HomeMy WebLinkAboutMINUTES - 03011994 - 1.52 TO: BOA1RD OF SUPERVISORS
FROM: Mark Finucane, Health Services Director Contra
By: Elizabeth A. Spooner, Contracts Administrator
Costa
DATE: February 10, 1994 Cou ty
SUBJECT: Approve Research Agreement #28-548 with the Regents of the
University of California for the AIDS Case Surveillance Project
SPECIFIC REQUEST(S) OR RECOMMENDATION(S) & BACKGROUND AND JUSTIFICATION
I. RECOMMENDED ACTION:
Approve and authorize the Health Services Director, or his designee
(Wendel Brunner, M.D. ) , to execute on behalf of the County, Research
Agreement #28-548 with the Regents of the University of California, on
behalf of its Davis Campus, in the amount of $20, 000, for the period
from July 1, 1993 through December 31, 1993, for the Department's AIDS
Case Surveillance Project.
II. FINANCIAL IMPACT:
Approval of this .agreement will result in an award of $20, 000 from the
State (Federal Centers for Disease Control and Prevention funds) ,
which is being disbursed through the Regents of the University of
California, for the AIDS Case Surveillance Project. No County funds
are required.
III. REASONS FOR RECOMMENDATIONSIBACKGROUND:
The State Department of Health Services, Office of AIDS (OA) , conducts
and supports active AIDS case surveillance in local health
departments. As part of the State's project entitled Enhancement of
AIDS Case Surveillance in California, OA has authorized the University
of California, Davis, to execute a Research Agreement with Contra
Costa County to support the Department's AIDS case surveillance
activities. Continuance of the award in 1994 is contingent upon
availability of funds, successful performance and re-evaluation of
epidemiologic data and local surveillance needs.
CONTINUED ON ATTACHMENT: YES SIGNATURE:
RECOMMENDATION OF COUNTY ADMINISTRATOR RECOMMEN TIO OF BOARD COMMITTEE
APPROVE OTHER
SIGNATURE(S)
ACTION OF BOARD ON APPROVED AS RECOMMENDED OTHER
VOTE OF SUPERVISORS
UNANIMOUS (ABSENT ) 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. (313-6712)
CC: Health Services (Contracts) ATTESTED dmL 1 j224 _
Auditor-Controller (Claims)
Phil Batchelor, Clerk of Ae Board of
Regents of U.C. , .Davis 3upwvY gj3vdGQtMtyAdmin&aW
M382/7-83 By � Jl�d�� DEPUTY
AFT
7LAFT
R
F.
RESEARCH AGREEMENT NUMBER 931522�CCHSD
between
THE REGENTS OF THE UNIVERSITY OF CALIFORNIA
and
CONTRA COSTA COUNTY HEALTH SERVICES DEPARTMENT
This Research Agreement entered into by and between The Regents of the University of California, a constitutional
corporation under Article IX, Section 9 of the Constitution of the State of California, acting for and on behalf of its
Davis Campus(UNIVERSITY),and the Corrina Costa County Health Services DepartmeM with its place of business
in Martinez, California (SUBCONTRACTOR).
WHEREAS, UNIVERSITY has been awarded State of California Standard Agreement No. 92-16335 (STATE
AGREEMENT) from the Department of Health Services (STATE) in support of research project entitled
"Enhancement of AIDS Case Surveillance in California effective 1 April 1993, and
WHEREAS, STATE AGREEMENT provides authorization and funds for SUBCONTRACTOR participation, and
WHEREAS, SUBCONTRACTOR possesses the facilities and personnel necessary to pursue the objectives and
fulfill the requirements of this Research Agreement, and
WHEREAS, it is in the best interest of UNIVERSITY to obtain the assistance of SUBCONTRACTOR in the
performance of the research required under the STATE AGREEMENT, and
WHEREAS, SUBCONTRACTOR has agreed to perform a portion of said research as a collaborating institution
under this consortium relationship.
NOW THEREFORE, UNIVERSITY and SUBCONTRACTOR mutually agree as follows: RAFT
1. GENERAL The terms and conditions of this Research Agreement are intended to be in concert with those
set forth in STATE AGREEMENT, which is attached hereto and incorporated herein as EXHIBIT A.
2. SCOPE OF WORK SUBCONTRACTOR researchers shall use their best efforts to perform the research
tasks identified in the Statement of Work, which is attached hereto and incorporated herein as EXHIBIT B.
SUBCONTRACTOR shall furnish materials, facilities, supplies,travel and services necessary to accomplish
the objectives and requirements of this Research Agreement.
