HomeMy WebLinkAboutMINUTES - 10181994 - 1.45 TO: BOARD OF SUPERVISORS 1. L.5
rr V A �� ,
FROM: Mark Finucane, Health Services Director `"' 'trt�,
By: Elizabeth A. Spooner, Contracts AdministratorCosta
DATE: October 5, 1994 COmen
Approve Standard Agreement #29-203-58 with theReeparten�tJ)
SUBJECT: of Health Services for the Supplemental Food Program for Women,
Infants and Children
SPECIFIC REQUEST(S) OR RECOMMENDATION(S) & BACKGROUND AND JUSTIFICATION
I. RECOMMENDED ACTION:
Approve and authorize the Chair, Board of Supervisors, to execute on
behalf of the County, Standard Agreement #29-203-58 (State #94-19669)
with the State Department of Health Services, in the _amount of
$1, 272 , 035, for the period from October 1, 1994 through September 30,
1995, for continuation of the Supplemental Food Program for Women,
Infants and Children (WIC) .
II. FINANCIAL IMPACT:
Approval of this agreement will result in $1,272 , 035 of federal
funding through the State for the WIC program. No County. funds are
required.
III. REASONS FOR RECOMMENDATIONS/BACKGROUND:
For over sixteen years the County has participated in the WIC Program
with the State. This is a mandated program under the Community Health
Services Division of the State Department of Health Services.
Approval of Standard Agreement #29-203-58 will provide $1, 272, 035 of
federal funding through the State for continuation of the program
during the next federal fiscal year.
WIC is a nutrition education, counseling and food supplement program
for low-income, pregnant, postpartum and breast-feeding women, infants
and children at nutritional risk. Approximately 12 ,700 clients are
served by this program.
The Board Chair should sign nine copies of the agreement, including
Certification Regarding Lobbying. Eight copies of the agreement and
four certified and sealed copies of this Board Order should be
returned to the Contracts and Grants Unit for submission to the State
Department of Health Services.
CONTINUED ON ATTACHMENT: YES SIGNATURE• Q
RECOMMENDATION OF COUNTY ADMINISTRATOR RECOMMDATI N OF BOARD C MMITTEE
APPROVE OTHER C
SIGNATURE(S)
ACTION OF BOARD ON ACCT `II 8 W APPROVED AS RECOMMENDED � OTHER
VOTE OF SUPERVISORS
UNANIMOUS (ABSENT Jj� ) I HEREBY CERTIFY THAT THIS IS A TRUE
AYES: NOES: AND CORRECT COPY OF AN ACTION TAKEN
ABSENT: ABSTAIN: AND ENTERED ON THE MINUTES OF THE BOARD
OF SUPERVISORS ON THE DATE SHOWN.
Contact: Wendel Brunner, M.D. (313-67I2) OCT � g ��
CC* Health Services (Contracts) ATTESTED OC
State Dept. of Health Services Phil Batchelor, Clerk of the Board of
Supeltii;tpr�a�C�unt�Administrator
M382/7-83 BY GC-Q yst J
DEPUTY
STATE OF CALIFORNIA co� J
Ah'F'NCJTRATHCTOR NUMBER ,u�.No.
STAVDARD AGREEMENT- P CO -519r,:� ATTORNEY GENERAL669
STD.2{flEV.5/91)
TAXPAYER'S FEDERAL EMPLOYER IDENTIFICATION NUMBER
`THIS AGREEMENT,made and entered into this 1 St day of October 19 94 94-6000509
in the State of California,by and between State of California, through its duly elected or appointed,qualified and acting
TITLE OF OFFICER ACTING FOR STATE AGENCY
Chief, Program Support Branch Department of Health Services ,hereafter called the State, and
CONTRACTOR'S NAME
Contra Costa County Health Services 2043 - 58 ,hereafter called the Contractor,
WITNESSETH: That the Contractor for and in consideration of the covenants, conditions,agreements, and stipulations of the State hereinafter expressed,
does hereby agree to furnish to the State services and materials as follows: (Set forth service to be rendered by Contractor, amount to be paid Contractor,
time for performance or completion, and attach plans and specifications, if any.)
I. GENERAL PROVISIONS
A. Description of Services
Contractor shall operate the Women, Infants, and Children (WIC) Supplemental Food
Program in accordance with applicable federal and state laws and regulations, including
Public Law 101-147, Section 17.[1786]; 7 Code of Federal Regulations (CFR), Part 246;
Health and Safety Code, Section 311 et seq; California Code of Regulations (CCR), Title 22,
Sections 40601 et seq; and in accordance with instructions set forth in the WIC Program
Manual, published by the State Department of Health Services, WIC Supplemental Food
Branch, June 1, 1988 and updated as required, and in accordance'with other directives or
instructions which may periodically be issued by the State. The State shall provide the
Contractor with a copy of the WIC Program Manual and periodic updates thereto. Exhibit
B, Scope of Work, describes the services to be performed under this Agreement, referred
to elsewhere in this document as "Contract".
CONTINUED ON 21 SHEETS,EACH BEARING NAME OF CONTRACTOR AND CONTRACT NUMBER.
The provisions on the reverse side hereof constitute a part of this agreement.
IN WITNESS WHEREOF,this agreement has been executed by the parties hereto,upon the date first above written.
STATE OF CALIFORNIA CO ACTOR
AGENCY CONTRACTOR (it o;than an i di'uai,state,ivhether a corporation,partriership,etc.)
Departm t of Health Services Contra Co to Co y_He i`th ervic
BY(AUTHO B (AUTHORIZED SI NATO
PRINTED NAME OF PERSON SIGNING PRINTED NAME AND TIJLE OF PERSON SIGNING
PROGRAM SUPPORT BRM CHAIR BOARD OF
SUPERVISORS
TITLE ADDRESS_--- ----__-- -- —` — -- --
Chief, Program Support Branch 651 _Pine,-Pini.foni
a _9GS53-,
AMOUNT ENCUMBERED BY THIS PROGRAM/CATEGORY(CODE AND TITLE) FUND TITLE a Ment of♦General Ser`vlCes
DOCUMENT 20 Primary Care and Family Health Federal u91aF�_{__---
$ 1,272,035 POLICY
PRIOR AMOUNT ENCUMBERED FOR (OPTIONAL USE) artrapn S r rsCrS
t of Gehe'rc'1 ..
THIS CONTRACT
ITEM CHAPTER STATUTE FISCAL YEAR
$ -o- 4260-111-890 139 1994 94-95
TOTAL AMOUNT ENCUMBERED TO
DATE r94-52421-741-03-10557L94
OF EXPENDITURE(CODE AND TLE) C j g g 4
$ 1,272,035 c1�
I hereby certify upon my own personal knowledge that budgeted funds T.B.A.NO. B.R.NO.
are available for the period and purpose of the expenditure stated
SIGNATURE OF COUNTING OFFICER DATE G ^� 7
D I Awt.Chief Counsel
DEC 0 7 199
CONTRACTOR STATE AGENCY DEPT.OF GEN.SER. ❑ CONTROLLER LiI
STATE OF CALIFORNIA'
STANDARD AGREEMENT ,
STD.2(REV.5-91)(REVERSE)
t R •
1. The Contractor agrees to indemnify, defend and save harmless the State, its officers,agents and employees
from any and all claims and losses accruing or resulting to any and all contractors, subcontractors,
materialmen, laborers and any other person, firm or corporation furnishing or supplying work services,
materials or supplies in connection with the performance of this contract,and from any and all claims and
losses accruing or resulting_to any, person, firm,or corporation who may be injured or damaged by the
Con'ntractor'in the performance of this contract:
2. The Contractor,and the agents and employees of Contractor,in the performance of the agreement,shall act
in an independent capacity and not as officers or.-employees or agents of State of California.
3. The State may terminate this agreement and be relieved of the payment of any consideration to Contractor
should Contractor fail to perform the covenants herein contained at the time and in the manner herein
provided. In the event of such termination the State may proceed with the work in any manner deemed
proper by the state. The cost to the State shall be deducted from any sum due the Contractor under this
agreement, and the balance,if any, shall be paid the Contractor upon demand. .
4. Without the written consent of the state, this-agreement is not assignable by Contractor either in whole or
in part.
5. Time is of the essence in this agreement.
6. No alteration or variation of the terms of this contract shall be valid unless made in writing and signed by
the parties hereto,and no oral understanding or agreement not incorporated herein,shall be binding on any
of the parties hereto.
7. The consideration to be paid Contractor,as provided herein,shall be in compensation for all of Contractor's
expenses incurred in the performance hereof, including travel and per diem, unless otherwise expressly so
provided.
Contra Costa County Health Services
94-19669
B. Term of Agreement
The term of this Agreement shall be from October 1, 1994 through September 30, 1995.
C. Maximum Amount Payable
The maximum amount payable by the State to the Contractor under this Agreement shall
not exceed $ 1,272,035 .
D. Termination
1. The State may terminate this Agreement by giving the Contractor a sixty (60) day
advance written notice. Notification shall state the effective date of the termination.
2. Contractor may terminate this Agreement by giving the State a ninety(90) day advance
written notice. Notification shall state the effective date of the termination.
3. Contractor agrees upon notification of termination of Agreement to cooperate in any and
all efforts to refer WIC participants to other local WIC agencies in order to maintain
continuity of participation in the WIC program.
E. Additional Provisions/Exhibits
1. The attached EXHIBIT A(F), consisting of twenty-seven pages and entitled
"ADDITIONAL PROVISIONS", is incorporated herein and made a part hereof by this
reference. Provision 3, PROCUREMENT REQUIREMENT, and Provision 5,
FURNISHING OF PROPERTY BY THE STATE OR PURCHASE OF PROPERTY WITH
STATE OR FEDERAL FUNDS, of Exhibit A(F), pages 2 and 3, are amended to read
as shown in Section V, Special Provisions, B.
2. The attached EXHIBIT A-1, consisting of one page and entitled "EQUIPMENT
PURCHASED WITH STATE FUNDS", is incorporated herein and made a part hereof
by this reference. -
3. The attached EXHIBIT A-2, consisting of one page(s) and entitled "INVENTORY OF
STATE FURNISHED PROPERTY", dated October 1, 1994, is incorporated herein and
made a part hereof by this reference.
4. The attached EXHIBIT B, consisting of two pages and entitled "SCOPE OF WORK", is
incorporated herein and made a part hereof by this reference. The attachment to
Exhibit B, Attachment 1, consisting of one page and entitled "GEOGRAPHICAL
SERVICE AREA/SERVICE POPULATION", is incorporated herein and made a part
hereof by this reference.
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5. The attached EXHIBIT C, consisting of one page and entitled "CALIFORNIA WIC
PROGRAM-PROJECT BUDGET", is incorporated herein and made a part hereof by this
reference.
6. The attached EXHIBIT D, consisting of one page and entitled "CONTRACT
UNIFORMITY", is incorporated herein and made a part hereof by this reference.
7. If a request for an advance payment has been received, an EXHIBIT E, consisting of
three pages and entitled "ADVANCE PAYMENT PROVISIONS'% is incorporated herein
and made a part hereof by this reference.
8. The WIC Program Manual, dated June 1, 1988, and any subsequent updates, is not
attached, but is incorporated herein and made a part hereof by this reference. This
manual will be updated periodically by the State, as required by program and/or federal
directives.
9. The "Renewal Funding Application" (Reapplication) for federal fiscal year (FFY)
1994-95, signed by the Contractor and consisting of six pages and all
exhibits/attachments, is not attached, but is incorporated herein and made a part hereof
by this reference.
10. The Reapplication Package for FFY 1994-95, mailed to the Contractor with funding
award letter dated May 9, 1994 consisting of seventy-six pages, is not attached, but is
incorporated herein and made a part hereof by this reference.
F. Priority of Provisions
Where inconsistencies may exist between the numbered paragraphs of this Agreement and
the attachment hereto, such inconsistencies shall be resolved by giving precedence in the
following order:
Federal Agreement Funds, Section IV, Fiscal Provisions, A
Termination, Section 1, General Provisions, D
Standard Agreement (Remaining Sections)
Exhibit A(F)
Exhibit B
Exhibit C
Other Exhibits
G. Order of Precedence
In the event that there are any inconsistencies or ambiguities in this Agreement, the
following documents shall be used to interpret the Agreement in the order of precedence stated.
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Provisions of this Agreement.
Signed "Renewal Funding Application" with all exhibits and attachments submitted for
FFY 1994-95.
Reapplication Package for FFY 94-95, mailed to Contractor with funding award letter
dated May 9, 1994.
H. Conflict of Interest
Contractor warrants that no conflict of interest exists between Contractor's officers, agents,
or employees. Contractor shall prevent employees, consultants, or members of governing
bodies form using their positions for purposes that are, or give the appearance of being,
motivated by a desire for private gain for themselves or others, such as those with whom
they have family, business, or other ties. In the event that the State determines that a
conflict of interest situation exists, any increase in costs associated with the conflict may be
disallowed by the State and such conflict may constitute grounds for termination of the
Agreement. This provision shall not be construed to prohibit employment of persons with
whom the Contractor's officers, agents or employees have family, business, or other ties,
so long as the employment of such persons does not result in increased costs over those
associated with the employment of any other equally qualified applicant, and such persons
have successfully competed for employment with other applicants on a merit basis.
I. Nondiscrimination Clause
1. During the performance of this contract, contractor and its subcontractors shall not
unlawfully discriminate, harass or allow harassment, against any employee or applicant
for employment because of sex, race, color, ancestry, religious creed, national origin,
physical disability (including HIV and AIDS), mental disability, medical condition
(cancer), age (over 40), marital status, and denial of family care leave. Contractors and
subcontractors shall insure that the evaluation and treatment of their employees and
applicants for employment are free from such discrimination and harassment.
Contractor and subcontractors shall comply with the provisions of the Fair Employment
and Housing Act (Government Code, Section 12900 et seq.) and the applicable
regulations promulgated thereunder (California Code of Regulations, Title 2, Section
7285.0 et seq.). The applicable regulations of the Fair Employment and Housing
Commission implementing Government Code, Section 12990 (a-f), set forth in Chapter
5 of Division 4 of Title 2 of the California Code of Regulations are incorporated into this
contract by reference and made a part hereof as if set forth in full. Contractor and its
subcontractors shall give written notice of their obligations under this clause to labor
organizations with which they have a collective bargaining or other agreement.
2. This contractor shall include the nondiscrimination and compliance provisions of this
clause in all subcontracts to perform work under the contract.
