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HomeMy WebLinkAboutMINUTES - 04251995 - 1.8 (2) TU: BOARD OF SUPERVISORS f l• C� FROM:' Mark Finucane, Health Services Director Contra �Costa DATE: April 7, 1995 County SUBJECT: Approval of Standard Agreement #28-514-5 with the State Department of Health Services for HIV Seroprevalence Survey SPECIFIC REQUEST(S) OR RECOMMENDATION(S) & BACKGROUND AND JUSTIFICATION I. RECOMMENDED ACTION: Approve and authorize the Chair, Board of Supervisors, to execute on behalf of the County, Standard Agreement #28-514-5 (State #94-20546) with the State Department of Health Services, in the amount of $41, 658, for the period from January 1, 1995 through December 31, 1995, for County's participation in the HIV Seroprevalence Survey. II. FINANCIAL IMPACT: The State Department of Health Services will reimburse the County quarterly for actual expenses incurred by County in performing the services under this agreement, but not to exceed a total funding amount of $41, 658. No County funding is required. III. REASONS FOR RECOMMENDATION/BACKGROUND: Under Standard Agreement #28-514-5, the County will continue to carry out program activities and services of the San Francisco Standard Metropolitan Statistical Area (SMSA) Family of Surveys program in Contra Costa County. The purpose of the program is to estimate the prevalence of human immunodeficiency virus (HIV) . in various public and related clinic populations, to assess risk behaviors associated with HIV seropositivity in such populations, and to monitor trends in infection levels and risk behaviors over time. The Board Chair should sign eight copies of the agreement. Seven copies of the agreement and three sealed/certified copies of this Board Order should be returned to the Contracts and Grants Unit for submission to the State. CONTINUED ON ATTACHMENT: YES SIGNATURE: RECOMMENDATION OF COUNTY ADMINISTRATOR RECOMMENDATION OF BOARD COMMITTEE APPROVE OTHER SIGNATURE(S) ACTION OF BOARD ON APPROVED AS RECOMMENDED OTHER VOTE OF SUPERVISORS —ZUNANIMOUS (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) ,���.�""`�;� QQ � vZS X995 CC: Health Services (Contracts) ATTESTED '��7" J State Dept. of Health Services Phil Batchelor, Clerk of the Board of SupBiYISSIIfS BAd�Qt111ty Ad�»nlstra�t M382/7-83 BY DEPUTY APPROVED BY THE S—rAi aDARD AGREEMENT-- ATTORNEYGENERAc. CONTRACT NUMBER AMNO. sTp:a cREvs �p - 94-20946 0 TAXPAYERS FEDERAL EMPLOYER IDENTIFICATION THIS AGREEMENT,made and entered into this 1 day of Jan my , 19 5_, 94-60W509 in the Stat&of California,by and between State of California,through its duly elected or appointed,qualified and acting TITLE OF OFFICER ACTING FOR STATE AGENCY — f Chief, PrtxT c ri_a3t hereafter called the State,an: CONTRACTOR'SNAME A v 5 C 111tY C ,hereafter called the Contractor. WITNESSETH: That the Contractor for and in consideration of the covenants,conditions,agreements,and stipulations of the State hereinaf er expresses:. does hereby agree to furnish to the State services and materials as follows: (Set forth service to be rendered by Contractor,a ount t id Contrac:or, time for performance or completion,and attach plans and specifications,if any.) Contra Costa The Department of Health Services,Office of AIDS(OA),hereafter called the State,and the County of r>y3,hereafter called the CONTRACTOR, shall enter into a contract to determine HIV seroprevalence rates. This information is crucial to understand the spread of the epidemic and for formulating a public health response. 1. Scope of Work The services to be provided are described in Exhibit "B", which describes the goals and objectives to be performed under this contract. Changes to Exhibit"B",may be proposed by the CONTRACTOR in writing. All requested changes and revisions are subject to approval by the STATE. CONTRACTOR shall receive written approval or disapproval of such requests within 30 calendar days from receipt of the request. Should the STATE fail to respond to the CONTRACTOR's request within the specified time, the CONTRACTOR's request shall be deemed approved. 2. Term of Contract The term of this contract shall be from January 1, 1995 through December 31, 1995. CONTINUED ON 5 SHEETS, EACH BEARING NAME OF CONTRACTOR AND CONTRACT NUMBER. The provisions on the reverse side hereof constitute a part of this agreement. IN WITNESS WHEREOF,this agreement has been executed by the parties hereto,upon the date first above written. STATE OF CALIFORNIA CONTRACTOR AGENCY CONTRACTOR(If other than an individual,state whether a corporation,partnership,etc.) Health Of Costa BY(AUTH 1i SIGNATURE) BY(AUTHORIZE NATURE) �IG D PRINTED NAM PERSON SIGNING RINTED AME AND TLE OF P ;SON Elard E. Sig Chair, Board of Supervisors TITLE ADDRESS Chief, Progmn 9433at B>:'mzh 651 Pine Street, Martinez CA 94553 AMOUNT ENCUMBERED BY THIS PROGRAM,CATEGORY(CODE AND TITLE) FUND TITLE Department of General Services DOCUMENT Clearing Acoaxlt $ 41,658 0121 Use Only (OPTIONAL USE) PRIOR AMOUNT ENCUMBERED FOR-,, FeJa-a C atI #93.118 4 THIS CONTRACT ""`'� This contract exempt frorr $ ITEM CHAPTER STATUTE FISCAL YEAR 4260 111-001 139 1994 94/95C�' approval per TOTAL AMOUNT ENCUMBERED TO IL DATE$ 41,658 {' ' 194-95364-9175-702-03-95184L-95/$37,158T393-702-03/$4,500 G f �r)}e r ( � f e Of ! T.B.A.NO. B.R.NO. ;i P ll l.:a r(�S I hereby certify upon rriy own personal knowledge that budgeted funds �'�4 A f'l U Nz are available for the period and purpose of the expenditure stated above. SIGNATURE OF ACCOUNTING OFFICER DATE D CONTRACT STATE AGENCY ❑ DEPT.OF GEN.SER. El CONTROLLER El MAY 1 8 1995 J 1 T I t Ur l.Hl r%iMN N , STANDARD AGREEMENT SiO.2(REV. 5-91) (n QRS_) . r `1. The Contractor agrees to indemnify,defend and save harmless the State.its officers,agents and employees from any and all claims and losses accruing or resulting to any and all contractors, subcontractors, materialmen,laborers and any other person,firm or corporation furnishing or supplying work services. materials or supplies in connection with the performance of this contract,and from any and all claims and losses accruing or resulting to any person,firm or corporation who may be injured or damaged by the Contractor in the performance of this contract. 2. The Contractor,and the agents and employees of Contractor,in the performance of the agreement,shall act in an independent capacity and not as officers or employees or agents of State of California. 3. The State may terminate this agreement and be relieved of the payment of any consideration to Contractor should Contractor fail to perform the covenants herein contained at the time and in the manner herein provided. In the event of such termination the State may proceed with the work in any'manner deemed proper by the State. The cost to the State shall be deducted from any sum due the Contractor under this agreement,and the balance,if any,shalt be paid the Contractor upon demand. 4. Without the written consent of the State,this agreement is not assignable by Contractor either in whole or in part. 4. Time is of the essence in this agreement. 6. No alteration or variation of the terms of this contract shall be valid unless made in Nvriting and si,,ned bv, the parties hereto,and no oral understanding or agreement not incorporated herein,shall be biodiag on any of the parties hereto. ?. The consideration to be paid Contractor, as provided herein, shall be in compensation for all of Contractor's expenses incurred in the performance hereof, including travel and per diem, unless otherwise expressly so provided. �n OA �� � m OO W D(ACA co rn rn Om Cn < U 0 91 61014 9 CONTRACTOR: County Of Contra Costa Contract Number: 94-20546 Page 2 of 6 3. Maximum Amount Payable A. The maximum payable by the STATE to the CONTRACTOR under this contract shall not exceed $41,658. B. The CONTRACTOR agrees that, if during the term of this.contract the Department determines that the maximum amount specified in paragraph 3A of this contract will not be expended, the STATE reserves the right to reduce the contract amount. This reduction may be imposed in the event of under utilizing items specified in the contract and/or if it is determined the rate of expenditure is such that the contract amount specified in paragraph 3A of this agreement will not be fully expended, as indicated by quarterly invoices, performance reports or other sources of data. Such changes shall be documented in writing, as stated in paragraph 12, "Contract Amendment". 4. Data Submission The CONTRACTOR agrees to provide in a timely manner and in a format prescribed by the STATE all required statistical data necessary for the maintenance of the SMSA Family of Surveys program. 5. Human Subiects Approval The STATE has received approval to conduct the HIV Family of Surveys program from the California Health and Welfare Agency Committee for the Protection of Human Subjects. CONTRACTORS needing local institutional Review Board approval are responsible for obtaining such approval prior to the initiation of testing. 6. Exhibits/Attachments The following exhibits are incorporated herein and made a part hereof by this reference: A. The attached Exhibit "A(F)", consisting of 27 pages, dated November 1991. B. The attached Exhibit "B", entitled "Scope of Work", consisting of two pages. C. The attached Exhibit "C", entitled "Budget", consisting of one page. D. The attached Exhibit "D", entitled "Nondiscrimination Clause", consisting of one page, dated February 1993. E. The attached Exhibit "E", entitled "Progress Report", consisting of four page(s). F. The attached Exhibit"J", entitled "California AIDS Leadership Committee, Statement on Explicitness of AIDS/HIV Disease Prevention Material, dated July 27, 1988, consisting of one page. G. The attached Exhibit %", entitled "Federal Contract Funds", consisting of one page, dated January 1993. H. The attached Exhibit"M",entitled"Federal CLIA Provisions Regarding Laboratory Services",consisting of one page. 7. Reimbursement Procedures A. In consideration of the services performed in a manner acceptable to the STATE,the STATE shall reimburse the CONTRACTOR no more frequently than quarterly in arrears upon submission of an acceptable invoice for actual expenses incurred 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 (OA), at the address listed in Paragraph 10 of this agreement. B. Invoices shall be submitted under the letterhead of the CONTRACTOR and shall be submitted in the same format as Exhibit "C". In addition, the CONTRACTOR shall submit backup documentation to each invoice which shall include the following: 1. The STATE assigned contract number. CONTRACTOR: County Of Contra Costa Contract Number: 94-20546 Pale 3 of 6 2. Name as well as titles of all personnel for which reimbursement is being requested, including percent FTE, salary rate, and the actual fringe benefit expenses. 3. A breakdown of operating expenses and the total reimbursement being requested for each separate category. 4. Indirect expenses and/or fringe benefits reimbursed at actual costs incurred, expressed as a fixed amount of percentage rate. 5. The original signature of the individual authorized to sign invoices. C. Monthly invoices must be submitted to the STATE no later than 30 days after the end of the billing period. 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. 8. PROGRESS REPORT SCHEDULE AND REQUIREMENTS: A. The format in Exhibit"E",shall be followed when completing and submitting quarterly progress reports,and a final report. 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 resolutions to those problems; issues requiring project coordinator consultation; and data on client services. 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: PROGRESS REPORT PERIOD DUE DATE FIRST 01/01/95-03131/95 04/15/95 SECOND 04101/95-06/30/95 07/15/95 THIRD 07/01/95-09/30/95, 10/15/95 FINAL 10/01/95- 12/31/95 01/30/96 B. The final report shall additionally include a final project summary, and a list of products (such as course outlines, teaching materials, audio-visual aids, brochures, pamphlets, curriculum guides, slides, and films) developed in execution of this agreement. C. 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 assigned OA contract manager. Reports shall be sent to the address listed in Paragraph 10 of this agreement. 9. Temporary Salary Adjustments The CONTRACTOR must submit a written request 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 reflect 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. 