HomeMy WebLinkAboutCS Multi-Cultural Senior Activities 2016CAO Contract Log # COUNTY OF MARIN Dept. Contract Log #
PROFESSIONAL SERVICES CONTRACT
2012 - Edition 1
THIS CONTRACT is made and entered into this 1st day of July, 2016, by and between the COUNTY OF MARIN,
hereinafter referred to as "County" and City of San Rafael, hereinafter referred to as "Contractor."
RECITALS:
WHEREAS, County desires to retain a person or firm to provide the following service: Multi -Cultural Senior Center
Activities; and
WHEREAS, Contractor warrants that it is qualified and competent to render the aforesaid services;
NOW, THEREFORE, for and in consideration of the Contract made, and the payments to be made by County, the parties
agree to the following:
1. SCOPE OF SERVICES:
Contractor agrees to provide all of the services described in Exhibit A attached hereto and by this reference made a part
hereof.
2. FURNISHED SERVICES:
The County agrees to:
A. Guarantee access to and make provisions for the Contractor to enter upon public and private lands as required
to perform their work.
B. Make available all pertinent data and records for review.
C. Provide general bid and Contract forms and special provisions format when needed.
3. FEES AND PAYMENT SCHEDULE:
The fees and payment schedule for furnishing services under this Contract shall be based on the rate schedule which is
attached hereto as Exhibit B and by this reference incorporated herein. Said fees shall remain in effect for the entire term
of the Contract. Contractor shall provide County with his/her/its Federal Tax I.D. number prior to submitting the first
invoice.
4. MAXIMUM COST TO COUNTY:
In no event will the cost to County for the services to be provided herein exceed the maximum sum of $10,000 including
direct non -salary expenses. As set forth in section 14 of this Contract, should the funding source for this Contract be
reduced, Contractor agrees that this maximum cost to County may be amended by written notice from County to reflect
that reduction.
5. TIME OF CONTRACT:
This Contract shall commence on July 1, 2016, and shall terminate on June 30, 2017. Certificate(s) of Insurance must
be current on day Contract commences and if scheduled to lapse prior to termination date, must be automatically updated
before final payment may be made to Contractor. The final invoice must be submitted within 30 days of completion of the
stated scope of services.
6. INSURANCE:
Commercial General Liabilitv:
The Contractor shall maintain a commercial general liability insurance policy in the amount of $1,000,000 ($2,000,000
aggregate). The County shall be named as an additional insured on the commercial general liability policy.
Commercial Automobile Liabilitv:
Where the services to be provided under this Contract involve or require the use of any type of vehicle by Contractor,
Contractor shall provide comprehensive business or commercial automobile liability coverage, including non -owned and
hired automobile liability, in the amount of $1,000,000.00.
Workers' Compensation:
The Contractor acknowledges the State of California requires every employer to be insured against liability for workers'
compensation or to undertake self-insurance in accordance with the provisions of the Labor Code. if Contractor has
employees, a copy of the certificate evidencing such insurance, a letter of self-insurance, or a copy of the Certificate of
Consent to Self -Insure shall be provided to County prior to commencement of work.
Errors and Omissions, Professional Liabilitv or Maloractice Insurance.
Contractor may be required to carry errors and omissions, professional liability or malpractice insurance.
All policies shall remain in force through the life of this Contract and shall be payable on a "per occurrence" basis unless
County specifically consents to a "claims made" basis. The insurer shall supply County adequate proof of insurance and/or
a certificate of insurance evidencing coverages and limits prior to commencement of work. Should any of the required
insurance policies in this Contract be cancelled or non -renewed, it is the Contractor's duty to notify the County immediately
upon receipt of the notice of cancellation or non -renewal.
If Contractor does not carry a required insurance coverage and/or does not meet the required limits, the coverage limits
and deductibles shall be set forth on a waiver, Exhibit C, attached hereto.
Failure to provide and maintain the insurance required by this Contract will constitute a material breach of this Contract. In
addition to any other available remedies, County may suspend payment to the Contractor for any services provided during
any time that insurance was not in effect and until such time as the Contractor provides adequate evidence that Contractor
has obtained the required coverage.
