FAR 9.404—Exclusions in the System for Award Management.
Plain-English Summary
FAR 9.404 explains how exclusion information is maintained and used in the System for Award Management (SAM), which is the government-wide database used to record debarments, suspensions, proposed debarments, voluntary exclusions, declarations of ineligibility, and certain nonprocurement exclusions or disqualifications. It identifies the General Services Administration (GSA) as the operator of SAM and the provider of technical assistance, and it specifies exactly what data must appear in an exclusion record, including the entity’s name and address, the actioning agency, the cause or authority for the action, the effect and termination date, the Unique Entity Identifier, certain tax identifiers if permitted, and the agency point of contact. The section also assigns agencies the operational duties of entering, updating, and maintaining exclusion records, controlling user access, preserving records, and preventing awards or subcontracts to entities with active exclusions unless an exception applies. In practice, this section is the administrative backbone for exclusion enforcement: if the record is incomplete, late, or not properly maintained, agencies may miss an excluded entity or create compliance problems in source selection and award administration. For contractors, it means SAM status is not just a registration issue but a live eligibility issue that can affect bidding, award, subcontracting, and ongoing performance.
Key Rules
GSA operates SAM
GSA is responsible for operating the web-based System for Award Management and for providing technical assistance to federal agencies that use it. This makes GSA the system steward, while agencies remain responsible for the accuracy and timeliness of the exclusion data they enter.
Required exclusion data
Each exclusion record must include the entity’s identifying information, the actioning authority, the cause or legal basis for the action, the effect of the action, the termination date, the Unique Entity Identifier, certain tax identifiers if available and legally permitted, and the agency point of contact. Cross-references are required when one action involves multiple names.
Agency data-entry deadline
Agencies must enter the required exclusion information within 3 working days after the action becomes effective. This short deadline is intended to ensure SAM reflects current eligibility status quickly enough to protect the procurement process.
Update records promptly
When an exclusion is modified or rescinded, the agency must update the SAM record generally within 5 working days. Timely updates are essential so that entities are not kept listed longer than authorized and so that active exclusions remain visible.
Control user access
Each agency must identify the individuals responsible for entering and updating exclusion data, assign the proper SAM roles, and remove those roles when personnel leave or change duties. This is a basic internal control requirement to prevent unauthorized or stale access.
Maintain supporting records
Agencies must keep records relating to each debarment, suspension, proposed debarment, or voluntary exclusion in accordance with their internal retention procedures. The SAM entry is not a substitute for the underlying case file and administrative record.
Block awards to excluded entities
Agencies must have procedures to ensure they do not solicit offers from, award contracts to, or consent to subcontracts with contractors that have an active exclusion record in SAM, except where the subpart allows otherwise. This is the practical enforcement mechanism for the exclusion system.
Direct inquiries to actioning agency
Questions about a listed contractor or other entity must be directed to the agency or other authority that took the action. SAM is the repository, but the actioning authority is the source for substantive questions about the exclusion.
Responsibilities
General Services Administration (GSA)
Operate the web-based SAM system, maintain the platform that contains exclusion records, and provide technical assistance to federal agencies using SAM.
Federal agencies
Enter exclusion data promptly, update or rescind records when actions change, maintain supporting records, establish controls to prevent awards or subcontracts to actively excluded entities, and route substantive inquiries to the actioning authority.
Agency officials responsible for exclusions data
Enter and update exclusion records in SAM, ensure the correct roles are assigned, verify whether SSN, EIN, or other TIN entry is legally permitted, and keep records current within the required timeframes.
Agency supervisors or administrators
Assign appropriate SAM exclusion roles to authorized personnel and remove those roles when individuals leave the organization or no longer perform exclusion-related functions.
Contracting officers and acquisition personnel
Check SAM for active exclusions before soliciting, awarding, or consenting to subcontracts, and avoid proceeding with transactions involving excluded entities unless an exception in the subpart applies.
Agency or other authority taking the exclusion action
Provide the substantive basis for the exclusion, ensure the record reflects the action accurately, and respond to inquiries about the listed entity and the action taken.
Contractors and other entities
Monitor their SAM status and understand that active exclusion records can bar them from federal contracting and subcontracting opportunities until the exclusion expires or is rescinded.
Practical Implications
SAM is a live compliance screen, not just a registration database; contracting staff should check it before award and before consenting to subcontracts.
The 3-working-day and 5-working-day update requirements mean agencies need disciplined internal workflows, or exclusion records can become stale and create award errors.
Because the actioning agency handles substantive questions, users should not expect SAM support to explain why an entity was excluded or when an exclusion should be lifted.
Agencies need access controls and role management for SAM users; failing to remove access when staff change jobs can create data integrity and security problems.
Contractors with active exclusions can be blocked from multiple procurement actions, so maintaining accurate entity information and monitoring exclusion status is critical for business continuity.
Official Regulatory Text
(a) The General Services Administration (GSA)— (1) Operates the web-based System for Award Management (SAM), which contains exclusion records; and (2) Provides technical assistance to Federal agencies in the use of SAM. (b) An exclusion record in SAM contains the— (1) Names and addresses of the entities debarred, suspended, proposed for debarment, voluntarily excluded, declared ineligible, or excluded or disqualified under the nonprocurement common rule, with cross-references when more than one name is involved in a single action; (2) Name of the agency or other authority taking the action; (3) Cause for the action (see 9.406-2 and 9.407-2 for causes authorized under this subpart) or other statutory or regulatory authority; (4) Effect of the action; (5) Termination date for each listing; (6) Unique Entity Identifier; (7) Social Security Number (SSN), Employer Identification Number (EIN), or other Taxpayer Identification Number (TIN), if available; and (8) Name and telephone number of the agency point of contact for the action. (c) Each agency must— (1) Identify the individual(s) responsible for entering and updating exclusions data in SAM and assign the appropriate roles; (2) Remove the exclusion roles in SAM when the individual leaves the organization or changes functions; (3) For each exclusion, including each voluntary exclusion, accomplished by the agency– (i) Enter the information required by paragraph (b) of this section within 3 working days after the action becomes effective; (ii) Determine whether it is legally permitted to enter the SSN, EIN, or other TIN, under agency authority to suspend or debar; and (iii) Update the exclusion record in SAM, generally within 5 working days after modifying or rescinding an action; (4) In accordance with internal retention procedures, maintain records relating to each debarment, suspension, proposed debarment, or voluntary exclusion taken or entered into by the agency; (5) Establish procedures to ensure that the agency does not solicit offers from, award contracts to, or consent to subcontracts with contractors who have an active exclusion record in SAM, except as otherwise provided in this subpart; (6) Direct inquiries concerning listed contractors and other entities to the agency or other authority that took the action; and (7) Contact GSA for technical assistance with SAM, via the support e-mail address or on the technical support phone line. (d) SAM is available via https://www.sam.gov .