10. Correspondence Mailing Address All correspondence including progress reports, invoices and other official communications shall be mailed to: Department of Health Services Office of AIDS HIV/AIDS Epidemiology Branch i CONTRACTOR: County Of Contra Costa Contract Number: 94-20546 Page 4 of 6 P.O. Box 942732 Attn: SMSA/Family of Surveys Sacramento, CA 94234-7320 11. In-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: A. An explanation which justifies the need for the proposed changes(s) and that the change(s) will not affect the completion of the Scope of Work as defined in Exhibit "B". B. Identification of the numbered line-items) in Exhibit "C" and the amount by which each will be reduced or increased. If the aggregate amount of a proposed change for any single numbered line item exceeds 510,000, a formal contract amendment is required as specified in Paragraph 12 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. 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 last approved amendment exactly. Prior in-house revision amounts must abe calculated into the amendment column total(s). If a budget requires a formal amendment, then all previous adjustments must be included in the revised amount column. 12. 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 agreed upon. Except for good cause,CONTRACTOR budget amendment request shall be considered for approval only if postmarked no later than October 1, 1995. 13. 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 contact must be utilized to meet identified, agreed upon, program-related needs of the CONTRACTOR, or must be returned to the STATE. C. Use of any revenues accruing to the CONTRACTOR, to defray costs incurred by this project, 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. 14. Materials Utilization A. The CONTRACTOR agrees to the provisions as stated in Exhibit "J". Exhibit "J" sets forth the conditions governing any printed materials,video tapes, or presentations produced with funds from the Department of Health Services, Office of AIDS. B. On all material produced pursuant to this contract, CONTRACTOR agrees to acknowledge on said materials the STATE contributed funds in whole or in part to the CONTRACTOR for the production of said material. C. 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. CONTRACTOR: County Of Contra Costa Contract Number: 94-20546 Page 5 of 6 t D. This condition does not apply to or intend to restrict the CONTRACTOR'S rights for the publication of academic papers and/or relevant pursuit involving research findings pertinent to the development of these education material(s). 15. Confidentiality Notwithstanding Exhibit A(F), paragraph 19, Public Health records relating to any program activity, service, category referenced in this contract containing personally identifying information, which were developed or acquired by local public health agencies shall be confidential and shall not be disclosed,except as otherwise provided by law for public health purpose or pursuant to a written authorization by the person who is the subject of the record or by his or her guardian or conservator. 16. Publicity CONTRACTOR agrees to submit to the STATE for approval, prior to release,copies of any proposed publicity or data collection results pertaining to this contract. The STATE reserves the right to modify or withdraw said publicity. 17. Conflict of Interest CONTRACTOR agrees that all reasonable efforts will be taken to ensure that no conflict of interest exists among 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. 18. 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 on all positions supporting this contract,and to provide them to the STATE upon request. 19. STATE approval of Project Directors The CONTRACTOR shall notify the STATE immediately in writing of the proposed Project Director and/or 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. 20. Subcontracts A. All subcontracts that apportion a part of the work to the third parties must be approved in writing by the STATE RLiaE to execution with the subcontractor(s). B. CONTRACTOR is 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). CONTRACTOR shall notify the STATE immediately upon termination of any subcontract(s). C. CONTRACTORS receiving funding shall submit all subcontract which invoice will be a cost of$2,500 or more during the contract period, or $350 or more per eight-hour day, to the STATE for approval prior to implementation. 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 20A. 21. 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 contract. CONTRACTOR: County Of Contra Costa Contract Number: 94-20546 Page 6 of 6r, B. If the allowability of expenditures cannot be determined because records or documentation of the CONTRACTOR are nonexistent or inadequate, according to generally accepted accounting practices, the questionable cost(s) shall be disallowed by the STATE. C. In the event of findings of disallowed costs,the CONTRACTOR has the right to appeal such finding pursuant to the conditions set forth in the attached Exhibit "A(F)". 22. Audit Requirements The CONTRACTOR shall be subject to an audit by the STATE Auditor per State Administrative Manual, Section 1225 for a period or three years after final payment under the contract in accordance with government Code Section 8546.7. 23. Assistance to STATE by CONTRACTOR in Monitoring Activities The CONTRACTOR shall provide any necessary assistance to the STATE in carrying out its monitoring activities and inspection rights as provided in this contract. The CONTRACTOR shall make available all records, materials, data, information, and appropriate staff to authorized STATE and/or Federal representatives,and shall cooperate fully in the monitoring and audit processes. 24. Handicap Access Unless specifically exempted, the CONTRACTOR and any of its subcontractor(s) shall assure that any of their facilities shall be accessible and usable by physically handicapped persons. It is the intent of this requirement that public and private facilities including buildings,structures,sidewalks,curbs and related facilities meet California STATE Access Standards, government Code Section 4460-4458 for public buildings, and Health and Safety Code Sections 19955-19959 for privately funded buildings. 25. Contract Termination This contract may be terminated in whole or in part without cause by either party upon 30 days advance written notice to the other part. Such notificationshall state the effective date of termination. In the event of such termination, in whole or in part, CONTRACTOR shall take immediate steps to reduce the incurred of costs. CONTRACTOR shall be entitled to payment of all costs and uncancellable obligations allowable under the terms of this contract incurred up to the date of termination in an amount not to exceed the maximum allowable under paragraph 3A. 26. Meetings The CONTRACTOR shall make staff available to the STATE for training and meetings which the STATE may find necessary. r &N it A(F) STATE OF CALIFORNIA t r DEPARTMENT OF HEALTH SERVICES ADDITIONAL PROVISIONS (FOR FEDERALLY FUNDED.SUBVENTION AID/LOCAL ASSISTANCE COST REIMBURSEMENT CONTRACTS/GRANTS) 1. Equal O000rtunity Claustx a. The Contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, national origin,.physical or mental handicap, or age. The Contractor will take affirmative action to ensure that qualified applicants are employed, and that employees are treated during employment without regard to their race, color religion, sex, national origin, physical or mental handicap, or age. Such action shall include, but not be limited to, the following; employment, upgrading, demotion or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and career development opportunities and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the Federal Government or the State, setting forth the provisions of the Equal Opportunity clause and the Rehabilitation Act of 1973. Such notices shall state the Contractor's obligation under the law to take affirmative action to employ and advance in employment qualified applicants without discrimination based on their race, color, religion, sex, national origin, physical or mental handicap, or age, and the rights of applicants and employees. b. The Contractor will,in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, physical or mental handicap,or age. c. The Contractor will send to each labor union or representative of workers with which he or she has a collective bargaining agreement or other contract or understanding a notice, to be provided by the Federal Government or the State, advising the labor union or worker's representative of the Contractor's commitments under this Equal Opportunity clause and shall post copies of the notice in conspicuous places available to employees and applicants for employment. d. The Contractor will comply with all provisions of the Rehabilitation Act of 1973 and of the Federal Executive Order No. 11246 as amended,and of the rules, regulations,and relevant orders of the Secretary of Labor. e. The Contractor will furnish all information and reports required by Federal Executive Order No. 11246 as amended and the Rehabilitation Act of 1973, and by the rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the contracting agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules,regulations and orders. CMS Instructional Bulletin No.02(11/91) r t f. 'In the event of the Contractor's noncompliance with the requirements of this Equal Opportunity clause or with any federal rules, regulations, or orders which are referenced in this clause, this contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further federal or state contracts in accordance with procedures authorized in Federal Executive Order No. 11246 as amended and such other sanctions may be imposed and remedies invoked as provided in Federal Executive Order No. 11246 as amended, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. g. The Contractor will include the provisions of paragraphs [a] through [g] in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Federal Executive Order No. 11246 as amended, or Section 503 of the rehabilitation Act of 1973, so that such provisions will be binding upon each subcontractor or vendor. The Contractor will take such action with respect to any subcontract or purchase order as the Director of the Office of Federal Contract Compliance Programs or the State may direct as a means of enforcing such provisions including sanctions for noncompliance-provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the State, the Contractor may request in writing to the State, who, in turn, may request the United States to enter into such litigation to protect the interests of the State and of the United States. 2. Travel and Per Diem Any reimbursement for necessary traveling and per diem shall be at rates not to exceed those amounts paid to the State's represented employees under collective bargaining agreements currently in effect. No travel outside the State of California shall be reimbursed unless prior written authorization is obtained from the State. 