3. PERIOD OF PERFORMANCE. The performance period of this Research Agreement is 1 July 1993 through
31 December 1993.
4. TECHNICAL REPORTS.
A. PROGRESS REPORTS. On a quarterly basis, SUBCONTRACTOR shall provide a written reports to
UNIVERSITY. Said reports shall included, but is not limited to : progress accomplished on contact
objectives;progress on activity schedules;major problems encountered and proposed solutions to those
problems; issues requiring Principal Investigator consultation,and data on client services. The Progress
Report shall be submitted with Progress Report Farm, attached hereto as EXHIBIT D.
RESEARCH AGREEMENT
NUMBER 931522-CCCHSD
B. FINAL REPORT. SUBCONTRACTOR shall provide UNIVERSITY a Final Draft Progress Report fifteen
days after the expiration or termination of this Research Agreement. The Final Report shall be
incorporated in UNIVERSITY's Final Report, required under STATE AGREEMENT.
5. ALLOWABLE COST, COMPENSATION, INVOICES.
A. For the performance of work specified herein, UNIVERSITY shall pay those direct expenses, incurred
by SUBCONTRACTOR in accordance with the attached Subcontract Budget, incorporated herein as
EXHIBIT C. The maximum allowable cost for this Research Agreement for the period specified in
Article 3 above is $20,000.
B. All rebudgeting requests which require prior approval must be approved both by UNIVERSITY and
STATE. SUBCONTRACTOR must submit all requests through UNIVERSITY's Administrative Officer.
C, Payment shall be on a cost reimbursement basis. SUBCONTRACTOR shall submit invoices for
reimbursement of expenditures incurred;invoices shall provide detail commensurate with that appearing
in EXHIBIT C, and shall reference Research Agreement No. 931522-CCCHSD SUBCONTRACTOR's
invoices may be submitted monthly, not less frequently than quarterly, to:
School of Medicine
Department of Community & International Health
Business Office
University of California
Davis, Califomia 95616
SUBCONTRACTOR's final invoice shall be submitted to UNIVERSITY not later than sixty(60)days after
the expiration or termination of this Research Agreement.
6. KEY PERSONNEL
A. The scope of work support by this Research Agreement shall be under the general guidance and
technical direction of UNIVERSITY's Dr. Kenneth W. Kizer.
B. SUBCONTRACTOR's Project Director Rusty Keilch shall be responsible to SUBCONTRACTOR for
proper management and conduct of the research activities hereunder. SUBCONTRACTOR's Project
Director may be replaced only with the express written consent of UNIVERSITY.
C. All communications regarding the technical, scientific and programmatic aspects of this Research
Agreement shall be between UNIVERSITY's Dr. Kizer and SUBCONTRACTOR's Ms. Keilch.
• - Page 2of6
RESEARCH AGREEMENT
NUMBER 931522-CCCHSD
D. UNIVERSITY's Administrative Officer responsible for matters of administration of this Research
Agreement including assistance in identification and interpretation of relevant policies and provisions
is:
Louise Ivey, (916) 752-7076 / FAX (916) 752-5432 / Ijivey@ucdavis.edu
Sponsored Research Administrator
Office of the Vice Chancellor for Research
410 Mrak Hall
University of California
Davis, California 950"16-8671
E. SU SCONTRACTOR's Administrative Officer responsible for the coordination of fiscal and administrative
management aspects of the Research Agreement is:
Rusty Keilch, (510) 313-6770 / FAX (510) 313-6721
HIV/AIDS Program Director
Contra Costa County Health Services Department
597 Center Avenue, Suite 200
Martinez, California 94553-3191
F. Communications and correspondence regarding the fiscal and administrative aspects of this Research
Agreement shall be between the designated Administrative Officers.
7. ASSURANCES.
A. Drug-free Workplace Certification. SUBCONTRACTOR certifies by accepting this Research Agreement
that, in compliance with Government Code Section 8355 in matters relating to providing a drug-free
workplace. SUBCONTRACTOR will publish astatement notifying employees that unlawful manufacture,
distribution, dispensation, possession, or use of a controlled substance is prohibited and specifying
actions to be taken against employees for violations, as required by Government Code Section 8355(a);
establish a Drug-Free Awareness Program as required by Government Code Section 8355(b), to inform
employees about the danger of drug abuse in the workplace, the person's organization's policy of
maintaining a drug-free workplace, any available counseling, rehabilitation and employee assistance
programs, and penalties that may be imposed upon employees for drug abuse violations; and provide
as required by Government Code Section 8355(c), that every employee who works on the proposed
contract or grant will receive a copy of the company's drug-free policy statement and will agree to abide
by the terms of the company's statement as a condition of employment on the contract or grant.
