended contractors are listed in the System for Award Management (SAM.gov) Exclusions database.

SOURCES AND REFERENCES

• FAR Subpart 9.4 - Debarment, Suspension, and Ineligibility
• DFARS Appendix H - Debarment and Suspension Procedures
• 2 CFR Part 180 - OMB Guidelines on Debarment and Suspension
• Interagency Suspension and Debarment Committee (ISDC) website
• SAM.gov Exclusions database
• Executive Order 12549