3. Procurement Requirement a. Prior authorization in writing by the State will be required before the Contractor will be reimbursed for any purchase order or subcontract exceeding $2,500 for any articles, supplies, equipment, or services or for any fee, or other payment, for consultation of three hundred fifty dollars ($350) or more per day. The Contractor must provide in its request for authorization all particulars necessary for evaluation of the necessity or desirability of incurring such cost, and as to the reasonableness of the price or cost. For purchases of any said articles, supplies, equipment, services, or for consultant fees exceeding such minimum amount, three competitive quotations must be submitted with the request, or the absence of bidding must be adequately justified. b. If other than the lowest bidder or a sole-source provider is selected, all documents used in contractor selection must be presented in writing to the State for prior approval before awarding any contract, and maintained for possible future audit as specified in paragraph 7 below. c. The terms "purchase order" and "subcontract" as used in the above paragraph 3a only, excludes: (a) purchase orders not exceeding $2,500,and (b) subcontracts or purchase orders for public utility services at rates established for uniform applicability to the general public. -2- Exhbit 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 Propr y by the State or Purchase of Proms with State or-Federal Funds a. (1) All equipment, material, supplies, or property of any kind purchased from funds advanced or reimbursed or furnished by the State under the terms of this contract and not fully consumed in the performance of the contract shall be the property of the State and shall be subject to the provisions of this paragraph (a), as well as paragraphs(b),(c),and (d)below. If the Equipment Line item in the budget or in any other paragraph of this contract,exceeds$10,000 or more,the provisions of subparagraph b shall apply. (2) Inventory and Disposition (a) Contractor shall, at the request of the State, submit an inventory of equipment furnished or purchased under the terms of this contract. Such inventory will be required not more frequently than annually. (b) At the termination of this contract, the Contractor shall provide a final inventory to the State and shall at that time query the State as to the State's requirements, including the manner and method, in returning said equipment to the State. Final disposition of such equipment shall be at state expense in accordance with instructions from the State to be issued immediately after receipt of the final inventory. (3) Motor Vehicles (a) If, under the provisions of paragraph (2) above, any part of such property is motor vehicles, the State Office of Procurement shall purchase said motor vehicles for and on behalf of the Contractor. The provisions of clause (5b) below are applicable to this paragraph concerning motor vehicles. (b) If, under the provisions of paragraphs (2) or (3) above, any part of such property is motor vehicles, the State authorizes the Contractor to use said motor vehicles under the terms and conditions of this contract for purposes of this contract only, and in accordance with the provisions of subparagraphs (c) through (f) below. (c) It is mutually understood that the State of California shall be the legal owner of said vehicles and the Contractor shall be the registered owner. (d) Upon return of such motor vehicles to the State, Contractor shall deliver to State all necessary documents of title to enable proper transfer of marketable title to the State. (e) Contractor agrees that all operators of motor vehicles listed in said agreement shall hold a valid State of California driver's license. In the event 12 or more passengers are to be carried in any one vehicle listed in said agreement,a Class 2 driver's license will also be required. (f) Contractor shall furnish to the State a certificate of insurance stating that there is liability insurance presently in effect for the Contractor of not less than $500,000 per occurrence for bodily injury and property damage liability combined. -3- t The certificate of insurance must include provisions(i)and(ii),stating that: (i) The insurer will not cancel the insured's coverage without 30 days prior written notice to the State. (ii) The State of California,its officers, agents,employees,and servants are included as additional insureds, but only insofar as the operations under this contract are concerned. Contractor agrees that the bodily injury liability insurance herein provided for shall be in effect at all times during the term of this contract. In the event said insurance coverage expires at any time or times during the term of this contract, Contractor agrees to provide at least thirty (30) days prior to said expiration date a new certificate of insurance evidencing insurance coverage as provided for herein for not less than the remainder of the term of the contract, or for a period of not less than one (1) year. New certificates of insurance are subject to the approval of said Department of General Services, and Contractor agrees that no work or services shall be performed prior to the giving of such approval. In the event Contractor fails to keep in effect at all times insurance coverage as herein provided, State may, in addition to any other remedies it may have,terminate this contract upon the occurrence of such event. b. If the Equipment line item budget in this contract is $10,000 or more, the State shall purchase said equipment through its Office of Procurement. The cost of the procurement of equipment will be deducted from the contract amount. Contractor shall submit to the State a separate list of the equipment specifications. State will pay vendor directly for equipment purchases and title to the equipment will remain with the State. The equipment will be delivered either to the Contractor's address as stated in the contract unless notified by the Contractor in writing. c. (1) Title to state property shall not be affected by the incorporation or attachment thereof to any property not owned by the State, nor shall such state property, or any part thereof, be or become a fixture or lose its identity as personality by reason of affixation to any realty. (2) Unless otherwise provided herein, the State shall not be under any duty or obligation to restore or rehabilitate, or to pay the cost of the restoration or rehabilitation of the Contractor's facility or any portion thereof which is affected by removal of any state property. (3) The Contractor shall maintain and administer, in accordance with sound business practice, a program for the utilization, maintenance, repair, protection, and preservation of state property so to assure its full availability and usefulness for the performance of this contract. The Contractor shall take all reasonable steps to comply with all appropriate directions and instructions which the State may prescribe as reasonably necessary for the protection of state property. d. For equipment only. Before equipment purchases made by the Contractor are reimbursed by the State, the Contractor must submit paid vendor receipts identifying the purchase price, description of the item, serial number, model number, and location where equipment will be used during the term of this agreement. Said paid receipts will be attached to Contractor's invoices submitted to the State. -4- \ P Exhibit A(F) 6. Income Restrictions The Contractor agrees that any refunds, rebates, credits, or other amounts (including any interest thereon) accruing to or received by the Contractor under this contract shall be paid by the Contractor to the State, to the extent that they are properly allocable to costs for which the Contractor has been reimbursed by the State under this contract. 7. Examination of Accounts. Audit. Records. and Subcontract Language a. The Contractor shall maintain books, records, documents, and other evidence, accounting procedures, and practices, sufficient to reflect properly all direct and indirect costs of whatever nature claimed to have been incurred in the performance of this contract, including any matching costs and expenses. The foregoing constitutes"records" for the purpose of this clause. b. The Contractor's facility or office or such part thereof as may be engaged in the performance of this contract and his records shall be subject at all reasonable times to inspection, audit, and reproduction by the State or any of its duly authorized representatives, including the Comptroller General of the United States. c. The Contractor shall preserve and make available his records (i) for a period of three years from the date of final payment under this contract, and (ii) for such longer period, if any, as is required by applicable statute, by any other clause of this contract, or by subparagraphs (1) or (2) below. (1) If this contract is completely or partially terminated, the records relating to the work terminated shall be preserved and made available for a period of three, years from the date of any resulting final settlement. (2) If any litigation, claim, negotiation, audit, or other action involving the records has been started before the expiration of the three-year period, the records shall be retained until completion of the action and resolution of all issues which arise from it, or until the end of the regular three-year period, whichever is later. d. The Contractor further agrees to include in all his subcontracts hereunder a written agreement with said subcontractor or vendor, the following clause: "(Name of Vendor or Subcontractor) agrees to maintain and preserve, until three years after termination of (Contractor's name) agreement or contract with the State of California, and to permit the State or any of its duly authorized representatives, including the Comptroller General of the United States, to have access to and examine and audit any pertinent books, documents, papers, and records of(name of subcontractor or vendor) related to this(purchase order or subcontract)." S. Covenant Against Contingent Fees The Contractor warrants that no person or selling agency has been employed or retained to solicit or secure this contract upon an agreement or understanding for a commission, percentage, brokerage, or contingent fee, excepting bona fide employees or bona fide established commercial or selling agencies maintained by the Contractor for the purpose of securing business. For breach or violation of this warranty, the State shall have the right to annul this contract without liability or in its discretion to deduct from the contract price or consideration, or otherwise recover, the full amount of such commission, percentage, brokerage, or contingent fee. -5- , 9. Inspection The State, through any authorized representatives, has the right at all reasonable times to inspect or otherwise evaluate the work performed or being performed hereunder including subcontract supported activities and the premises in which it is being performed. If any inspection or evaluation is made by the State of the premises of the Contractor or a subcontractor, the Contractor shall provide and shall require his subcontractors to provide all reasonable facilities and assistance for the safety and convenience of the state representatives in the performance of their duties, All inspections and evaluations shall be performed in such a manner as will not unduly delay the work. 10. Nondiscrimination in Services. Benefits. and Facilities a. The Contractor will not discriminate in the provision of services because of race, color, creed, national origin, sex, age, or physical or mental handicap as provided by state and federal law, b. For the purpose of this contract, distinctions on the grounds of race, color, creed, national origin, sex, age, or physical or mental handicap include, but are not limited to, the following: denying a participant any service or providing a benefit to a participant which is different, or is provided in a different manner or at a different time from that provided to other participants under this contract; subjecting a participant to segregation or separate treatment in any matter related to his receipt of any service; restricting a participant in any way in the enjoyment of any advantage or privilege enjoyed by others receiving any service or benefit; treating a participant differently from others in determining whether he satisfied any admission, enrollment quota, eligibility, membership, or other requirement or condition which individuals must meet in order to be provided any service or benefit; the assignment of times or places for the provision of services on the basis of the race, color, creed, or national origin of the participants to be served. c. The Contractor will take affirmative action to ensure that intended beneficiaries are provided services without regard to race, color, creed, national origin, sex, age, or physical or mental handicap. d. The Contractor agrees that complaints alleging discrimination in the delivery of services by the Contractor or his or her subcontractor because of race, color, national origin, creed, sex, age, or physical or mental handicap will be resolved by the State through the Department of Health Services' Affirmative Action/Discrimination Compliant Process. e. The Contractor shall, subject to the approval of the Department of Health Services, establish procedures under which service participants are informed of their rights to file a complaint alleging discrimination or a violation of their civil rights with the Department of Health Services. f. The Contractor shall operate the program or activity in such a manner that it is readily accessible to and usable by mentally or physically handicapped persons pursuant to 45 Code of Federal Regulations, Parts 84,Sections 84.21 and 84.22. g. The Contractor shall keep records, submit required compliance reports, and permit state access to records in order that the State can determine compliance with the nondiscrimination requirements pursuant to 45 Code of Federal regulations, Parts 80, 84, and 90, Sections 80.6, 84.61, and 90.42. -6- , Exhibit A(f) t. 1 1. Final Invoice—Final Report—Retention of Funds If a final report is required by this contract, 10 percent of the face amount of the contract or 50 percent of the final invoice, whichever is the larger amount, but not to exceed $3,000, shall be withheld until after receipt by the State of a report satisfactory to the State. 