7. ANTI DISCRIMINATION AND ANTI HARASSMENT:
Contractor and/or any subcontractor shall not unlawfully discriminate against or harass any individual including, but not
limited to, any employee or volunteer of the County of Marin based on race, color, religion, nationality, sex, sexual
orientation, age or condition of disability. Contractor and/or any subcontractor understands and agrees that Contractor
and/or any subcontractor is bound by and will comply with the anti discrimination and anti harassment mandates of all
Federal, State and local statutes, regulations and ordinances including, but not limited to, County of Marin Personnel
Management Regulation (PMR) 21.
8. SUBCONTRACTING:
The Contractor shall not subcontract nor assign any portion of the work required by this Contract without prior written
approval of the County except for any subcontract work identified herein. If Contractor hires a subcontractor under this
Contract, Contractor shall require subcontractor to provide and maintain insurance coverage(s) identical to what is required
of Contractor under this Contract and shall require subcontractor to name Contractor and County of Marin as an additional
insured under this Contract for general liability. It shall be Contractor's responsibility to collect and maintain current
evidence of insurance provided by its subcontractors and shall forward to the County evidence of same.
9. ASSIGNMENT:
The rights, responsibilities and duties under this Contract are personal to the Contractor and may not be transferred or
assigned without the express prior written consent of the County.
10. LICENSING AND PERMITS:
The Contractor shall maintain the appropriate licenses throughout the life of this Contract. Contractor shall also obtain any
and all permits which might be required by the work to be performed herein.
11. BOOKS OF RECORD AND AUDIT PROVISION.:
Contractor shall maintain on a current basis complete books and records relating to this Contract. Such records shall
include, but not be limited to, documents supporting all bids, all income and all expenditures. The books and records shall
be original entry books with a general ledger itemizing all debits and credits for the work on this Contract. In addition,
Contractor shall maintain detailed payroll records including all subsistence, travel and field expenses, and canceled
checks, receipts and invoices for all items. These documents and records shall be retained for at least five years from the
completion of this Contract. Contractor will permit County to audit all books, accounts or records relating to this Contract or
all books, accounts or records of any business entities controlled by Contractor who participated in this Contract in any
way. Any audit may be conducted on Contractor's premises or, at County's option, Contractor shall provide all books and
records within a maximum of fifteen (15) days upon receipt of written notice from County. Contractor shall refund any
monies erroneously charged.
12. WORK PRODUCT/PRE-EXISTING WORK PRODUCT OF CONTRACTOR:
Any and all work product resulting from this Contract is commissioned by the County of Marin as a work for hire. The
County of Marin shall be considered, for all purposes, the author of the work product and shall have all rights of authorship
to the work, including, but not limited to, the exclusive right to use, publish, reproduce, copy and make derivative use of,
the work product or otherwise grant others limited rights to use the work product.
To the extent Contractor incorporates into the work product any pre-existing work product owned by Contractor, Contractor
hereby acknowledges and agrees that ownership of such work product shall be transferred to the County of Marin.
13. TERMINATION:
A. If the Contractor fails to provide in any manner the services required under this Contract or otherwise fails to
comply with the terms of this Contract or violates any ordinance, regulation or other law which applies to its
performance herein, the County may terminate this Contract by giving five (5) calendar days written notice to
the party involved.
B. The Contractor shall be excused for failure to perform services herein if such services are prevented by acts of
God, strikes, labor disputes or other forces over which the Contractor has no control.
C. Either party hereto may terminate this Contract for any reason by giving thirty (30) calendar days written notice
to the other parties. Notice of termination shall be by written notice to the other parties and be sent by
registered mail.
D. In the event of termination not the fault of the Contractor, the Contractor shall be paid for services performed to
the date of termination in accordance with the terms of this Contract so long as proof of required insurance is
provided for the periods covered in the Contract or Amendment(s).
14. APPROPRIATIONS:
The County's performance and obligation to pay under this Contract is contingent upon an annual appropriation by the
Marin County Board of Supervisors, the State of California or other third party. Should the funds not be appropriated
County may terminate this Contract with respect to those payments for which such funds are not appropriated. County will
give Contractor thirty (30) days' written notice of such termination. All obligations of County to make payments after the
termination date will cease.