B. Statement of Compliance. SUBCONTRACTOR certifies by accepting this Research Agreement that,
in compliance with Government Code Section 12990 and California Administrative Code, Title 2,
Division 4, Chapter 5 in matters relating to the development, implementation and maintenance of a
nondiscrimination program. SUBCONTRACTOR agrees not to lawfully discriminate against any
employee or applicant for employment because of race, religion, color, national origin, ancestry,
physical handicap, medical condition (cancer related), marital status, sex or age (over 40).
- Page 3of6 -
RESEARCH AGREEMENT
NUMBER 931522-CCCHSD
C. Certification Regarding Lobbying. SUBCONTRACTOR certifies by accepting this Research Agreement,
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 any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any Federal contract, the making of any Federal
grant, the making of any Federal loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan
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, 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 loan, 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 subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) 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 for each such failure.
S. PUBLICATIONS. SUBCONTRACTOR's Principal Investigator is free to publish the results of research
supported hereunder, however SUBCONTRACTOR's Project Director shall supply copy of any such
publication to STATE and UNIVERSITY prior to the submission of proposed publication.
9. RECORDS AND AUDITS.
A. SUBCONTRACTOR shall maintain books, records, documents, and other evidence; accounting
procedures; and practices sufficient to reflect properly all direct and indirect costs of whatever nature
incurred in the performance of this Research Agreement.
B. All such records, as well as SUBCONTRACTOR's facilities utilized in the performance of research
hereunder, shall be subject upon request at ail reasonable times to inspection and audit by
UNIVERSITY and by the State Auditor General's office for a minimum of three (3) years.
ya
- Page 4of6 -
RESEARCH AGREEMENT
NUMBER 931522-CCCHSO
10. CONFLICT OF INTEREST. SUBCONTRACTOR agrees that all reasonable efforts will be taken to ensure
that no conflict of interest exists between its officers, agencies or employees. SUBCONTRACTOR will
prevent employees consultants, or members of governing bodies from using their position 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 STATE or UNIVERSITY
determines that a conflict of interest situation exists, any increase in cost(s) associated with the conflict of
interest may be disallowed and such conflict may constitutes grounds for termination of this Research
Agreement. This provision shall not be construed to prohibit employment of persons with whom the contract
officers, agents and 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 employment of any other qualified
applicant on a merit basis.
11. INDEMNIFICATION. SUBCONTRACTOR agrees to indemnify, defend and save harmless UNIVERSITY and
STATE, their officers, agents and employees from any and all claims and losses accruing or resulting to any
and all contractors, subcontractors, materialmen, laborers and other person, firm or corporation furnishing
or supplying work services, materials or supplies in connection with the performance of this Research
Agreement, and from any and all claims and losses accruing or resulting to any person, firm or corporation
who may be injured or damaged by SUBCONTRACTOR in the performance of this Research Agreement.
12. PUBLICITY. SUBCONTRACTOR agrees to submit to UNIVERSITY and STATE, prior to release, copies of
any proposed publicity pertaining to this Research Agreement. UNIVERSITY and STATE reserves the right
to modify or withdraw said publicity. -
13. ASSIGNMENT. SUBCONTRACTOR shall not assignor transfer any responsibility hereunder without the prior
written consent of UNIVERSITY.
14. ALTERATIONS AND AMENDMENTS. SUBCONTRACTOR shall not assign or transfer any responsibility
hereunder without the prior written consent of UNIVERSITY.
15. ENTIRE AGREEMENT. The terms and conditions contained herein and in the following attachments
constitute the entire understanding of the Parties respecting the subject matter hereof, and supersede any
understanding or agreement between them, written or oral, regarding the same subject matter.
EXHIBIT A - Interagency Agreement
EXHIBIT B - Research Proposal
EXHIBIT C - Subcontract Budget
EXHIBIT D - Progress Report Form
- Page 5of6 -
RESEARCH AGREEMENT
NUMBER 931522-CCHSD
IN WITNESS WHEREOF.the Parties have caused this Research Agreement to be executed by signatory
approval of their duly authorized representatives.
THE REGENTS OF THE UNIVERSITY OF CALIFORNIA
Cwcker
Director of Spfdnsored Programs
Date 'DEC 9 - 1993
CONTRA COSTA COUNTY HEALTH SERVICES DEPARTMENT
Dais
Page 6of6 -
EXHIBIT B
Contractor: Contra Costa County Health Services Department
SCOPE OF WORK
CONTRACTOR: Contra Costa County Health Services Department
PROJECT PERIOD: July 1, 1993 to December 31 , 1993
PROJECT TITLE: Support of AIDS Case Surveillance in Contra Costa County
The California Department of Health Services, Office of AIDS (OA), 'conducts and supports active
AIDS case surveillance in local health departments. As part of the project entitled Enhancement of
AIDS Case Surveillance in California, OA authorizes it's contractor, the University of California, Davis,
to execute a subcontract with the contractor to conduct AIDS case surveillance activities. This scope
of,work outlines those activities to be conducted by the Public Health Epidemiologist, AIDS
Surveillance, in Contra Costa County, under the supervision of the Surveillance Coordinator.