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J. Civil Rights
1. Contractor hereby agrees to comply with Title VI of the Civil Rights Act of 1964 (42
U.S.C. 2000d et seq.); Title IX of the Education Amendments of 1972 (20 U.S.C. 1681
et seq.); Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794); Age
Discrimination Act of 1975 (42 U.S.C. 6101 et seq.); all provisions required by the
implementing regulations of the Federal Department of Agriculture; Federal Department
of Justice Enforcement Guidelines, 28 CFR 50.3 and 42; and Federal Department of
Agriculture, Food and Nutrition Services (FNS) directives and guidelines, to the effect
that, no person shall, on the grounds of race, color, national origin, sex, age, or
handicap, be excluded from participation in, be denied the benefits of, or otherwise be
subjected to discrimination under any program or activity for which the Contractor
receives federal financial assistance from FNS. Contractor, by signing this Agreement,
hereby gives assurance to all interested parties that Contractor shall immediately take
measures necessary to effectuate these regulations.
2. By giving this assurance, Contractor agrees to compile data, maintain records, and
submit reports, as required, to permit effective enforcement of the nondiscrimination
laws, and to permit authorized USDA personnel, during normal working hours, to review
such records, books and accounts as needed to ascertain compliance with the
nondiscrimination laws.
3. If there are any violations of this assurance, FNS shall have the right to seek judicial
enforcement of this assurance. This assurance is binding on the Contractor, her/his
successors, transferees, and assignees, as long as they receive assistance or retain
possession of any financial assistance from the FNS. The person or persons whose
signatures appear on the face of this Agreement are authorized to sign this assurance
on behalf of the Contractor.
K. Provision of Information
1. Contractor shall provide the State with requested information relevant to Contractor's
performance under this Agreement no later than twenty-one (21) calendar days after
receipt of the State's written request.
2. Contractor shall submit reports, documents, and correspondence to the address shown
in Section I, General Provisions, L, Notice.
L. Notice
1. Whenever Contractor has knowledge that any actual or potential situation, including
although not limited to labor disputes, will delay or threatens to delay timely
performance of the work under this Agreement, the Contractor shall immediately give
written notice there of to the State,and shall provide any relevant information to the State.
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2. Any notice, request, demand, consent, waiver, or other item required or permitted under
this Agreement or applicable law must be in writing and shall be deemed duly given or
made only (a) if personally served upon the party intended to receive it, in which case
it is effective when delivered; or (b) is sent by certified mail, return receipt requested,
postage prepaid, addressed to the party at its address_set forth below, in which case
it is effective upon receipt by any person residing at such address; or (c) is sent by
Telefax (but only if a "FAX" number is set forth below) with a copy sent on the same
date by first class mail, postage prepaid, addressed to the party at its address set forth
below, in which case it is effective as of the date of mailing.
WIC Supplemental Food Branch
1103 North B Street, Suite E
Sacramento, CA 95814
Fax #: (916) 323-8807
II. CONTRACTOR'S ROLE AND RESPONSIBILITIES
A. Scope of Work
1.. As further consideration for the reimbursement provided to the Contractor under this
Agreement, Contractor agrees to all responsibilities as stated in Exhibit B, Scope of
Work, and as detailed in the WIC Program Manual.
2. Changes and revisions to the Scope of Work, contained in this Agreement, utilizing the
"allowable cost payment system" may be proposed by the Contractor in writing. All
requested changes and revisions are subject to the approval of the State. Failure to
notify the State of proposed revision to the Scope of Work may result in an audit finding.
3. The State will respond in writing as to the approval or disapproval of all such requests
within 30 calendar days of the date the request is received in the program. Should the
State fail to respond to the Contractor's request within 30 calendar days of receipt, the
Contractor's request shall be deemed approved.
B. Freeze Exemption
1. Contractor agrees that any blanket hiring freezes, or any other personnel policies the
Contractor may adopt during the term of this Agreement which the State determines to
alter performance of the Scope of Work, Exhibit B, shall not be applied to the positions
funded, in whole or in part, by this Agreement.
2. Contractor agrees that any travel freeze the Contractor may adopt during the term of
this Agreement shall not restrict travel funded, in whole or in part, by this Agreement.
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3. Contractor agrees that any purchasing freeze the Contractor may adopt during the term
of this Agreement shall not restrict purchases funded, in. whole or in part, by this
Agreement.
C. State Approval of WIC Proiect Directors
Contractor shall notify the State immediately,in writing upon designation of any WIC Project
Director. The State reserves the right to approve or disapprove any WIC Project Director
designated by the Contractor. Continued designation of the disapproved project director
may constitute grounds for termination of the Agreement or reduction of the Agreement
amount by the amount of the WIC Project Director's salary, at the option of the State.
D. Reporting Requirements
1. Contractor shall submit.to the State, by the dates prescribed,as instructed by the State,
accurate and complete claims for reimbursement (invoices), food voucher foils, and
other required information or documents. The State reserves the right to assess a 1.5
percent penalty of the most recent monthly invoice submitted and/or submission of
reports and other required materials which are late, inaccurate, and/or incomplete. The
penalty may be applied to subsequent monthly invoices for continued noncompliance
with reporting requirements.
2. Contractor shall submit to the State, by the dates prescribed, as instructed by the State,
the "Report of Estimated Expenditures" in accordance with the instructions issued by
the State. Payment of Contractor's final invoice may be withheld until an accurate and
complete "Report of Estimated Expenditures" is received by the State. Failure to meet
the reporting deadline for the "Report of Estimated Expenditures" may result in
nonpayment by the State of Contractor's final invoice.
(a) Failure to expend, document, and report a minimum of 18 percent of funds
allocated under this Agreement on nutrition education activities may result in a
reduction of the maximum amount payable for the following fiscal year Agreement
in that amount below 18 percent of expenditures.
(b) Failure to expend, document, and report the minimum funds, prescribed by the
State, allocated under this Agreement on breastfeeding-promotion related activities
may result in a reduction of the maximum amount payable for the following fiscal
year Agreement in that amount below that prescribed by the State of expenditures.
3. Contractor shall submit to the State, by the date prescribed, a plan for providing nutrition
education to WIC participants. The State reserves the right to withhold up to 18 percent
of the funds allocated under this Agreement for failure to submit a nutrition services plan
and/or carry out required nutrition education activities.
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4. Contractor shall follow-up on reported voucher abuses by WIC participants, and shall
refer reported abuses by WIC participants and local WIC Food vendors to the State
within 15 days of receipt. Contractor shall maintain a written record of contracts with
local WIC food vendors, including information request, reported voucher abuses by WIC
participants and local WIC food vendors, etc., on the forms. specified by the State.
5. The following requirements are for the automated system for WIC Program evaluation:
(a) Contractor shall insure that all personnel involved in the certification of WIC
participants attend state-sponsored training sessions on correct completion and
submission of input documents and implementation of the automated evaluation
system.
(b) Contractor shall submit certification information on the forms provided by the State.
(c) Contractor shall provide the State with information necessary to correct errors in
participant data within 25 days of receipt of notification by the State. The State
may assess, after written notification, a 1.5 percent reduction of the most recent
invoice if Contractor does not submit error correction information within 25 days of
receipt of request . The penalty may be continued.
(d) At the discretion of the State, and 60 days after written notification, a 1.5 percent
reduction of the most recent invoice submitted may be assessed if Contractor's
total error rate rejected by the computer system and in the pre-screening process
exceeds 10 percent for three consecutive reporting months. The penalty may be
continued/reinstated if the error rate for any single subsequent reporting month
exceeds 10 percent.
E. Publication Credit and Use of Materials
1. Contractor shall submit, prior to release, copies of any proposed publicity pertaining to
the WIC program which is developed by Contractor or other outside parties. The State
reserves the right to modify or withdraw said publicity. -
2. The State reserves the right to use and reproduce all reports and data produced under
this Agreement, and reserves the right to authorize others to use or reproduce such
materials.
F. Outreach
1. Contractor shall inform the public of the availability of any services provided under this
Agreement, including the type of services offered, the eligibility criteria for receiving
services, and the time and place the services are available.
2. Contractor shall maintain a record of outreach contacts.
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G. Services to be Provided
1. Contractor agrees to provide WIC program food vouchers and nutrition education to the
WIC-eligible persons, as specified in Exhibit B, Scope of Work, Attachment 1,
Geographic Service Area/Service Population, of this Agreement.
2. Contractor will be notified in writing by the State of any changes in the eligible
population/geographic service area described in Exhibit B, Scope of Work, Attachment
1, Geographic Service Area/Service Population, and shall adhere to any such changes.
The Geographic Service Area/Service Population may be changed, as directed by the
State, without an amendment to this Agreement.
3. Contractor agrees to distribute food vouchers to 12,700 participants monthly. The State
will provide the Contractor with the necessary food vouchers.
4. Contractor will be notified in writing by the State of any reduction to the monthly
allocated caseload figure in subparagraph 3 above; and shall adhere to any such
reduction. Unless notified otherwise by the State, Contractor may distribute food
vouchers in excess of the monthly allocated caseload figure in subparagraph 3.
5. If, over any four consecutive months, beginning up to 90 days prior to the starting date
of this Agreement, if this is a renewed Agreement, Contractor's average participation
level falls below 90 percent of the monthly allocated caseload in subparagraph 3 above,
the State may, at its sole discretion, after 60 days prior notification in writing, reduce the
Contractor's monthly allocated caseload so that the four months average participation
level represents 90 percent of the revised monthly allocated caseload. In the event that
the monthly allocated caseload is reduced, the maximum,amount payable under this
Agreement (Section I, General Provisions, C, Maximum Amount Payable) will also be
reduced proportionately.
6. The State may, at its sole discretion, waive the provisions stated in Paragraph G(5) if
restrictive policies are instituted which affect the Contractor's ability to serve a minimum
average caseload of 90 percent. -
H. No Smoking
1. Contractor shall insure that smoking is not allowed in any space occupied by the WIC
program during its operating hours. "No Smoking" signs shall be prominently displayed
during all WIC operating hours in any area where the WIC program functions.
2. Contractor shall enforce this provision at all WIC sites, permanent and temporary, and
correct noncompliance immediately. If Contractor is found to be out of compliance, the
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State shall withhold all budgeted funds from the Contractor by ceasing the payment of
Contractor's invoices until Contractor complies with this provision.
I. Equipment
1. Contractor shall purchase only equipment and inventory-controlled nonequipment
necessary to fulfill the terms of this Agreement.
2. Contractor shall complete an Exhibit A-1, "Equipment Purchased with State Funds,"
showing newly procured equipment and inventory-controlled nonequipment, and shall
submit it with the monthly invoice requesting reimbursement for these items.
3. Contractor shall repair, at no cost to the State, any equipment or inventory-controlled
nonequipment purchased or provided by the State, if damaged while in the possession
of the Contractor. Contractor shall also be required to replace any equipment or
inventory-controlled nonequipment purchased or provided by the State, at no cost to the
State,with comparable equipment or inventory-controlled nonequipment if lost or stolen
.while in the possession of the Contractor. Said replacements shall be the property of
the State. The State, at its sole discretion, may waive this requirement, considering the
original purchase date and current value of the item.
4. Contractor shall request permission to delete any item from the equipment and
nonequipment inventory maintained by the State. The request shall be submitted to
the State in writing and shall include an explanation for deleting the item from the
inventory.
J. Adherence to Standards and Regulations
1. Contractor shall provide services under the terms of this Agreement in accordance with
the WIC Program Manual and any updates, a copy of which has been provided to the
Contractor by the State.
2. Contractor shall comply with all applicable Office of Management and Budget (OMB)
Circulars, including but not limited to OMB A-87 ("Cost Principles for State and Local
Governments"), and OMB A-122 ("Cost Principles for Non-profit Organizations").
3. Contractor shall comply with all laws and regulations for licensure and Medi-Cal
certification, as applicable.
4. Contractors which provide ongoing, routine pediatric, and/or obstetric care shall do so
in accordance with the standards and schedules for comprehensive medical care
established by the Child Health Disability Prevention (CHDP) Program, and/or the
American College of Obstetricians and Gynecologists (ACOG), as applicable.
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5. Contractor agrees that if any performance under this Agreement or under any
Subcontract includes any test or examination on materials derived from the human body
for the purpose of providing information for the diagnosis, prevention, treatment, or
assessment of any disease, impairment, or health of a human being, all the locations
at which such examinations are performed shall meet the requirements of 42 U.S.C.
Section 263a Clinical Laboratory Improvement Amendments(CLIA) and the regulations
adopted thereunder.
III. STATE'S ROLE AND RESPONSIBILITIES
A. Control of Project
The State shall at all times maintain control and direction over the Scope of Work, Exhibit
B, being performed under this Agreement. The State reserves the exclusive right to change
or delete the tasks to be performed within the general scope of the work to be performed
by the Contractor.
B. Prosect Monitoring
All authorized State control agencies shall have access to all internal and external reports
and documents used by the Contractor in the operation and administration of this
Agreement. The State shall have the right to monitor all aspects of the Contractor's
performance regardless of whether there are specific performance requirements in the
Agreement pertaining to the area being monitored.
IV. FISCAL PROVISIONS
A. Federal Agreement Funds
1. It is mutually understood between the parties that this Agreement may have been
written before ascertaining the availability of Congressional appropriation of funds for
the mutual benefit of both parties in order to avoid program and fiscal delays which
would occur if the Agreement were executed after that determination was made.
2. This Agreement is valid and enforceable only if sufficient funds are made available to
the State by the United States Government for the Fiscal Year 1994-95 for the purposes
of this program. In addition, this Agreement is subject to any additional restrictions,
limitations, or conditions enacted by the Congress or any statute enacted by the
Congress which may affect the provisions, terms, or funding of this Agreement in any
manner.
3. It is mutually agreed that if the Congress does not appropriate sufficient funds for the
program, this Agreement shall be amended to reflect any reduction in funds.
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B. Fundinq Reduction
1. In the event that the federal funds allocated for the WIC program are not sufficient, the
State may, upon thirty (30) days advance notice, reduce the maximum amount payable
in Section I, General Provisions, C, Maximum Amount Payable. Upon receipt of such
notification, Contractor agrees to not claim reimbursement for costs in excess of the
maximum amount payable as adjusted. Contractor's budget and work required will be
negotiated with Contractor.
2. The State agrees that the services to be provided based on the allocated caseload
shown in Section II, Contractor's Role and Responsibilities, G, Services to be Provided,
3., will be reduced proportionately to the payment reduction cited in subparagraph (1)
above.
C. Budget Revisions
1. Subject to State approval, the Contractor may make changes by transfer of funds
between individual numbered line items in the "CALIFORNIA WIC PROGRAM -
PROJECT BUDGET", EXHIBIT C, provided the following applicable conditions are met:
(a) The maximum amount of all such change(s) shall be limited to 10 percent of this
Agreement total, up to a maximum of $50,000, so long as this Agreement budget
total neither increases nor decreases.
