Chuck:

I agree with most everything you say.  Except here.

A principal is a legal term for an officer of a corporation.  This would
be a Board Member, President, Provost, VP, or any other individual who
has signatory authority to legally bind the institution.  This can also
include Project Directors and Principal Investigators and Co-PI's, as
well as department chairs and their associates depending upon how the
organization is structured.  It could even include a Manager of Grant
Accounting or Research Administrator.  For these, its that "critical
influence" part that comes into play.

When the Congress crafted the Debarment clauses, they were trying to
stop the shady dealings that were going on in private industry in their
DoD contracting.  The Legislature struck out after corporations, and
individuals in any decision making role.  The embodiment into DFAR and
FAR of the Debarment clauses are deeply rooted, and not leaving us any
time soon.

Imagine being prevented from being able to hold any position on a
federal award of any kind with any organization!  What a penalty.

Board members hold a special position, however.  Someone could be
debarred or suspended but still retain their position on the board.
 They would have to recuse themselves from any discussions involving
federal awards or subawards (directly or indirectly).  That's as I read
it, but I'm sure there's a lawyer in this group who would know better
than I.

So.  Keep it clean and above board, folks!  As I like to say, never put
yourself in a position to be ashamed of finding your name on the front
page of the local newspaper.

Greg Schmidt

Herbert B. Chermside wrote:

> My personal opinion:  "Director" from legislation does apply to a
> member of
> the Board of Trustees.
>
> Chuck
>
>
>
> At 01:27 PM 9/18/2002 -0500, you wrote:
>
>> RESADMers, a colleague at another institution asked me the following
>> question.  I don't know the answer, does anyone?
>>
>> Under the "Debarment and Suspension" compliance requirement, does a
>> member
>> of an institution's Board of Trustees meet the definition of
>> "principal"?
>>
>> Here's what he knows so far:
>> Definition of Principal (from NIH and NSF legislation incorporating the
>> requirement):  Principal. Officer, director, owner, partner, key
>> employee,
>> or other person within a participant with primary management or
>> supervisory
>> responsibilities; or a person who has a critical influence on or
>> substantive control over a covered transaction, whether or not
>> employed by
>> the participant. Persons who have a critical influence on or substantive
>> control over a covered transaction are:
>>     (a) Principal investigators.
>>     (b) Researchers.
>>
>> Please answer to the list or to me, your choice.  I'll pass the
>> responses on.
>>
>> Regards, Bill
>>
>> Bill Campbell
>> Director, Grants & Research
>> University of Wisconsin-River Falls
>> 715/425-3195
>> xxxxxx@uwrf.edu
>>
>>
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>
> Herbert B. Chermside, CRA
> Director, Sponsored Programs Administration
> Virginia Commonwealth University
> PO BOX 980568
> Richmond, VA  23298-0568
> Express Delivery Only:
>        Sanger Hall, Rm. 1-032A
>        11th & Marshall Streets
>        Richmond, VA  23219
> Voice:  804-828-6772
> Fax     804-828-2521
> OFFICE e-mail   xxxxxx@VCU.EDU
> Personal e-mail xxxxxx@vcu.edu
> http://views.vcu.edu/ospa/
>
>
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