Task/Activity
• Responsible for: developing and updating protocols and arranging procedures with
hospitals, out-patient clinics, private physicians, and laboratories in Contra Costa
County for an active AIDS surveillance program; establishing open communication with
key personnel within these facilities; identifying viable reporting sources of diagnostic
procedures and/or confirmed cases; and establishing a system to collect and maintain
data for each of these sources.
• Utilizing established procedures, responsible for collecting the data, confirming cases
and completing the information with help from the attending physician, infection
control nurse, or other designated hospital staff, if necessary.
• Arrange epidemiological follow-up of cases warranting confirmation or additional data
from sources in or out of the county.
• Assist the surveillance coordinator in the development of regular reports for each
provider and facility. Reports will include an evaluation of the effectiveness of the
active hospital-based surveillance system, and will address issues such as delayed
reporting and under-reporting.
• Meet with the surveillance coordinator weekly and prepare a written report of activities
weekly.
• Conduct all surveillance activities in a manner consistent with the existing laws and
standards of confidentiality.
• Submit a progress report which summarizes contract-associated activities during the
preceding six months. Reports should be received by January 31 and July 31 of eac�
year tho contract is active. The final report is due January 31 , 1996.
EXHIBIT C
CONTRACTOR: CONTRA COSTA COUNTY HEALTH SERVICES DEPARTMENT
CONTRACT PERIOD: JULY 1, 1993 - DECEMBER 31, 1993
MONTHLY NO OF TOTAL
A. PERSONNEL SALARY MONTHS F.T.E. AMOUNT
PUBLIC HEALTH EPIDEMIOLOGIST $3,313 - $3,478 6 76.8% $15,267.00
SUBTOTAL PERSONNEL $15,267.00
BENEFITS @ 31% $4,733.00
TOTAL BUDGET $20,000.00
Stats of California
Dspsronsnt of Msalth Servless
EXHIBIT D Office of AIDS
PROGRESS REPORT
Submit original and one copy to: 1. REPORT PERIOD
Department of Health Services From to
Office of AIDS
(Insert'PROGRAM NAME" Here) 1st Report `2nd Report
P.O. Box 942732
Sacramento, CA 942347320 _3rd Report ,FINAL REPORT
(Please review Instructions below prior to completion of this report. You may request STATE consultation when completing this report WE
ENCOURAGE YOU TO BE BRIEF.)
2. CONTRACT NUMBER: .
3. PROJECT TITLE: CONTRACT AMOUNT S
4. CONTRACTOR NAME AND ADDRESS: 5. CONTRACTOR REPRESENTATIVE PREPARING REPORT.
NAME.
TITLE.•
PHONE:
INSTRUCTIONS
Item 1. REPORT PERIOD: Enter the dates covered by this report and check the appropriate box.
Item Z. CONTRACT: Enter the Contract Number which appears on the Standard Agreement
Item 3. PROJECT TITLE AND CONTRACT AMOUNT. Enter the Praipet Title (Program Name) and the Contract Amount,
Item 4. CONTRACTOR NAME AND ADDRESS: Enter the official agency name and address which appears on the Standard Agreement
Item 5. CONTRACTOR REPRESENTATIVE MAIQNG THIS REPORT. Enter the name,title, and telephone number of the agency person preparing
this report
Item 8. NARRATIVE STATEMENT OF PROJECT PROGRESS: Attach a Project Narrative. For each objective specified in the Scope of Work,
Exhibit B, the narrative must include the following in the order specified:
a. RESTATE the objective.
b. Summarize progress made to date toward meeting the objective. Use quantifiable terms,if applicable. This should include a brief
summary of both implementation and evaluation activities.
C. Briefly describe any problems encountered in implementing the objective. Outline strategies for dealing with the unresolved
problems. Discuss personnel transactions (including vacancies) which have had an impact on meeting the objective.
d. Address any issues needing the special attention of State staff.
Item 7. PROGRESS REPORT SUPPLEMENTS: Complete progress report supplements, it specified, and send with this form. Submit all required
contract products which may be specified in the Scope of Work, Exhibit B.
'a
Item 8. CERTIFICATION BY PROJECT DIRECTOR: The project director should sign and enter the date.
CERTIFICATION BY PROJECT DIRECTOR:
1 affirm that the information presented in this report accurately reflects the current status of this project to the best of my knowledge.
Original Signature Date
(Project Director)
OA1(7190)
SIA Ur CA-IFO-4N!A
711,
-� DA-
APPROVEDSYTtiC ^' t • '
S'l,-,,N Dr-R D A G E@EQ Ill EDIT .. ATTORNEY GENE RAL /- CONTRACT NUMBER I AM.NO.