(b) Contractor shall seek approval from the WIC Branch to transfer funds between
numbered line items. Such request shall be submitted either prior to the agency's
need to expend the funds to be transferred, or together with the agency's invoice
requesting reimbursement for the expenditure. The request shall include the
following:
(1) Justification for any increase requested in a numbered line item; and
(2) Identification of the numbered line item(s) to be reduced in order to provide for
the requested increase, and the amount by which such line items are to be
reduced.
(c) The State reserves the right to deny Contractor's request to transfer funds.
Therefore, Contractor is encouraged to seek State approvalrp for to the expenditure
of transferred funds.
(d) The State reserves the right to deny any request to transfer funds between
numbered line items if it is determined that such a transfer of funds would impact
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the "Scope of Work" provisions in this Agreement, and that such a change to the
"Scope of Work" is unallowable.
2. Contractor shall be allowed to make changes to the additional budget detail submitted
with FFY 1994-95 Reapplication.
(a) Contractor shall adhere to all State requirements regarding the timely submission
of additional budget detail for the line items appearing in this Agreement budget.
(b) Contractor may make changes or adjustments to the additional budget detail,
provided said changes or adjustments do not result in an increase or decrease to
any of the line item totals appearing in this Agreement budget..
(1) Such changes or adjustments to the additional budget detail shall not require
an amendment to this Agreement, nor State approval.
(2) Contractor shall notify the State of such changes or adjustments to additional
budget detail through the regular submission of monthly invoices. If
Contractor's regular submission of invoices is less frequently than monthly,
Contractor shall notify the State of any changes or adjustments made by the
Contractor to the additional budget detail within 30 calendar days of the
effective date of said changes or adjustments.
(c) Contractor may make changes or adjustments to the budget detail which result in
an increase to the total amount of any budgeted line item, provided the Contractor
obtains prior State review and approval, in accordance with Section IV, Fiscal
Provisions, C., Budget Revisions, 1.
(d) Contractor may make changes or adjustments to the additional budget detail which
alter performance of the Scope of Work, Exhibit B, provided the Contractor obtains
prior written approval of the State in accordance with instructions and requirements
appearing in Section II, Contractor's Role and Responsibilities, A, Scope of Work.
Failure to notify the State of proposed revisions the Scope of Work, Exhibit B, may
result in an audit finding.
D. Reimbursement Schedule
1. Contractor shall submit claims for reimbursement(invoices) on a regular monthly basis.
Monthly invoices are due no later than the 30th of the month following the reporting
month. In consideration of the services rendered in accordance with this Agreement
and performed in a manner acceptable to the State, the State will reimburse the
Contractor in arrears, upon submission of an original invoice, following the instructions
provided by the State. Invoices shall be submitted in accordance with the payment
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provisions shown in the"CALIFORNIA WIC PROGRAM-PROJECT BUDGET", EXHIBIT
C. Invoices shall be prepared to reflect expenditures as itemized in the format shown
in Exhibit C.
2. Contractor shall submit invoices to the following address, unless notified otherwise by
the State:
WIC Supplemental Food Branch
1103 North B Street, Suite E
Sacramento, CA 95814
Attention: Contract Management Unit
3. The final invoice, and any supplemental invoices submitted by the Contractor, shall be
submitted no later than ninety (90) days following the expiration or termination date of
this Agreement. The State reserves the right to deny payment of any invoice received
more than ninety (90) days following the expiration or termination date of this
Agreement.
(a) The final invoice is the claim for reimbursement for the last month of expenditures
during the term of this Agreement for which reimbursement is requested. For
Agreements with an expiration date of September 30th, the final invoice will be the
September invoice. For Agreements with an earlier expiration date, or for
Agreements terminated prior to the expiration date, the final invoice will be for the
last month of expenditures.
(b) A supplemental invoice is a claim for reimbursement of expenditures incurred and
not previously claimed during the term of the Agreement.
4. Paid invoices submitted by Contractor shall not be evidence of allowable Agreement
costs.
5. The State reserves the right to deny Contractor's invoice for expenditures in excess of
the budgeted line item amount.
6. The State reserves the right to deny Contractor's invoice for purchases of $5,000 or
more unless Contractor has sought and obtained prior State approval and has complied
with procurement guidelines outlined in Section V, Special Provisions, B, Procurement
Requirements.
7. The State reserves the right to deny Contractor's invoice for equipment, and inventory-
controlled nonequipment and modular office furniture, unless Contractor submits a
completed Exhibit A-1, "Equipment Purchased with State Funds", with the monthly
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invoice requesting reimbursement for the equipment and/or inventory-controlled
nonequipment items.
E. Fiscal Documentation
1. Contractor shall maintain and have available for review and audit all records pertaining
to financial operations, food voucher receipt and issuance, equipment purchases and
inventory, eligibility/ineligibility certifications, nutrition education, complaints of
discrimination, requests for fair hearings, and other program-related matters.
2. Adequate documentation of each transaction shall be maintained to permit the
determination of the allowability of expenditures reimbursed by the State under this
Agreement. If the allowability of expenditures cannot be determined because records
or documentation of Contractor are nonexistent or inadequate according to generally
accepted accounting practices, the questionable cost shall be disallowed by the State.
In the event of findings of disallowed costs, Contractor has.the right to appeal such
findings with 30 days of notification of such findings. Such appeals shall be heard by
a designee of the Director of the State Department of Health Services.
F. Recovery of Overpayments
1. Contractor agrees that claims made against Contractor pursuant to an audit by the State
or federal government will be recovered by one of the following options:
(a) Contractor's remittance to the State of the full amount of the audit exception within
30 days following the State's request for repayment.
(b) A reduction of Contractor's invoices for WIC services for one or more months.
(c) A repayment schedule which is agreeable to both the State and Contractor.
2. The State reserves the right to select which option will be employed and the Contractor
will be notified by the State in writing of the claim procedure to be utilized.
3. Interest on the unpaid balance will accrue at a rate set forth in applicable rule or statute,
beginning 30 days after Contractor's receipt of the State's demand for repayment.
4. If Contractor has filed a valid appeal regarding the report of audit findings, recovery of
overpayments will be deferred until a final administrative decision has been reached.
If Contractor loses the final administrative appeal, Contractor shall repay to the State
the overclaimed expenditures, plus accrued interest. Interest accrues from Contractor's
first receipt of notice requesting reimbursement of questioned audit costs.
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G. Advance Payment
1. State regulations allow the State, at its discretion, to make a single advance payment
to Contractor's which meet specific criteria.
2. If a Contractor requests an advance payment, EXHIBIT E, entitled "ADVANCE
PAYMENT PROVISIONS", is attached, setting forth the conditions governing the
advance. The attachment of this exhibit does not guarantee that an advance will be
authorized and issued to the Contractor.
3. Additionally, any documents required in accordance with EXHIBIT E must be reviewed
and approved by the State, and any prior year advance payment or prospective
payments, if any, must be fully liquidated prior to issuance of an advance payment
under this Agreement.
H. Voucher Liability
Contractor shall assume liability for food vouchers during the interval between Contractor's
receipt from the State of such vouchers and issuance to eligible WIC participants. The State
reserves the right to assess the Contractor the redemption cost to the State of vouchers
which are lost, stolen, or otherwise unaccounted for.
V. SPECIAL PROVISIONS
A. ISIS Site Preparation
1. Additional administrative funds may be allocated to this Agreement in recognition of
Contractor's need to prepare WIC clinic sites for the installation of State-owned and/or
State-leased data processing equipment, to be provided by the State, in anticipation of
Contractor's participation in the WIC Integrated Statewide Information System (ISIS)
project. If such additional funds have been so allocated to this Agreement, the funds
were identified in additional budget detail submitted with the FFY 1994-95 Reapplication
and are included in the-"Other Costs" line item, line item number 4, in the "CALIFORNIA
WIC PROGRAM-PROJECT BUDGET", EXHIBIT C. The amount of these funds were
determined by the State based upon the total number of Contractor's staff providing
direct WIC program services to participants at each of the WIC clinic sites and the
number of automated data processing devices necessary to automate each clinic site.
2. Contractor agrees to prepare and/or arrange for the preparation of all existing WIC clinic
sites for the WIC automation project identified in subparagraph (a) of this Paragraph
(ISIS). Site preparation is described as all electrical, data cabling, and
telecommunications work necessary for the scheduled automation of each of the
Contractor's existing WIC clinic sites, as determined by the State, based on individual
clinic site assessments and detailed floor plans for each WIC clinic.
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3. Contractor agrees to not commence the site preparation work until receipt of official,
written notification by the State WIC Branch.
4. Contractor agrees to refrain from incurring any expenses for the renovation or alteration
of WIC clinic sites beyond those expenses specifically required to prepare the sites for
participation in ISIS, as determined by the State based on individual clinic site
assessments and detailed floor plans for each WIC clinic site.
5. (a) Contractor agrees to submit copies of paid vendor receipts for all electrical, data
cabling, and telecommunications work with Contractor's regular monthly invoice of
program expenses. Any monthly invoice requesting reimbursement for site
preparation costs which is not accompanied by copies of the paid vendor receipts
will be reduced by the amount of the reimbursement requested for the site
preparation. Such denied costs may be resubmitted on a subsequent supplemental
invoice, if accompanied by copies of the required paid vendor receipts.
(b) ` Contractor further agrees to submit a summary expenditure report with the copies
of paid vendor receipts, itemizing the vendor receipts submitted, including vendor
name, date work performed, amount.paid to vendor, and date paid.
B. Procurement Requirements
The following provisions are revisions to Exhibit A fl, ADDITIONAL PROVISIONS,
Provisions 3 and 5.
"3. PURCHASING/PROCUREMENT RULES
A. Units of local government and public entities (including the Universities of
California), whether a Contractor or Subcontractor, may utilize their existing
procurement systems to secure articles, supplies, equipment (including EDP/ADP
and telecommunications equipment and motor vehicles), and services required in
the performance of this Agreement without regard to dollar limit, subject to the
- provisions stipulated in the subparagraphs C through G of this section. The
provisions appearing in subparagraph B may be applicable if purchases are
subdelegated to Subcontractors which are either private vendors or nonprofit
organizations.
B. 1. All other Contractors and Subcontractors (nonprofit organizations and private
vendors) may utilize their existing procurement systems to secure articles,
supplies, equipment (including EDP/ADP and telecommunications equipment,
and motor vehicles), and services required in the performance of this
Agreement. Contractors and Subcontractors procurement of equipment shall
be limited to an annual maximum of $50,000, subject to the provisions
stipulated in all of the following subparagraphs of this section.
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2. All other Contractors or Subcontractors (nonprofit organizations and/or private
vendors)shall utilize a procurement system that meets the following standards:
(a) Maintain a code or standard of conduct that shall govern the performance
of its officers, employees, or agents engaged in awarding procurement
agreements. No employee, officer, or agent shall participate in the
selection, award, or administration of a procurement agreement in which,
to his or her knowledge, he or she has a financial interest.
(b) Procurement shall be conducted in a manner that provides, to the
maximum extent practical, open and free competition.
(c) Procurement shall be conducted in a manner that provides for all of the
following:
(1) Avoidance of the purchasing of unnecessary or duplicate items.
(2) Solicitation for capital expenditures shall be based upon a clear and
accurate description of the technical requirements of the goods to be
procured.
(3) The taking of positive steps to utilize small, minority, women, or
veteran owned businesses.
3. If at any time during any fiscal year of the Agreement the Contractor's or
Subcontractor's capital expenditure(equipment)line item exceeds$50,000,the
Contractor and/or Subcontractor may procure all equipment up to the $50,000
annual limit. To secure all items above this limit the Contractor shall make
arrangements through the State to have all of the remaining equipment
purchased through the Department of General Services's Office of
Procurement. The cost of said equipment purchased by or through the Office
of Procurement shall be deducted from the funds available in the Agreement.
The Contractor shall submit to the State of list of equipment specifications for
those items for which the State must arrange the procurement. The State may
pay the vendor directly for such arranged equipment purchases and title to the
equipment will remain with the State. The equipment will be delivered to the
Contractor's address as stated in the Agreement unless the contractor notifies
the State, in writing, of an alternate delivery address.
C. 1. Prior written authorization from the State will be required before the Contractor
will be reimbursed for any purchase order exceeding $5,000 for articles,
supplies, equipment, services or consultant fees. The Contractor must provide
in its request for authorization all particulars necessary for evaluating the
necessity or desirability of incurring such cost. The term "purchase order"
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exclude(s) purchase orders for public utility services at rates established for
uniform applicability to the general public.
2. The State may at its sole discretion, require prior written authorization and/or
the submission of paid vendor receipts for any purchase, regardless of dollar
amount. The State reserves the right to either deny claims for reimbursement
or to request repayment for any Contractor or Subcontractor purchase which
the State determines to be unnecessary in carrying out performance under this
Agreement.
D. The Contractor and/or Subcontractor must maintain a copy or narrative description
of the procurement guidelines, rules, or regulations that will be employed in making
purchases under this Agreement. The State reserves the right to request copies
of these documents and to inspect the purchasing practices of the Contractor
and/or Subcontractor at any time.
E. For all purchases in excess of $5,000, the Contractor and/or Subcontractor must
maintain all copies of documents, bids and other information used in vendor
selection for inspection or audit by the State. Sole source procurement
justifications shall also be maintained on file by the Contractor and/or Subcontractor
for inspection or audit by the State.
F. The State shall reimburse any State, local sales or use tax legally assessed on
purchases and parts supplied in support of this Agreement. All other taxes related
to purchases, including federal excise taxes, directly or indirectly arising out of the
performance of this Agreement, shall be the Contractor's and/or Subcontractor's
responsibility.
G. The State may, with cause, e.g., with reasonable suspicion of unnecessary
purchases or use of inappropriate purchase practices, etc., withhold, cancel,
modify or retract the delegated purchase authority granted under paragraphs A
and/or B.1, of this section by giving the Contractor no less than 30-calendar days
written notice.
"5. OWNERSHIP/DISPOSITION OF EQUIPMENT/PROPERTY PURCHASED UNDER
AGREEMENT OR FURNISHED BY THE STATE
A. All equipment, material, supplies, or property of any kind purchased from
Agreement funds or furnished by the State under the terms of this Agreement and
not fully consumed in the performance of the Agreement shall be the property of
the State.
B. Title to State property shall not be affected by its incorporation or attachment to any
property not owned by the State.
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C. Unless otherwise stipulated, the State shall not be under obligation to pay the cost
of the restoration or rehabilitation of the Contractor's or Subcontractor's facility
which may be affected by the removal of any State property.