Where the funding source for this Contract is contingent upon an annual appropriation or grant from the Marin County
Board of Supervisors, the State of California or other third party, County's performance and obligation to pay under this
Contract is limited by the availability of those funds. Should the funding source for this Contract be eliminated or reduced,
upon written notice to Contractor, County may reduce the Maximum Cost to County identified in section 4 to reflect that
elimination or reduction.
15. RELATIONSHIP BETWEEN THE PARTIES:
It is expressly understood that in the performance of the services herein, the Contractor, and the agents and employees
thereof, shall act in an independent capacity and as an independent Contractor and not as officers, employees or agents of
the County. Contractor shall be solely responsible to pay all required taxes, including but not limited to, all withholding
social security, and workers' compensation.
16. AMENDMENT:
This Contract may be amended or modified only by written Contract of all parties.
17. ASSIGNMENT OF PERSONNEL:
The Contractor shall not substitute any personnel for those specifically named in its proposal unless personnel with
substantially equal or better qualifications and experience are provided, acceptable to County, as is evidenced in writing.
18. JURISDICTION AND VENUE:
This Contract shall be construed in accordance with the laws of the State of California and the parties hereto agree that
venue shall be in Marin County, California.
19. INDEMNIFICATION:
Contractor agrees to indemnify, defend, and hold County, its employees, officers, and agents, harmless from any and all
liabilities including, but not limited to, litigation costs and attorney's fees arising from any and all claims and losses to
anyone who may be injured or damaged by reason of Contractor's negligence, recklessness or willful misconduct in the
performance of this Contract.
20. COMPLIANCE WITH APPLICABLE LAWS:
The Contractor shall comply with any and all Federal, State and local laws and resolutions: including, but not limited to the
County of Marin Nuclear Free Zone, Living Wage Ordinance, and Board of Supervisors Resolution #2005-97 prohibiting
the off -shoring of professional services involving employee/retiree medical and financial data affecting services covered by
this Contract. Copies of any of the above -referenced local laws and resolutions may be secured from the Contract
Manager referenced in section 21. In addition, the following NOTICES may apply:
1. Pursuant to California Franchise Tax Board regulations, County will automatically withhold 7% from all
payments made to vendors who are non-residents of California.
2. Contractor agrees to meet all applicable program access and physical accessibility requirements under
State and Federal laws as may apply to services, programs or activities for the benefit of the public.
3. For Contracts involving any State or Federal grant funds, Exhibit D must be attached. Exhibit D shall
consist of the printout results obtained by search of the System for Award Management at www.sam.aov.
Exhibit D - Debarment Certification
By signing and submitting this Contract, the Contractor is agreeing to abide by the debarment requirements as
set out below.
• The certification in this clause is a material representation of fact relied upon by County.
• The Contractor shall provide immediate written notice to County if at any time the Contractor learns that its
certification was erroneous or has become erroneous by reason of changed circumstances.
• Contractor certifies that none of its principals, affiliates, agents, representatives or contractors are excluded,
disqualified or ineligible for the award of contracts by any Federal agency and Contractor further certifies to the
best of its knowledge and belief, that it and its principals:
Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded by any Federal Department or Agency;
• Have not been convicted within the preceding three -years of any of the offenses listed in 2 CFR
180.800(a) or had a civil judgment rendered against it for one of those offenses within that time period;
Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity
(Federal, State, or Local) with commission of any of the offenses listed in 2 CFR 180.800(a);
• Have not had one or more public transactions (Federal, State, or Local) terminated within the
preceding three -years for cause or default.
The Contractor agrees by signing this Contract that it will not knowingly enter into any subcontract or covered
transaction with a person who is proposed for debarment, debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction.
• The Contractor to this Contract and any subcontractor will provide a debarment certification that includes the
debarment clause as noted in preceding bullets above, without modification.
21. NOTICES:
This Contract shall be managed and administered on County's behalf by the Department Contract Manager named below.