12. Officials Not to Benefit No member of or delegate to Congress or the State Legislature shall be admitted to any share or part of this contract, or to any benefit that may arise therefrom; but this provision shall not be construed to extend to this contract if made with a corporation for its general benefit. 13. Rights in Data a. Subject Data. As used in this clause, the term "Subject Data" means writings, sound recordings, pictorial reproductions, drawings, designs or graphic representations, procedural manuals, forms, diagrams, work flow charts, equipment descriptions, data files and data processing or computer programs, and works of any similar nature (whether or not copyrighted or copyrightable) which are first produced or developed under this contract. The term does not include financial reports, cost analyses, and similar information incidental to contract administration. b. Federal Government and State Rights. Subject only to the provisions of "c" below, the Federal Government and State may use, duplicate, or disclose in any manner and for any purpose whatsoever, and have or permit others to do so, all Subject Data delivered under this contract. c. License to Copyrighted Data. In addition to the Federal Government and State rights as provided in [b] above, with respect to any subject data which may be copyrighted, the Contractor agrees to and does hereby grant to the Federal Government and State a royalty-free, nonexclusive and irrevocable license throughout the world to use, duplicate, or dispose of such data in any manner for State or Federal Government purposes and to have or permit others to do so. Provided, however, that such license shall be only to the extent that Contractor now has, or prior to completion or final settlement of this contract may acquire, the right to grant such license without becoming liable to pay compensation to others solely because of such grant. d. Relation to Patents. The State reserves a license on patent rights in any contract involving research or developmental, experimental, or demonstration work with respect to any discovery or invention which arises under this contract. e. Marking and Identification. The Contractor shall mark all Subject Data with the number of this contract and the name and address of the contractor or subcontractor who generated the data. The Contractor shall not affix any restrictive markings upon any Subject Data, and if such markings are affixed, the Federal Government or State shall have the right at any time to modify, remove, obliterate, or ignore any such markings. f. Subcontractor Data. Whenever any Subject Data is to be obtained from a subcontractor under this contract, the Contractor shall use this same clause in subcontract without alteration, and no other clause shall be used to enlarge or diminish the Federal Government's or State's rights in the subcontractor Subject Data. -7- 1 t g. 'Deferred Ordering and Delivery of Data. The Federal Government or State shall have the right to order, at any time during the performance of this contract, or within two years from either acceptance of all items (other than data) to be delivered under this contract or termination of this contract, whichever is later, any Subject Data and any data not called for in the schedule of this contract but generated in performance of the contract, and the Contractor shall promptly prepare and deliver such data as is ordered. If the principal investigator is no longer associated with the Contractor, the Contractor shall exercise its best efforts to prepare and deliver such data as is ordered. The Federal Government's or State's right to use data delivered pursuant to this paragraph (g) shall be the same as the rights in Subject Data as provided in "b" above. The Contractor shall be relieved of obligation to furnish data pertaining to an item obtained from a subcontractor upon the expiration of two years from the date he accepts such items. When data, other than Subject Data, is delivered pursuant to this paragraph (g), payment shall be made, by equitable adjustment or otherwise, for converting the data into the prescribed form, reproducing it or preparing it for delivery. The terms of such payment shall be agreed upon in writing by the Contractor and the State and/or Federal Government, whichever ordered the production of the data. 14. jgisabied Veterans and Veterans of the Vietnam Era a. The Contractor will not discriminate against any employee or applicant for employment because he or she is a disabled veteran or veteran of the Vietnam era in regard to any position for which the employee or applicant for employment is qualified. The Contractor agrees to take affirmative action to employ, advance in employment, and otherwise treat qualified disabled veterans and veterans of the Vietnam era without discrimination based upon their disability or veterans status in all employment practices such as the following: employment upgrading, demotion or transfer, recruitment, advertising, layoff or termination, rates of pay or other forms of compensation, and selection for training, including apprenticeship. b. The Contractor agrees that all suitable employment openings of the Contractor which exist at the time of the execution of this contract and those which occur during the performance of this contract, including those not generated by this contract and including those occurring at an establishment of the Contractor other than the one wherein the contract is being performed but excluding those of independently operated corporate affiliates, shall be listed at an appropriate local office of the state employment service system wherein the opening occurs. The Contractor further agrees to provide such reports to such local office regarding employment openings and hires as may be required. State and local government agencies holding federal contracts of $10,000 or more shall also list all their suitable openings with the appropriate office of the state employment service, but are not required to provide those reports set forth in paragraphs "d" and "e". c. Listing of employment openings with the employment service system pursuant to this clause shall be made at least concurrently with the use of any other recruitment source or effort and shall involve the normal obligations which attach to the placing of bona fide job order, including the acceptance of referrals of veterans and nonveterans. The listing of employment openings does not require the hiring of any particular job applicant or from any particular group of job applicants, and nothing herein is intended to relieve the Contractor from any requirements in Executive Orders or regulations regarding nondiscrimination in employment. -8- Exhibit A(F) r d. The reports required by paragraph "b" of this clause shall include, but not be limited to, periodic reports which shall be filed at least quarterly with the appropriate local office or, where the Contractor has more than one hiring location in a State, with the central office of that state employment service. Such reports shall indicate for each hiring location (1) the number of individuals hired during the reporting period, (2) the number of nondisabled veterans of the Vietnam era hired, (3) the number of disabled veterans of the Vietnam era hired, and (4) the total number of disabled veterans hired. The reports should include covered veterans hired for the on-the-job training under 39 U.S.C. 1787. The Contractor shall submit a report within 30 days after the end of each reporting period wherein any performance is made on this contract identifying data for each hiring location. The Contractor shall maintain at each hiring location copies of the reports submitted until the expiration of one year after final payment under the contract, during which time these reports and related documentation shall be made available, upon request, for examination by any authorized representatives of the Federal Contracting Officer, the State, or the Secretary of Labor. Documentation would include personnel records respecting job openings, recruitment, and placement, e. Whenever the Contractor becomes contractually bound to the listing provisions of this clause, it shall advise the employment service system in each state where it has establishments of the name and location of each hiring location in the state. As long as the Contractor is contractually bound to these provisions and has so advised the state system, there is no need to advise the state system of subsequent contracts. The Contractor may advise the state system when it is no longer bound by this contract clause. f. This clause does not apply to the listing of employment openings which occur and are filled outside the 50 states, the District of Columbia, Puerto Rico, Guam, and the Virgin Islands. g. The provisions of paragraphs "b", "c", "d", and "e" of this clause do not apply to openings which the Contractor proposes to fill from within his own organization or to fill pursuant to a customary and traditional employer-union hiring arrangement. This exclusion does not apply to a particular opening once an employer decides to consider applicants outside of his own organization or employer-union arrangement for that opening. h. As used in this clause: (1) "All suitable employment openings" includes, but is not limited to, openings which occur in the following job categories: production and nonproduction: plant and office; laborers and mechanics; supervisory and nonsupervisory; technical and executive, administrative, and professional openings that are compensated on a salary basis of less than $25,000 per year. This term includes full-time employment, temporary employment of more than three days' duration, and part-time employment. It does not include openings which the Contractor proposes to fill from within his own organization or to fill pursuant to a customary and traditional employer-union hiring arrangement nor openings in an educational institution which are restricted to students of that institution. Under the most compelling circumstances, an employment opening may not be suitable for listing, including such situations where the needs of the Federal Government cannot reasonably be otherwise supplied, where listing would be contrary to national security, or where the requirement of listing would otherwise not be for the best interest of the Federal Government. -9- '(2) "Appropriate office of the state employment service system" means the local office of the federal/state national system of public employment offices with assigned responsibility for serving the area where the employment opening is to be filled, including the District of Columbia, Guam, Puerto Rico, and the Virgin Islands. (3) "Openings which the Contractor proposes to fill from within his own organization" means employment openings for which no consideration will be given to persons outside the Contractor's organization (including any affiliates, subsidiaries, and the parent companies) and includes any openings which the Contractor proposes to fill from regularly established "recall" lists. (4) "Openings which the Contractor proposes to fill pursuant to a customary and traditional employer-union hiring arrangement" means employment openings which the contractor proposes to fill from union halls which is part of the customary and traditional hiring relationship which exists between the Contractor and representatives of his employees. I. The Contractor agrees to comply with the rules, regulations, and relevant orders of the Federal Secretary of Labor issued pursuant to the Act. j. In the event of the Contractor's noncompliance with the requirements of this clause, actions for noncompliance may be taken in accordance with the rules, regulations, and relevant orders of the Federal Secretary of Labor issued pursuant to the Act. k. The Contractor agrees to post in conspicuous places available to employees and applicants for employment notices in a form to be prescribed by the Director of the Office of Federal Contract Compliance Programs, provided by or through the contracting Officers or State. Such notices shall state the Contractor's obligation under the law to take affirmative action to employ and advance in employment qualified disabled veterans and veterans of the Vietnam era for employment, and the rights of applicants and employees. I. The Contractor will notify each labor union or representative of workers with which it has a collective bargaining agreement or other contract understanding that the Contractor is bound by terms of the Vietnam Era Veteran's Readjustment Assistance Act and is committed to take affirmative action to employ and advance in employment qualified disabled veterans and veterans of the Vietnam era. m. The Contractor will include the provisions of this clause in every subcontract or purchase order of $10,000 or more unless exempted by rules, regulations, or orders of the Federal Secretary of Labor issued pursuant to the Act, so that such provisions will be binding upon each subcontractor or vendor. The Contractor will take such action with respect to any subcontract or purchase order as the Director of the Office of Federal Contract Compliance Programs may direct to enforce such provisions, including action for noncompliance. 