D. The Contractor shall maintain and administer, according to State directives and
sound business practices, a program for the utilization, maintenance, repair,
protection, and preservation of State property.
E. State property, equipment, and motor vehicles purchased by the Contractor with
funds from this Agreement or provided by the State under this Agreement shall be
used only for the performance of this Agreement.
F. Contractor shall submit an annual inventory of equipment furnished and/or
purchased under the terms of this Agreement. The State may prescribe the
inventory formats and/or may supply applicable forms for this purpose.
G. Within 90 calendar days of the termination or end of this Agreement, the Contractor
shall provide a final inventory to the State and shall at the time query the State as
to the State's requirements, including the manner and method of returning said
equipment or property to the State. Final disposition of such equipment shall be
at State expense in accordance with instructions from the State to be issued
immediately after receipt of the final inventory.
H. Motor Vehicles
1. If motor vehicles are purchased with funds from this Agreement or provided by
the State, within 30 calendar days of the end or termination of this Agreement,
the Contractor shall return such vehicles to the State and shall deliver all
necessary documents of title to enable the proper transfer of marketable title
to the State.
2. If motor vehicles are purchased with funds from this Agreement or provided by
the State, the State shall be the legal owner of said motor vehicles and the
Contractor shall be the registered owner.
3. Contractor agrees that all operators of purchased or provided motor vehicles
shall hold a valid State of California driver's license. In the event 12 or more
passengers are to be carried in any one vehicle, a Class 2 driver's license will
also be required.
4. The Contractor and/or Subcontractor, if applicable, shall provide, maintain,and.
certify, that the following type and amount of automobile liability insurance is
in effect during the term of this Agreement if any motor vehicle is purchased
with funds from this Agreement or is provided by the State.
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(a) Automobile Liability Insurance. The Contractor,by signing this Agreement,
hereby certifies that the Contractor possesses or will obtain automobile
liability insurance in the amount of $500,000 per occurrence for bodily
injury and property damage. Said insurance must be obtained and made
effective upon the delivery date of any motor vehicle purchased with funds
from this Agreement or provided by the State.
(b) If required by the State, the Contractor agrees to furnish the State copies
of certificates of insurance.
(c) Contractor agrees that automobile liability insurance, as required herein,
shall remain in effect at all times during the term of this Agreement or until
such time as the motor vehicle is returned to the State.
(d) Contractor agrees to provide, if required by the State, at least 30 days
prior to said expiration of insurance coverage, a copy of a new certificate
of insurance evidencing coverage, as indicated herein, for not less than
the remainder of the term of this Agreement.
(e) Contractor must provide evidence, as stipulated by the State, that any
required certificates of insurance contain the following provisions:
(1) The insurer will not cancel the insured's coverage without 30 days
prior written notice to the State.
(2) The State of California, its officers, agents, employees, and servants
are included as additional insureds, but only insofar as the operations
under this contract are concerned
(3) The insurance carrier shall notify the State in writing of the
Contractor's failure to pay premiums; its cancellation of such policies;
or any other substantial change, including but not limited to the status,
coverage, or scope of the required insurance. -
(f) The Contractor is hereby advised that all required copies of certificates of
insurance may be subject to the review and approval of the Department
of General Services, Office. of Insurance and Risk Management. The
Contractor shall be notified by the State if this provision is applicable to
this Agreement."
C. Subcontracts
1. Prior written authorization will be required before the Contractor will be reimbursed for
any subcontract exceeding $5,000. The Contractor must provide in its request for
authorization all particulars necessary for evaluating the necessity or desirability of
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incurring such cost. The State may prescribe the information that will fulfill this
requirement.
2. The State reserves the right to approve or disapprove the selection of Subcontractors,
require the substitution of Subcontractors and order the termination of subcontracts
assigned under this Agreement.
3. Actual subcontracts (i.e., actual written agreement and/or document between the prime
Contractor and a Subcontractor) in excess of$5,000 shall be subject to the prior review
and written approval of the State. The State, at its discretion, may elect to waive its
right to review and approve actual subcontracts in excess of $5,000. All such waivers
shall be confirmed in writing by the State.
4. Contractor shall ensure that all subcontracts include provision(s) requiring compliance
with applicable terms and conditions of this Agreement. Contractor shall remain
responsible for all performance requirements under this Agreement, even though
performance may be carried out pursuant to a subcontract.
5. Contractor shall maintain a copy of any subcontract entered into for the purpose of
fulfilling the terms of this Agreement, and shall make said copies available for
examination by the State upon request.
6. Sole responsibility rests with the Contractor to ensure that payments are made to all
Subcontractors in a timely manner.
7. Contractor shall be held responsible for a Subcontractor's actions and/or the
Subcontractor's failure to take required action in regard to fulfilling the requirements of
this Agreement.
8. Unless otherwise stipulated in writing by the State, the Contractor shall be the
Subcontractor's sole point of contact for all matters related to this Agreement.
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E)"bit A(F)
r ,
STATE OF CALIFORNIA
DEPARTMENT OF HEALTH SERVICES
ADDITIONAL PROVISIONS
(FOR FEDERALLY FUNDED SUBVENTION AID/LOCAL ASSISTANCE
COST REIMBURSEMENT CONTRACTS/GRANTS)
1. Eaual Onnortunity Clause
a. The Contractor will not discriminate against any employee or applicant for
employment because of race, color, religion, sex, national origin, physical or mental
handicap, or age. The Contractor will take affirmative action to ensure that qualified
applicants are employed, and that employees are treated during employment
without regard to their race, color religion, sex, national.origin, physical or mental
handicap, or age. Such action shall include, but not be limited to, the following:
employment, upgrading, demotion or transfer, recruitment or recruitment advertising;
layoff or termination; rates of pay or other forms of compensation; and career
development opportunities and selection for training, including apprenticeship. The
Contractor agrees to post in conspicuous places, available to employees and
applicants for employment, notices to be provided by the Federal Government or the
State, setting forth the provisions of the Equal Opportunity clause and the
Rehabilitation Act of 1973. Such notices shall state the Contractor's obligation under
the law to take affirmative action to employ and advance in employment qualified
applicants without discrimination based on their race, color, religion, sex, national
origin, physical or mental handicap, or age, and the rights of applicants and
employees.
b. The Contractor will,in all solicitations or advertisements for employees placed by or on
behalf of the Contractor, state that all qualified applicants will receive consideration
for employment without regard to race, color, religion, sex, national origin, physical or
mental handicap,or age.
c. The Contractor will send to each labor union or representative of workers with which
he or she has a collective bargaining agreement or other contract or understanding a
notice, to be provided by the Federal Government or the State, advising the labor
union or worker's representative of the Contractor's commitments under this Equal
Opportunity clause and shall post copies of the notice in conspicuous places
available to employees and applicants for employment.
d. The Contractor will comply with all provisions of the Rehabilitation Act of 1973 and of
the Federal Executive Order No. 11246 as amended,and of the rules, regulations,and
relevant orders of the Secretary of Labor.
e. The Contractor will furnish all information and reports required by Federal Executive
Order No. 11246 as amended and the Rehabilitation Act of 1973, and by the rules,
regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit
access to his books, records, and accounts by the contracting agency and the
Secretary of Labor for purposes of investigation to ascertain compliance with such
rules, regulations and orders.
CMS Instructional Bulletin No.02(11/91)
f. In the event of the Contractor's noncompliance with the requirements of this Equal
Opportunity clause or with any federal rules, regulations, or orders which are
referenced in this clause, this contract may be canceled, terminated, or suspended in
whole or in part and the Contractor may be declared ineligible for further federal or
state contracts in accordance with procedures authorized in Federal Executive Order
No. 11246 as amended and such other sanctions may be imposed and remedies
invoked as provided in Federal Executive Order No. 11246 as amended, or by rule,
regulation, or order of the Secretary of Labor, or as otherwise provided by law.
g. The Contractor will include the provisions of paragraphs [a] through [g] in every
subcontract or purchase order unless exempted by rules, regulations, or orders of the
Secretary of Labor issued pursuant to Federal Executive Order No. 11246 as amended,
or Section 503 of the rehabilitation Act of 1973, so that such provisions will be binding
upon each subcontractor or vendor. The Contractor will take such action with
respect to any subcontract or purchase order as the Director of the Office of Federal
Contract Compliance Programs or the State may direct as a means of enforcing such
provisions including sanctions for noncompliance-provided, however, that in the event
the Contractor becomes involved in, or is threatened with, litigation with a
subcontractor or vendor as a result of such direction by the State, the Contractor may
request in writing to the State, who, in turn, may request the United States to enter into
such litigation to protect the interests of the State and of the United States.
2. Travel and Per Diem
Any reimbursement for necessary traveling and per diem shall be at rates not to exceed
those amounts paid to.the State's represented employees under collective bargaining
agreements currently in effect. No travel outside the State of California shall be reimbursed
unless prior written authorization is obtained from the State.
3, Procurement Requirement
a. Prior authorization in writing by the State will be required before the Contractor will be
reimbursed for any purchase order or subcontract exceeding $2,500 for any articles,
supplies, equipment, or services or for any fee, or other payment, for consultation of
three hundred fifty dollars ($350) or more per day. The Contractor must provide in its
request for authorization all particulars necessary for evaluation of the necessity or
desirability of incurring such cost, and as to the reasonableness of the price or cost.
For purchases of any said articles, supplies, equipment, services, or for consultant fees
exceeding such minimum amount, three competitive quotations must be submitted
with the request, or the absence of bidding must be adequately justified.
b. If other than the lowest bidder or a sole-source provider is selected, all documents
used in contractor selection must be presented in writing to the State for prior
approval before awarding any contract, and maintained for possible future audit as
specified in paragraph 7 below:
c. The terms "purchase order" and "subcontract" as used in the above paragraph 3a
only, excludes; (a) purchase orders not exceeding $2,500, and (b) subcontracts or
purchase orders for public utility services at rates established for uniform applicability
to the general public.
-2-
• Exhibit A(F)
f
4. Standards of Work
The Contractor agrees that the performance of work and services pursuant to the
requirements of this contract shall confirm to high professional standards.
5. Furnishing of Prosy by the State or Purchase of?Weft with State or Federal Funds
a. (1) All equipment, material, supplies, or property of any kind purchased from funds
advanced or reimbursed or furnished by the State under the terms of this
contract and not fully consumed in the performance of the contract shall be the
property of the State and shall be subject to the provisions of this paragraph (a),
as well as paragraphs(b),(c),and(d) below.
If the Equipment Line item in the budget or in any other paragraph of this
contract,exceeds$10,000 or more,the provisions of subparagraph b shall apply.
(2) Inventory and Disposition
(a) Contractor shall, at the request of the State, submit an inventory of
equipment furnished or purchased under the terms of this contract. Such
inventory will be required not more frequently than annually.
(b) At the termination of this contract, the Contractor shall provide a final
inventory to the State and shall at that time query the State as to the State's
requirements, including the manner and method, in returning said
equipment to the State. Final disposition of such equipment shall be at state
expense in accordance with instructions from the State to be issued
immediately after receipt of the final inventory.
(3) Motor Vehicles
(a) If, under the provisions of paragraph (2) above, any part of such property is
motor vehicles, the State Office of Procurement shall purchase said motor
vehicles for and on behalf of the Contractor. The provisions of clause (5b)
below are applicable to this paragraph concerning motor vehicles.
(b) If, under the provisions of paragraphs (2) or (3) above, any part of such
property is motor vehicles, the State authorizes the Contractor to use said
motor vehicles under the terms and conditions of this contract for purposes
of this contract only, and in accordance with the provisions of
subparagraphs (c) through (f) below.
(c) It is mutually understood that the State of California shall be the legal owner
of said vehicles and the Contractor shall be the registered owner.
(d) Upon return of such motor vehicles to the State, Contractor shall deliver to
State all necessary documents of title to enable proper transfer of
marketable title to the State.
(e) Contractor agrees that all operators of motor vehicles listed in said
agreement shall hold a valid State of California driver's license. In the event
12 or more passengers are to be carried in any one vehicle listed in said .
agreement,a Class 2 driver's license will also be required.
(f) Contractor shall furnish to the State a certificate of insurance stating that
there is liability insurance presently in effect for the Contractor of not less
than $500,000 per occurrence for bodily injury and property damage liability
combined.
-3-
The certificate of insurance must include provisions(i)and (ii),stating that:
(i) The insurer will not cancel the insured's coverage without 30 days prior
written notice to the State. -
(ii) The State of California, its officers, agents,employees, and servants are
included as additional insureds, but only insofar as the operations
under this contract are concerned.
Contractor agrees that the bodily injury liability insurance herein provided
for shall be in effect at all times during the term of this contract.'In the event
said insurance coverage expires at any time or times during the term of this
contract, Contractor agrees to provide at least thirty (30) days prior to said
expiration date a new certificate of insurance evidencing insurance
coverage as provided for herein for not less than the remainder of the term
of the contract, or for a period of not less than one (1) year. New
certificates of insurance are subject to the approval of said Department of
General Services, and Contractor agrees that no work or services shall be
performed prior to the giving of such approval. In the event Contractor fails
to keep in effect at all times insurance coverage as herein provided, State
may, in addition to any other remedies it may have,terminate this contract
upon the occurrence of such event.
b. If the Equipment line item budget in this contract is $10,000 or more, the State shall
purchase said equipment through its Office of Procurement. The cost of the
procurement of equipment will be deducted from the contract amount. Contractor
shall submit to the State a separate list of the equipment specifications. State will pay
vendor directly.for equipment purchases and title to the equipment will remain with
the State. The equipment will be delivered either to the Contractor's address as
stated in the contract unless notified by the Contractor in writing.
c. (1) Title to state property shall not be affected by the incorporation or attachment
thereof to any property not owned by the State, nor shall such state property, or
any part thereof, be or become a fixture or lose its identity as personality by
reason of affixation to any realty.
(2) Unless otherwise provided herein, the State shall not be under any duty or
obligation to restore or rehabilitate, or to pay the cost of the restoration or
rehabilitation of the Contractor's facility or any portion thereof which is affected
by removal of any state property.
(3) The Contractor shall maintain and administer,in accordance with sound business
practice, a program for the utilization, maintenance, repair, protection, and
preservation of state property so to assure its full availability and usefulness for the
performance of this contract. The Contractor shall take all reasonable steps to
comply with all appropriate directions and instructions which the State may
prescribe as reasonably necessary for the protection of state property.
d. For equipment only. Before equipment purchases made by the Contractor are
reimbursed by the State,the Contractor must submit paid vendor receipts identifying
the purchase price, description of the item, serial number, model number, and
location where equipment will be used during the term of this agreement. Said paid
receipts will be attached to Contractor's invoices submitted to the State.
