List A

Items Requiring Special Monitoring

Major Category: Fraud, Waste, and Abuse

  • Item 1: Accurate proposal data; provision of false information

    Summary

    Most federal grant applications require the official signing on behalf of the institution to certify that

    To the best of my knowledge and belief, data in this preapplication/application are true and correct, the document has been duly authorized by the governing body of the applicant and the applicant will comply with the attached assurances if the assistance is approved.
    The "attached assurances" are covered in Lists A-C.

    The National Science Foundation grant application goes on to inform the signatory that "willful provision of false information in this application or in reports required under an ensuing award is a criminal offense." The Principal Investigator(s) must sign a similar certification relating to the scientific portion of the proposal.

    The Public Health Service grant application adds the following statement that both the grantee official and the Principal Investigator(s) must sign:

    I am aware that any false, fictitious, or fraudulent statement may...subject me to civil penalties under the Program Fraud Civil Remedies Act of 1986 (45 CFR 79).
    The Program Fraud Civil Remedies Act provides for significant economic penalties, to which the University has already been subjected in one case, in the event this certification is signed and then intentional falsehoods are found to have been stated anywhere in the grant proposal.

    Reference

    Standard Form (SF) 424B, Assurances - Nonconstruction Programs; federal grant application forms (e.g. PHS and NSF)

    Campus Compliance Guidance

    (a) Institutional Certification: At least once every two years, a campus official should coordinate a review of campus compliance with the certifications in Lists A-C and inform the Contract and Grant office staff that this certification may continue to be signed.

    (b) Principal Investigator Certification: Each campus should give Principal Investigators a statement of what their duties and responsibilities are with respect to not providing false or misleading information in proposals, particularly with regard to the scientific claims made, the estimates of costs, and other items covered by the certifications in Lists A-C. A model statement that may be used for this purpose is being developed by the Office of the President.

  • Item 2: Lobbying

    Summary

    Applicants for both federal contracts and federal grants over $100,000 must certify that no federal funds were used to pay for lobbying activities. Any non-federal funds so used, with certain exceptions, must be reported on Standard Form LLL, Disclosure of Lobbying Activities, along with the application. In addition, OMB Circular A-21 mandates that the costs of lobbying activities cannot be charged directly or indirectly to federally-sponsored projects. For further information, see C&G Memos 90-2 (2/9/90), 90-2 Supplement 1 (5/21/90) and 90-2 Supplement 2 (7/12/90) on Lobbying Restrictions.

    Reference

    FAR 52.203-11; federal grant application forms (e.g., PHS and NSF); OMB Circular A-21 Section 17, Executive Lobbying, and Section 24, Lobbying.

    Campus Compliance Guidance

    (a) Separately identify unallowable lobbying activity costs and exclude such costs from campus federal indirect cost proposals and from expenditure reports on federal awards.

    (b) Enforce the University proscription on the use of University funds (federal and non-federal) in efforts to secure earmarking of federal appropriations for non-competitive awards to the University.

    (c) Provide notification to Principal Investigators and other campus officials concerning federal lobbying restrictions and reporting requirements.

  • Item 3: Conflict of Interest

    Summary

    Applicants for federal financial assistance from certain agencies (currently NSF and PHS) must certify that the campus has a written and enforced conflict of interest policy; that if potential conflicts exist they will be reduced or eliminated; and that the campus will make pertinent information available upon request of the awarding agency. In addition, proposals for certain federal consulting agreements may contain certificates with respect to organizational conflicts of interest.

    Reference

    FAR 52.209-07; FAR 52.209-08; SF-424B, #3; PHS rules on standards of conduct; PHS and NSF grant award terms [forthcoming]

    Campus Compliance Guidance

    (a) Financial Conflicts of Interest

    Implement the Universitywide conflict of interest policy when it is issued. Continue to enforce University rules pertaining to employee-vendor relationships (in Business and Finance Bulletin BUS-43, Part 7).

    (b) Organizational Conflicts of Interest

    If the certifications at FAR 52.209-07 or 52.209-08 are required, solicit information from the Principal Investigator on whether he/she believes that performance of the service under a federal contract may give the Principal Investigator an unfair advantage in competing for other government contracts, or that because of other activities or relationships the Principal Investigator is unable to render impartial advice or assistance to the government.

  • Item 4: Scientific Misconduct

    Summary

    Both NSF and PHS impose extensive procedural requirements on grantees for handling cases of alleged scientific misconduct, including, in the case of PHS, filing of an annual report in addition to certifications on each grant proposal. In response, the University has promulgated a policy on "Integrity in Research." For further information, see C&G Memos 87-26 (8/6/87), PHS Grant Application Form PHS 398, Assurance on Scientific Fraud (Misconduct); 90-1 (1/16/90), Integrity in Research: NSF and PHS Regulations and Proposed University Policy; and 90-1 Supplement 1 (6/26/90), University Policy on Integrity in Research.