All invoices shall be submitted and approved by this Department and all notices shall be given to County at the following
location:
Contract Manager: Lee Pullen, Director, Aging and Adult Services
Dept./Location: Department of Health and Human Services
Division of Social Services, Aging & Adult Services
Telephone No.: (415) 473-7118
Notices shall be given to Contractor at the following address(es):
Contractor: City of San Rafael
Carlene McCart, Director, Community Services Director
618 B Street
Address: San Rafael, CA 94901
Telephone No.
Contractor:
Address:
Telephone No.:
(415) 485-3333
22. ACKNOWLEDGEMENT OF EXHIBITS:
Check applicable Exhibits CONTRACTOR'S
INITIALS
EXHIBIT A. ® Scope of Services
EXHIBIT B. ® Fees and Payment
EXHIBIT C. ❑ Insurance Reduction/Waiver
EXHIBIT D. ® Contractor's Debarment Certification
EXHIBIT E. ❑ Subcontractor's Debarment Certification
OTHER REQUIRED ® Exhibit G: Audits/Non-Discrimination
EXHIBITS INNS USE ❑ Exhibit K: Aging & Adults Programs
ONLY) ❑ Exhibit K1: Terms & Conditions
IN WITNESS WHEREOF, the parties have executed this Contract on the date first above written.
CONTR TOR: APPROVED BY
COUNTY OF MARIN:
By:
Name: �</�'� ��r 1
Title: /tet ,4-�� Ve By:
,l C my Administrator
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COUNTY COUNSEL REVIEW AND APPROVAL (required if template content has been modified)
County Counsel:
5
Date:
EXHIBIT "A"
SCOPE OF SERVICES
MARIN COUNTY DEPARTMENT OF HEALTH & HUMAN SERVICES
DIVISION OF SOCIAL SERVICES
AGING AND ADULT SERVICES
July 1, 2016 - June 30, 2017
Provider: City of San Rafael
Program Name: Multicultural Senior Center Activities
Program Goal: Arrange or provide organized art, educational health, recreational, social and volunteer
opportunities for persons 60 years and older in order to promote their wellness and enhance their quality of life.
Performance Objectives: At least 80% of clients will report "high to "very high" satisfaction with the program.
Program Definition: Services designed to enable older individuals to attain and/or maintain physical and mental
well-being such as recreation, music, creative arts, physical activity, education, leadership development and
other supportive services not covered under other service categories. Development and provision of new
volunteer opportunities and services and creation of additional services and programs to remedy gaps and
deficiencies in existing services. Entertainment costs such as tickets to shows or sporting events, meals,
lodging, rentals, transportation and gratuities are not allowable.
Minimum Units of Service Required
Units of service: hours
Minimum number of hours: 1,000
Contract Award: $10,000
Geographic Area/Persons to be served: Marin County
Service Provider shall have the capacity to conduct and comply, at a minimum, to the following:
Cooperate with the Area Agency on Aging in its annual monitoring of the funded program, including monitoring
for compliance with program, fiscal, and regulatory requirements and standards.
Perform the activities in the agency's bid/proposal in response to the Request for Proposal for the contracted
service, as negotiated and approved by Aging and Adult Services. In the event the service levels specified in
the bid/proposal are not attained, Aging and Adult Service will be permitted to reduce the contractor's budget.
The scope of service outlined in this exhibit reflects the service level agreed upon between Aging and Adult
Services and the contractor.
Agree not to use contract funds to pay the salary or expenses of any individual who is engaging in activities
designed to influence legislation or appropriations pending before the Congress.
Submit a detailed program budget within 15 days of receiving the budget template provided by the County. The
program budget must be submitted prior to issuance of the County Contract.
0
All required elements in the budget including, but not limited to, the agency's matches, project income, and in-
kind contributions must be identified. Indirect costs are limited to a maximum indirect cash cost of 10% of the
direct cash cost, less Capital Equipment. The program match for I I I B supportive services is 10%. Contractor
must show proof of meeting match cash or in-kind match by documenting on the program budget as described
above and on monthly invoices.