-4-
Exhibit A(F) '
6. Income Restrictions
The Contractor agrees that any refunds, rebates, credits, or other amounts (including any
interest thereon) accruing to or received by the Contractor under this contract shall be
paid by the Contractor to the State, to the extent that they are properly allocable to costs
for which the Contractor has been reimbursed by the State under this contract.
7. Examination of Accounts. Audit. Records. and Subcontract Language
a. The Contractor shall maintain books, records, documents, and other evidence,
accounting procedures, and practices, sufficient to reflect properly all direct and
indirect costs of whatever nature claimed to have been incurred in the performance
of this contract, including any matching costs and expenses. The foregoing
constitutes"records" for the purpose of this clause.
b. The Contractor's facility or office or such part thereof as may be engaged in the
performance of this contract and his records shall be subject at all reasonable times
to inspection, audit, and reproduction by the State or any of its duly authorized
representatives, including the Comptroller General of the United States.
c. The Contractor shall preserve and make available his records (i) for a period of three
years from the date of final payment under this contract, and (ii) for such longer
period, if any, as is required by applicable statute, by any other clause of this contract,
or by subparagraphs (1) or (2) below.
(1) If this contract is completely or partially terminated, the records relating to the
work terminated shall be preserved and made available for a period of three
years from the date of any resulting final settlement.
(2) If any litigation, claim, negotiation, audit, or other action involving the records
has been started before the expiration of the three-year period, the records shall
be retained until completion of the action and resolution of all issues which arise
from it, or until the end of the regular three-year period, whichever is later.
d. The Contractor further agrees to include in all his subcontracts hereunder a written
agreement with said subcontractor or vendor, the following clause:
"(Name of Vendor or Subcontractor) agrees to maintain and preserve, until three
years after termination of (Contractor's name) agreement or contract with the State
of California, and to permit the State or any of its duly authorized representatives,
including the Comptroller General of the United States, to have access to and
examine and audit any pertinent books, documents, papers, and records of(name of
subcontractor or vendor) related to this(purchase order or subcontract)."
8. Covenant Against Contingent Fees
The Contractor warrants that no person or selling agency has been employed or retained
to solicit or secure this contract upon an agreement or understanding for a commission,
percentage, brokerage, or contingent fee, excepting bona fide employees or bona fide
established commercial or selling agencies maintained by the Contractor for the purpose
of securing business. For breach or violation of this warranty, the State shall have the right
to annul this contract without liability or in its discretion to deduct from the contract price or
consideration, or otherwise recover, the full amount of such commission, percentage,
brokerage, or contingent fee.
-5-
9. Inspection
The State, through any authorized representatives, has the right at all reasonable times to
inspect or otherwise evaluate the work performed or being performed hereunder including .
subcontract supported activities and the premises in which it is being performed. If any
inspection or evaluation is made by the State of the premises of the Contractor or a
subcontractor, the Contractor shall provide and shall require his subcontractors to provide
all reasonable facilities and assistance for the safety and convenience of the state
representatives in the performance of their duties. All inspections and evaluations shall be
performed in such a manner as will not unduly delay the work.
10. Nondiscrimination in Services. Benefits. and Facilities
a. The Contractor will not discriminate in the provision of services because of race, color,
creed, national origin, sex, age, or physical or mental handicap as provided by state
and federal law.
b. For the purpose of this contract, distinctions on the grounds of race, color, creed,
national origin, sex, age, or physical or mental handicap include, but are not limited
to, the following: denying a participant any service or providing a benefit to a
participant which is different, or is provided in a different manner or at a different time .
from that provided to other participants under this contract; subjecting a participant
to segregation or separate treatment in any matter related to his receipt of any
service; restricting a participant in any way in the enjoyment of any advantage or
privilege enjoyed by others receiving any service or benefit; treating a participant
differently from others in determining whether he satisfied any admission, enrollment
quota, eligibility, membership, or other requirement or condition which individuals must
meet in order to be provided any service or benefit; the assignment of times or places
for the provision of services on the basis of the race, color, creed, or national origin of
the participants to be served.
c. The Contractor will take affirmative action to ensure that intended beneficiaries are
provided services without regard to race, color, creed, national origin, sex,. age, or
physical or mental handicap.
d. The Contractor agrees that complaints alleging discrimination in the delivery of
services by the Contractor or his or her subcontractor because of race, color, national
origin, creed, sex, age, or physical or mental handicap will be resolved by the State
through the Department of Health Services' Affirmative Action/Discrimination
Compliant Process.
e. The Contractor shall, subject to the approval of the Department of Health Services,
establish procedures under which service participants are informed of their rights to file
a complaint alleging discrimination or a violation of their civil rights with the
Department of Health Services.
f. The Contractor shall operate the program or activity in such a manner that it is readily
accessible to and usable by mentally or physically handicapped persons pursuant to
45 Code of Federal Regulations, Parts 84,Sections 84.21 and 84.22.
g. The Contractor shall keep records, submit required compliance reports, and permit
state access to records in order that the State can determine compliance with the
nondiscrimination requirements pursuant to 45 Code of Federal regulations, Parts 80,
84, and 90, Sections 80.6, 84.61, and 90.42.
-6-
Exhibit A(F)
1 1. Final Invoice—Final Report—Retention of Funds
If a final report is required by this contract, 10 percent of the face amount of the contract
or 50 percent of the final invoice, whichever is the larger amount, but not to exceed $3,000,
shall be withheld until after receipt by the State of a report satisfactory to:the State.
12. Officials Not to Benefit
No member of or delegate to Congress or the State Legislature shall be admitted to any
share or part of this contract, or to any benefit that may arise therefrom; but this provision
shall not be construed to extend to this contract if made with a corporation for its general
benefit.
13. Rights in Data
a. Subject Data. As used in this clause, the term "Subject Data" means writings, sound
recordings, pictorial reproductions, drawings, designs or graphic representations,
procedural manuals, forms, diagrams, work flow charts, equipment descriptions, data
files and data processing or computer programs, and works of any similar nature
(whether or not copyrighted or copyrightable) which are first produced or developed
under this contract. The term does not include financial reports, cost analyses, and
similar information incidental to contract administration.
b. Federal Government and State Rights. Subject only to the provisions of "c" below, the
Federal Government and State may use, duplicate, or disclose in any manner and for
any purpose whatsoever, and have or permit others to do so, all Subject Data
delivered under this contract.
c. License to Copyrighted Data. In addition to the Federal Government and State rights
as provided in [b] above, with respect to any subject data which may be
copyrighted, the Contractor agrees to and does hereby grant to the Federal
Government and State a royalty-free, nonexclusive and irrevocable license
throughout the world to use, duplicate, or dispose of such data in any manner for
State or Federal Government purposes and to have or permit others to do so.
Provided, however, that such license shall be only to the extent that Contractor now
has, or prior to completion or final settlement of this contract may acquire, the right to
grant such license without becoming liable to pay compensation to others solely
because of such grant.
d. Relation to Patents. The State reserves a license on patent rights in any contract
involving research or developmental, experimental, or demonstration work with
respect to any discovery or invention which arises under this contract.
e. Marking and Identification. The Contractor shall mark all Subject Data with the
number of this contract and the name and address of the contractor or
subcontractor who generated the data. The Contractor shall not affix any restrictive
markings upon any Subject Data, and if such markings are affixed, the Federal
Government or State shall have the right at any time to modify, remove, obliterate, or
ignore any such markings.
f, Subcontractor Data. Whenever any Subject Data is to be obtained from a
subcontractor under this contract, the Contractor shall use this same clause in
subcontract without alteration, and no other clause shall be used to enlarge or
diminish the Federal Government's or State's rights in the subcontractor Subject Data.
-7-
g. Deferred Ordering and Delivery of Data. The Federal Government or State shall have
the right to order, at any time during the performance of this contract, or within two
years from either acceptance of all items (other than data) to be delivered under this
contract or termination of this contract, whichever is later, any Subject Data and any
data,-not called for in the schedule of this contract but generated in performance of
the contract, and the Contractor shall promptly prepare and deliver such data as is
ordered. If the principal investigator is no longer associated with the Contractor, the
Contractor shall exercise its best efforts to prepare and deliver such data as is ordered.
The Federal Government's or State's right to use data delivered pursuant to this
paragraph (g) shall be the same as the rights in Subject Data as provided in "b"
above. The Contractor shall be relieved of obligation to furnish data pertaining to an
item obtained from a subcontractor upon the expiration of two years from the date
he accepts such items. When data, other than Subject Data, is delivered pursuant to
this paragraph (g), payment shall be made, by equitable adjustment or otherwise, for
converting the data into the prescribed form, reproducing it or preparing it for
delivery. The terms of such payment shall be agreed upon in writing by the
Contractor and the State and/or Federal Government, whichever ordered the
production of the data.
14. Disabled Veterans and Veterans of the Vietnam Era
a. The Contractor will not discriminate against any employee or applicant for
employment because he or she is a disabled veteran or veteran of the Vietnam era in
regard to any position for which the employee or applicant for employment is
qualified. The Contractor agrees to take affirmative action to employ, advance in
employment, and otherwise treat qualified disabled veterans and veterans of the
Vietnam era without discrimination based upon their disability or veterans status in all
employment practices such as the following: employment upgrading, demotion or
transfer, recruitment, advertising, layoff or termination, rates of pay or other forms of
compensation, and selection for training, including apprenticeship.
b. The Contractor agrees that all suitable employment openings of the Contractor which
exist at the time of the execution of this contract and those which occur during the
performance of this contract, including those not generated by this contract and
including those occurring at an establishment of the Contractor other than the one
wherein the contract is being performed but excluding those of independently
operated corporate affiliates, shall be listed at an appropriate local office of the state
employment service system wherein the opening occurs. The Contractor further
agrees to provide such reports to such local office regarding employment openings
and hires as may be required.
State and local government agencies holding federal contracts of $10,000 or more
shall also list all their suitable openings with the appropriate office of the state
employment service, but are not required to provide those reports set forth in
paragraphs"d" and "e".
c. Listing of employment openings with the employment service system pursuant to this
clause shall be made at least concurrently with the use of any other recruitment
source or effort and shall involve the normal obligations which attach to the placing
of bona fide job order, including the acceptance of referrals of veterans and
nonveterans. The listing of employment openings does not require the hiring of any
particular job applicant or from any particular group of job applicants, and nothing
herein is intended to relieve the Contractor from any requirements in Executive Orders
or regulations regarding nondiscrimination in employment.
-8-
Exhibit A(F)
d. The reports required by paragraph "b" of this clause shall include, but not be limited to,
periodic reports which shall be filed at least quarterly with the appropriate local office
or, where the Contractor has more than one hiring location in a State, with the central
office of that state employment service. Such reports shall indicate for each hiring
location (1) the number of individuals hired during the reporting period, (2) the
number of nondisabled veterans of the Vietnam era hired, (3) the number of disabled
veterans of the Vietnam era hired, and (4) the total number of disabled veterans
hired. The reports should include covered veterans hired for the on-the-job training
under 39 U.S.C. 1787. The Contractor shall submit a report within 30 days after the.end
of each reporting period wherein any performance is made on this contract
identifying data for each hiring location. The Contractor shall maintain at each hiring
location copies of the reports submitted until the expiration of one year after final
payment under the contract, during which time these reports and related
documentation shall be made available, upon request, for examination by any
authorized representatives of the Federal Contracting Officer, the State, or the
Secretary of Labor. Documentation would include personnel records respecting job
openings, recruitment, and placement.
e. Whenever the Contractor becomes contractually bound to the listing provisions of this
clause, it shall advise the employment service system in each state where it has
establishments of the name and location of each hiring location in the state. As long
as the Contractor is contractually bound to these provisions and has so advised the
state system, there is no need to advise the state system of subsequent contracts. The
Contractor may advise the state system when it is no longer bound by this contract
clause.
f. This clause does not apply to the listing of employment openings which occur and are
filled outside the 50 states, the District of Columbia, Puerto Rico,. Guam, and the
Virgin Islands,
g. The provisions of paragraphs "b", "c", "d", and "e" of this clause do not apply to
openings which the Contractor proposes to fill from within his own organization or to fill
pursuant to a customary and traditional employer-union hiring arrangement. This
exclusion does not apply to a particular opening once an employer decides to
consider applicants outside of his own organization or employer-union arrangement
.for that opening.
h. As used in this clause:
(1) "All suitable employment openings" includes, but is not limited to, openings which
occur in the following job categories: production and nonproduction: plant and
office; laborers and mechanics; supervisory and nonsupervisory; technical and
executive, administrative, and professional openings that are compensated on a
salary basis of less than $25,000 per year. This term includes full-time employment,
temporary employment of more than three days' duration, and part-time
employment. It does not include openings which the Contractor proposes to fill
from within his own organization or to fill pursuant to a customary and traditional
employer-union hiring arrangement nor openings in an educational institution
which are restricted to students of that institution. Under the most compelling
circumstances, an employment opening may not be suitable for listing, including
such situations where the needs of the Federal Government cannot reasonably
be otherwise supplied, where listing would be contrary to national security, or
where the requirement of listing would otherwise not be for the best interest of
the Federal Government.
-9-
(2) "Appropriate office of the state employment service system" means the local
office of the federal/state national system of public employment offices with
assigned responsibility for serving the area where the employment opening is to
be filled, including the. District of Columbia, Guam, Puerto Rico, and the
Virgin Islands.
(3) "Openings which the Contractor proposes to fill from within his own organization"
means employment openings for which no consideration will be given to persons
outside the Contractor's organization (including any affiliates, subsidiaries, and
the parent companies) and includes any openings which the Contractor
proposes to fill from regularly established "recall" lists,
(4) "Openings which the Contractor proposes to fill pursuant to a customary and
traditional employer-union hiring arrangement" means employment openings
which the contractor proposes to fill from union halls which is part of the
customary and traditional hiring relationship which exists between the Contractor
and representatives of his employees.
I. The Contractor agrees to comply with the rules, regulations, and relevant orders of the
Federal Secretary of Labor issued pursuant to the Act.
j. In the event of the Contractor's noncompliance with the requirements of this clause,
actions for noncompliance may be taken in accordance with the rules, regulations,
and relevant orders of the Federal Secretary of Labor issued pursuant to the Act.
k. The Contractor agrees to post in conspicuous places available to employees and
applicants for employment notices in a form to be prescribed by the Director of the
Office of Federal Contract Compliance Programs, provided by or through the
contracting Officers or State. Such notices shall state the Contractor's obligation
under the law to take affirmative action to employ and advance in employment
qualified disabled veterans and veterans of the Vietnam era for employment, and the.
rights of applicants and employees.