,� .,E .. ' 6 i; 92-16335 -
STD 2,F? V.5-91) r
TAXPAYERS FEDERAL EMPLOYER IDENTIFICATION h':rL?ER
7--AGREEMENT,made and entered into this 1 day of Ai it 19 93 94-EO36494
in the State of California,by and between S tate of California,through its duly elected or appointed,qualified and acting
TITLE OF OFFICER ACTING FOR STATE AGENCY
Chief, Program Support Branch Departtrent of Health Services/Office of AES ,hereafter called the State,and
CONTRACTOR'S NAME - ---- _ `
UC Regents/Davis hereafter called the Conuac:or.
R'ITNESSETH: 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.)
1. Scope of Work
A. The Regents of the University of California at Davis, hereinafter called UC
Regents/Davis, agrees to assist the Office of AIDS in: implementing a
comprehensive surveillance plan for complete, timely, and accurate AIDS case
reporting by expanding California's active AIDS case surveillance efforts in
hospitals, clinics, private ph%,sician offices, laboratories, and other medical and
social service settings as needed for the Department of Health Services,
herein after called DHS.
B. The services to be pro,�zded are described in the attached Ex40iC"$�,`entitled 5'
"Scope of Work` consisting of eight pages which are ingorporate0"Shd made -
a part hereof by this reference.
2. Contract Term f
The term of this contract shall be from April 1, 1993 through Dedvmb I: 1
:ONTiNUED ON SHEETS, EACH BEARING NAME OF CONTRACTOR AND CONTRACT NUMBER.
The provisions on the reverse side hereof constitute a part of this agreement
AN'WTINZ ESS WHEREOF,this agreement has been executed by the parties hereto,upon the date first above written.
STATE OF CALIFORNIA CONTRACTOR
lGEN'CY CONTRACTOR(11 otherthan an individual stale whefher a mrparah&%partnersh p,sial
Deoartmnt of Health Services UC Repents vis
;Y(AUTHORIZED S NATURE) BY(%-. ORILO SIGNATU =
> > JUN 9 IVY
-RIN rm NAME Or P N SIGNING PRINTED NAME AND TOLEPERSON SIGNING OQrothy Greene Crocker
Fd Stahlberg pirector of Sponsorad Pm9rams
TTLE ADDRESS University of California
Chief, Program Support Branch Davis, California 95616-8671
,MOUNT ENCUMBERED BY THIS PROGRA.V.;CA;GORY(COOE ANO TIT'L FUND TITLE Department of General Services
=IAENT ClA,.ari ng Account lGeneral - Use Only
S 697,528 (OPTiCNA1-USE)
RCR AMOUNT ENCUMBERED FOR IDS ldemiolocn' Sra''Ch
HIS CONTRACT HIV/AThis contract exempt from
SITE!t C TZ-R STATUTE FISCAL YEAR
OTALAMOUNT ENCUMBERED To 4260-061 -001 587 1992 11992/93 DGS approval per
A i t I Ca 1E:T OF EXPENDITURE(COO=Wn,i.-L=) Chapter 587/Stats of 1992
S 697,52.8 11 92-930'3-9175-702-03-951841-93
1 hereby certify upon my own personal r,7cwiedge that budgeted funds ' n0. B.R.NO. Item 4260-111
1{t-001 (Al DS)
are available for the period and purpose of the expenditdre stated above.
IGNATURE OF ACCOUNTING OFFICER r Da�E JUN 3 p 1993.
CONTRACTOR STAT=AG=-%:Y CEPT.O= S= LJ CONTROLLER
Contract No: 92-16,335
Contractor: Regents of the University
of California at Davis
Page 2 of 9
3. Budget
The attached Exhibit "C", entitled, "Budget consisting of one page is incorporated.
and made a part hereof by this reference.
4. Maximum Amount Pavable
A. The total maximum amount payable to UC Regents/Davis by DHS shall not
exceed 5697,528.
B. The Contractor agrees that, if during the terra of this agreement, the
Department determines that the maximum amount specified in paragraph 4.A.
of this contract will not be expended, as indicated by monthly invoices,
performance reports, or other indications, the State reserves the right to
reduce the contract amount. This reduction can be imposed in the event of
under utilizing items and/or if it is determined the rate of expenditure is such
that the contract amount specified in Paragraph 4A. of this agreement will not
be fully expended.
C. Upon completion of services in a satisfactory manner, DHS agrees to
reimburse an amount equal to the latter's cost of performance hereunder
computed in accordance with Section 8752 et seq. of the State Administrative
Manual. Nothing herein contained shall preclude advance payment pursuant
to Article 1, Chapter 3, Part 1 Division 3 Title 2 of the Government Code.
