Research Administration Office

University of California

Memo Operating Guidance

No. 91-13

December 12, 1991

Subject: DOE Form, Assurance of Compliance--Nondiscrimination in Federally Assisted Programs

Enclosed is a copy of a memo that was distributed to Affirmative Action/Equal Employment Opportunity Administrators on December 10, 1991, by Carmen Estrada, Director--Business and Employment Affirmative Action. This memo explains that the Department of Energy has recently revised its Form F1600.5, Assurance of Compliance--Nondiscrimination in Federally Assisted Programs. Both the old form (dated 5/85) and the new form (dated 5/90) are enclosed with Director Estrada's memo.

The new form appears to go beyond current applicable statutes and regulations in sections (b) through (h) of the paragraph headed "Applicant Certification"; and while the old form was approved by OMB the new form has not had OMB clearance. Since the new form constitutes a collection of information within the meaning of the Paperwork Reduction Act as implemented in 5 CFR 1320, it is invalid until approved by OMB and assigned an OMB Control Number.

As indicated in Director Estrada's memo, we are reviewing the new DOE form in the context of current Federal regulations and University practices in this area. In the meantime, we are not required' to complete the new form until it has received OMB clearance. Accordingly, if Contract and Grant Offices are asked by DOE to complete the new Form F1600.5 (05/90), they should complete the old form F1600.5 (5/85) and submit it instead.

We will keep you posted on the results of our internal review and any action on DOE' s part to obtain OMB clearance. By copy of this C& G Memo we are notifying DOE of our action. Questions from DOE awarding units concerning this issue should be referred to Bill Sellers in this office.

Refer: Bill Sellers (510) 987-9847

Subject Index: 02, 14

Organization Index: F-275

David F. Mears


Research Administration Office


cc: Ed Sharp/DOE, Kate Phillips/COGR, Carmen Estrada




December 10, 1991


New U.S. Department of Energy Assurance of Compliance

Nondiscrimination in Federally Assisted Programs Form

Enclosed is the above-referenced form which was recently issued by the Department of Energy to replace a previous form, and which was brought to our attention by the UCOP Office of Research Administration. The DOE requests that U.C. campuses sign a nondiscrimination assurance of compliance as a requirement for receipt of federal assistance.

The new form goes beyond the previous form by requiring the signature of the Affirmative Action Officer, information about the most recent onsite Federal Assistance Civil Rights review/audit, as well as requiring U.C. to agree to the provisions contained in the form's Applicant Certification paragraph.

In addition to my office, the Office of the General Counsel and the Office of Research Administration are reviewing the form to ascertain whether the new provisions conform with the DOE regulations and, if so, whether U.C. is able to comply with them. Therefore, we request that you not sign the form until our review has been completed, and suggest that you instead sign the previous form. The Office of Research Administration will provide similar advice to the campus contract and grant offices. It is our understanding that we cannot be penalized for not signing the new form since it has not been approved by the U.S. Office of Management and Budget. We will inform you in the near future of the recommended action on the new form.

If you have already signed the new form, or if you have any questions, please telephone Mona Litrownik of my staff at (510) 987-9019.

Carmen Estrada Director--Business and Employment Affirmative Action



Contract and Grant Officer Sellers

Principal Analyst Litrownik

University Counsel Thomas