I. The Contractor will notify each labor union or representative of workers with which it
has a collective bargaining agreement or other contract understanding that the
Contractor is bound by terms of the Vietnam Era Veteran's Readjustment Assistance
Act and is committed to take affirmative action to employ and advance in
employment qualified disabled veterans and veterans of the Vietnam era.
m. The Contractor will include the provisions of this clause in every subcontract or
purchase order of $10,000 or more unless exempted by rules, regulations, or orders of
the Federal Secretary of Labor issued pursuant to the Act, so that such provisions will
be binding upon each subcontractor or vendor. The Contractor will take such action
with respect to any subcontract or purchase order as the Director of the Office of
Federal Contract Compliance Programs may direct to enforce such provisions,
including action for noncompliance.
15. Clean Air and Water
a. (Applicable only if the contract is not with a sole source vendor of products or
services, or if it exceeds$5,000.)
The Contractor agrees under penalty of perjury (it,he,she) is not in violation of any
order or resolution which is not subject to review promulgated by the State Air
Resources Board or an air pollution district.
-10-
Exhibit A(F)
The Contractor agrees under penalty or perjury (it, he, she) is not subject to cease,and
desist order which is not subject to review issued pursuant to Section 13301 of the
Water Code for violation of waste discharge requirements or discharge prohibitions, or
is not finally determined to be in violation of provisions of federal law relating;to air or
water pollution.
b. (Applicable only if the contract or subcontract exceeds $100,000 or the contract is not
otherwise exempt under 40 CFR 15.5.)
The Contractor agrees as follows:
(1) To comply with all the requirements of Section 114 .of the. Clean Air act as
amended (42 U.S.C. 7401 et seq., as amended by Public Law 95-95), and section
308 of the Federal Water Pollution Control Act (33 U.S.C. 1251 et seq., as
amended by Public Law 92-500),respectively, relating to inspection, monitoring,
entry, reports, and information, as well as all other requirements specified in
Section 114 and Section 308 of the Air Act and the Water Act, respectively, and
all regulations and guidelines issued to implement those Acts before the award of
this contract.
(2) That no portion of the work required by this contract will be performed in a facility
listed on the Environmental Protection Agency List of Violating Facilities on the
date when this contract was awarded unless and until the Environmental
Protection Agency eliminates the name of such facility or facilities from such
listing.
(3) To use his best efforts to comply with clean air standards and clean water
standards at the facility in which the contract is being performed. The terms used
in this paragraph have the following meanings:
(a) The term "clean air standards" means any enforceable rules, regulations,
guidelines standards, limitations, orders, controls, or prohibitions or other
requirements which are contained in, issued under, or adopted pursuant to
the Clean Air Act.
(b) The term "clean water standards" means any enforceable limitation, control,
condition, prohibition, standard, or another requirement which is
promulgated pursuant to the Clean Water Act.or contained in a permit
issued to a discharger by EPA or by the State under an approved program
as authorized by Section 402 of the Clean Water Act (33 U.S.C. 1342), or by
a local government to ensure compliance with pretreatment regulations as
required by Section 307 of the Clean Water Act (33 U.S.C. 1317), and
regulations issued pursuant thereto.
(c) In addition to compliance with clean air and water standards, the term
compliance shall also mean compliance with a schedule or plan ordered or
approved by a court of competent jurisdiction, the Environmental Protection
Agency, or an air or water pollution control agency in accordance with the
requirements of the Clean Air Act and the Federal Water Pollution Control
Act.
(4) As a condition for the award of a contract the applicant or contractor shall notify
the State of the receipt of any communication from the Assistant Administrator
for Enforcement, U.S. EPA indicating that a facility to be utilized for the contract is
under consideration to be listed on the EPA List of Violating Facilities. Prompt
notification shall be required prior to contract award.
-11-
(5) To report violations to the State and to the Assistant Administrator for
Enforcement.
(6) To insert the substance of the provisions of paragraph [b] into any nonexempt
subcontract, including this paragraph [b6], and to take such action as the
Federal Government may direct as a means of enforcing such provisions.
16. Utilization of Small Business and Minority and Women Owned Business Enterprise
a. It is a federal policy to award a fair share of contracts to small, minority, and women
owned business firms. The State Legislature has declared that a fair proportion of the
total purchases and contracts or subcontracts for property and services for the State
be placed with small minority and women owned business enterprises.
b. A firm shall qualify as a small business if it meets the requirements specified in
Government Code Section 14837.
c. The Contractor hereby agrees to carry out this policy in the awarding of subcontracts
to the fullest extent consistent with efficient contract performance. As used in this
contract, the term "minority business enterprise" means a business concern (1) which is
at least 51 percent owned by one or more minority group members or women, or in
the case of publicly owned business, at least 51 percent of the stock of which is
owned by one or more minority group members or women; and (2) whose
management and daily business operations are controlled by one or more such
individuals. A minority group member is a person who is Black, Asian, Hispanic, Filipino,
Polynesian, American Indian, or Alaskan Native. "Control," as used in this clause, means
exercising the power to make policy decisions.
d. Contractors acting in good faith may rely on written representations by their
subcontractors regarding their status as minority business enterprises in lieu of an
independent investigation.
17. Printing
If Printing or other reproduction work of more than an incidental and minor dollar amount is
a reimbursable item in this contract, it shall be printed or produced by the State Printer. The
State Printer may, at his sole option, elect to forego said work and delegate the work to the
private sector. If the State Printer prints or produces said work, or the State obtains the
printing or other work through the Office of State Procurement, the cost will be deducted
from said contract amount. This requirement does not apply to normal in-house copying
necessary for routine business matters of the Contractor.
18, Prior Approval of Training Seminars.Workshops. or Conferences
Contractor shall obtain prior state approval over the location, costs, dates, agenda, instructors,
instructional materials, and attendees at any reimbursable training seminar, workshop or conference,
and over any reimbursable publicity or educational materials to be made available for distribution.
The Contractor shall acknowledge the support of the State whenever publicizing the work under the
contract in any media. This paragraph does not apply to necessary staff meetings to conduct routine
business matters.
-12-
Exhibit A(F)
19. Confidentiality of Informahon
a. The Contractor and his or her employees agents, or subcontractors shall protect from
unauthorized disclosure names and other identifying information concerning persons
either receiving services pursuant,to this contract or persons whose names or
identifying information become available or are disclosed to the Contractor, his/her
employees, agents, or subcontractors as a result of services performed under this
contract, except for statistical information not identifying any such person.
b. The Contractor, his/her employees, agents, or subcontractors shall not use such
identifying information for any purpose other than carrying out the Contractor's
obligations under this contract.
c. The Contractor, his/her employees, agents, or subcontractors shall promptly transmit
to the State all requests for disclosure of such identifying information not emanating
from the client or person.
d. The Contractor shall not disclose, except as otherwise specifically permitted by this
contract or authorized by the client, any such identifying information to anyone other
than the State without prior written authorization from the State.
e. For purposes of this paragraph, identity shall include, but not be limited to, name,
identifying number, symbol, or other identifying particular assigned to the individual,
such as finger or voice print or a photograph.
20. National Labor Relations Board Certification
(not applicable if Contractor is a public entity.)
Contractor, by signing this agreement, does swear under penalty of perjury that no more
than one final unappealable finding of contempt of court by a federal court has been
issued against Contractor within the immediately preceding two-year period because of
the Contractor's failure to comply with an order of a federal court which orders the
Contractor to comply with an order of the National Labor Relations Board.
21. Documents and Written Reports
Any document or written report prepared as a requirement of this agreement shall contain,
in a separate section preceding the main body of the document, the number and dollar
amounts of all contracts and subcontracts relating to the preparation of such document or
report, if the total cost for work by nonemployees of the State exceeds$5.,000.
22. Resolution of Direct Service Contract Disputes
a. If the Contractor believes there is a dispute or grievance between the Contractor and
the State, the procedures set forth in Chapter 2.1, Sections 20201 through 20205, of
Title 22, of the California Code of Regulations, shall be followed.
b. If the Contractor wishes to appeal the decision of the Deputy Director for Public
Health or his/her designee, the Contractor shall follow the procedures set forth in
Division 25.1 (commencing with Section 38050) of the Health and Safety Code and
the regulations adopted thereunder. (Title 1, Subchapter 2.5.commencing with
Section 251, California Code of Regulations.)
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c. Disputes arising out of an audit or examination of a contract not covered by subdivision
(a) of Section 20204, of Chapter 2.1,Title 22, of the California Code of Regulations, and
for which no procedures for appeal are provided in statute, regulation or the contract
shall be handled in accordance with the procedures identified in Sections 51016
through 51047,Title 22,California Code of Regulations.
23. Financial and Comoliance Audit of Nonl2rofit Entities
(Applicable only if Contractor is a private, nonprofit entity)
a. Definitions within this paragraph are defined in Section 38040 of the Health and Safety
Code,which,by this reference,is made a part hereof.
b. Contractor agrees to obtain an annual single, organization wide, financial and
compliance audit. The audit shall be conducted in accordance with the requirements
specified in the Federal Office of Management and the Budget (OMB) Circular A-133,
"Audits of Institutions of Higher Education and Other Nonprofit Organizations."
c. References to "Federal" in OMB Circular A-133 shall be considered to man "Federal
and/or State" in contracts where State funds are present either alone or in conjunction
with Federal funds.
d. The audit shall be completed by the 15th day of the fifth month following the end of the
Contractor's fiscal yedr. Two copies of the audit report shall be delivered to the State
program funding this contract. The report shall be due within 30 days after the
completion of the audit.
e. If the contractor receives less than $25,000 per year from the State, the audit shall be
conducted biennially, unless there is evidence of fraud or other violation of state law in
connection with this contract. This requirement takes precedence over the OMB A-133
section which exempts from Federal audit requirements any nonprofit institution
receiving less than $25,000 per year.
f. The cost of such audit may be included in the funding for this contract up to the
proportionate amount this contract represents of the Contractor's total revenue.
g. The State, or its authorized designee including the Auditor-General, is responsible for
conducting contract performance audits which are not financial and compliance
audits.
h. Nothing in this contract limits the State's responsibility or authority to enforce State law or
regulations, procedures,or.reporting requirements arising pursuant thereto.
i. Nothing in this paragraph limits the authority of the State to make audits of this contract,
provided however, that if independent audits arranged for by Contractor meet
generally accepted governmental auditing standards, the State shall rely on those
audits and any additional audit work shall build upon the work already done.
j. The State may, at its option, direct its own auditors to perform the single audit described
in OMB Circular A-133. The State's auditors shall meet the independence standards
specified in Government Auditing Standards. The audit shall be conducted in
accordance with OMB Circular A-133 so as to satisfy all State and Federal requirements
for a single organization wide audit.
24. Contract Amendments
a. This contract may be amended by mutual agreement between the parties and, if
required by Government Code, Section 11010.5, or Public Contract Code, Section
10355,the amendment shall be subject to the approval of the Department of General
Services,unless otherwise exempted.
-14-
Exhibit A(F) '
b. If any.amendment to this contract has the effect of increasing.the monetary amount
of the contract or an agreement by the State to indemnify or save harmless the
Contractor, his agents or employees, the amendment shall be approved by the
Department of General Services, unless otherwise exempted.
25. Evaluation of Contractors
The Contractor's performance under this contract shall be evaluated at the conclusion of .
the term of this contract. The evaluation shall include, but not be limited to:
a. Whether the contracted work or services were completed as specified in the contract
and reasons for and amount of any cost overruns.
b. Whether the contracted work or services met the quality standards specified in the
contract.
c. Whether the Contractor fulfilled all requirements of the contract.
d. Factors outside the control of the Contractor which caused difficulties in Contractor
performance. The evaluation of the Contractor shall not be a public record.
26. Conflict of Interest—Current and Former State Employees
a. Current State Officers and Employees
(1) Contractor shall not utilize in the performance of this contract any state officer or
employee in the state civil service or other appointed state official unless the
employment, activity, or enterprise is required as a condition of the officer or
employee's regular state employment. Employee in the state civil service is
defined to be any person legally holding a permanent or intermittent position in
the state civil service.
(2) If any state officer or employee is utilized or employed in the performance of this
contract, Contractor shall first obtain written verification from the State that the
employment, activity, or enterprise is required as a condition of the officer's,
employee's, or official's regular state employment and shall keep said verification
on file for three years after the termination of this contract.
(3) Contractor may not accept occasional work from any currently employed state
officer, employee, or official.
(4) If Contractor accepts volunteer work from any currently employed State officer,
employee, or official,. Contractor may not reimburse, or otherwise pay or
compensate, such person for expenses incurred, including, without limitation,
travel expenses, per diem, or the like, in connection with volunteer work on
behalf of contractor.
(5) Contractor shall not employ any state officers, employees, or officials who are on
paid or unpaid leave of absence from their regular state employment.
(6) Contractor or.anyone having a financial interest in this contract may not
become a state officer, employee, or official during the term of this contract.
Contractor shall notify each of its employees, and any other person having a
financial interest in this contract that it is unlawful under Public Contract Code,
Section 10410 for such person to become a state officer, employee, or official
during the term of this contract unless any relationship with the Contractor giving
rise to a financial interest, as an employee or otherwise, is first terminated.
-15-
(7) Occasional or one-time reimbursement of a state employee's travel expenses is
not acceptable.
(Citation: Public Contract Code, Section 10410)
f
b. Former State Officers and Employees
(1) Contractor shall not utilize in the performance of this contract any formerly
employed person of any state agency or department that was employed under
the state civil service, or otherwise appointed to serve in the State Government, if
that person was engaged in any negotiations, transactions, planning,
arrangement, or any part of the decision-making process relevant to the
contract while employed in any capacity by any state agency or department.
This prohibition shall apply for a two-year period beginning on the date the
person left state employment.
(2) Contractor shall not utilize within 12 months from the date of separation of
services, a former employee of the contracting state agency or department if
that former employee was employed in a policy making position in the same
general subject area as the proposed contract within the 12-month period prior
to the employee leaving state service.
(Citation: Public Contract Code, Section 10411)
c. Failure to Comply with Subparts"a" or "b"
(1) If Contractor violates any provision of Subparts "a" or "b" above, such action by
Contractor shall render this contract void, unless the violation is technical or
nonsubstantive.
