University of California

Office of the President

Research Administration Office

Lists of Certifications Related to Federal Contracts and Grants

List A: Items Requiring Special Monitoring

List B: Items Requiring Routine Monitoring

List C: Items Requiring Minimal Monitoring

List A: Items Requiring Special Monitoring

Fraud, Waste, and Abuse

1: Accurate proposal data; provision of false information

2: Lobbying

3: Conflict of Interest

4: Scientific Misconduct

5: Debarment and Suspension

Research Subjects

1: Human Subjects

2: Laboratory Animals

3. Research on Transplantation of Fetal Tissue


1: Direct Cost Expenditures

2: Indirect Cost Expenditures

3: Cash Disbursements

4: Proposal Budgets - Certification of Cost or Pricing Data

List B: Items Requiring Routine Monitoring

Grantee/Contractor Responsibility

1: Contingent Fees

2: Procurement Integrity

3: Debt - Nondelinquency

4: Institutional, Managerial, Financial Capability

5: Completion of Work within Time Frame

6: Certification Regarding Responsible Conduct of Research

Access To Records

1: Access by Agency and Other Authorized Representatives

2: Confidentiality of Alcohol and Drug Abuse Patient Records

Labor Standards

1: Drug-Free Workplace

2: Drug-Free Schools and Communities

3: Promotions Based on Merit

4: Hatch Act

5: Wage and Hour Acts

Special Situations

1: Drug-Free Work Force

2: Recombinant DNA Molecules

3: Marine Mammals

4: Endangered Species Act

Nondiscrimination/Affirmative Action

1: Discrimination based on Race, Color, National Origin

2: Equal Opportunity; Nonsegregated Facilities

3: Affirmative Action Compliance

4: Affirmative Action for Special Disabled and Vietnam Era Veterans

5: Discrimination based on Sex

6: Discrimination based on Handicap

7: Discrimination based on Age

8: Discrimination based on Drug Abuse

9: Discrimination based on Alcohol Abuse

10: Housing Discrimination

11: Relocation Assistance

12: Graduates of Foreign Medical Schools

Environmental Issues

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

2: Safe Drinking Water Act

3: Flood Disaster Protection Act

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

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

6: E.O. 11988 (Flood Hazards)

7: Coastal Zone Management Act

8: Wild and Scenic Rivers Act

9: Historic Preservation Acts; E.O. 11593

10: Bloodborne Pathogens

11: Toxic Chemical Release Reporting

List C: Items Requiring Minimal Monitoring

Type of Business/Place of Performance

1: Type of Business Organization

2: Insurance - Immunity from Tort Liability

3: Small Business Concern Representation

4: Small Disadvantaged Business Concern Representation

5: Women-Owned Business

6: Walsh-Healey Public Contracts Act Representation

7: Place of Performance

8: Preference for Labor Surplus Area Concerns


1: Patents - Notice of Government Licensee

2: Representation of Limited Rights Data and Restricted Computer Software