Definitions

(1) “Adequate evidence” means information sufficient to support the reasonable belief that a particular act or omission has occurred. (2) “Affiliate” means a person that is in affiliation with another person or persons. Persons are affiliates of each other and an affiliation exists if, directly or indirectly, either one controls or has the power to control the other or a third person controls or has the power to control both. The factors we use to determine control include, but are not limited to: (a) Interlocking management or ownership; (b) Identity of interests among family members; (c) Shared facilities and equipment; (d) Common use of employees; or (e) A business entity which has been organized following the exclusion of a person which has the same or similar management, ownership, or principal employees as the excluded person. (3) “Agent or representative” means any person who acts on behalf of, or who is authorized to commit, a participant in a covered transaction. (4) “Civil judgment” means the disposition of a civil action by any court of competent jurisdiction, whether by verdict, decision, settlement, stipulation, other disposition which creates a civil liability for the complained of wrongful acts, or a final determination of liability under the Program Fraud Civil Remedies Act of 1988, 31 U.S.C. §§ 3801–3812. (5) “Commissioner ” means the Commissioner of the Department of Transportation. (6) “Conviction” means: (a) A judgment or any other determination of guilt of a criminal offense by any court of competent jurisdiction, whether entered upon a verdict or plea, including a plea of nolo contendere; or CONTRACTOR DEBARMENT AND SUSPENSION CHAPTER 1680-5-1 (b) Any other resolution that is the functional equivalent of a judgment, including probation before judgment and deferred prosecution. A disposition without the participation of the court is the functional equivalent of a judgment only if it includes an admission of guilt. (7) “Covered transactions” means the submission of a bid or proposal to the Department, entering into a contract with the Department, subcontracting on a Department project at any level, or any of the above on a local government project funded in whole or part with Department funds. These rules govern only whether a person may submit a bid, enter into a contract, or participate as a subcontractor. Whether and to what extent a debarment or suspension affects a contract or subcontract in effect at the time of the debarment or suspension is not addressed in these rules but shall be governed by applicable contract provisions and/or law. (8) “Debarment” means an action taken by a debarring official to exclude a person from participating in covered transactions. A person so excluded is debarred. (9) “Debarring official” means an agency official who is authorized to impose debarment. A debarring official is either: (a) The Commissioner; or (b) An individual or individuals designated by the Commissioner. (10) “Department” means the Tennessee Department of Transportation. (11) “Excluded or exclusion” means: (a) That a person is prohibited from being a participant in covered transactions whether the person has been suspended, debarred, or voluntarily excluded; or (b) The act of excluding a person. (12) “Excluded Parties List System” or “EPLS” means the list maintained and disseminated by the U.S. General Services Administration containing the names and other information about persons who are debarred, suspended or otherwise excluded under Federal law. (13) “Indictment” means an indictment for a criminal offense. A presentment, information, or other filing by a competent authority charging a criminal offense shall be given the same effect as an indictment. (14) “Ineligible or ineligibility” means that a person is prohibited from being a participant in covered transactions because of an exclusion. (15) “Initiating Official” means the official designated by the Commissioner who is authorized to initiate the suspension and/or debarment process. (16) “Legal proceedings” means any criminal proceeding or any civil judicial proceeding, including a proceeding under the Program Fraud Civil Remedies Act, 31 U.S.C. §§ 3801–3812, to which the Federal Government or a State or local government or quasi-governmental authority is a party. The term also includes appeals from those proceedings. (17) “Notice” means a written communication served in person, sent by certified mail or its equivalent, or sent electronically by e-mail or facsimile; provided, however the Notice of Hearing described in Rule 1680-5-1-.05(4)(c) shall be served as described in said rule. CONTRACTOR DEBARMENT AND SUSPENSION CHAPTER 1680-5-1 (18) “Participant” means any person who submits a proposal or bid for or who enters into a covered transaction, including an agent or representative of a participant. (19) “Person” means any individual, corporation, partnership, association, unit of government, or legal entity, however organized. (20) “Preponderance of the evidence” means proof by information that, compared with information opposing it, leads to the conclusion that the fact at issue is more probably true than not. (21) “Principal” means: (a) An officer, director, owner, partner, principal investigator, or other person within a participant with management or supervisory responsibilities related to a covered transaction; or (b) A consultant or other person, whether or not employed by the participant, who: 1. Is in a position to handle State funds; 2. Is in a position to influence or control the use of those funds; or 3. Occupies a technical or professional position capable of substantially influencing the development or outcome of an activity required to perform the covered transaction. (22) “Respondent” means a person against whom the Department has initiated a debarment or suspension action. (23) “Suspending official” means an agency official who is authorized to impose suspension. The suspending official is either: (a) The Commissioner; or (b) An individual or individuals designated by the Commissioner. (24) “Suspension” means an action taken by a suspending official that immediately prohibits a person from participating in covered transactions for a temporary period, pending completion of an agency investigation and any judicial or administrative proceedings that may ensue. A person so excluded is suspended. (25) “Suspension Review Officer” means the Commissioner or his designee that reviews any objections to a suspension. (26) “Voluntarily excluded” means the status of a person who has agreed to a voluntary exclusion. (27) “Voluntary exclusion” means a person’s agreement to be excluded under the terms of a settlement between the person and one or more agencies.