(Citation: Public Contract Code, Section 10420)
27. Single Audit Act of 1984 (applicable only if Contractor is a governmental entity)
In accordance with Public Law 98-502 and OMB Circular A-128, it is stipulated between the
parties hereto that:
a. The cost of the single audit will be charged to the federal assistance program
providing funds for this agreement on a "Fair Share" basis. The amount chargeable to
federal assistance programs for the cost of the single audit is calculated based on the
ratio of federal expenditures to'total expenditures of the Contractor. The State's share
of the single audit cost under this contract is based upon the ratio of federal funds
.received under this agreement to total federal funds received by the Contractor
each fiscal year.
b. The Contractor shall include a clause in any contract the Contractor enters into with
fhe audit firm doing the single audit to provide access by the State or Federal
Government to the working papers of the independent auditor who prepares the
single audit for the Contractor.
c. Federal or State auditors shall have "expanded scope auditing" authority to conduct
specific program audits during the same period in which a single audit is being
performed, but the audit report has not been issued. The federal or state auditors
shall review and have access to the current audit work being conducted and will not
apply any testing or review procedures which have not been satisfied by previous
audit work that has been completed.
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' 6fibit A 0
The term "expanded scope auditing" is applied and defined in the U.S. General
Accounting Office (GAO) issued Standards for Audit of Govemmental Organizations,
Programs,Activities and Functions,better known as the."yellow book."
28. Contractor Name Change
Contractor shall provide written notice to the State at least 30 days prior to any changes to
the Contractor's current legal name.
29. Novation
If the Contractor proposes any novation agreement,the State shall act upon the proposal
within 60 days after receipt of the written proposal. The State may review and consider the
proposal,consult and negotiate with the Contractor,and accept or reject all or part of the
proposal. Acceptance or rejection may be made orally within the 60 day period, and
confirmed in writing within five days.
30. Drug-Free Workplace
Contractor certifies to the State that it will provide a drug-free workplace by doing all of
the following:
a. Publishing a statement notifying employees that the unlawful manufacture,
distribution, dispensation, possession, or use of a controlled substance is prohibited in
the person's or organization's workplace and specifying the actions that will be taken
against employees for violations of the prohibition.
b. Establishing a drug-free awareness program to inform employees about all of the
following:
(1) The dangers of drug abuse in the workplace.
(2) The person's or organization's policy of maintaining a drug-free workplace.
(3) Any available drug counseling, rehabilitation, and employee assistance
programs.
(4) The penalties that may be imposed upon employees for drug abuse violations.
c. Requiring that each employee engaged in the performance of the contract or grant
be given a copy of the statement required by subdivision (a) and that,as a condition
of employment on the contract or grant,the employee agrees to abide by the terms
of the statement.
d. Contractor agrees this contract may be subject to suspension of payments or
.termination of this contract,or both,and the contractor may be subject to debarment,
in accordance'with the requirements of the Government Code Section 8350, et seq., if
the Department determines that any of the following has occurred:
(1) The contractor or,grantee has made a false certification.
(2) The contractor violates the certification by failing to carry out the requirements of
subdivisions(a)through(c) above.
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31. Debarment and Suspension Requirements
a
Contractor agrees to comply with the debarment and suspension requirements as found in.
7 Code of Federal Regulations,Part 3017,or as amended.
32. LIMITATIONS ON PAYMENTS TO INFLUENCE
CERTAIN FEDERAL ACTIONS AND RELATED DISCLOSURES
(a) Definitions. As used in this Exhibit,
"Agency," as defined in 5 U.S.C. 552(f), includes Federal executive departments and
agencies .as well as independent regulatory commissions and Government
corporations,as defined in 31 U.S.C. 9101(1).
"Covered Federal action" means any of the following Federal actions:
(1) The awarding of any Federal contract;
(2) The making of any Federal grant;
(3) The making of any Federal loan;
(4) The entering into of any cooperative agreement; and
(5) The extension, continuation, renewal, amendment, or modification of any
Federal contract,grant,loan,or cooperative agreement.
Covered Federal action does not include receiving from an agency a commitment
providing for the United States to insure of guarantee a loan.
"Indian tribe" and "tribal organization" have the meaning provided in section 4 of the
Indian Self-Determination and Education Assistance Act.(25 U.S.C. 450B). Alaskan
Natives are included under the definitions of Indian tribes in the Act.
"Influencing or attempting to influence" means making, with the intent to influence,
any communication to or appearance before an officer or employee of any agency,
a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress,in connection with any covered Federal action.
"Local government" means a unit of government in a State and, if chartered,
established, or otherwise recognized by a State for the performance of a government
duty, including a local public authority, a special district, an intrastate district, a
council of governments, a sponsor group representative organization, and any other
instrumentality of a local government.
"Officer or employee of an agency" includes the following individuals who are
employed by an agency:
(1) An individual who is appointed to a position in the Government under title 5,
U. S. Code,including a position under a temporary appointment;
(2) A member of the uniformed services as defined in section 101(3), title 37,
U. S. Code;
(3) A special government employee as defined in section 202, title 18, U. S. Code;
and
(4) An individual who is a member of a Federal advisory committee, as defined by
the Federal Advisory Committee Act,title 5,U. S. Code,Appendix 2.
-18-
"Person" means an individual, corporation, company, association, authority, firm,
partnership, society, State, and local government, regardless of whether such entity is
operated for profit or not for profit. This term excludes an Indian tribe, tribal
organization, or any other Indian organization with respect to expenditures specifically
permitted by other Federal law.
"Reasonable compensation" means, with respect to a regularly employeed officer or
employee of any person, compensation that is consistent with the normal
compensation for such officer or employee for work that is not furnished to, not
funded by,or not furnished in cooperation with the Federal Government.
"Reasonable payment" means, with respect to professional and other technical
services, a payment in an amount that is consistent with the amount normally paid for
such services in the private sector.
"Recipient" includes the Contractor or Grantee,and all subcontractors or subgrantees
at any tier in connection with a Federal contract, grant, or other Federally funded
activity. The term excludes an Indian tribe, tribal or ganization, or any other Indian
organization with respect to expenditures specifically permitted-by other Federal law.
"Regularly employed" means, with respect to an officer or employee of a person
requesting or receiving a Federal contract, an officer or employee who is employed
by such person for at least 130 working days within 1 year immediately preceding the
date of the submission that initiates agency consideration of such person for receipt of
such contract. An officer or employee who is employed by such person for less than
130 working days within 1 year immediately preceding the date of the submission that
initiates agency consideration of such person shall be considered to be regularly
employed as soon as he or she is employed by such person for 130 working days.
"State" means a State of the United States, the District of Columbia, the
Commonwealth of Puerto Rico, a territory or possession of the United States, an
agency or instrumentality of a State, and a multi-State, regional, or interstate entity
having governmental duties and powers.
b Prohibition.
(1) Section 1352 of title 31, U. S. Code provides in part that no appropriated funds
may be expended by the recipient of a Federal contract, grant, loan, or
cooperative agreement to pay any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress in
connection with any of the following covered Federal actions: The awarding of
any Federal contract, the making of any Federal grant, the making of any
Federal loan, entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal contract,
grant,loan,or cooperative agreement.
(2) The prohibition does not apply as follows:
(i) Agency and legislative liaison by Own Employees. ,
(A) The prohibition on the use of appropriated funds, in paragraph (b)(1),
does not apply in the case of a payment of reasonable compensation
made to an officer or employee of a person requesting or receiving a
Federal contract if the payment is for agency and legislative liaison
activities not directly related to a covered Federal action.
-19-
(B) For purposes of paragraph (b)(2)(i)(A), providing any information
specifically requested by an agency or Congress is allowable at any
time.
(C) For purposes of paragraph (b)(2)(i)(A) of this section, the following
agency and legislative liaison activities are allowable at any time only
where they are not related to a specific solicitation for any covered
Federal action:
(i) Discussing with any agency (including individual demonstrations)
the qualities and characteristics of the person's products or
services,conditions or terms of sale,and service capabilities; and,
(ii) Technical discussions and other activities regarding the
application or adaptation of the person's products or services for
an agency's use.
(D) For purposes of paragraph (b)(2)(i)(A) of this section, the following
agency and legislative liaison activities are allowable only where they
are prior to formal solicitation of any covered Federal action:
(i) Providing any information not specifically requested but necessary
for an agency to make an informed decision about initiation of a
covered Federal action;
(ii) Technical discussions regarding the preparation of an unsolicited
proposal prior to its official submission; and,
(Iii) Capability presentations by persons seeking awards from an
agency pursuant to the provisions of the Small Business Act, as
amended by Public Law 95-507 and other subsequent
amendments.
(E) Only those activities expressly authorized by. paragraph (b)(2)(i) are
allowable under paragraph(b)(2)(1).
(ii) Professional and technical services by Own Employees.
(A) The prohibition on the.use of appropriated funds, in paragraph (b)(1),
does not apply in the case of any reasonable payment of reasonable
compensation made to an officer or employee of a person requesting
or receiving a Federal contract or an extension, continuation, renewal,
amendment, or modification of a Federal contract if payment is for
professional or technical services rendered directly in the preparation,
submission or negotiation of any bid, proposal, or application for that
Federal contract or for meeting requirements imposed by or pursuant
to law as a condition for receiving that Federal contract.
-20-
(B) For purposes of paragraph (b)(2)(ii)(A), "professional and technical
services" shall be limited to advice an analysis directly applying any
professional or technical discipline. For example, drafting of a legal
document accompanying a bid or proposal by a lawyer is allowable.
Similarly, technical advice provided by an engineer on the
performance or operational capability of a piece of equipment
rendered directly in the negotiation of a contract is allowable.
However, communications with the intent to influence made by a
professional (such as a licensed lawyer) or a technical person (such as
a licensed accountant) are not allowable under this section unless they
provide advice and analysis directly applying their professional or
technical expertise and unless the advice or analysis is rendered
directly and solely in the preparation, submission or negotiation of a
covered Federal action. thus, for example, communications with the
intent to influence made by a lawyer that do not provide legal advice
and analysis directly and solely related to the legal aspects of his or her
client's proposal, but generally advocate one proposal over another
are not allowable under this section because the lawyer is not
providing professional legal services. Similarly,communications with the
intent to influence made by an engineer providing an engineering
analysis prior to the preparation or submission of a bid or proposal are
not allowable under this section since the engineer is providing
technical services but not directly in the preparation, submission or
negotiation of a covered Federal action.
(C) Requirements imposed by or pursuant to law as a condition for
receiving a covered Federal award include those required by law or
regulation,or reasonably expected to be required by law or regulation,
and any other requirements in the actual award documents.
(D) Only those services expressly authorized by paragraph (b)(2)(ii) are
allowable under paragraph(b)(2)(ii).
(iii) Reporting for Own Employees.
No reporting is required with respect to payments of reasonable
compensation made to regularly employed officers or employees of a
person.
(iv) Professional and technical services by Other than Own Employees.
(A) The prohibition on the use of appropriated funds, in paragraph (b)(1),
does not apply in the case of any reasonable payment to a person,
other than an officer or employee of a person requesting or receiving a
covered Federal action, if the payment is for professional or technical
services rendered directly in the preparation,submission,or negotiation
of any bid, proposal, or application for that Federal contract or for
meeting requirements imposed by or pursuant to law as a condition for
receiving that Federal contract.
-21-
(B) For purposes of.paragraph (b)(2)(iv)(A), "professional and technical
services" shall be limited to advice and analysis directly applying any
professional or technical discipline. For example, drafting of a legal
document accompanying a bid or proposal by a lawyer is allowable.
Similarly, technical advice provided by an engineer on the
performance or operational capability of a piece of equipment
rendered directly in the negotiation of a contract is allowable.
However, communications with the intent to influence made by a
professional (such as a licensed lawyer) or a technical person (such as
a licensed accountant)are not allowable under this section unless they
provide advice and analysis directly applying their professional or
technical expertise and unless the advice .or analysis is rendered
directly and solely in the preparation, submission or negotiation of a
covered Federal action. Thus, for example, communications with the
intent to influence made by a lawyer that do not provide legal advice
or analysis directly and solely related to the legal aspects of his or her
client's proposal, but generally advocate one proposal over another
are not allowable under this section because the lawyer is not
providing professional legal services. Similarly,communications with the
intent to influence made by an engineer providing an engineering
analysis prior to the preparation or submission of a bid or proposal are
not allowable under this section since the engineer is providing
technical services but not directly in the preparation, submission or
negatiation of a covered Federal action.
(C) Requirements imposed by or pursuant to law as a condition for
receiving a covered Federal award include those required by law or
regulation,or reasonably expected to be required by law or regulation,
and any other requirements in the actual award documents.
(D) Persons other than officers or employees of a person requesting or
receiving a covered Federal action include consultants and trade
associations.
(E) Only those services expressly authorized by paragraph (b)(2)(iv) of this
section are allowable under paragraph(b)(2)(iv).
(v) The prohibition on use of Federal appropriated funds does not apply to
influencing activities not in connection with a specific covered Federal
action. These activities include those related to legislation and regulations
for a program versus a specific covered Federal action.
(55 Fed. Reg. 24542 (June 15, 1990).
(c) Certification and Disclosure.
(1) Each person (or recipient) who requests or receives a contract, subcontract,
grant,or subgrant,which is subject to section 1352 of title 31, United States Code,
and which exceeds $100,000 at any tier, shall file a certification (in the form set
forth in Attachment 1, consisting of one page, entitled "Certification Regarding
Lobbing") that the recipient has not made, and will not make, any payment
prohibited by paragraph(b)of this Exhibit.
-22-
(2) Each recipient shall file a disclosure (in the form set forth in Attachment 2
consisting of three pages, entitled "Standard Form-LLL-"Disclosure of Lobbying
Activities") if such recipient has made or has agreed to make any payment using
nonappropriated funds (to include profits from any covered Federal action) in
connection with a contract or grant or any extension or amendment of that
contract or grant,which would be prohibited under paragraph (b) of this Exhibit
if paid for with appropriated funds.
(3) Each recipient shall file a disclosure form at the end of each calendar quarter in
which there occurs any event that requires disclosure or that materially affects
the accuracy of the information contained in any disclosure form previously filed
by such person under paragraph (c)(2). An event that materially affects the
accuracy of the information reported includes:
(i) A cumulative increase of $25= or more in the amount paid or expected
to be paid for influencing or attempting to influence a covered .Federal
action; or
(ii) A change in the person(s) or individual(s) influencing or attempting to
influence a covered Federal action; or,
(iii) A change in the officer(s), employee(s), or Member(s) contacted for the
purpose of influencing or attempting to influence a covered Federal action.
(4) Each person (or recipient) who requests or receives from a person referred to in
paragraph (c)(1) of this section a contract, subcontract, grant, or subgrant
exceeding $100,000 at any tier under a contract or grant shall file a certification,
and a disclosure form,if required,to the next tier above.
(5) All disclosure forms (but not certifications) shall be forwarded from tier to tier until
received by the person referred to in paragraph (1) of this section. That person
shall forward all disclosure forms to the State agency.
(d) Agreement. In accepting any contract, grant,subcontract or subgrant subject to this
Exhibit,the recipient (and any person submitting an offer for such a contract or grant)
agrees not to make any payment prohibited by law or this Exhibit.