    Reference

    NSF and PHS grant application forms; PHS Form 6315, Initial Assurance Regarding Procedures for Dealing with and Reporting Possible Misconduct in Science

    Campus Compliance Guidance

    Submit the annual report on misconduct on Form 6315 to the NIH Office of Scientific Integrity; implement the University policy on Integrity in Research (including making sure that current copies of local guidelines and procedures have been sent to the Provost and Senior Vice President--Academic Affairs); inform Principal Investigators, in an investigator handbook or similar document, of expected standards for the conduct of research.

  • Item 5: Debarment and Suspension

    Summary: Certify whether the offeror or applicant, or any of its principals, is currently debarred, suspended, proposed for debarment, or declared ineligible to receive federal awards; whether within the past three years the offeror or applicant, or any of its principals, has been convicted of or had a civil judgment rendered against it for, or been indicted for, commission of fraud or certain criminal offenses; and whether the offeror or applicant has had any federal award terminated for cause or default in the past three years. Require similar certifications in subcontracts over $25,000.

    Reference: FAR 52.209-05; federal grant application forms (e.g., NSF)

    Campus Compliance Guidance: The routing sheet (or equivalent internal document) for any federal grant application, or any federal contract proposal over $25,000, should state that the Principal Investigator: (a) has not been debarred or otherwise declared ineligible to receive federal awards; and (b) has not, within the previous three years, been charged with committing an action that may be a cause for debarment. Actions that may be cause for debarment include: (i) commission of fraud or a criminal offense in connection with obtaining or performing a public contract or subcontract; and (ii) commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. Contract and Grant Office directors should require office staff to report whenever any federal award to the campus has been terminated for cause or default, and the date of termination. In the event a federal award is terminated for cause or default, the Contract and Grant Office director should inform office staff that the certification may no longer be made. For further information, see C&G Memo 88-19 (11/8/88), Certification of Nondebarment Status for Federal Assistance. The UCOP Research Administration Office monitors the federal debarment list and will notify campuses if the University or any officer of the University appears on the list. The standard University terms and conditions for purchase agreements already provide for inclusion of the required certification in subagreements over $25,000.

    Major Category: Research Subjects

  • Item 1: Human Subjects

    Summary

    Applicants for federal financial assistance for work involving human subjects must certify that they will comply with Pub. L. 93-348 (the National Research Act), which in effect requires that all federally-funded research protocols involving human subjects be reviewed by a campus Institutional Review Board (IRB). The operating procedures and composition of an IRB must conform to the campus "Assurance of Compliance" as approved by the Department of Health and Human Services.

    Reference

    SF-424B, #14; grant application forms (e.g., PHS)

    Campus Compliance Guidance

    (a) All proposals involving non-exempt use of human subjects must be reviewed by a campus IRB.

    (b) At least once every two years, IRB staff should review relevant procedures for conformance with the campus "General Assurance of Compliance" (or equivalent).

  • Item 2: Laboratory Animals

    Summary

    Applicants for financial assistance for work involving live, vertebrate animals must certify that they will comply with all applicable State and federal regulations, which in effect requires that all research protocols involving such animals be reviewed by a campus Institutional Animal Care and Use Committee (IACUC). The operating procedures and composition of an IACUC must conform to the campus "Animal Welfare Assurance" as approved by the National Institutes of Health (NIH).

    Reference

    SF-424B, #15; grant application forms (e.g., PHS)

    Campus Compliance Guidance

    (a) All proposals involving use of live, vertebrate animals must be reviewed by a campus IACUC.

    (b) At least once every two years, IACUC staff should review relevant procedures for conformance with the campus "Animal Welfare Assurance" (or equivalent).

    Major Category: Costs

  • Item 1: Direct Cost Expenditures

    Summary

    Campus officials who submit requests for reimbursement of direct costs incurred on federally-funded projects must certify that "to the best of my knowledge and belief this report is correct and complete and that all outlays and unliquidated obligations are for the purposes set forth in the award documents."

    Reference

    OMB Circular A-21, K.1., direct cost certification; SF-269

    Campus Compliance Guidance

    (a) Institute controls that prevent unallowable costs, as identified by object code, from being charged to federal awards.

    (b) Complete the annual financial closing step that requires identification of unallowable expenditures not identifiable by object code, and institute controls that prevent such costs from being charged to federal awards.

    (c) Conduct random sample testing of direct charges to determine whether only allowable costs, as identified by description of the charge, have been charged to extramural funds sources, and whether expenses have been recorded accurately.

    (d) Give guidance to Principal Investigators, in an investigator handbook or similar document, on what constitutes allowable and appropriate charges to extramural fund sources, and information concerning the PI's responsibility to charge or approve only allowable and appropriate costs.

    (e) Implement any University-accepted auditor recommendations in this area.

