Executive Order 12549 and FAR 521.209-5
This executive order called for the creation of a government wide debarment and suspension system in connection with all transactions with federal agencies.
Applicants for federal funds are required to certify that neither they, their principals, nor their researchers:
- Are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency.
- Have, within a 3-year period preceding an application, been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain or performing a public transaction or contract under a public transaction; violation of federal or state antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion [(3/26/96 for procurement) - 1/26/96 Fed. Reg]. or receiving stolen property.
- Are presently indicted or otherwise criminally or civilly charged by a government entity (federal, state, or local) with commission of any of the offenses enumerated in (2) above.
- Have, within a 3-year period preceding this application, had one or more public transactions (federal, state, or local) terminated for cause or default.
In this case, the applicant is the institution, the principals are members of the Board of Trustees or senior administrative staff, and researchers are the faculty and their professional colleagues who undertake such research activities.
The University of Houston treats this requirement as a "negative certification", i.e., that no principals or researchers at the institution are debarred, suspended, or proposed for debarment or suspension.
Any individual who meets any of the conditions in 1-4 above must immediately notify the Division of Research, Office of Contracts and Grants.