(e) Penalties.
(1) Any person who makes an expenditure prohibited under paragraph (b) of this
Exhibit shall be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such expenditure.
(2) Any person who fails to file or amend the disclosure form to be filed or amended
if required by this Exhibit,shall be subject to a civil penalty of not less than $10,000
and not more than $100,000 for each such failure.
(3) Recipients may rely without liability on the representations made by their
subcontractors or subgrantees in the certification and disclosure form.
(fl Cost allowability. Nothing in this Exhibit is to be interpreted to make allowable or
reasonable any costs which would be unallowable or unreasonable in accordance
with Part 31 of the Federal Acquisition Regulation. Conversely,costs made specifically
unallowable by the requirements in this Exhibit will not be made allowable under any
of the provisions of Part 31 of the Federal Acquisition Regulation.
-23-
Attachment.I
STATE OF CALIFORNIA
DEPARTMENT OF HEALTH SERVICES
CERTIFICATION REGARDING LOBBYING
The undersigned certifies,to the best of his or her knowledge and belief,that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned,to any person for Influencing or attempting to Influence an officer or employee of an agency
of.the United States Government, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with the making, awarding or entering Into of this
Federal contract, Federal grant, or cooperative agreement, and the extension, continuation, renewal,
amendment,or modification of this Federal contract,grant,or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person
for influencing or attempting to influence an officer or employee of any agency of the United States
Government,a Member of Congress,an officer or employee of Congress,or an employee of a Member of
Congress in connection with this Federal contract,grant,or cooperative agreement,the undersigned shall
complete and submit Standard Form LLL, 'Disclosure of Lobbying Activities' In accordance with its
instructions.
(3) The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (Including subcontractors,subgrants,and contracts under grants
and cooperative agreements) of $100,000 or more, and that all subrecipients shall certify and disclose
accordingly.
This certification Is a material representation of fact upon which reliance was placed when this transaction
was made or:entered into. Submission of this certification is a prerequisite for making or entering Into this
transaction imposed by Section 1352, Title 31, U. S. Code. any person who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 foreach
such failure.
Name of Contractor Printed Name of Parson Signing for Contractor
Contract/Grant Number- Si ntractor
Date Title
After execution by or on Behalf of Contractor,please return to:
Department of Health Services
(Name of the DHS program providing the funds)
P. O.Box 942732
714 P Street
Sacramento,CA 94234-7320
CMS lnstructiond Bulletin No.13(10/91) -24-
Attachment 2-
DISCLOSURE OF LOBBYING ACTIVITIES Approved by OMB
0348-OW
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352
(See reverse for public burden disclosure)
1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type:
❑ a. contract ❑ a. bid/offer/application ❑ a. initial filing
b. grant b. initial award b. material change
c. cooperative agreement c. post-award For Material Change Only:
d. loan
e. loan guarantee Year quarter
f. loan Insurance date of last report
4. Name and Address of Reporting Entity: 5. If Reporting Entity in No.4 is Subawardee,Enter Name
and Address of Rime;
❑ Rime ❑ Subawardee
Tier if known:
Congressional District,if known: Congressional District,If known:
6. Federal Department/Agency: 7. Federal Program Name/Description:
CFDA Number,if applicable:
8. Federal Action Number,if known: 9. Award Amount,if known:
10. a. Name and Address of Lobbying Entity b. Name and Address of Lobbying Entity
(if individual,last name,first name,MI): (if Individual,last name,first name,MI):
(attach Continuation Sheet(s)SF-LLL-A,if necessary)
11. Amount of Payment(check all that apply): 13. Type of Payment(check all that apply):
$ ❑ actual ❑ planned ❑ a. retainer
12. Form of Payment(check all that apply): ❑ b. one-time fee
❑ c. commission
❑ a. cash
LJ b. in-kind,specify: Nature El d contingent fee
❑ e. deferred
Value ❑ f. other,specify:
14. Brief Description of Services Performed or to be Performed and Date(s)of Service,Including Officer(s),Employee(s),
or Member(s)Contacted,for Payment Indicated In Item 11:
(Attach Continuation Sheet(s)SF-LLL-A,if necessary)
15. Continuation Sheet(s)SF-LLL-A Attached: ❑ Yes ❑ No
16. Information requested through this form is authorized by Title 31,
U.S.C.,Section 1352. This disclosure of lobbying activities is a Si9rwrure
material representation of fact upon which reliance was
placed by the tier above when this transaction was made or
entered Into. This disclosure is required pursuant to Title 31, PrintNwe:
U.S.C.,Section 1352, This information will be reported to the
Congress semiannually and will be available for public Title:
inspection. Any person who fails to file the required disclosure
shall be subject to a civil penalty of not less than$10,000 and
not more than$100,000 for each such failure. Telephone No.: Date:
Authorized for
Local Re reduction
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CMS Instructional BUlefin No.14(10/91) -25-
INSTRUCTIONS FOR COMPLETION OF SFALL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the
initiation or receipt of a covered Federal action, or a material change to a previous filing, pursuant to Title 31, U.S.C.,
Section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying entity for
influencing or attempting to Influence an officer or employee of any agency, a Member of congress, an officer or
employee of,congress,or an employee of a Member of Congress in connection with a covered Federal action. Use the
SF-LLL-A Continuation Sheet for additional information if the space on the form is inadequate. Complete all items that
apply for both the Initial filing and material change report. Refer to the implementing guidance published by the Office of
Management and Budget for additional information.
1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the
outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If this is a follow up report caused by a material change to the
information previously reported,enter the year and quarter In which the change occurred. Enter the date of the last
previously submitted report by this reporting entity for this covered Federal Action.
4. Enter the full name,address,city,state and zip code of the reporting entity. Include Congressional District,if known.
Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or
subaward recipient. .Identify the tier of the subawardee, e.g., the first subawardee of the prime is the 1st tier.
Subawards include but are not limited to subcontracts,subgrants and contract awards under grants.
5. If the organization filing the report in Item 4 checks"Subawardee;then enter the full name,address,city,state and zip
code of the prime Federal recipient. Include Congressional District,If known.
6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational
level below agency name,if known. For example,Department of Transportation,United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (Item 1). If known, enter the full
Catalog,of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan
commitments.
8. Enter the most appropriate Federal identifying number available for the Federal action Identified in Item 1
(e.g., Request for Proposal (RFP) number; Invitation for Bid (IFB) number; grant announcement number;the contract,
grant, oril loan award number; the application/proposal control number assigned by the Federal agency). Include
prefixes,e.g.'RFP-DE-90-001.'
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency,enter the
Federal amount of the award/loan commitment for the prime entity identified in.item 4 or 5.
10. (a) Enter the full name, address, city,state and zip code of the lobbying entity engaged by the reproting entity
identified in Item 4 to influence the covered Federal action.
(b) Enter the full names of the Individual(s)performing services,and include full address if different from 10.(a). Enter
last name,first name,and middle initial(MI).
11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (Item 4)to the
lobbying I;entity(Item 10). INdicate whether the payment has been made(actual)or will be made(planned). Check
all boxes that apply. If this is a material change report,enter the cumulative amount of payment made or planned to
be made.
12. Check the appropriate box(es). Check all boxes that apply. If payment is made through an in-kind contribution,
specify the nature and value of the in-kind payment.
13. Check the appropriate box(es). Check all box(es)that apply. if other,specify nature.
14. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to
perform,and the dates)of any services rendered. Include all preparatory and related activity,not just time spent in
actual contact with Federal officials. Identify the Federal official(s) or employee(s) contacted or the officer(s),
employee(s),or Member(s)of Congress that were contacted.
15. Check wether or not a SF-LLL--A continuation Sheet(s)is attached.
16. The certifying official shall sign and date the form,print his/her name,title,and telephone number.
Public;reporting burden for this collection of information is estimated to average 30 minutes per response,
including time for reviewing Instructions,searching existing data sources,gathering and maintaining the
data needed,and completing and reviewing the collection of Information. Send comments regarding
the burden es fimate or any other aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget. Paperwork Reduction Project
(0348-0046),Washington,D.C.,20503.
-26-
n ,
_ DISCLOSURE OF LOBBYING ACTIVITIES
CONTINUATION SHEET
Approved by OMB
-348-0046
Reporting Entity: Page of
Authorized for Local Reproducfion
CMS Instructional Bulletin No.14(10/91) -27- Standard Form-LLL-A
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EXHIBIT B
SCOPE OF WORK `
Contractor shall provide the following services. Detailed instructions for carrying out these
services are included in the WIC Program Manual.
1. Operate the Special Supplemental Food Program for Women, Infants, and Children,
hereinafter referred to as "WIC".
2. (a) Establish sites for food voucher distribution, and nutrition and breastfeeding
education.
(b) Obtain WIC approval prior to the establishment of a new site, change of an
existing site, or deletion of a site.
3. (a) Determine eligibilityfineligibility of a participant in a properly conducted and
documented manner using form(s) provided by WIC, as set forth in the WIC
Program Manual.
(b) Certify only those persons deemed to be eligible for the WIC program benefits.
(c) Neither denying or threatening to deny services to WIC participants on any basis
other than those defined in the WIC Program Manual.
4. Establish office procedures which ensure that WIC participants and the general public are
able to contact the Contractor by telephone or personal visit during normal business hours
without unreasonable delay.
5. Provide a complete orientation for WIC participants, including instruction in the proper use
of WIC food vouchers and information on rights and obligations under the WIC program.
6. Encourage WIC participants to receive ongoing health care.
7. Issue appropriate vouchers to eligible participants.
(a) Issue one voucher packet to each eligible participant on a monthly basis.
Contractor shall obtain written approval from WIC prior to issuing food vouchers
- on a bi-monthly basis.
(b) Obtain approval from the State prior to mailing food vouchers to individual
participants.
(c) Issue food vouchers for the purchase of the product(s) e.g., infant formula, infant
cereal, under formula rebate agreements with WIC. WIC will notify the Contractor
of the appropriate product(s) upon execution of the rebate agreement(s). The
allowable product(s) will be identified on the appropriate food vouchers provided
by WIC.
Page 1 of 2
' - Exhibit B (continued)
(d) Issue vouchers for the purchase of infant formula other than that referred to in
subparagraph (3) above only upon the authority of a licensed physician's signed
prescription,and in accordance with the program policy established by WIC for this
purpose. A copy of the prescription must be maintained in the WIC participant's
record.
8. Conduct on-site visits of up to five percent of the retail food markets in Contractor's food
voucher redemption area, when specifically directed by the State, to ascertain the
availability and price of WIC-authorized foods and/or to provide vendor education.
9. Provide the nutrition component of the WIC program by, or under the direction of, a
dietitian/nutritionist, who shall meet one of the following qualifications:
(a) Be a registered dietitian, R.D., credentialed by the Commission of Dietetic
Registration of the American Dietetic Association;
(b) Be eligible for registration by the Commission on Dietetic Registration of the
American Dietetic Association, and attain registered dietitian status prior to
expiration of the eligibility period; and
(c) Have been granted, prior to October 1, 1985, the right to use the term dietitian by
a public or private agency or institution recognized by the State Department of
Health Services as qualified to grant that title.
All staff persons hired after October 1, 1985, and designated in the additional budget
detail submitted with the FFY 1994-95 Reapplication, itemizing the positions in the
"Personnel" line item of Exhibit C of this Agreement, as either a "dietitian" or "nutritionist"
shall be a registered dietitian, R.D., credentialed by the Commission on Dietetic
Registration of the American Dietetic Association, or shall be eligible for such registration.
Persons eligible for registration shall attain registered dietitian status prior to the expiration
of the eligibility period.
Contractor shall submit a written request to WIC for any exception to the requirement in
Paragraph 9. Failure to obtain written approval may result in denial of any invoice
claiming reimbursement for a dietitian/nutritionist position if the individual does not meet
the requirements of Paragraph 9.
10. Insure Contractor's representative attends workshop(s) and other trainings, as may be
required by WIC. Funds may not be expended to support time, salaries,wages, per diem,
or any other expense connected with a meeting not authorized by WIC.
Page 2 of 2
Attachment 1
GEOGRAPHIC SERVICE AREA/ SERVICE POPULATION
Contractor agrees to provide WIC program vouchers and nutrition education to the following
WIC-eligible persons:
Eligible residents of Contra Costa County
Page 1 of 1
St&iof Califoilnia—Health and Welfare Agency Department of Health Services
WIC Supplemental Food Branch
EXHIBIT C
CALIFORNIA WIC PROGRAM - PROJECT BUDGET
Contractor: Contra Costa County Health Services
Contract No: 94-19669 Contract Period: 10/01/94 - 09/30/95
Project Budget Line-Item Total Per Numbered Line-Item
1. Personnel $ 1,043,676
2. Operating Expenses $ 118,573
3. Capital Expenditures (Equipment) $ -0-
4. Other Costs $ 31,314
5. Indirect Costs $ 78,472
(Maximum 10% of "Total Salaries & Wages", excluding "Total
Fringe Benefits")
TOTAL BUDGET: $ 1,272,035
IS
State of Califomia-Health and Welfare Agency Department of Health Services
Contract Management Section
EXHIBIT D
CONTRACT UNIFORMITY
The Department of Health Services,an agency of the State of California, sets forth the following policies,
procedures, and guidelines regarding fringe benefits.
1. - As used in this agreement, fringe benefits shall mean an employment benefit given by one's
employer to an employee in addition to one's regular or normal wages or salary. As used herein,
pension plan costs shall be construed as a fringe benefit.
2. As used herein, fringe benefit does not include:
a. Compensation for personal services paid currently or accrued by the Contractor for services
of employees rendered during the term of this agreement which is identified as regular or
normal salaries and wages
b. Directors and executive committee member's fees
C. Incentive awards
d. Allowances for off-site pay
e. Incentive pay
f. Location allowances
g. Hardship pay
h. Cost-of-living differentials
3. To be an allowable fringe benefit, it is agreed the cost must meet the following criteria:
a. Be necessary and reasonable for the performance of the contract
b. Be determined in accordance with generally accepted accounting principles
C. Be consistent with policies that apply uniformly to all activities of.the Contractor
4. Specific allowable fringe benefit are identified as:
a. Fringe benefits representing regular compensation paid to employee for vacation,sick leave,
jury duty, military training, and the like provided they are absorbed by all organizational
activities in proportion to the relative amount of time or effort actually devoted to each
b. Fringe benefits in the form of employer contributions for payroll taxes, employee health and
unemployment insurance, worker's compensation, and employer's share of pension plans
provided they are granted in accordance with established written organization policies
5. It is agreed by both parties that any and all fringe benefits shall be at cost.