DHS agrees to pay monthly in arrears upon receipt of an itemized invoice in
triplicate.
5. Additional Provisions
A. The attached Exhibit "A(F)", consisting of twenty-seven pages and dated .
November 1991, is incorporated and made a part hereof by this reference.
•
Contract No: 92-1633
Contractor: Regents of the University
of California at Davis
Page 3 of 9
6. Reimbursement Procedure
A. In consideration of the services performed in a manner acceptable to the
State, the State shall reimburse the Contractor no more frequently than
monthly in arrears upon submission of an acceptable invoice for actual
expenses incurred by Contractor under the terms of this contract and in
accordance with Exhibit "C". The signed original and one copy of the invoice
shall be submitted to the Office of AIDS at the address listed in Paragraph
14 of this agreement.
B. The invoice shall be submitted according to the format and instructions
provided by the Office of AIDS. The invoice shall be submitted under the
letterhead of the CONTRACTOR and shall also contain:
1. The State assigned contract number.
2. ti ames as well as titles of all personnel for which reimbursement is
being requested.
3. Actual expenses incurred according to the approved line item(s) of
Exhibit "C", 'Budget", attached hereto.
4. The original signature of the University's authorized representative.
C. Monthly invoices must be submitted to the State no later than 30 working
days after the end of the month.
D. Final invoices submitted more than 90 calendar days after contract
termination for expenses incurred during the contract period SHALL NOT be
honored by the State unless the Contractor has obtained prior written State
approval to the contrary.
.i
Contract No: 92-16335 _-
Contractor: Regents of the University
of California at Davis
Page 4 of 9
7. Temporary Salary Adjustments
The Contractor must submit a written request, in advance, to the State to receive
prior approval of any temporary increase in percentage of time above the negotiated
rate. This temporary increase shall not affect the total amount of said line item.
The Contractor must have obtained this prior written approval from the State before
submitting any invoices which reflects the higher percentage of time. Invoices which
contain a higher percentage of time than negotiated and which do not have prior
approval will be processed for payment at the original negotiated rate. At no time
will State reimburse Contractor for more than 100% per each full-time equivalent
(FTE) during any one pay period.
S. 1,n House Budget Revisions
Any revisions transferring funds between budgeted line items, or revisions that
change the percentages of time or salary range, shall be approved via in-house
revisions, if the cumulative change to the approved line item does not exceed
$10,000. Such changes shall be requested in writing, in_advance of the changes being
made. Revisions are not to be effective more than 90 days prior to the date that
they are submitted to the State for processing. The request shall contain:
1. An explanation which justifies the need for the proposed change(s) and
that the change(s) will not affect the completion of the scope of work
as defined in Exhibit "B", attached hereto.
2. Identification of the numbered line-item(s) in Exhibit "C and the
amount by which each will be reduced or increased.
J
If the aggregate amount of a proposed change for any single numbered line item
exceeds $10,000, a formal contract amendment is required as specified in Paragraph
9 of this agreement. Budget revisions and amendments are not effective until they
have received final approval from the appropriate State authority. Contractor cannot
bill State for any amounts which are dependent on a pending revision or amendment
until the fully executed revision or amendment has been received.
,i
Contract No: 92-16335
Contractor: Regents of the University
of California at Davis
Page 5 of 9
When this agreement has previously received budget revisions or amendments, these
must be taken into account when preparing new_revisions or amendments. For
previously revised or amended budgets, the Prior Approved Amount column must
.display the budget figures from the original or the Iast approved amendment exactly.
Prior in-house revision amounts must be calculated into the amendment column
total(s). If a budget required a formal amendment, then all previous adjustments
must be included in the revised amount column.
9. Contract Amendment
Should either party, during the life of this contract, desire to change this contract,
such changes shall be proposed in writing to the other party who will, within 30
calendar days of receipt of the request, accept or reject the proposed changes in
writing. Once accepted, the contract shall be amended to provide the change
mutually aareed upon. The amendment is subject to the approval of the Department
of General Services, if required.
10. Contract Termination
A. This contract may be terminated without cause by either party upon 30 days
advance written notice to the other party. .Such notification shall state the
effective date of termination.
B. This contract may be terminated immediately upon determination of
noncompliance within the terms of this agreement.. Such notification shall
state the reasons) of termination.
C. In the event of such termination, in full or in part, Contractor shall take
immediate steps to reduce all. costs and uncancellable obligations allowable
under the terms of this agreement incurred up to the date of termination in
an amount not to exceed the maximum allowable under Paragraph 4A.
11. Publicity
Contractor agrees to submit to the State, prior to release, copies of any
proposed publicity pertaining to this contract. The State reserves the right to
modify or withdraw said publicity.