15. Clean Air and Water a. (Applicable only if the contract is not with a sole source vendor of products or services, or if it exceeds $5,000.) The Contractor agrees under penalty of perjury (it,he,she) is not in violation of any order or resolution which is not subject to review promulgated by the State Air Resources Board or an air pollution district. -10- €xhibit 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 isnot otherwise exempt under 40 CFR 15.5.) The Contractor agrees as follows: (1) To comply with all the requirements of Section 114 of the Clean Air act as amended (42 U.S.C. 7401 et seq., as amended by Public Law 95-95), and section 308 of the Federal Water Pollution Control Act (33 U.S.C. 1251 et seq., as amended by Public Law 92-500),respectively, relating to inspection, monitoring, entry, reports, and information, as well as all other requirements specified in Section 114 and Section 308 of the Air Act and the Water Act, respectively, and all regulations and guidelines issued to implement those Acts before the award of this contract. (2) That no portion of the work required by this contract will be performed in a facility listed on the Environmental Protection Agency List of Violating Facilities on the date when this contract was awarded unless and until the Environmental Protection Agency eliminates the name of such facility or facilities from such listing. (3) To use his best efforts to comply with clean air standards and clean water standards at the facility in which the contract is being performed. The terms used in this paragraph have the following meanings: (a) The term "clean air standards" means any enforceable rules, regulations, guidelines standards, limitations, orders, controls, or prohibitions or other requirements which are contained in, issued under, or adopted pursuant to the Clean Air Act. (b) The term "clean water standards" means any enforceable limitation, control, condition, prohibition, standard, or another requirement which is promulgated pursuant to the Clean Water Act or contained in a permit issued to a discharger by EPA or by the State under an approved program as authorized by Section 402 of the Clean Water Act (33 U.S.C. 1342), or by a local government to ensure compliance with pretreatment regulations as required by Section 307 of the Clean Water Act (33 U.S.C. 1317), and regulations issued pursuant thereto. (c) In addition to compliance with clean air and water standards, the term compliance shall also mean compliance with a schedule or plan ordered or approved by a court of competent jurisdiction, the Environmental Protection Agency, or an air or water pollution control agency in accordance with the requirements of the Clean Air Act and the Federal Water Pollution Control Act. (4) As a condition for the award of a contract the applicant or contractor shall notify the State of the receipt of any communication from the Assistant Administrator for Enforcement, U.S. EPA indicating that a facility to be utilized for the contract is under consideration to be listed on the EPA List of Violating Facilities. Prompt notification shall be required prior to contract award. -11- t , t i (5) To report violations to the State and to the Assistant Administrator for Enforcement. (6) To insert the substance of the provisions of paragraph [b] into any nonexempt subcontract, including this paragraph [b6], and to take such action as the Federal Government may direct as a means of enforcing such provisions. 16. Utilization of Small Business and Minority and Women Owned Business Enterprise a. It is a federal policy to award a fair share of contracts to small, minority, and women owned business firms. The State Legislature has declared that a fair proportion of the total purchases and contracts or subcontracts for property and services for the State be placed with small minority and women owned business enterprises. b. A firm shall qualify as a small business if it meets the requirements specified in Government Code Section 14837. c. The Contractor hereby agrees to carry out this policy in the awarding of subcontracts to the fullest extent consistent with efficient contract performance. As used in this contract, the term "minority business enterprise" means a business concern (1) which is at least 51 percent owned by one or more minority group members or women, or in the case of publicly owned business, at least 51 percent of the stock of which is owned by one or more minority group members or women; and (2) whose management and daily business operations are controlled by one or more such individuals. A minority group member is a person who is Black, Asian, Hispanic, Filipino, Polynesian, American Indian, or Alaskan Native. "Control," as used in this clause, means exercising the power to make policy decisions. d. Contractors acting in good faith may rely on written representations by their subcontractors regarding their status as minority business enterprises in lieu of an independent investigation. 17. Printing If Printing or other reproduction work of more than an incidental and minor dollar amount is a reimbursable item in this contract, it shall be printed or produced by the State Printer. The State Printer may, at his sole option, elect to forego said work and delegate the work to the private sector. If the State Printer prints or produces said work, or the State obtains the printing or other work through the Office of State Procurement, the cost will be deducted from said contract amount. This requirement does not apply to normal in-house copying necessary for routine business matters of the Contractor. 18. Prior Approval of Training Seminars,Workshops,or conferences Contractor shall obtain prior state approval over the location, costs, dates, agenda, instructors, instructional materials, and attendees at any reimbursable training seminar, workshop or conference, and over any reimbursable publicity or educational materials to be made available for distribution., The Contractor shall acknowledge the support of the State whenever publicizing the work under the contract in any media. This paragraph does not apply to necessary staff meetings to conduct routine business matters. -12- 1 ` , Exhibit A(F) e , 19. Confidentiality 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 services performed under this contract, except for statistical information not identifying any such person. b. The Contractor, his/her employees, agents, or subcontractors shall not use such identifying information for any purpose other than carrying out the Contractor's obligations under this contract. c. The Contractor, his/her employees, agents; or subcontractors shall promptly transmit to the State all requests for disclosure of such identifying information not emanating from the client or person. d. The Contractor shall not disclose, except as otherwise specifically permitted by this contract or authorized by the client, any such identifying information to anyone other than the State without prior written authorization from the State. e. For purposes of this paragraph, identity shall include, but not be limited to, name, identifying number, symbol, or other identifying particular assigned to the individual, such as finger or voice print or a photograph. 20. National Labor Relations Board Certification (not applicable if Contractor is a public entity.) Contractor, by signing this agreement, does swear under penalty of perjury that no more than one final unappealable finding of contempt of court by a federal court has been issued against Contractor within the immediately preceding two-year period because of the Contractor's failure to comply with an order of a federal court which orders the Contractor to comply with an order of the National Labor Relations Board. 21. Documents and Written Reports Any document or written report prepared as a requirement of this agreement shall contain, in a separate section preceding the main body of the document, the number and dollar amounts of all contracts and subcontracts relating to the preparation of such document or report, if the total cost for work by nonemployees of the State exceeds$5.,000. 22. Resolution of Direct Service Contract Disputes a. If the Contractor believes there Is a dispute or grievance between the Contractor and the State, the procedures set forth in Chapter 2.1, Sections 20201 through 20205, of Title 22, of the California Code of Regulations, shall be followed. b. If the Contractor wishes to appeal the decision of the Deputy Director for Public Health or his/her designee, the Contractor shall follow the procedures set forth in Division 25.1 (commencing with Section 38050) of the Health and Safety Code and the regulations adopted thereunder. (Title 1, Subchapter 2.5 commencing with Section 251, California Code of Regulations.) -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. I. Nothing in this paragraph limits the authority of the State to make audits of this contract, provided however, that if independent audits arranged for by Contractor meet generally accepted governmental auditing standards, the State shall rely on those audits and any additional audit work shall build upon the work already done. j. The State may, at its option, direct its own auditors to perform the single audit described in OMB Circular A-133. The State's auditors shall meet the independence standards specified in Government Auditing Standards. The audit shall be conducted in accordance with OMB Circular A-133 so as to satisfy all State and Federal requirements for a single organization wide audit. 24. Contract Amendments a. This contract may be amended by mutual agreement between the parties and, if required by Government Code, Section 11010.5, or Public Contract Code, Section 10355,the amendment shall be subject to the approval of the Department of General Services, unless otherwise exempted. -14- ` ♦ Exhibit A(F) , , b, If any amendment to this contract has the effect of increasing the monetary amount of the contract or an agreement by the State to indemnify or save harmless the Contractor, his agents or employees, the amendment shall be approved by the Department of General Services, unless otherwise exempted. 25. Evaluation of Contractors The Contractor's performance under this contract shall be evaluated at the conclusion of the term of this contract. The evaluation shall include, but not be limited to: a. Whether the contracted work or services were completed as specified in the contract and reasons for and amount of any cost overruns. b. Whether the contracted work or services met the quality standards specified in the contract. c. Whether the Contractor fulfilled all requirements of the contract, d. Factors outside the control of the Contractor which caused difficulties in Contractor performance. The evaluation of the Contractor shall not be a public record. 