Monthly invoice data must be submitted to Aging and Adult Services no later than the 10th working day of the
month for the prior month. Each monthly invoice must include documentation to support the expenditures
claimed for payment. There must also be supporting documentation for all monthly Match Cash, Match In -Kind,
Non -match Cash, and Non -Match In -Kind, program income claiming. The invoice request for funds must be
accompanied by supporting documentation before payment. During the fiscal year an in-depth fiscal monitoring
will be performed. At this time the County will verify expenditures, revenue, and match, and general ledger
items for selected samples among other documentation. After the end of the fiscal year a contract resolution will
be conducted where expenditures, payments, and match for the full fiscal year are verified via independent
single audit, contractor general ledger, or both. The omission or lack of supporting documentation may result in
contract noncompliance and/or nonpayment.
Submit monthly service unit data report by the 10th working day of the month for the prior month. Enter data
directly in the Get Care/CARS in order to comply with the California Department of Aging, National Aging
Program Information System and Aging and Adult Services reporting requirements. This requirement does not
apply to the Title V program, and specific data reporting policies of this program must be followed.
Offer opportunity for clients to make voluntary confidential contributions to the agency for services received.
Contribution request must include the following information: there is no obligation to contribute; contributions are
voluntary; and service will not be denied based on ability to make contributions. This requirement does not
apply to the Title V program.
Maintain a Client Grievance Policy and process which is approved by Aging and Adult Services prior to being
put into use. Policy must have specific timelines for every level of the grievance. Revise the policy as
necessary after the annual program monitoring to be in compliance with the requirements of the California
Department of Aging. Notify all clients of the grievance process. Provider grievance policy must be posted in a
visible area accessible to clients and distributed at time of intake. Provide a copy of the service provider's
grievance policy to all homebound clients.
On an annual basis, agency staff that handle personal, sensitive, or confidential information must attend a
Security Awareness training conducted by the California Department of Aging. Maintain a log of attendees and
completion certificates for those staff attending.
All publications and written materials developed by the program must include the following statement: "Funding
for this program, at least in part, is made available by the Older Americans Act, administered locally by the
Marin Department of Health and Human Services, Aging and Adult Services."
Attend all mandatory contractors' meetings scheduled by the Aging and Adult Services.
Maintain an updated organizational emergency/disaster preparedness or continuity of operations plan.
Minority Service Priority [pursuant to Older Americans Act Sec.306. (a)(5)(A)(ii)] Provider must prioritize
services to low income minority individuals. In order to satisfy the service needs of this population, the provider
will give priority to minority persons when hiring new staff or recruiting new volunteers.
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Services to lesbian, gay, bisexual, and transgender older adults: [pursuant to the Older Californians Equity and
Protection Act (AB 2920)]: Provider must ensure that programs and services are available to all older adults
regardless of sexual orientation and gender identity. Aging and Adult Services will monitor provider's efforts
applicable to the program to reach lesbian, gay, bisexual, and transgender older adults.
Service priority for frail, homebound or isolated elderly 45CFR1321.69 Persons age 60 or over who are frail,
homebound by reason of illness or incapacitating disability, or otherwise isolated, shall be given priority in the
delivery of services.
Program evaluations to be conducted annually using template provided by Aging and Adult Services.
Program Specific Requirements:
Provide programs and activities targeting the population of low- income older adults including minorities and
limited English —proficient residents focusing on recreation, health, nutrition and education.
Publicize programs and events to older adults, service providers, and community agencies in Central Marin.
Develop volunteer sign -in sheets to track the number of volunteers and volunteer hours.
Develop a methodology to calculate the number of unduplicated clients served by the program.
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EXHIBIT "B"
FEES AND PAYMENT SCHEDULE
B.1. BASE CONTRACT FEE:
COUNTY shall pay CONTRACTOR during the term of this contract (July 1, 2016 through June 30, 2017).
Contractor shall submit requests for payment. No costs incurred by CONTRACTOR prior to the effective date
of the contract should be included in the invoices, nor paid by the COUNTY.