,a
Contract No: 92-16335
Contractor: Regents of the University
of California at Davis
Page 6 of 9
12. Contract Generated Revenues
- A. The Contractor shall place any income, generated by activities conducted
under this contract, accruing to or received by the.Contractor, into a separate,
identifiable account.
B_ Revenue generated by the Contractor as a result of this State contract must
be utilized to meet identified, agreed upon, program-related needs of the
Contractor, or must be returned to the State.
C. Any revenues accruing to the Contractor, based on services supported in
whole or in part by the State pursuant to this contract, shall only be used to
defray costs incurred by this project to measurably expand the program or
improve the quality of services detailed in this agreement and must be
approved in writing by the State.
D. The Contractor shall maintain adequate documentation;of the receipt and use
of such funds and shall provide this documentation to the State upon request.
13. Quarterly and Final Progress reports
A. The attached Exhibit "E" entitled 'Progress Report", consisting of one page,
is incorporated and made a part hereof by this reference. Contractor shall
complete and submit quarterly progress reports, and a final report by their
due dates specified below. The content of these reports will include, but not
be limited to: progress accomplished on contract objectives; progress on
activity schedules; major problems encountered and proposed solutions to
those problems; issues requiring project coordinator consultation; and data on
client services.
B. Quarterly reports shall be due fifteen days after completion of each quarter
unless otherwise specified. A final report shall be cumulative and shall be
due thirty days after the expiration of the contract period unless other
arrangements have been authorized. Progress Report due dates are as
follows:
QUARTER PERIOD DATE DUE
First 04/01/93-06/30/93 Q7/15/93
Second 07/01/93-09/30/193 10/15/93
Third/Final 10/01`/93-12/31/:93 01/30/94
Contract No: 92-16335 _=
Contractor: Regents of the University
of California at Davis
Page 7 of 9
C. The final report shall additionally include a final project summary, and a list
of products (such as course outlines,- teaching materials, audio-visual aids, i
brochures, pamphlets, curriculum guides,. slides and films) developed in
execution of this agreement. Reproducible copies of all such products shall
also be delivered with the final report.
D. Two copies of each progress report shall be furnished to the project
coordinator, assigned to this project by the Office of AIDS. Agencies that do
not submit acceptable progress reports in a timely manner may have their
invoices withheld from payment until they are received.
14. Correspondence Mailing Address
All invoices for payment, progress reports and other official communications shall be
mailed to:
Department of Health Services
Office of AIDS
HIV/AIDS Epidemiology Branch
P.O. Box 942732
Sacramento, CA 94234-7320
15. Conflict of Interest
Contractor agrees that all reasonable efforts will be taken to ensure that no conflict
of interest exists between its officers, agents, or employees. Contractor will prevent
employees, consultants, or members of governing bodies from using their position 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 cost(s) associated with the conflict of interest may be
disallowed and such conflict may constitute grounds for termination of the contract.
This provision shall not be construed to prohibit employment of persons with whom
the contract officers, agents and 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 employment of any other qualified applicant on a merit basis.
Contract No: 92-16X35
Contractor: Regents of the University
of California at Davis
Page 8 of 9
16. Qualifications of Project Staff
Contractor agrees to' hire all staff with appropriate levels of education and
experience. Contractor agrees to maintain current duty descriptions and curriculum
vitae on all positions shown on Exhibit "C", "Budget", and to provide them to the
State upon request.
17. State Approval of Project Directors
The Contractor shall notify the State immediately in writing of the proposed Project
Director and/or of any proposed changes of said Project Director. The State
reserves the right to approve or disapprove any proposed Project Director designated
by the Contractor. Continued designation of a disapproved Project Director may
constitute grounds for termination of the contract or reduction of the contract
amount by the amount of the Project Director's salary at the option of the State.
18. Nondiscrimination Clause
The Contractor agrees to the provisions as stated in the attached Exhibit "D", entitled
"Nondiscrimination Clause". Contractor and its subcontractors shall not unlawfully
discriminate against any employee or applicant for employment because of race,
religion. color, national origin. ancestry,physical handicap,medical condition, marital
status, age (over 40), sex, or sexual orientation. Exhibit "D", consisting of one page,
is incorporated and made a part hereof by this reference.
19. Subcontracts
A. Contractors are responsible for all requirements under the contract even
though the requirements are carried out pursuant to a subcontract.
Subcontracts shall incorporate the requirements of the prime contract which
are relevant to the services provided by the subcontractor(s). Contractors
shall notify the State immediately upon,termination of any subcontractor(s).
B. Contractors receiving funding shall submit all subcontracts which involve a
cost of S1,000 or-more during the contract period, $350 or more per eight-
hour day, to the State for approval prior to implementation.
C. All subcontracts that apportion a part of the work to third parties must be
approved in writing by the State prior to execution with the subcontractor(s).
