Who can be debarred?

Both individuals and entities may be subject to debarment. In the area of grant and cooperative agreement supported research, this includes anyone who participates in the research: the principal investigators, researchers, contractors, students, and technical and support staff. To date, all ORI debarments have involved individuals, not institutions or other entities.

What types of assistance are barred?

With some exceptions, debarred persons may not receive any Federal assistance (nonprocurement) or contracts (procurement), financial or nonfinancial, under Federal programs and activities of Executive Branch agencies. This includes, but is not limited to, grants, cooperative agreements, subsidies, contracts, subcontracts, student loans, and other forms of Federal funding.

For example, debarred persons may not be listed on a grant application for direct receipt of financial assistance in the form of a salary. Also, a debarred researcher may not receive nonfinancial assistance by being allowed to use federally funded equipment, laboratory space, office personnel, and other resources. Physicians excluded under Medicare and Medicaid provisions are also considered to be debarred. Nor may institutions contract with, or solicit bids from, debarred businesses for amounts over $100,000 when payment is to be with Federal monies. However, since some exclusions are limited in scope or effect, an institution should check the actual terms of an exclusion.

How long is a debarment?

The usual term is three years. However, debarments may be for longer or shorter periods depending on the seriousness of the debarred person's actions.

What work can the debarred person do?

Many areas of employment are unaffected by debarment. For example, debarred persons may work as Federal government employees. They may work for state or local governments, universities, professional and trade organizations, or in the private sector as long as none of the assistance, benefits, or contracts they receive originates with Federal monies. Debarred researchers may continue to receive research grant support from nonfederal sources.

Is an institution that receives Federal funding required to discharge a debarred person?

No. Debarred persons are only prevented from receiving Federal assistance or working on projects that receive Federal assistance. Therefore, they can still participate in any nonfederally funded activities. Upon request, ORI will review the proposed or current work of researchers who have been debarred for scientific misconduct with respect to PHS-funded activities.

May an institution be held responsible for the conduct of its debarred employees?

Yes. An institution cannot knowingly allow a debarred person to participate in federally funded projects nor may it contract with or solicit bids from debarred persons for federally funded projects over $100,000. For example, if an institution knowingly permitted a debarred person to work on a federally funded project, it could result in a disallowance of costs, annulment or termination of an award, issuance of a work-stop order, debarment or suspension, or other administrative actions.

How can an institution know whether a person has been debarred?

All debarred persons are named in the GSA List, which is available either through the U.S. Government Printing Office in hard copy or online.

Information on individuals debarred for PHS scientific misconduct is also available from the PHS Administrative Actions Bulletin Board which contains debarment information and other administrative actions of which an institution may need to be aware such as certification and supervision requirements. This site gives lists of persons debarred from carrying out FDA-regulated clinical research and those debarred from receiving federal research funds.

More specific information on why individuals have been debarred may be found in summaries published by ORI in the Federal Register, the ORI Newsletter and in the NIH Guide for Grants and Contracts.

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