B.2. CONSIDERATIONS:
In no event shall total compensation paid to Contractor under this provision exceed $10,000 without a written
amendment to this Agreement, approved by the County of Marin. Said sum to be payable as follows: subject to
the availability of funds, compliance with insurance requirements as hereinafter provided, and completion of the
contract services to County's satisfaction. Payment amount will be based upon receipt of contractor's financial
statement and request for funds, as expended. Payment will be made following County's receipt of a timely,
accurate and accepted invoice to be submitted no later than the 10th of the following month.
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EXHIBIT "G"
AUDITS, NON-DISCRIMINATION
AUDITS/RECORDS:
1.1 Contractor shall maintain books, records, files, documents and other evidence directly pertinent to all
work under this Agreement in accordance with accepted professional practices and accounting procedures and
according to statutory agreements for the applicable time mandated, and in no case less than seven (7) years
after the termination of the Agreement. County, or any of its duly authorized representatives, shall have access
to such books, records, files, documents and other evidence for purposes of inspection, evaluation, audit or
copying. Contractor will furnish County a certified copy of an Audit Report from an independent CPA firm by
October 31, for the report covering the County's fiscal year that ended the previous June 30. The Audit Report
will cover the County's fiscal year and include the independent CPA firm's review of each program operated by
Contractor, with review of both expenditures and revenues for each program.
1.2 Contractor will provide County with a letter from the chair of the Contractor's Board of Directors certifying
that the Board of Directors has reviewed the Audit Report.
2. NON-DISCRIMINATION IN THE PROVISION OF SERVICES:
2.1 Contractor and/or any permitted subcontractor shall not unlawfully discriminate against any individual
based upon race, religious creed, color, national origin, ancestry, medical condition, marital status, sex, sexual
orientation, age or condition of disability. Contractor and/or any permitted subcontractor understands and
agrees that Contractor and/or any permitted subcontractor is bound by and will comply with the
nondiscrimination mandates of all Federal, State and local statutes, regulations and ordinances. In the
performance of the terms of this Agreement, Contractor shall not discriminate against any employee or
applicant for employment, or against any applicant for or beneficiary of services, because of race, sex, sexual
orientation, HIV status, color, religion, ancestry, national origin, age, disability, or any other unlawful basis.
2.2 Contractor shall take affirmative action to ensure that applicants are employed and that employees are
treated fairly during employment without regard to their race, sex, sexual orientation, HIV status, color, religion,
ancestry, national origin, age, or disability. Such action shall include, but not be limited to, employment,
upgrading, demotion or transfer, recruitment or recruitment advertising, lay-off or termination, rates of pay or
other forms of compensation, and selection for training, including apprenticeship. Contractor shall post in
conspicuous places, available to employees and applicants for employment, notices setting forth Fair
Employment Practices outlined in this section. Contractor shall permit access to its records of employment,
employment advertisements, application forms, and other pertinent data and records by the State Fair
Employment Practice Commission, or any other agency of the State of California designated by the awarding
authority, for the purpose of investigation to ascertain compliance with the Fair Employment Practices section of
this Agreement.
2.3 Contractor shall develop and implement policies and procedures to ensure that all services provided
under this Agreement are rendered in a manner that conforms to all local, State and federal non-discrimination
statutes, regulations and ordinances, including but not limited to race, gender, national origin, disability or
medical condition such as a diagnosis of Acquired Immune Deficiency Syndrome (AIDS), or upon testing
positive for Human Immunodeficiency Virus (HIV), or all other applicable nondiscrimination provisions.
Contractor shall ensure that its staff is adequately trained regarding these non-discrimination provisions,
policies and procedures, including those that involve specific disease -related problems, issues and special
recovery needs.
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3. Disaster Plan:
3.1 Contractor shall have in place, and shall provide to the County, its plan for the referral and/or treatment
of clients in the case of a disaster.
4. Drug -Free Workplace Requirements:
4.1 Contractor will comply with the requirements of the Drug -Free Workplace Act of 1990 and will provide a
drug-free workplace by taking the following actions:
Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession or
use of a controlled substance is prohibited and specifying actions to be taken against employees for violations.