  • Item 2: Indirect Cost Expenditures

    Summary

    A University official must sign the following certificate in conjunction with the submission of any federal indirect cost proposal:

    This is to certify that to the best of my knowledge and belief:

    (1) I have reviewed the indirect cost proposal submitted herewith;

    (2) All costs included in this proposal [identify date] to establish billing or final indirect costs rate for [identify period covered by rate] are allowable in accordance with the requirements of the federal agreement(s) to which they apply and with the cost principles applicable to those agreements;

    (3) This proposal does not include any costs which are unallowable under applicable cost principles such as (without limitation): advertising and public relations costs, contributions and donations, entertainment costs, fines and penalties, lobbying costs, and defense of fraud proceedings; and

    (4) All costs included in this proposal are properly allocable to federal agreements on the basis of a beneficial or causal relationship between the expenses incurred and the agreements to which they are allocated in accordance with applicable requirements.

    I declare under penalty of perjury that the foregoing is true and correct.

    Reference

    OMB Circular A-21, K.2.b., indirect cost certification

    Campus Compliance Guidance

    The University official who makes this certification is the Associate Vice President--Business and Finance. Such certifications are, and have been, predicated upon similar certifications from campus officials. Campuses should continue to follow those procedures that have in the past given assurance that the certification may be made.

  • Item 3: Cash Disbursements

    Summary

    Campus officials submitting federal cash transactions reports (SF-272) must certify that "to the best of my knowledge and belief this report is true in all respects and that all disbursements have been made for the purpose and conditions of the grant or agreement."

    Reference

    SF-272

    Campus Compliance Guidance

    Follow the same procedures as for Item 1, Direct Cost Expenditures, in this section.

  • Item 4: Proposal Budgets

    Summary

    In some proposals for federal contracts over $500,000, the authorized official signing for the University must certify that the budget information is accurate, complete, and current as of the date of submission.

    Reference

    FAR 15.804-4(a)

    Campus Compliance Guidance

    When this certification is required, the Contract and Grant office should confirm with the originating department or unit: (a) that the cost estimates in the proposal conform with established campus guidelines (including guidelines for estimating costs of salaries, benefits, travel, and subcontracts); and (b) that the documentation of costs submitted to the government is accurate, complete, and current. When the University must submit the certification as the prime contractor, then similar certifications must be obtained from subcontractors when the amount of the proposed subcontract will exceed $500,000. For additional information see C&G Memo 76-19 (2/4/76), DHEW Audit Agency Finding on Supporting Documentation for Proposal Budgets.

    List B

    Items Requiring Routine Monitoring

    Major Category: Grantee/Contractor Responsibility

  • Item 1: Contingent Fees

    Summary: In proposals for contracts over $100,000, certify whether the offeror has employed or retained any person or company to solicit or obtain the contract, and, if so, whether that person has been promised a commission, percentage, or other fee contingent on the award of the contract.

    Reference: FAR 52.203-04

    Campus Compliance Guidance: Contract and Grant Officers should obtain relevant information from the Principal Investigator (through a check box on the proposal routing slip or equivalent) before completing this certification.

  • Item 2: Procurement Integrity

    Summary: In proposals for contracts over $100,000, certify whether the offeror has any knowledge of a violation or possible violation of the "procurement integrity" sections of the Office of Federal Procurement Policy Act (41 USC 423).

    Reference: FAR 52.203-08

    Campus Compliance Guidance: For any federal contract proposal over $100,000, the Principal Investigator should be asked (through a check box on the proposal routing slip or equivalent) whether he/she has offered any gift, discussed any job offer, or solicited any proprietary or source selection information from a federal official if that official is involved in awarding the contract to the University for which the proposal is submitted.

  • Item 3: Debt - Nondelinquency

    Summary: Certify whether the applicant is delinquent on any federal debt at the time of application.

    Reference: Federal grant application forms

    Campus Compliance Guidance: The campus Accounting Office should notify the campus Contract and Grant office if it becomes aware of any disallowance of costs on federal grants to the campus that have been settled in favor of the government but have not been paid and are not in the process of being paid. The campus may also want to review its procedures for payment of invoices from federal agencies (particularly the National Institute of Standards and Technology). For further information, see C&G Memo 89-2 (1/19/89), Certification/Statement of Non-delinquency on Federal Debt.

  • Item 4: Institutional, Managerial, Financial Capability

    Summary: Certify that the applicant has the legal authority and the managerial and financial capability to conduct and complete the project; that it will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives; and that it will cause to be performed any required audits.

    Reference: SF-424B, #1; SF-424B, #2; SF-424B, #17; FAR 52.230-01

    Campus Compliance Guidance: Comply with University audit requirements mandated by OMB Circular A-133. Maintain accounting and other business systems in accordance with the University Accounting Manual and Business and Finance Bulletins . Implement any University-accepted auditor recommendations arising out of the campus A-133 audit dealing with internal controls. [NOTE: The impending incorporation into A-21 of certain Cost Accounting Standards is likely to broaden the requirements associated with this certification.]

  • Item 5: Completion of Work within Time Frame

    Summary: Certify that the applicant will initiate and complete the work on the grant within the applicable time frame.

    Reference: SF 424B, #4

    Campus Compliance Guidance: Implement any University-accepted recommendations arising out of the campus A-133 audit dealing with financial and technical reporting.

  • Item 6: Placement of Graduates - Physician Assistants

    Summary: Certify that the applicant has appropriate mechanisms for placing graduates of PHS-funded training programs for physician assistants.