26. Conflict of Interest—Current and Former State Employees a. Current State Officers and Employees (1) Contractor shall not utilize in the performance of this contract any state officer or employee in the state civil service or other appointed state official unless the employment, activity, or enterprise is required as a condition of the officer or employee's regular state employment. Employee in the state civil service is defined to be any person legally holding a permanent or intermittent position in the state civil service. (2) If any state officer or employee is utilized or employed in the performance of this contract, Contractor shall first obtain written.verification from the State that the employment, activity, or enterprise is required as a condition of the officer's, employee's, or official's regular state employment and shall keep said verification on file for three years after the termination of this contract. (3) Contractor may not accept occasional work from any currently employed state officer, employee, or official. (4) If Contractor accepts volunteer work from any currently employed State officer, employee, or official, Contractor may not reimburse, or otherwise pay or compensate, such person for expenses incurred, including, without limitation, travel expenses, per diem, or the like, in connection with volunteer work on behalf of contractor. (5) Contractor shall not employ any state officers, employees, or officials who are on paid or unpaid leave of absence from their regular state employment. (6) Contractor or anyone having a financial interest in this contract may not become a state officer, employee, or official during the term of this contract. Contractor shall notify each of its employees, and any other person having a financial interest in this contract that it is unlawful under Public Contract Code, Section 10410 for such person to become a state officer, employee, or official during the term of this contract unless any relationship with the Contractor giving rise to a financial interest, as an employee or otherwise, is first terminated. -.15- i•(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 nonsubstantive. (Citation: Public Contract Code, Section 10420) 27. Single Audit Act of 1984 (applicable only if Contractor is a governmental entity) In accordance with Public Law 98-502 and OMB Circular A-128, it is stipulated between the parties hereto that: a. The cost of the single audit will be charged to the federal assistance program providing funds for this agreement on a "Fair Share" basis. The amount chargeable to federal assistance programs for the cost of the single audit is calculated based on the ratio of federal expenditures to total expenditures of the Contractor. The State's share of the single audit cost under this contract is based upon the ratio of federal funds received under this agreement to total federal funds received by the Contractor each fiscal year. b. The Contractor shall include a clause in any contract the Contractor enters into with 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. -16- Exhibit A M 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 Change Contractor shall provide written notice to the State at least 30 days prior to any changes to the Contractor's current legal name. 29. Novation If the Contractor proposes any novation agreement,the State shall act upon the proposal within 60 days after receipt of the written proposal. The State may review and consider the proposal,consult and negotiate with the Contractor,and accept or reject all or part of the proposal. Acceptance or rejection may be made orally within the 60 day period, and confirmed in writing within five days. 30. Drug-Free Workplace Contractor certifies to the State that it will provide a drug-free workplace by doing all of the following: a. Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance is prohibited in the person's or organization's workplace and specifying the actions that will be taken against employees for violations of the prohibition. b. Establishing a drug-free awareness program to inform employees about all of the following: (1) The dangers of drug abuse in the workplace. (2) The person's or organization's policy of maintaining a drug-free workplace. (3) Any available drug counseling, rehabilitation, and employee assistance programs. (4) The penalties that may be imposed upon employees for drug abuse violations. c. Requiring that each employee engaged in the performance of the contract or grant be given a copy of the statement required by subdivision (a) and that,as a condition of employment on the contract or grant,the employee agrees to abide by the terms of the statement. d. Contractor agrees this contract may be subject to suspension of payments or termination of this contract,or both,and the contractor may be subject to debarment, in accordance with the requirements of the Government Code Section 8350, et seq., if the Department determines that any of the following has occurred: (1) The contractor or grantee has made a false certification. (2) The contractor violates the certification by failing to carry out the requirements of subdivisions(a)through (c)above. -17- 31, Debarment and Suspension Requirements Contractor agrees to comply with the debarment and suspension requirements as found in 7 Code of Federal Regulations,Part 3017,or as amended. 32. LIMITATIONS ON PAYMENTS TO INFLUENCE CERTAIN FEDERAL ACTIONS AND RELATED DISCLOSURES (a) Definitions. As used in this Exhibit, "Agency," as defined in 5 U.S.C. 552(f), includes Federal executive departments and agencies as well as independent regulatory commissions and Government corporations,as defined in 31 U.S.C. 9101(1). "Covered Federal action" means any of the following Federal actions: (1) The awarding of any Federal contract; (2) The making of any Federal grant; (3) The making of any Federal loan; (4) The entering into of any cooperative agreement; and (5) The extension, continuation, renewal, amendment, or modification of any Federal contract,grant,loan,or cooperative agreement. Covered Federal action does not include receiving from an agency a commitment providing for the United States to insure of guarantee a loan. "Indian tribe" and "tribal organization" have the meaning provided in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 4506). Alaskan Natives are included under the definitions of Indian tribes in the Act. "Influencing or attempting to influence" means making, with the intent to influence, any communication to or appearance before an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress;in connection with any covered Federal action. "Local government" means a unit of government in a State and, if chartered, established, or otherwise recognized by a State for the performance of a government duty, including a local public authority, a special district, an intrastate district, a council of governments, a sponsor group representative organization, and any other instrumentality of a local government. "Officer or employee of an agency" includes the following individuals who are employed by an agency: (1) An individual who is appointed to a position in the Government under title 5, U. S. Code,including a position under a temporary appointment; (2) A member of the uniformed services as defined in section 101(3), title 37, U. S. Code; (3) A special government employee as defined in section 202, title 18, U. S. Code; and (4) An individual who is a member of a Federal advisory committee, as defined by the Federal Advisory Committee Act,title 5,U. S. Code,Appendix 2. -18- C "Person" means an individual, corporation, company, association, authority, firm, partnership, society, State, and local government,.regardless of whether such entity is operated for profit or not for profit. This term excludes an Indian tribe, tribal ' organization,or any other Indian organization with respect to expenditures specifically permitted by other Federal law. "Reasonable compensation" means, with respect to a regularly employeed officer or employee of any person, compensation that is consistent with the normal compensation for such officer or employee for work that is not furnished to, not funded by,or not furnished in cooperation with the Federal Government. "Reasonable payment" means, with respect to professional and other technical services, a payment in an amount that is consistent with the amount normally paid for such services in the private sector. "Recipient" includes the Contractor or Grantee,and all subcontractors or subgrantees at any tier in connection with a Federal contract, grant, or other Federally funded activity. The term excludes an Indian tribe, tribal or ganization, or any other Indian organization with respect to expenditures specifically permitted by other Federal law. "Regularly employed" means, with respect to an officer or employee of a person requesting or receiving a Federal contract, an officer or employee who is employed by such person for at least 130 working days within 1 year immediately preceding the date of the submission that initiates agency consideration of such person for receipt of such contract. An officer or employee who is employed by such person for less than 130 working days within 1 year immediately preceding the date of the submission that initiates agency consideration of such person shall be considered to be regularly employed as soon as he or she is employed by such person for 130 working days. "State" means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, an agency or instrumentality of a State, and a multi-State, regional, or interstate entity having governmental duties and powers. b Prohibition. (1) Section 1352 of title 31, U. S. Code provides in part that no appropriated funds may be expended by the recipient of a Federal contract, grant, loan, or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any of the following covered Federal actions: The awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant,loan,or cooperative agreement. (2) The prohibition does not apply as follows: (i) Agency and legislative liaison by Own Employees. (A) The prohibition on the use of appropriated funds, in paragraph (b)(1), does not apply in the case of a payment of reasonable compensation made to an officer or employee of a person requesting or receiving a Federal contract if the payment is for agency and legislative liaison activities not directly related to a covered Federal action. -19- (B) For purposes of paragraph (b)(2)(i)(A), providing any information specifically requested by an agency or Congress is allowable at any time. (C) For purposes of paragraph (b)(2)(i)(A) of this section, the following agency and legislative liaison activities are allowable at any time only where they are not related to a specific solicitation for any covered Federal action: (i) Discussing with any agency (including individual demonstrations) the qualities and characteristics of the person's products or services,conditions or terms of sale,and service capabilities; and, (ii) Technical discussions and other activities regarding the application or adaptation of the person's products or services for an agency's use. (D) For purposes of paragraph (b)(2)(i)(A) of this section, the following agency and legislative liaison activities are allowable only where they are prior to formal solicitation of any covered Federal action: (i) Providing any information not specifically requested but necessary for an agency to make an informed decision about initiation of a covered Federal action; (ii) Technical discussions regarding the preparation of an unsolicited proposal prior to its official submission; and, (iii) Capability presentations by persons seeking awards from an agency pursuant to the provisions of the Small Business Act, as amended by Public Law 95-507 and other subsequent amendments. (E) Only those activities expressly authorized by paragraph (b)(2)(i) are allowable under paragraph (b)(2)(i). (ii) Professional and technical services by Own Employees. (A) The prohibition on the use of appropriated funds, in paragraph (b)(1), does not apply in the case of any reasonable payment of reasonable compensation made to an officer or employee of a person requesting or receiving a Federal contract or an extension, continuation, renewal, amendment, or modification of a Federal contract if payment is for professional or technical services rendered directly in the preparation, submission or negotiation of any bid, proposal, or application for that Federal contract or for meeting requirements imposed by or pursuant to law as a condition for receiving that Federal contract. -20- (B) For purposes of paragraph (b)(2)(ii)(A), "professional and teghnical services" shall be limited to advice an analysis directly applying apy professional or technical discipline. For example, drafting of a legal document accompanying a bid or proposal by a lawyer is allowable. Similarly, technical advice provided by an engineer on the performance or operational capability of a piece of equipment rendered directly in the negotiation of a contract is allowable. However, communications with the intent to influence made by a professional (such as a licensed lawyer) or a technical person (such as a licensed accountant)are not allowable under this section unless they provide advice and analysis directly applying their professional or technical expertise and unless the advice or analysis is rendered directly and solely in the preparation, submission or negotiation of a covered Federal action. thus, for example, communications with the intent to influence made by a lawyer that do not provide legal advice and analysis directly and solely related to the legal aspects of his or her client's proposal, but generally advocate one proposal over another are not allowable under this section because the lawyer is not providing professional legal services. Similarly,communications