Establish a Drug -Free Awareness Program to inform employees about:
The danger of drug abuse in the workplace
The person's or organization's policy of maintaining a drug-free workplace
Any available counseling, rehabilitation and employee assistance programs, and,
Penalities that may be imposed upon employees for drug abuse violations
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EXHIBIT "K"
AGING AND ADULT SERVICES PROGRAMS
1. Contractor's Compliance with Provisions of State Contract
Contractor acknowledges that this Agreement is a subcontract to an Agreement between the County and the
State (hereinafter "State Contract"). The State Contract requires that the County contractually obligate any of
its subcontractors to also comply with the terms and conditions of the State Contract. Contractor hereby agrees
to comply with the terms and conditions of the State Contract, a copy of which is attached hereto as Exhibit K-1.
In addition, funds available under this Contract are depending upon funding from the state. Lack of funding
from the State will result in termination of this Agreement.
In the event the State Contract requires the County to notify the State of a breach of privacy and/or security of
personally identifiable information (hereinafter "PII") and/or protected health information (hereinafter "PHI"),
Contractor shall immediately upon discovery of a breach of privacy and/or security of PII and/or PHI by
Contractor, notify County of such breach by telephone and email or facsimile. Contractor further agrees that it
shall notify County of any such breaches prior to the time the County is required to notify the State pursuant to
the State Contract.
In the event the State Contract requires the County to pay any costs associated with a breach of privacy and/or
security of PII and/or PHI, including but not limited to the costs of notification, Contractor shall pay on Count's
behalf any and all such costs arising out of a breach of privacy and/or security of PII and/or PHI by Contractor.
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EXHIBIT "K.1"
STATE OF CALIFORNIA AREA PLAN TERMS AND CONDITIONS AND
TITLE V TERMS AND CONDITIONS
Contractor will comply with the requirements of the California Department of Aging Area Plan Terms and
Conditions (AP Scope of Work: Exhibits A, B, D and E) from the Area Agency on Aging (PSA 5) or if applicable,
a copy of the Title V Terms and Conditions (TV Scope of Work: Exhibits A, B, D and E). By signing below, the
contract administrator at the office of the Area Agency on Aging confirms this document has been delivered with
the contract package.
The Area Agency on Aging will maintain a hard copy of the Area Plan (AP) Terms and Conditions and Title V
(TV) Terms and Conditions in the office of the Area Agency on Aging's State Contract folder. Copies of the
Area Plan (AP) Terms and Conditions and Title V (TV) Terms and Conditions are also maintained at the Board
of Supervisor's Office.
This is to confirm the Area Plan Terms and Conditions or Title V Terms and Conditions have been sent to the
provider as part of the contract. Due to the size of the document, a copy is not being made for each contract
file. A hard copy and electronic copy are available in the program office at the Area Agency on Aging.
AAA Contract dministrator's Signature
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Date sig/ednocuments mailed
CALIFORNIA JOINT POWERS
IMRISK MANAGEMENT AUTHORITY
Accredited with Excellence from the California Association of Joint Powers Authorities
CERTIFICATE OF COVERAGE
Certificate Holder and
Additional Covered Party: County of Marin
Dept. of Health & Human Services
Division of Social Services, Aging & Adult Services
10 North San Pedro Road, Suite 1023
San Rafael, CA 94903
Attn: Lee Pullen, Director
This certifies that the coverage
Described herein has been issued to: City of San Rafael
Description of Activity: Multicultural Senior Center Activities - arrange or provide organized art, educational,
health, recreational, social, and volunteer opportunities for multicultural and older persons with limited English
proficiency 60 years and older
Date(s) of Activity: July 01, 2016 to June 30, 2017
Location of Activity: Boro Community Center, 50 Canal Street
San Rafael, CA
Entity Providing Coverage Excess Coverage Certificate
Expiration Date
California Joint Powers Risk Management Authority $500,000 June 30, 2017
excess of
$500,000
The following coverage is in effect and is provided through participation in a risk sharing joint powers authority:
general liability and automobile liability pooled self-insurance, as defined in the Memorandum of Coverage on file
with the entity and which will be made available upon request.