    Reference: Public Health Service (PHS) Form 6025, Non-research Training Grant application

    Campus Compliance Guidance: At least once every two years, the campus Contract and Grant office should confirm with the appropriate Dean or other official that the campus has "appropriate mechanisms" for placing graduates of PHS-funded physician assistant training programs. For further information, see C&G Memo 93-5 (3/29/93), PHS Training Grant Application - Additional Assurances.

    Major Category: Access To Records

  • Item 1: Access by Agency and Other Authorized Representatives

    Summary: Certify that the applicant will give the agency and other authorized representatives access to and the right to examine all records related to the award.

    Reference: SF-424B, #2

    Campus Compliance Guidance: The University should be in de facto compliance with the duty to provide access to contract and grant records by virtue of its status as a public institution. For further information, see Chapter 17 of the Contract and Grant Manual.

  • Item 2: Confidentiality of Alcohol and Drug Abuse Patient Records

    Summary: Certify that the applicant will keep alcohol and drug abuse patient records confidential to the extent required by 42 USC 290 dd-3 and 290 ee-3.

    Reference: SF-424B, #6.g.; 42 USC 290 dd-3 and 290 ee-3

    Campus Compliance Guidance: Scientists, administrators and others having custody of patient records pertaining to federally-funded alcohol and drug abuse prevention programs should be aware of the necessity to consult with the campus records coordinator before responding to any request for the release of such patient records.

    Major Category: Labor Standards

  • Item 1: Drug-Free Workplace

    Summary: Certify that the offeror or applicant will provide a drug-free workplace by notifying employees that unlawful drug use is prohibited and specifying what actions will be taken against employees for violations. Establish an on-going drug-free awareness program that includes employee notification and, as appropriate, rehabilitation. Comply with agency-specific regulations as applicable.

    Reference: FAR 52.223-05; federal grant application forms

    Campus Compliance Guidance: Give all employees a copy of the University policy on substance abuse. Report drug-related convictions to the funding agency within 10 days of receiving notice of a conviction from the employee, and take appropriate corrective action or require such employees to participate satisfactorily in approved drug-abuse assistance or rehabilitation programs. For grant applications, identify the workplace(s) where the grant will be substantially performed, either in the grant application or in a record kept in the grant file. Inform the granting agency if such workplace(s) change during the grant period. Implement any University-accepted recommendations in this area arising out of the campus A-133 audit. For further information, see C&G Memo 89-8 Supplement 3 (6/29/90), Certification Regarding Drug-Free Workplace, Final Regulations.

  • Item 2: Drug-Free Schools and Communities

    Summary: On a one-time basis, certify that the grantee institution has adopted and implemented a drug prevention program.

    Reference: Drug-Free Schools and Communities Act of 1989 (P.L. 101-226; 4 USC 4001)

    Campus Compliance Guidance: Implement the University Policy on Substance Abuse, which includes annually giving each employee a copy of the policy and conducting biennial reviews of the campus substance abuse program. For further information, see Contract and Grant Memo 89-8 Supplement 4 (1/8/91), UC Policy on Substance Abuse,...and Certifications for the Drug-Free Workplace and the Drug-Free Schools and Communities. [NOTE: Each campus has already submitted the required one-time certification. The Drug-Free Schools and Communities Act expired on June 30, 1995.]

  • Item 3: Promotions Based on Merit

    Summary: Certify that the applicant will comply with the Intergovernmental Personnel Act of 1970 (42 USC 4728-4763) relating to prescribing standards for merit systems for certain federally-funded programs.

    Reference: SF-424B, #5

    Campus Compliance Guidance: The campus should be in de facto compliance in virtue of its implementation of University personnel policies.

  • Item 4: Hatch Act

    Summary: Certify that the applicant will comply with the provisions of the Hatch Act (15 USC 1501-1508 and 7324-7328), which limit the political activities of grantee employees.

    Reference: SF-424B, #8

    Campus Compliance Guidance: Because the Hatch Act does not apply to University employees, campus Contract and Grant Officers should routinely line out or mark as "not applicable" any references to this Act in certifications. Alternatively, the Hatch Act references may be considered self-deleting if the certification is prefaced with words to the effect that the applicant will comply with applicable provisions of the listed laws or regulations. As a last resort, if none of these three options is available, the funding agency should be notified that the Hatch Act is not applicable to University employees. For further information, see Section 12-360 of the Contract and Grant Manual.

  • Item 5: Wage and Hour Acts

    Summary: Certify that the applicant will comply, as applicable, with the provisions of the Davis-Bacon Act (40 USC 276a to 276a-7), the Copeland Act (40 USC 276c and 18 USC 874), and the Contract Work Hours and Safety Standards Act (40 USC 327-333), regarding labor standards for federally assisted construction subagreements.

