Mo. Code Regs. tit. 4 § 170-8.010

Current through Register Vol. 49, No. 23, December 2, 2024

Section 4 CSR 170-8.010 - Definitions

PURPOSE: This rule defines terms used in 4 CSR 170-8.

(1) When used in this chapter, the following terms shall have the following meaning:

(A) Adequate evidence. Information sufficient to support the reasonable belief that a particular act or omission has occurred;

(B) Affiliate. Persons are affiliates of each other if, directly or indirectly, either one controls or has the power to control the other or a third person has control or has the power to control both. The ways used to determine control include, but are not limited to:

a) interlocking management or ownership;

b) identity of interest 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;

(C) Civil judgment. The disposition of a civil action by any court of competent jurisdiction, whether entered by verdict, decision, settlement, stipulation, or otherwise creating a civil liability for the wrongful acts complained of; or a final determination of liability under the Program Fraud Civil Remedies Act of 1986 ( 31 U.S.C. 3801-12);

(D) Commission. A governmental instrumentality of the state and a body corporate and politic created by Chapter 215, RSMo, and supplemented in Appendix B-1 to the Missouri Omnibus Reorganization Act of 1974;

(E) Commissioners. The appointed and ex officio members of the commission or their lawfully authorized designees;

(F) Commission subcommittee. A subgroup of the commission consisting of at least three (3) persons selected by the commission at the annual meeting of the commission (as defined in the Missouri Housing Development Commission (MHDC) bylaws) to which, among other responsibilities, is charged with carrying out the duties assigned to it under 4 CSR 170-8.140;

(G) Competent and substantial evidence. Evidence that is reliable and probative and which a reasonable mind could accept as adequate to support a conclusion (i.e., evidence upon which the suspending official or debarring official could reasonably base its decision);

(H) Conviction. A judgment or conviction of a criminal offense by any court of competent jurisdiction, whether entered upon a verdict or a plea, including a plea of nolo contendere;

(I) Counsel. An attorney or other legal advisor;

(J) Covered transaction. Any activity supported in part or in whole with funds and/or resources administered, granted, or disbursed by MHDC, including but not limited to grants, developments, or contracts for work paid for through funds and/or resources;

(K) Debarment. An action taken by a debarring official in accordance with these regulations to exclude a person from participating in covered transactions. A person so excluded is "debarred";

(L) Debarring official. A commission subcommittee which is authorized to impose debarment following review of evidence and/or a hearing;

(M) Disqualification. Refers to a prohibition of a person from participation in one (1) or more programs or covered transactions for inability to meet some rule or basic requirement for participation outside of the terms of a suspension or debarment;

(N) Excluded Parties List System (EPLS). List of parties debarred or otherwise excluded from receiving federal contracts maintained by the General Services Administration pursuant to 48 CFR 9.404;

(O) Excluded person. Refers to a person prohibited from participation in one (1) or more programs or covered transactions with the commission by virtue of being suspended or debarred under this chapter;

(P) Exclusion or excluded. Refers to a prohibition of a person from participation in one (1) or more programs or covered transactions with the commission by virtue of being suspended or debarred under this chapter;

(Q) Executive director. The person selected by the commissioners to serve as the chief executive of the MHDC;

(R) Funds. All monetary assistance granted and/or loaned by MHDC in relation to covered transactions, including but not limited to HOME funds, Missouri Housing Trust Funds, Affordable Housing Assistance Program, tax credit, and MHDC fund balance;

(S) General counsel. Chief lawyer of the MHDC;

(T) Grantee/subgrantee. A person or persons receiving funds in the form of a grant through an MHDC covered transaction, or a person subordinate to them who receives those grant funds from the grantee as part of an MHDC covered transaction;

(U) Identity of interest. An identity of interest relationship exists if any officer, corporate director, board member, or authorized agent of any participant-

1. Is also an officer, corporate director, board member, or authorized agent of any other participant or subparticipant;

2. Has a financial interest in any other participant or subparticipant;

3. Is a business partner of an officer, corporate director, board member, or authorized agent of any other participant or sub-participant;

4. Has a family relationship through blood, marriage, or adoption with an officer, corporate director, board member, or authorized agent of any participant or subparticipant; or

5. Advanced any funds or items of value to the sponsor/borrower participant;

(V) Indictment. Formal written accusation of a crime made by a grand jury and presented to a court of competent jurisdiction for prosecution against the accused person;

(W) Member of the immediate family. Refers to any spouse, child, parent, or sibling of any person;

(X) MHDC. Missouri Housing Development Commission;

(Y) Ownership interest. An ownership interest shall be deemed to exist if a person, or member of the immediate family of a person, owns or controls, either directly or indirectly, more than twenty percent (20%) of the profits or assets of a firm, association, or partnership or more than twenty percent (20%) of the stock in a corporation for profit;

(Z) Participant. Any person who submits a proposal for or enters into a covered transaction, including all principals, agents, or representatives of a participant;

(AA) Person. Any individual, corporation, partnership, association, unit of government, or legal entity, however organized;

(BB) Primary participant. Any person who submits a proposal for or enters into a covered transaction, including an agent or representative of a participant who has directly and immediately contracted with MHDC in a covered transaction;

(CC) Principal. Any person who is a) an officer, corporate 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 or paid with MHDC funds, who:

1) is in a position to handle MHDC 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 a covered transaction;

(DD) Program. Any activity which utilizes any funds and/or resources administered or controlled by the commission;

(EE) Recipient/subrecipient. A person or persons receiving funds and/or resources in any form through an MHDC covered transaction or a person subordinate to them who receives those funds from the primary recipient as part of an MHDC covered transaction;

(FF) Resources. All non-monetary benefits or assistance awarded or administered by MHDC in relation to covered transactions, including, but not limited to, federal and state tax credits;

(GG) Standards of conduct. The commission approved policy which identifies the way in which commissioners, commission staff, and persons must act in connection with all dealings relating to the work of the commission;

(HH) State. State of Missouri;

(II) Subparticipant. Any person who enters into a covered transaction, including an agent or representative of a subparticipant, who is or has directly and immediately contracted with a primary participant in a covered transaction;

(JJ) Suspending official. A commission subcommittee authorized to impose suspension pending review of evidence and/or a hearing;

(KK) Suspension. An action taken by a suspending official in accordance with these regulations that immediately excludes a person from participating in covered transactions for a temporary period, pending completion of an investigation and such legal and debar-ment, or other proceedings as may ensue; and

(LL) Workforce eligibility policy. Refers to the then-existing policy of the MHDC which addresses worker eligibility. If no such policy exists, no action shall be taken under this section relating to such a policy.

4 CSR 170-8.010

AUTHORITY: section 215.030(5), (12), and (19), RSMo 2000.* Original rule filed Feb. 11, 2010, effective Aug. 30, 2010.

*Original authority: 215.030, RSMo 1969, amended 1974, 1982, 1985, 1989, 1993, 1995, 1998.