Exclusion Types
Cause and Treatment (CT) Codes have been replaced by Exclusion Types in SAM.gov. Exclusion records created in SAM.gov will only have an Exclusion Type, not a CT Code. This page provides a description of each Exclusion Type as well as links to the related Legacy CT Codes.
Prohibition/Restriction
Nature (Cause)
May be subject to sanctions pursuant to the conditions imposed by the U.S. Department of the Treasury( Treasury) Office of Foreign Assets Control (OFAC), or subject to sanction, restriction or partial denial pursuant to the conditions imposed by the U.S. Department of State (STATE) or Federal agency of the U.S. Government.
Effect
If you think you have a potential match with an OFAC listing, please visit the following section of OFAC's website for guidance: https://home.treasury.gov/policy-issues/financial-sanctions/contact-ofac/when-should-i-call-the-ofac-hotline. For all other prohibitions and restrictions, see the agency note in the Additional Comments field to ascertain the extent or limit on the sanction, restriction or partial denial. If there is no note, contact the agency taking the action for this information.
Ineligible (Proceedings Pending)
Nature (Cause)
Preliminarily ineligible based upon adequate evidence of conduct indicating a lack of business honesty or integrity, or a lack of business integrity, or regulation, statute, executive order or other legal authority, pending completion of an investigation and/or legal proceedings; or based upon initiation of proceedings to determine final ineligibility based upon regulation, statute, executive order or other legal authority or a lack of business integrity or a preponderance of evidence of any other cause of a serious and compelling nature that it affects present responsibility.
Effect
Procurement:
Agencies shall not solicit offers from, award contracts to renew, place new orders with, or otherwise extend the duration of current contracts, or consent to subcontracts in excess of $30,000 (other than commercially available off-the-shelf items (COTS)), with these contractors unless the agency head (or designee) determines in writing there is a compelling reason to do so.
Nonprocurement:
No agency in the Executive Branch shall enter into, renew, or extend primary or lower tier covered transactions to a participant or principal determined preliminarily ineligible unless the head of the awarding agency grants a compelling reasons exception in writing. Additionally, agencies shall not make awards under certain discretionary Federal assistance, loans, benefits (or contracts there under); nor shall an ineligible person participate as a principal, including but not limited to, agent, consultant, or other person in a position to handle, influence or control Federal funds, or occupying a technical or professional position capable of substantially influencing the development or outcome of a funded activity; nor act as an agent or representative of other participants in Federal assistance, loans and benefits programs. Contact the award agency for questions regarding the extent of Nonprocurement transaction award ineligibility. The termination date will be listed as "Indefinite" (Indef.) unless otherwise specified.
Voluntary Exclusion
Nature (Cause)
Accepted an agreement to be excluded under the terms of a settlement between the person and one or more agencies.
Effect
These persons are excluded in accordance with the terms of their voluntary exclusion agreement. See the agency note in the Additional Comments field to ascertain the extent of the exclusion or the limit on the person's participation, in covered transactions. If there is no note, contact the agency taking the action for this information.
Ineligible (Proceedings Completed)
Nature (Cause)
Determined ineligible upon completion of administrative proceedings establishing by preponderance of the evidence of a cause of a serious and compelling nature that it affects present responsibility, or determined ineligible based on other regulation, statute, executive order or other legal authority.
Effect
Procurement:
Agencies shall not solicit offers from, award contracts to renew, place new orders with, or otherwise extend the duration of current contracts, or consent to subcontracts in excess of $30,000 (other than commercially available off-the-shelf items (COTS)), with these contractors unless the agency head (or designee) determines in writing there is a compelling reason to do so.
Nonprocurement:
No agency in the Executive Branch shall enter into, renew, or extend primary or lower tier covered transactions to a participant or principal determined ineligible unless the head of the awarding agency grants a compelling reasons exception in writing. Additionally, agencies shall not make awards under certain discretionary Federal assistance, loans, benefits (or contracts there under); nor shall an ineligible person participate as a principal, including but not limited to, agent, consultant, or other person in a position to handle, influence or control Federal funds, or occupying a technical or professional position capable of substantially influencing the development or outcome of a funded activity; nor act as an agent or representative of other participants in Federal assistance, loans and benefits programs. Contact the award agency for questions regarding the extent of Nonprocurement transaction award ineligibility. The period of ineligibility is specified by the termination date.