    Reference: SF-424B, #9

    Campus Compliance Guidance: Federally-funded contracts over $2000 for construction, alteration, or repair awarded by the campus should conform with the requirements in the University Facilities Manual, and therefore would contain, when applicable, provisions requiring the contractor and any of its subcontractors to pay prevailing wages and premium overtime, to make wage payments at least once per week, to keep adequate records of such payments, and to make certified copies of payroll records available for inspection. In addition, as specified in the Facilities Manual, University personnel who manage federally-funded construction projects should perform random checks to determine if the contractor is meeting the contract requirements. For further information, see Sections 12-320 and 12-330 of the Contract and Grant Manual .

    Major Category: Special Situations

  • Item 1: Drug-Free Work Force

    Summary: In proposals for certain DoD contracts, usually those involving access to classified information, the offeror must certify that it will institute a drug-free work force program that includes employee assistance, supervisory training, provision for self-referrals to treatment, and random drug testing.

    Reference: DFARS 252.223-7004

    Campus Compliance Guidance: When a drug-free work force certification is required by the contract, an employee assistance program must be established and employees working under the contract in "sensitive positions" must participate in a drug testing program. Because drug testing of employees is controversial, this clause should not be accepted without careful planning and coordination with campus academic and staff personnel on the project to determine how the campus will comply with the requirements. This clause currently applies only to Scripps Institute of Oceanography ships and the DOE Laboratories.

  • Item 2: Recombinant DNA Molecules

    Summary: Certify that the applicant will comply with guidelines for research involving recombinant DNA molecules published by the National Institutes of Health (NIH).

    Reference: NIH Guidelines (51 FR 16958)

    Campus Compliance Guidance:

    (a) Any non-exempt research involving recombinant DNA molecules must be reviewed and approved by the campus biosafety committee.

    (b) At least once every two years, campus biosafety committee staff should review relevant procedures for conformance with NIH guidelines.

  • Item 3: Marine Mammals

    Summary: Certify that the applicant will comply with applicable provisions of the Marine Mammal Act.

    Reference: Pub. L. 92-522

    Campus Compliance Guidance: The campus should have a designated office(s) responsible for securing required permits and providing required reports for research projects that will involve the taking or importation of protected marine mammals or marine mammal products.

  • Item 4: Endangered Species Act

    Summary: Certify that the applicant will comply with environmental standards for the protection of endangered species under the Endangered Species Act of 1973, as amended (Pub. L. 93-205).

    Reference: SF-424B, #11.h.

    Campus Compliance Guidance: The campus should have a designated office(s) responsible for securing required permits and providing required reports if a research project will involve the import or export of endangered or threatened species.

    Major Category: Nondiscrimination/Affirmative Action

  • Item 1: Discrimination based on Race, Color, National Origin

    Summary: Certify that the applicant will comply with Title VI of the Civil Rights Act of 1964 (Pub. L. 88-352) which prohibits discrimination in the provision of grant-supported services on the basis of race, color or national origin

    Reference: SF-424B, #6.a.; grant application forms; 45 CFR 80

    Campus Compliance Guidance: By memorandum dated July 5, 1994, from Provost Massey and Senior Vice President Kennedy, all campuses were required to submit certifications of compliance with Title VI, and on this basis Form HHS 441, Assurance of Compliance...Title VI, was submitted to the Department of Health and Human Services by the Office of the President Research Administration Office. No further campus action is required, though the campus may decide to periodically confirm on-going compliance.

  • Item 2: Equal Opportunity; Nonsegregated Facilities

    Summary: Certify that the offeror will comply with Executive Order 11246, Equal Employment Opportunity; that the offeror will not maintain for its employees any segregated facilities; and whether the offeror has filed all required reports.

    Reference: FAR 52.222-26; FAR 52.222-22; FAR 52.222-21

    Campus Compliance Guidance: At least once every two years, the campus personnel office should confirm that the campus has a current affirmative action plan. With respect to the solicitation provision at FAR 52.222-22, check the box in (a) that the offeror has participated in contracts subject to the Equal Opportunity clause, and the box in (b) that the offeror has filed all required compliance reports.

  • Item 3: Affirmative Action Compliance

    Summary: Certify whether the offeror has developed and filed affirmative action programs as required by the Secretary of Labor.

    Reference: FAR 52.222-25

    Campus Compliance Guidance: At least once every two years, the campus personnel office should confirm that the campus has a current affirmative action plan. With respect to the solicitation provision at FAR 52.222-25, check the box that the offeror has developed and has on file the required affirmative action programs.

  • Item 4: Affirmative Action for Special Disabled and Vietnam Era Veterans

    Summary: In proposals for contracts over $10,000, certify that the offeror will comply with applicable provisions of the Vietnam Era Veterans' Readjustment Assistance Act of 1972.

    Reference: FAR 52.222-35

    Campus Compliance Guidance: At least once every two years, the campus personnel office should confirm that the campus has a current affirmative action plan that includes special disabled and Vietnam era veterans. The required annual reports are submitted by the UCOP Affirmative Action office.

  • Item 5: Discrimination based on Sex

    Summary: Certify that the applicant will comply with Title IX of the Education Amendments of 1972, as amended (20 USC 1681-1683 and 1685-1686), which prohibits discrimination in the provision of grant-supported services on the basis of sex.