Contract No: 92-16335 _-
Contractor: Regents of the University
of California at Davis
Page 9 of 9
D. No funds will be reimbursed to the Contractor for subcontractor(s)
expenditures incurred in accordance_with -Exhibit "C until and unless the
State has reviewed and given written approval in accordance with Paragraph
19C.
20. Fiscal Documentation
A-.-- - Adequate documentation of each transaction shall be maintained to permit
the determination of the allowability of expenditures reimbursed by the State
under this agreement.
B. If the allowability of expenditures cannot be determined because records or
documentation of the Contractor is nonexistent or inadequate, according to
generally accepted accounting practices, the questionable cost shall be
disallowed by the State.
C. In the event of findings of disallowed cost(s), the Contractor has the right to
appeal such findings pursuant to the conditions set forth in the attached
Exhibit "A(F)".
21. Materials Utilization
A. The State reserves the right to use and 'reproduce any and all materials
produced pursuant to this contract and also reserves the right to authorize
others to use and reproduce such materials.
B. Materials for educational purpose relevant for pertinent research findings
shall be in accordance with (21.A).
,'i
E�t>t A(F)
STATE OF CALIFORNIA
DEPARTMENT OF HEALTH SERVICES
ADDITIONAL PROVISIONS
(FOR FEDERALLY FUNDED SUBVENTION AID/LOCAL ASSISTANCE
COST REIMBURSEMENT CONTRACTS/GRANTS)
1. Eau61,412portunity 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 Contractors 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 F1structiond Sulet n No.CZ(1119 1)
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 [gj 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'.fbr 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-
Exnt�t A(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 Prooerty by the State or Purchase of itooefty 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 S 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 parcgraphs (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 S500,000 per occurrence for bodily injury and property damage liability
combined.
-3-
The certificate of insurance must include provisions (i) and (ii),stating that:
(D 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 ore 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 ail 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= 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-
ExhlbM 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 `1
a. - The Contractor shalt 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, docurnents, 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 hove 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
Ernipn q(p)
1 1. Final Invoice—Fina( 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 proclrams, 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 V 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.{bj 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 some 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 Fra
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 empldyment 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-
Exmlb,t 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 fisting, 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.
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(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.
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ExNMI 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.
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(5) To report violations to the State and to the Assistant Administrator for
Enforcement.
(6) To Insert the substance of the provisions of paragraph jb] into any nonexempt
subcontract, including this paragraph (b6J, 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 publC¢ing the work under the
contract in any media. This paragraph does not apply to necessary staff meetings to conduct routine
business matters.
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ERhlpd A'(7)
19. Confidentiaiiiv of information
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 serviced 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 perticular 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 preparationof such document or
report, if the total cost for work by nonemployees of the State exceeds$5.,000.
22. Resolution of Direct Service Contract Dis rR t s
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.)
-13.
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 Compliance Audit of Nonprofit 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 year. 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.
L 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
i
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.
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E:niWe 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. Fvaluation 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 Emoloyees
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 offer 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 confract 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.
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(7) Occasional or one-time reimbursement of a state employee's travel expenses is
not acceptable.
(Citation: Public Contract Code, Section 10410)
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
nonsubstontive.
(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
the 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 some 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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(7) Occasional or one-time reimbursement of a state employee's travel expenses is
not acceptable.
(Citation: Public Contract Code, Section 10410)
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
noosuhstontive.
(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 cglculated 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
the audit firm doing the single audit to provide access by the State of 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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Ext!td A(F)
The term 'expanded scope auditing' is applied and defined in the U.S. General
Accounting Office (GAO) issued Standards for Audit of Governmental Organizations,
Programs,Activities and Functions,better known as the'yellow book.'
28. Contractor Name Chance
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 Susoen ion Reauii&nents
Contractor agrees to comply with the debarment and suspension requirements as found in
7 Code of Federal Regulations,Part 3017,or as amended. ,
32. LIMRATIONS 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 Commi tee 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, on 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 govemmental 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: ,
(� 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 offices 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.
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(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,
(u) 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)(1)(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:
01 Providing any information not specifically requested but necessary
for an agency to make an informed decision about initiation of a
covered Federal action;
(i7 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)(i).
(it) 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.
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(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 generaliy 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 on 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)(iip.
(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.
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- (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
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) 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)0v).
(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, shalt 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.
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(2) Each recipient shall file a disclosure (in the form set forth in Attochment 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:
(D A cumulative increase of $25,000 or more in the amount paid or expected
to be paid for influencing or attempting to influence a covered Federal
action; or
(iD 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 flier to tier until
received by the person referred to in paragraph (1) of this section. That person
shall forward oil disclosure forms to the imitate 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 S 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.
(f) 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.
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