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 52.203-05
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.
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, Procurement Integrity).
Reference: FAR 52.203-08
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.
Summary: Certify whether the applicant is delinquent on any Federal debt at the time of application.
Reference: Federal grant application (NIH)
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.
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. In solicitations for contracts over $500,000, complete the Certificate of Disclosure Statement Due Date for Cost Accounting Standards.
Reference: SF-424B, #1; SF-424B, #2; SF-424B, #17 (pdf); FAR 52.230-01
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.
With respect to the Cost Accounting Standards certification, check boxes (5) and (a) in Part I and complete subpart (a) as follows: The Disclosure Statement was filed on June 30, 1996 for Berkeley, Los Angeles, San Diego and San Francisco; December 31, 1996 for Davis as amended March 30, 2000; June 30, 1997 for Irvine and Santa Barbara; and December 31, 1997 for Riverside and Santa Cruz.
Summary: Certify that the applicant will initiate and complete the work on the grant within the applicable time frame.
Reference: SF 424B, #4 (pdf)
Guidance: Implement any University-accepted recommendations arising out of the campus A-133 audit dealing with financial and technical reporting.
Access To Records
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 (pdf)
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.
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 Chapt. 6A III-A Part D 290dd-2
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.
Labor Standards
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 52.223-06; 2 CFR PART 182--GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE WORKPLACE (FINANCIAL ASSISTANCE); Federal grant application forms (e.g., NSF and NIH)
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.
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); 34 CFR Part 86
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.]
Summary: Certify that the applicant will comply with the Intergovernmental Personnel Act of 1970 (42 USC Chapter 62, Sections 4728-4763) relating to prescribing standards for merit systems for certain Federally-funded programs.
Reference: SF-424B, #5 (pdf)
Guidance: The campus should be in de facto compliance in virtue of its implementation of University personnel policies.
Summary: Certify that the applicant will comply with the provisions of the Hatch Act (5 USC 1501-1508 and 5 USC 7324-7328), which limit the political activities of grantee employees.
Reference: SF-424B, #8 (pdf)
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.
Summary: Certify that the applicant will comply, as applicable, with the provisions of the Davis-Bacon Act (40 USC Subtitle II, Part A, Chapt. 31, Subchapt. IV), and 18 USC Part I, Chapter 41, Section 874), and the Contract Work Hours and Safety Standards Act (40 USC Subtitle II, Part A, Chapt. 37), regarding labor standards for Federally assisted construction subagreements.
Reference: SF-424B, #9 (pdf)
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.
Special Situations
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. [See summary prepared by National Council of University Research Administrators.]
Reference: DFARS 252.223-7004
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.
Summary: Certify that the applicant will comply with guidelines for research involving recombinant DNA molecules published by the National Institutes of Health (NIH). [See summary prepared by National Council of University Research Administrators.]
Reference: NIH Guidelines for Research Involving Recombinant DNA Molecules
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.
Summary: Certify that the applicant will comply with applicable provisions of the Marine Mammal Act.
Reference: 16 USC Chapter 31, Subchapter I, Sections 1361ff, Marine Mammal Act (Pub. L. 92-522)
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.
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 (16 USC Chapter 35, Sections 1531ff [Pub. L. 93-205]).
Reference: SF-424B, #11.h. (pdf)
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.
Nondiscrimination/Affirmative Action
Summary: Certify that the applicant will comply with 42 USC Chapter 21, Section 2000d, 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. (pdf); grant application forms (e.g., NIH); 45 CFR 80
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 [now incorporated into Form HHS 690], Assurance of Compliance (pdf)...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.
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
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.
Summary: Certify whether the offeror has developed and filed affirmative action programs as required by the Secretary of Labor.
Reference: FAR 52.222-25
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.
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 (38 USC Chapter 42, Employment and Training of Veterans).
Reference: FAR 52.222-35
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.
Summary: Certify that the applicant will comply with Title IX of the Education Amendments of 1972, as amended (20 USC Chapter 38, Sections 1681-1683 and 1685-1686, Nondiscrimination Based on Sex), which prohibits discrimination in the provision of grant-supported services on the basis of sex.
Reference: SF-424B, #6.b. (pdf); grant application forms (e.g., NIH); 45 CFR 86
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 [now incorporated into Form HHS 690], 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.
Summary: Certify that the offeror or applicant will comply with Section 504 of the Rehabilitation Act of 1973, as amended (29 USC 794, Nondiscrimination under Federal Grants and Programs), which prohibits discrimination in the provision of grant-supported services on the basis of handicaps.
Reference: SF-424B, #6.c. (pdf); grant application forms (e.g., NIH); 45 CFR 84; FAR 52.222-36
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 [now incorporated into Form HHS 690], Assurance of Compliance (pdf) ...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.
Summary: Certify that the applicant will comply with the Age Discrimination Act of 1975, as amended (42 USC Chapter 76), which prohibits discrimination in the provision of grant-supported services on the basis of age.
Reference: SF-424B, #6.d. (pdf) ; grant application forms (e.g., NIH); 45 CFR 91
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 [now incorporated into Form HHS 690], Assurance of Compliance (pdf)...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.
Summary: Certify that the applicant will comply with the Alcohol and Drug Abuse Amendments of 1983 (42 USC 290dd-1), 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 (pdf).; 42 USC 290dd-1; 45 CFR 84
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).
Summary: Certify that the applicant will comply with the ADAMHA Reorganization Act, 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. (pdf) ; 42 USC 290 dd-1; 45 CFR 84
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).
Summary: Certify that the applicant will comply with Title VIII of the Civil Rights Act of 1968 (42 USC Chapter 45, Fair Housing), as amended, relating to nondiscrimination in the sale, rental or financing of housing.
Reference: SF-424B, #6.h. (pdf)
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).
Summary: Certify that the applicant will comply with the requirements of Title II and III of the Uniform Relocation and Real Property Acquisition Policies Act of 1970, 42 USC Chapter 61 (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 (pdf)
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.
Environmental Issues
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: SF-424B, #11.f. ; SF-424B, #11.b. (pdf)
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.
Summary: Certify that the applicant will protect underground sources of drinking water pursuant to the Safe Drinking Water Act of 1974, as amended, (42 USC 300f et seq. [Pub. L. 93-523]).
Reference: SF-424B, #11.g. (pdf)
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.
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 (42 USC Chapter 50 [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 (pdf)
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.
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 (42 USC Chapter 55, [Pub. L. 91-190]) and Executive Order 11514.
Reference: SF-424B, #11.a. (pdf)
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.
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. (pdf)
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.
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. (pdf)
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.
Summary: Certify that the work performed will not violate State management programs developed under the Coastal Zone Management Act of 1972 (16 USC Chapter 33, Sections 1451 et seq.).
Reference: SF-424B, #11.e.(pdf)
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.
Summary: Certify that the applicant will comply with the Wild and Scenic Rivers Act of 1968 (16 USC Chapter 28, Sections 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system.
Reference: SF-424B, #12 (pdf)
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.
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 Sec. 469a-1 et seq.).
Reference: SF-424B, #13 (pdf)
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.
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: NIH Grants Policy Statement
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.
Summary: Certify whether the offeror is subject to filing and reporting requirements of the Emergency Planning and Community Right-to-Know Act of 1986 (42 USC 11023(a) and (g)) and the Pollution Prevention Act of 1990 (42 USC 13106).
Reference: FAR 52.223-13
Guidance: The University is not subject to these reporting requirements because none of its facilities fall within Standard Industrial Code (SIC) designations 20 through 39 or corresponding NAICS codes. Check box (iv) on the certification.
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