Skip Ribbon Commands
Skip to main content
Sign In
Search Policy Site
Pacific Logo

Exclusion of Certain Individuals and Entities Policy



Purpose/Background

This Policy addresses the university's obligations to determine whether specific potential /current employees and contractors and vendors are excluded from benefiting from specific federally funded programs. 

The university implements this Policy as a matter of sound business practice to ensure the accurate and timely completion of monthly exclusion screenings against the published government exclusion lists to identify ineligible persons. 

Federal and state agencies have the authority to exclude individuals or entities who have engaged in fraud or abuse from participation in programs the agencies sponsor. Entities that employ or contract with excluded individuals or entities may incur civil monetary penalties or be excluded from participation in federal and state programs.

Applicability/Responsibility

This Policy applies to applicable employees (current or prospective), and all contractors and vendors (collectively referred to as "vendors") who/which do business with the university.

Definitions 

TermDefinition
Applicable Employees

Current or prospective employees who submit information to be considered for positions at the university, including individuals not currently employed by Pacific. This Policy shall apply to the following types of positions at the university:

  • All full and part-time faculty members, including Research Associate series, Lecturers, and Instructors.
  • All Officers;
  • All staff members, including staff transferring for other state agencies or institutions of higher education;
  • Student employees, including student assistants, research assistants, and teaching assistants, meeting the definition of "security-sensitive";
  • Pre-doctoral and Post-doctoral fellows
  • Temporary position employees who are in a faculty, officer, university staff position of a short-term nature (e.g., six months, semester, academic year, etc.) that generally do not have continuing funding;
  • Employees who receive funds for research purposes; and
  • Anyone else Pacific employs.
Exclusion ListsInclude the Office of Inspector General (OIG) List of Excluded Individuals/Entities (LEIE), the System of Award Management (SAM), and all currently available state Medicaid exclusion databases.
Ineligible PersonThis means an individual or entity (a) currently excluded, suspended, debarred, or otherwise ineligible to participate in Federally funded health care programs or federal procurement or non-procurement programs or (b) that has been convicted of a criminal offense that falls within 42 USC § 1320a-7(a) but has not yet been excluded, debarred, suspended, or otherwise declared ineligible.

 

Policy Statement

University of the Pacific shall not knowingly hire any individual (with or without pay), enter into an contract with an individual or entity, or purchase form vendors that are listed by a federal or state agency as excluded, suspended, or otherwise ineligible for participation in federal programs.  Neither shall the university allow an individual to hold any position or render any services for which the individual's or entity's compensation for the services provided by the individual or entity are paid in whole or part.

This policy and associated procedures outline the respective processes for ensuring that all required screening occurs, that the screenings are tracked and monitored, and that any potential exclusions are investigated and acted upon immediately.

Violations

Failure to adhere to this policy and its associated procedures by university personnel will result in disciplinary action in accordance with the Disciplinary Action Policy.

Contact Information

If you have questions or concerns about your obligations under this Policy, consult the Office of Compliance,  Chief Compliance Officer at (209) 946-2285. 

Related Information

ItemDescription

University Links

 

University Governance: Board of Regents

Office of Research and Sponsored Programs

Forms

 

Affirmation Statement

 

Related Links

 

[TBD]
Procedures 
 
Exclusion of Certain Individuals and Entities Procedures
Exclusion of Certain Individuals and Entities Guidelines



About This Policy
Last Updated
9/24/2020
Original Issue Date
9/24/2020

Responsible Department
Compliance