    Reference: SF-424B, #6.b.; grant application forms; 45 CFR 86

    Campus Compliance Guidance: By memorandum dated July 5, 1994, from Provost Massey and Senior Vice President Kennedy, all campuses were required to submit certifications of compliance with Title IX, and on this basis Form HHS 639-A, Assurance of Compliance...Title IX, was submitted to the Department of Health and Human Services by the Office of the President Research Administration Office. No further campus action is required, though the campus may decide to periodically confirm on-going compliance.

  • Item 6: Discrimination based on Handicap

    Summary: Certify that the offeror or applicant will comply with Section 504 of the Rehabilitation Act of 1973, as amended (29 USC 794), which prohibits discrimination in the provision of grant-supported services on the basis of handicaps.

    Reference: SF-424B, #6.c.; grant application forms; 45 CFR 84; FAR 52.222-36

    Campus Compliance Guidance: By memorandum dated July 5, 1994, from Provost Massey and Senior Vice President Kennedy, all campuses were required to submit certifications of compliance with Section 504, and on this basis Form HHS 641, Assurance of Compliance...Section 504, was submitted to the Department of Health and Human Services by the Office of the President Research Administration Office. No further campus action is required, though the campus may decide to periodically confirm on-going compliance.

  • Item 7: Discrimination based on Age

    Summary: Certify that the applicant will comply with the Age Discrimination Act of 1975, as amended (42 USC 6101-6107), which prohibits discrimination in the provision of grant-supported services on the basis of age.

    Reference: SF-424B, #6.d.; grant application forms; 45 CFR 91

    Campus Compliance Guidance: By memorandum dated July 5, 1994, from Provost Massey and Senior Vice President Kennedy, all campuses were required to submit certifications of compliance with the Act, and on this basis Form HHS 680, Assurance of Compliance...Age Discrimination Act, was submitted to the Department of Health and Human Services by the Office of the President Research Administration Office. No further campus action is required, though the campus may decide to periodically confirm on-going compliance.

  • Item 8: Discrimination based on Drug Abuse

    Summary: Certify that the applicant will comply with the Drug Abuse Office and Treatment Act of 1972 (Pub. L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse. The Act prohibits discrimination, by hospitals that receive federal support, in admission or treatment of drug abusers solely because of their drug abuse.

    Reference: SF-424B, #6.e.; 42 USC 290 ee-2; 45 CFR 84

    Campus Compliance Guidance: The campus should be in compliance by virtue of its compliance with regulations dealing with nondiscrimination on the basis of handicap (see Item 6, above).

  • Item 9: Discrimination based on Alcohol Abuse

    Summary: Certify that the applicant will comply with the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (Pub. L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism. The Act prohibits discrimination, by hospitals that receive federal support, in admission or treatment of alcohol abusers solely because of their alcohol abuse.

    Reference: SF-424B, #6.f.; 42 USC 290 dd-2; 45 CFR 84

    Campus Compliance Guidance: The campus should be in compliance by virtue of its compliance with regulations dealing with nondiscrimination on the basis of handicap (see Item 6, above).

  • Item 10: Housing Discrimination

    Summary: Certify that the applicant will comply with Title VIII of the Civil Rights Act of 1968 (42 USC 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing.

    Reference: SF-424B, #6.h.

    Campus Compliance Guidance: The campus should be in compliance by virtue of its compliance with regulations dealing with nondiscrimination on the basis of race, color, national origin, sex, handicap, or age (see Items 1, 5, 6, and 7, above).

  • Item 11: Relocation Assistance

    Summary: Certify that the applicant will comply with the requirements of Title II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Pub. L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of federal or federally assisted programs.

    Reference: SF-424B, #7

    Campus Compliance Guidance: Do not accept any federal grant that would require the displacement and relocation of persons or acquisition of their property unless such actions will be accompanied by fair and reasonable relocation payments and assistance paid for by the funding agency.

  • Item 12: Graduates of Foreign Medical Schools

    Summary: Certify that the applicant will not discriminate against graduates of foreign medical schools in considering applications for admission to graduate training programs in the health professions.

    Reference: PHS Form 6025, Non-research Training Grant application

    Campus Compliance Guidance: At least once every two years, the campus Contract and Grant office should confirm with the appropriate Dean or other official that, in considering applications for admission to the training program being funded, the applicant will not refuse to consider an application solely on the basis that the application is submitted by a graduate of a foreign medical school. For further information, see C&G Memo 93-5 (3/29/93), PHS Training Grant Application - Additional Assurances.

    Major Category: Environmental Issues

  • Item 1: Clean Air and Water Acts; Executive Order (E.O.) 11738

    Summary: Certify that no facility to be used in the performance of the contract or grant is listed on the EPA List of Violating Facilities [now merged with the federal Debarment List], and that the work performed will not violate State clean air implementation plans.

    Reference: FAR 52.223-01; SF-424B, #11.f.; SF-424B, #11.b.