with the intent to influence made by an engineer providing an engineering analysis prior to the preparation or submission of a bid or proposal are not allowable under this section since the engineer is providing technical services but not directly in the preparation, submission or negotiation of a covered Federal action. (C) Requirements imposed by or pursuant to law as a condition for receiving a covered Federal award include those required by law or regulation,or reasonably expected to be required by law or regulation, and any other requirements in the actual award documents. (D) Only those services expressly authorized by paragraph (b)(2)(ii) are allowable under paragraph(b)(2)(0). (iii) Reporting for Own Employees. No reporting is required with respect to payments of reasonable compensation made to regularly employed officers or employees of a person. (iv) Professional and technical services by Other than Own Employees. (A) The prohibition on the use of appropriated funds, in paragraph (b)(1), does not apply in the case of any reasonable payment to a person, other than an officer or employee of a person requesting or receiving a covered Federal action, if the payment is for professional or technical services rendered directly in the preparation,submission,or negotiation of any bid, proposal, or application for that Federal contract or for meeting requirements imposed by or pursuant to law as a condition for receiving that Federal contract. -21- (B) For purposes of paragraph (b)(2)(iv)(A), "professional and technical services" shall be limited to advice and analysis directly applying any professional or technical discipline. For example, drafting of a legal document accompanying a bid or proposal by a lawyer is allowable. Similarly, technical advice provided by an engineer on the performance or operational capability of a piece of equipment rendered directly in the negotiation of a contract is allowable. However, communications with the intent to influence made by a professional (such as a licensed lawyer) or a technical person (such as a licensed accountant) are not allowable under this section unless they provide advice and analysis directly applying their professional or technical expertise and unless the advice or analysis is rendered directly and solely in the preparation, submission or negotiation of a covered Federal action. Thus, for example, communications with the intent to influence made by a lawyer that do not provide legal advice or analysis directly and solely related to the legal aspects of his or her client's proposal, but generally advocate one proposal over another are not allowable under this section because the lawyer is not providing professional legal services. Similarly,communications with the intent to influence made by an engineer providing an engineering analysis prior to the preparation or submission of a bid or proposal are not allowable under this section since the engineer is providing technical services but not directly in the preparation, submission or negatiation of a covered Federal action. (C) Requirements imposed by or pursuant to law as a condition for receiving a covered Federal award include those required by law or regulation,or reasonably expected to be required by law or regulation, and any other requirements in the actual award documents. (D) Persons other than officers or employees of a person requesting or receiving a covered Federal action include consultants and trade associations. (E) Only those services expressly authorized by paragraph (b)(2)(iv) of this section are allowable under paragraph (b)(2)(iv). (v) The prohibition on use of Federal appropriated funds does not apply to influencing activities not in connection with a specific covered Federal action. These activities include those related to legislation and regulations for a program versus a specific covered Federal action. (55 Fed. Reg. 24542 (June 15, 1990).) (c) Certification and Disclosure. (1) Each person (or recipient) who requests or receives a contract, subcontract, grant, or subgrant,which is subject to section 1352 of title 31, United States Code, and which exceeds $100,000 at any tier, shall file a certification (in the form set forth in Attachment 1, consisting of one page, entitled "Certification Regarding Lobbing") that the recipient has not made, and will not make, any payment prohibited by paragraph (b)of this Exhibit. -22- (2) Each recipient shall file a disclosure (in the form set forth in Attachment 2 consisting of three pages, entitled "Standard Form-LLL-"Disclosure of Lobbying, Activities") if such recipient has made or has agreed to make any payment using. nonappropriated funds (to include profits from any covered Federal action) in connection with a contract or grant or any extension or amendment of that contract or grant, which would be prohibited under paragraph (b) of this Exhibit if paid for with appropriated funds. (3) Each recipient shall file a disclosure form at the end of each calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in any disclosure form previously filed by such person under paragraph (c)(2). An event that materially affects the accuracy of the information reported includes: (i) A cumulative increase of $25,000 or more in the amount paid or expected to be paid for influencing or attempting to influence a covered Federal action; or (ii) A change in the person(s) or individual(s) influencing or attempting to influence a covered Federal action; or, (iii) A change in the officer(s), employee(s), or Member(s) contacted for the purpose of influencing or attempting to influence a covered Federal action. (4) Each person (or recipient) who requests or receives from a person referred to in paragraph (c)(1) of this section a contract, subcontract, grant, or subgrant exceeding $100,000 at any tier under a contract or grant shall file a certification, and a disclosure form,if required,to the next tier above. (5) All disclosure forms(but not certifications) shall be forwarded from tier to tier until received by the person referred to in paragraph (1) of this section. That person shall forward all disclosure forms to the State agency. (d) Agreement. In accepting any contract, grant,subcontract or subgrant subject to this Exhibit,the recipient (and any person submitting an offer for such a contract or grant) agrees not to make any payment prohibited by law or this Exhibit. (e) Penalties. (1) Any person who makes an expenditure prohibited under paragraph (b) of this Exhibit shall be subject to a civil penalty of not less than $10A00 and not more than $100,000 for each such expenditure. (2) Any person who fails to file or amend the disclosure form to be filed or amended if required by this Exhibit,shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. (3) Recipients may rely without liability on the representations made by their subcontractors or subgrantees in the certification and disclosure form. (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. -23- f' Attachment 1 STATE OF CALIFORNIA DEPARTMENT OF HEALTH SERVICES ' CERTIFICATION REGARDING LOBBYING The undersigned certifies,to the best of his or her knowledge and belief,that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned,to any person for influencing or attempting to Influence an officer or employee of an agency of the United States Government, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the making, awarding or entering Into of this Federal contract, Federal grant, or cooperative agreement, and the extension, continuation, renewal, amendment,or modification of this Federal contract,grant,or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency of the United States Government,a Member of Congress,an officer or employee of Congress,or an employee of a Member of Congress in connection with this Federal contract,grant,or cooperative agreement,the undersigned shall complete and submit Standard Form LLL, 'Disclosure of Lobbying Activities' in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontractors,subgrants,and contracts under grants and cooperative agreements) of $100,000 or more, and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification Is a prerequisite for making or entering into this transaction Imposed by Section 1352, Title 31, U. S. Code. any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Name of Contractor "'-sited Name.af Person signing for Contractor Contract/Grant Number Sigp6ture of Pejkn Sgrvng foiZontractorff Chair, Board of Supervisors Dote nfle After execution by or on Behalf of Contractor,please return to: Department of Health Services (Name of the DHS program providing the funds) P. O. Box 942732 714 P Street Sacramento,CA 94234-7320 CMS Instructiond Bullefin No.13(10/91) -24- c ' • Attachment 2 DISCLOSURE OF LOBBYING ACTIVITIES APprovbdbyOMB 03M-OU6 Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 ' (See reverse for public burden disclosure) 1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type: ❑ a. contract ❑ a.'bid/offer/application ❑ a. initial filing b. grant b. initial award b. material change c. cooperative agreement c. post-award For Material Change Only: d. loan e. loan guarantee Year quarter f. loan Insurance date,of last report 4. Name and Address of Reporting Entity: 5. If Reporting Entity in No.4 is Subawardee,Enter Name and Address of Prime.- C) rrime.❑ Prime ❑ Subawardee Tier if known: Congressional District,if known: Congressional District,if known: 6. Federal Department/Agency: 7. Federal Program Name/Description: CFDA Number,if applicable: 8. Federal Action Number,if known: 9. Award Amount,if known: 10. a. Name and Address of Lobbying Entity b. Name and Address of Lobbying Entity (if individual,last name,first name,MI):. (if Individual,last name,first name,MI): (attach Continuation Sheet(s)SF-LLL-A,if necessary) 11. Amount of Payment(check all that apply): 13. Type of Payment(check all that apply): $ ❑ actual ❑ planned ❑ a. retainer 12. Form of Payment(check all that apply): ❑ b. one-time fee ❑ c. commission ❑ a. cash ❑ b. in-kind,specify: Nature El d contingent fee ❑ e. deferred Value ❑ f. other,specify: 14. Brief Description of Services Performed or to be Performed and Date(s)of Service,Including Officer(s),Employee(s), or Member(s)Contacted,for Payment Indicated in Item 11: (Attach Continuation Sheet(s)SF-LLL-A,if necessary) 15. Continuation Sheet(s)SF-LLL A Attached: ❑ Yes. ❑ No 16. Information requested through this form is authorized by Title 31, U.S.C., Section 1352. This disclosure of lobbying activities is a Signakie material representation of fact upon which reliance was placed by the tier above when this transaction was made or entered Into. This disclosure is required pursuant to Title 31, Rint Norne: U.S.C.,Section 1352. This information will be reported to the Congress semiannually and will be available for public Tme: inspection. Any person who fails to file the required disclosure shall be subject to a civil penalty of not less than $10,000 and not more than$100,000 for each such failure. Telephone No.: Date: # Authorized for Local Reproduction tion fir.5'i4G!i7fY>:is:. "••u�,Y�..:`%< z>><><+z >x ?s` #�����>r�'`•>'•# r '•>S>>`•s> > s >:`#'•�s'%'p >'> > sr<>'##?°�>''�';�� ;'<> ..... :��:>:�: ;;;.;;:;:•:::::::::::::::::::.::::::::::::::::::::::.�.::::::::.�::::::::::::::::;..::::..:.....:...:..:::.:::::•:•::.:�:::::::::::.. Standard For — m LLL CMS Instructional Bulletin No.14(10/91) -25- INSTRUCTIONS FOR COMPLETION OF SFALL, DISCLOSURE OF LOBBYING ACTIVITIES This disclosure form shall be completed by the reporting entity,whether subawardee or prime Federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing, pursuant to Title 31, U.S.C., 'Section 1352..The filing of a form is required for each payment or agreement to make payment to any lobbying entity for influencing +or attempting to Influence an officer or employee of any agency, a Member of congress, an officer or employee of congress,or an employee of a Member of Congress in connection with a covered Federal action. Use the SF-LLL-A Continuation Sheet for additional information if the space on the form is Inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the Implementing guidance published by the Office of Management and Budget for additional information. 1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action. 2. Identify the status of the covered Federal action. 3. Identify the appropriate classification of this report. If this is a follow up report caused by a material change to the information previously reported,enter the year and quarter In which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal Action. A. Enter the full name,address,city,state and zip code of the reporting entity. Include Congressional District,If known. Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or subaward recipient. Identify the tier of the subawardee, e.g., the first subawardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts,subgrants and contract awards under grants. 5. If the organization filing the report in item 4 checks'Subawardee,'then enter the full name,address,city,state and zip code of the prime Federal recipient. Include Congressional District,if known. 6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational level below agency name,if known. For example.Department of Transportation,United States Coast Guard, 7. Enter the Federal program name or description for the covered Federal action (Item 1). If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments. 8. Enter the most appropriate Federal Identifying number available for the Federal action identified in Item 1 (e.g.. Request for Proposal (RFP) number; Invitation for Bid (IFB)number; grant announcement number;the contract. grant, or loan award number; the application/proposal control number assigned by the Federal agency). Include prefixes,e.g.'RFP-DE-90-001.' 9. For a covered Federal action where there has been an award or loan commitment by the Federal agency,enter the Federal amount of the award/loan commitment for the prime entity Identified in Item 4 or 5. 10. (a) Enter the full name, address, city,state and zip code of the lobbying entity engaged by the reproting entity identified in item 4 to influence the covered Federal action. (b) Enter the full names of the Individual(s)performing services,and include full address if different from 10.(a). Enter last name,first name,and middle initial(MI). 11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4)to the lobbying entity(Item 10). INdicate whether the payment has been made(actual)or will be made(planned). Check all boxes that apply. If this is a material change report,enter the cumulative amount of payment made or planned to be made. 12. Check the appropriate box(es). Check all boxes that apply. If payment is made through an in-kind contribution, specify the nature and value of the in-kind payment. 13. Check the appropriate box(es). Check all box(es)that apply. If other,specify nature. 14. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to perform,and the date(s)of any services rendered. Include all preparatory and related activity,not just time spent in actual contact with Federal officials. identify the Federal officials) or employees) contacted or the officer(s), employee(s),or Member(s)of Congress that were contacted. 15. Check wether or not a SF-LLL-A continuation Sheet(s)is attached. 16. The certifying official shall sign and date the form,print his/her name,title,and telephone number. Public reporting burden for this collection of information is estimated to average 30 minutes per response, including time for reviewing instructions,searching existing data sources,gathering and maintaining the data needed,and completing and reviewing the collection of information. Send comments regarding the burden es timate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget. Paperwork Reduction Project (0348-0046),Washington,D.C.,20503. -26- A DISCLOSURE OF LOBBYING ACTIVITIES CONTINUATION SHEET Approved by OMB 348-0046 Reporting Entity: Page of. a Authorized for Local Reproduction CMS Instructional Bulletin No.14(10/91) -27- Standard Form-LLL-A C2M?A Imo: (btmty ctf Ctnt Cbsta cmt:act Nxber: 94-20546 Page qf2 x F3 En C4 M K y p � rr ~ n w d � w K (D N rr u u n w 0, a H. a V cn d �-j ,n r- k n m m Fl x 9' cr a x � `4 En a (D �C (D P) �A �. (D P) cn to to cn to m to (n v� cn cn '� �U F' '� N b F' 'ZS F' b W • cr m (D (D rt (D rr (D rr (D rr (D rr O C) N n n (D n (D n (D n (D 0 m (D rr Z Z 5 z in nr (D (D (D r- (D (D r- (D m a m m 9 . 9 m 9 m 9 m � zrr0 F, n n n n K � H (D N F-' M N U) (Q Ffi Pi En O O (D O (D Ea C C O 0 O O J O N d K n SS N. F, O O (D F' n m O N (f] U] N U] F'- F' F-'- N U I (r U I rt N rr F' w O O (D O (D O (D p ►� O O O O f] J w N C1 F' �l N l0 N l0 1O w n rA F-' N FJ F'- ,A Ul U7 N N y (] O O O O O O O O O O O O 1-3 . CONTRACTOR: County of Contra Costa Contract Number: 94-20546 Exhibit: "B" Page'2 of' 2 SCOPE OF WORK FOR PERFORMING HIV TESTING FOR THE COUNTY OF CONTRA COSTA January 1, 1995 - December 31, 1995 LOCAL HEALTH DEPARTMENT: County of Contra Costa To test 500 serum specimens from the County of Contra Costa for the presence of the human immunodeficiency virus (HIV) antibody using protocols patterned after the Centers for Disease Control aand Prevention HIV Family of Surveys. Reimbursement will only be made for cost incurred in testing up to a maximum of 500 drug treatment center specimens from the County of Contra Costa multiplied by up to a maximum of $9 . 00 per specimen = $4, 500 which represents the total amount of funding for performing HIV testing for the County of Contra Costa. CONTRACTOR: County Of Contra Costa Contract Number:94-20546 ExKibit "C" ,Page 1 011 SF/SMSA FAMILY OF SURVEYS COUNTY OF CONTRA COSTA HEALTH DEPARTMENT UNLINKED DTC SURVEY/HIV INCIDENCE STUDY BUDGET January 1, 1995 -December 31, 1995 1. PERSONNEL EXPENSES $ 29,234 2. INDIRECT COST $ 2,924 3. CAPITAL EXPENDITURES $ 0 4. OPERATING EXPENSE $ 0 5. OTHER COSTS $ 9,500 TOTAL BUDGET $ 41,658 STAY, OF CALIFORNIA NONDISCRIMINATION CLAUSE (OCP-1) §rb.17A(REV.2-93) i r Exhibit "D" , 1. During the performance of this contract,contractorand its subcontractors shall not unlawfully discriminate, harass or allow harassment,against any employee or applicant for employment because of sex,race,color, ancestry, religious creed,national origin,physical disability(including HIV and AIDS),mental disability, medical condition(cancer), age (over 40), marital status, and denial of family care leave. Contractors and subcontractors shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment.Contractor and subcontractors shall comply with the provisions of the FairEmployment and Housing Act(Government Code,Section 12900 et seq.)and the applicable regulations promulgated thereunder(California Code of Regulations,Title 2,Section 7285.0 et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code,Section 12990(a-f),set forth in Chapter 5 of Division 4 of Title 2 of the California Code of Regulations are incorporated into this contract by reference and made a part hereof as if set forth in full. Contractor and its subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement. 2. This contractor shall include the nondiscrimination and compliance provisions of this -clause in all subcontracts to perform work under the contract. I alms Of Callfornlu Department of Health Services Office of AIDS EXHIBIT E , 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 94234-7320 _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 $ 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 2. CONTRACT: Enter the Contract Number which appears on the Standard Agreement. hem 3. PROJECT TITLE AND CONTRACT AMOUNT: Enter the Project 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 MAKING THIS REPORT: Enter the name,title, and telephone number of the agency person preparing this report. Item 6. 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, if specified, and send with this form. Submit all required contract products which may be specified in the Scope of Work, Exhibit B. Item 8. CERTIFICATION BY PROJECT DIRECTOR: The project director should sign and enter the date. CERTIFICATION BY PROJECT DIRECTOR: I 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(7/90) :r Page 2 of 4 HIV Seroprevalence Survey Progress Report Supplement Completed progress reports are to be submitted to Juan Ruiz, M.D., M.P.H., at the Department of Health Services, Office of AIDS within 30 days following the end of the quarter. CONTRACTOR: PERIOD: From: To: 1. Vacant Positions: Positions: Vacant As Of: Vacated By Whom: Describe what steps have been taken to fill the above positions and their anticipated fill date: 2. List the UNLINKED SURVEY (US) survey sites by type and the current status of testing at each: Total Number Number Date Specimens Specimens Clinic Clinic Clinic Survey Collected Collected During Type: Site # Location Started this Quarter Contract Period STD DTC Y 1 1 ) Page 3 of 4 Seroprevalence Survey Progress Report Supplement Total Number Number Date Specimens Specimens Clinic Clinic Clinic Survey Collected Collected During Type Site # Location Started this Quarter Contract Period HP AP 3. Describe any problems encountered during the quarter with data collection in clinics and the steps taken to correct the problems: 4. Describe procedures implemented and/or continued during the quarter to maintain quality of data collection in clinics (i.e., fully and correctly completed data collection forms, including demographic and risk information): 5. How have you used seroprevalence data locally during the past quarter? What are your future plans for local use of the seroprevalence data? (attach seroprevalence reports, if applicable): Page 4 of 4 Seroprevalence Survey Progress Report Supplement Additional Comments or Study Problems: 't CALIFORNIA AIDS LEADERSHIP COMMITTEE Exhibit Statement on Explicitness of AIDSIHIV Disease Prevention Material July 27, 1988 The following are axioms regarding AIDS/HIV disease: 1. AIDS and other forms of HIV disease are caused by the human immunodeficiency virus (HIV); 2. Sexual intercourse and intravenous drug use are the major transmission modes Qf the HI 3. Those possibly partaking in such activities need to understand and know how to modify their behavior to avoid HIV infection; and 4. To effectively change behavior requires that education materials communicate frankly about HIV, sex, and intravenous drug use. It is also true that the language and illustrations needed to communicate effectively, especially to those being less literate, are considered offensive to some. In an attempt to address these concerns, various guidelines have been established at Federal and State levels which have attempted to clarify what is acceptable in government-sponsored AIDS prevention programs. Unfortunately some of these guidelines have confused those producing AIDS education materials, have slowed program implementation, and have hampered HIV disease prevention efforts. To remedy the above problem, the California AIDS Leadership Committee (CALL) believes the following statement should be used to guide how candid and explicit AIDSIHIV prevention materials may be: 1. Candor,frankness, and clear representations are essential for effective communication of AIDSIHIV disease prevention messages. 2. Because of the nature (?f IHV transmission, it must be assumed that some AIDS/IIIV disease prevention materials may offend some people. 3. It is the opinion of the CALC that the social and economic henefils of preventing HIV iransinission is of paramount importance and should take precedence over the risk of offending some persons by the frankness of some AIDS/HIV disease prevention materials. However, it is also the position of the CALC that this risk should be recognized and that efforts should he made to make materials of ensive to the fewest number possible, while still maintaining their effectiveness. Therefore,for those who are producing AIDS/HIV disease preventive education materials, it is recommended that whatever language, illustrations, of demonstrations which their local arperts feel necessary be used to effect behavior change. It is the intent of this recommendation that education materials he designed to maximize their educational effectiveness; however, materials should be sensitive to others and not utilize any unnecessarily explicit depictions of sexual or drag-using practices. The CALC does not feel it is appropriate to issue narrow state guidelines or lists of acceptable words. Further, the CALC recognizes that words which are commonly used by the target audience may be necessary to use if recommended by local health education experts. In addition, it is recognized that explicit pictorials or illustrations may he necessary to reach sonic populations. Such needs .should be determined by local eiperts. Finally, the CALC recognizes that for tiny IIIV education and prevention program to he cost ellec•tive it is essential that the massage content and terminology be explicitly tailored to each of its target audiences. In such targeting, sonic explicit language may he used that is offensive to some individuals outside of the target audience(s); however, such offence is both unavoidable and is an acceptable social price to pay for the intended societal benefits. 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