    Campus Compliance Guidance: Lease agreements with The Regents as tenant should (and normally do) contain language requiring the landlord to notify the tenant of any environmental hazards, and to comply with all applicable State and federal laws. Campus officials responsible for leases should be aware of their responsibility to inform the campus Contract and Grant office whenever: (a) a landlord notifies the campus of a violation involving leased space; and (b) a research project is being conducted in that space. The UCOP Research Administration Office monitors the federal Debarment List and will notify campuses if the University or any officer of the University appears on the list.

  • Item 2: Safe Drinking Water Act

    Summary: Certify that the applicant will protect underground sources of drinking water pursuant to the Safe Drinking Water Act of 1974, as amended, (Pub. L. 93-523).

    Reference: SF-424B, #11.g.

    Campus Compliance Guidance: The campus should be in de facto compliance by virtue of its compliance with the California Environmental Quality Act (CEQA). The campus Facilities Management or planning office is responsible for maintaining compliance with CEQA. At least once every two years a review should be conducted to confirm on-going compliance with CEQA. If the Contract and Grant office has reason to believe that a particular proposal is for work that may have a negative impact on underground sources of drinking water, the campus Facilities Management or planning office should be notified.

  • Item 3: Flood Disaster Protection Act

    Summary: Certify that the applicant will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (Pub. L. 93-234), which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more.

    Reference: SF-424B, #10

    Campus Compliance Guidance: State-owned property is generally exempt from these flood insurance requirements. If FEMA assistance has been requested, however, then flood insurance may be required; any such obligation is handled by the Office of the President Risk Management Office. No further campus action is required.

  • Item 4: National Environmental Policy Act; E.O. 11514

    Summary: Certify that the applicant will comply with environmental standards which may be prescribed pursuant to institution of environmental quality control measures under the National Environmental Policy Act of 1969 (Pub. L. 91-190) and Executive Order 11514.

    Reference: SF-424B, #11.a.

    Campus Compliance Guidance: The campus should be in de facto compliance by virtue of its compliance with the California Environmental Quality Act (CEQA). The campus Facilities Management or planning office is responsible for maintaining compliance with CEQA. At least once every two years a review should be conducted to confirm on-going compliance with CEQA. If the Contract and Grant office has reason to believe that a particular proposal is for work that may have a negative impact on the environment, the campus Facilities Management or planning office should be notified.

  • Item 5: E.O. 11990 (Protection of Wetlands)

    Summary: Certify that the applicant will comply with environmental standards for the protection of wetlands pursuant to E.O. 11990.

    Reference: SF-424B, #11.c.

    Campus Compliance Guidance: The campus should be in de facto compliance by virtue of its compliance with the California Environmental Quality Act (CEQA). The campus Facilities Management or planning office is responsible for maintaining compliance with CEQA. At least once every two years a review should be conducted to confirm on-going compliance with CEQA. If the Contract and Grant office has reason to believe that a particular proposal is for work that may have a negative impact on protected wetlands, the campus Facilities Management or planning office should be notified.

  • Item 6: E.O. 11988 (Flood Hazards)

    Summary: Certify that the applicant will comply with environmental standards for the evaluation of flood hazards in floodplains in accordance with E.O. 11988.

    Reference: SF-424B, #11.d.

    Campus Compliance Guidance: The campus should be in de facto compliance by virtue of its compliance with the California Environmental Quality Act (CEQA). The campus Facilities Management or planning office is responsible for maintaining compliance with CEQA. At least once every two years a review should be conducted to confirm on-going compliance with CEQA.

  • Item 7: Coastal Zone Management Act

    Summary: Certify that the work performed will not violate State management programs developed under the Coastal Zone Management Act of 1972 (16 USC 1451 et seq.).

    Reference: SF-424B, #11.e.

    Campus Compliance Guidance: The campus Facilities Management or planning office is responsible for complying with applicable provisions of the State's coastal zone management program. At least once every two years a review should be conducted to confirm on-going compliance with such programs.

  • Item 8: Wild and Scenic Rivers Act

    Summary: Certify that the applicant will comply with the Wild and Scenic Rivers Act of 1968 (16 USC 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system.

    Reference: SF-424B, #12

    Campus Compliance Guidance: The campus Facilities Management or planning office is responsible for complying with applicable provisions of the State's outdoor recreation plans. At least once every two years a review should be conducted to confirm on-going compliance with such plans.

  • Item 9: Historic Preservation Acts; E.O. 11593

    Summary: Certify that the applicant will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 USC 470), E.O. 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 USC 469a-1 et seq.).

    Reference: SF-424B, #13

    Campus Compliance Guidance: The campus should be in de facto compliance by virtue of its compliance with the California Environmental Quality Act (CEQA). The campus Facilities Management or planning office is responsible for maintaining compliance with CEQA. At least once every two years a review should be conducted to confirm on-going compliance with CEQA. If the Contract and Grant office has reason to believe that a particular proposal is for work that may have a negative impact on protected historic properties or archaeological sites, the campus Facilities Management or planning office should be notified.

  • Item 10: Bloodborne Pathogens

    Summary: Certify that the applicant for PHS-funded training grants will provide all trainees, as appropriate, instruction in the utilization of universal precautions and infection control procedures for the prevention of the transmission of bloodborne diseases.

    Reference: PHS Form 6025, Non-research Training Grant application

    Campus Compliance Guidance: At least once every two years, the campus Environmental Health and Safety office should confirm that the campus has a current Exposure Control Plan (or equivalent) designed to eliminate or minimize exposure to bloodborne pathogens, and that PHS-funded trainees will receive appropriate instruction. For further information, see C&G Memo 93-5 (3/29/93), PHS Training Grant Application - Additional Assurances.

    List C

    Items Requiring Minimal Monitoring

    Major Category: Type of Business/Place of Performance

  • Item 1: Type of Business Organization

    Summary: Certify whether the offeror is a corporation, individual, partnership or nonprofit organization.

    Reference: Federal Acquisition Regulations (FAR) 52.215-06

    Campus Compliance Guidance: Check the box on the certification that the offeror is a nonprofit organization.

  • Item 2: Insurance - Immunity from Tort Liability

    Summary: Certify whether the offeror is totally or partially immune from tort liability to third persons.

    Reference: FAR 52.228-06

    Campus Compliance Guidance: Check the box on the certification that the offeror, as a State institution, is partially immune from tort liability.

  • Item 3: Small Business Concern Representation

    Summary: Certify whether the offeror is a small business.

    Reference: FAR 52.219-01

    Campus Compliance Guidance: Check the box on the certification that the offeror is not a small business concern.

  • Item 4: Small Disadvantaged Business Concern Representation

    Summary: Certify whether the offeror is a small disadvantaged business.

    Reference: FAR 52.219-02

    Campus Compliance Guidance: Check the box on the certification that the offeror is not a small disadvantaged business concern.

  • Item 5: Women-Owned Small Business Representation

    Summary: Certify whether the offeror is a women-owned small business.

    Reference: FAR 52.219-03

    Campus Compliance Guidance: Check the box on the certification that the offeror is not a women-owned small business concern.

  • Item 6: Walsh-Healey Public Contracts Act Representation

    Summary: Certify whether the offeror is a regular dealer in or manufacturer of the supplies offered.

    Reference: FAR 52.222-19

    Campus Compliance Guidance: Check the boxes on the certification that the offeror is not a regular dealer in nor a manufacturer of supplies.

  • Item 7: Place of Performance

    Summary: Indicate whether, and if so where, the offeror intends to use one or more off-site facilities.

    Reference: FAR 52.215-20

    Campus Compliance Guidance: As applicable, check on the certification whether in the performance of the contract the offeror intends to use one or more facilities located off-campus, and, if so, provide the off-campus addresses and, if not University-owned, the name of the facility owner.

  • Item 8: Preference for Labor Surplus Area Concerns

    Summary: If the offeror wants preference as a labor surplus area concern, indicate which labor surplus areas will be used to perform the contract.

    Reference: FAR 52.220-01

    Campus Compliance Guidance: Unless special circumstances warrant, this provision may be left blank.

    Major Category: Patents/Copyrights

  • Item 1: Patents - Notice of Government Licensee

    Summary: Used only when the government is obligated to pay a royalty applicable to the proposed acquisition because of a license agreement between the government and the patent owner, and performance of the contract will involve payment of such royalties or license fees.

    Reference: FAR 52.227-07

    Campus Compliance Guidance: If the funding agency notifies the offeror that the above situation is the case, the offeror must state whether it is the owner of or licensee under the patent.

  • Item 2: Representation of Limited Rights Data and Restricted Computer Software

    Summary: Used to give the offeror a chance to identify any data or computer software to be furnished in the performance of the contract that the offeror does not what the Government to have unlimited rights in.

    Reference: FAR 52.227-15

    Campus Compliance Guidance: After obtaining confirmation from the Principal Investigator, the campus Contract and Grant office should check the appropriate box on the certification whether any of the data or computer software to be delivered under the contract will be delivered with limited or restricted rights, and identify any such data or software. If no notification is given to the government that any of the data or software to be delivered will be submitted with limited or restricted rights, then the government will obtain unlimited rights in any data or software delivered. For further information, see C&G Memo 84-31 (11/19/84), Rights in Data Issues and Clauses/University Copyright Policy.

  • Item 3: Certification of Technical Data Conformity

    Summary: When accepted in a DoD contract, requires that all technical data delivered under the contract be accompanied by a written certification to the effect that, to the best of the certifier's knowledge and belief, the data are complete, accurate, and comply with the data requirements of the contract as specified in form DD 1423 (Contract Data Requirements List).

    Reference: Defense Acquisition Regulations (DFARS) 252.227-7036

    Campus Compliance Guidance: Identify the official (usually the Principal Investigator) who will make the required certifications. Make sure the designated official is aware of the nature of his/her responsibility, prior to the delivery of any data or software under the contract, to review such data or software for completeness, accuracy, and conformity with the data requirements listed in form DD 1423, Contract Data Requirements List. (This certification is required only when form DD 1423 is used.)