The coverage being provided is limited to the activity and the time period indicated herein and is subject to all the
terms, conditions and exclusions of the Memorandum of Coverage of the California Joint Powers Risk Management
Authority.
Pursuant to Section H, subsection 8, relating to the definition of a covered parry, the certificate holder named herein
is only an additional covered party for covered claims arising out of the activity described herein and is subject to
the limits stated herein.
Coverage is in effect at this time and will not be cancelled, limited or allowed to expire at a date other than that
indicated herein except upon 30 days written notice to the certificate holder.
ARAL 18.2016
Dat TV -
4uthorized Signature
Certificate Number: 2016-2017-COC1348
Form C
7 David F Clovis, ARM, General Manager
Name and Title (Print or type)
3201 Doolan Road, Suite 285 • Livermore, CA 94551 • Phone (925) 837-0667 9 FAX (925) 290-1543
b
CITY OF
:.• r- MAYOR GARY G. PIIILLII'S
VICE MAYOR ANDREW NICCUL.LOUGI I
COUNCIUMENIBER MARIBrrn BusHm,
Cot)NCIINEMBER KATE• COI.IN
COUNCIDOEMBLIt JOAN GAN'IBL.IN
'tom_
OFFICE OF TILE CITY ATTORNEY
Robert F Epstein, City Attorney
Lisa A. Goldtien, Assistant City Attorney
Eric T. Davis, Deputy City Attorney 11
August 21, 2015
Lee Pullen, Director
Dept. of Health and Human Services
Division of Aging & Adult Services
10 N. San Pedro Road, Suite 1012
San Rafael, CA 94903
Re: City of San Rafael Self -Insurance, Multicultural Senior Activities
Dear Mr. Pullen:
The City of San Rafael, as permitted under State law, is self-insured for general liability,
including automobile liability, for the first $500,000. Accordingly, the City does not have a commercially
issued general liability insurance policy. Additional insurance for the coverage required by your contract
is provided by a public entity excess liability pool in which the City participates. The pool, the California
Joint Powers Risk Management Authority (CJPRMA) provides the City's coverage in excess of $500,000
under a Memorandum of Coverage.
Enclosed is a copy of a Certificate of' Coverage showing the County of Marin as an additional
insured. With respect to Worker's Compensation liability, the City is self-insured for the first $1,000,000
and has a separate excess liability policy from Safety National Casualty Corporation, as detailed on the
enclosed copy of the City of San Rafael's Certificate for Specific Excess Workers' Compensation and
Employers' Liability Insurance.
Because it is a local governmental agency existing in the State of California and because it is
entitled to self -insure under the Government Code, the City assumes that this letter will satisfy the
insurance requirements of the Agreement between the County of Marin and the City of San Rafael, for the
arratlaetient or plvvision Of ti• ,116CLIlfti al Senior Centet- Activities.
Please call the City Attorney's Office at 485-3080 should you have any questions regarding
insurance.
Very truly yours,
\_1 f
LISA A. GOLDFIEN
Assistant City Attorney
Enclosures
cc: Carol Jacobs-Courtz, Program Director/Older Adult Services
1400 Fifth Avenue (P.O. Box 151560) San Rafael, CA 94915-1560
PI LONE: (415) 485-3080 / FAX: (415) 485-3109 / EMAIL: city.attoniey@cityofs-,iilrafael.org cityofsanrafael.org
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Record Status: Active
IENTiTY ISAN RAFAEL, CITY OF Status:Active
DUNS: 198423832 +4: CAGE Code: 4TB82 DoDAAC:
Expiration Date: Mar 10, 2017 Has Active Exclusion?: No Delinquent Federal Debt?: No
Address: 1400 5TH AVE
City: SAN RAFAEL State/Province: CALIFORNIA
ZIP Code: 94901-1943 Country: UNITED STATES
[ENTITY. ' ISAN RAFAEL, CITY OF Status:Active
DUNS: 082447459 +4: CAGE Code: 3ULX3 DoDAAC:
Expiration Date: Feb 28, 2017 Has Active Exclusion?: No Delinquent Federal Debt?: No
Address: 1400 5TH AVE
City: SAN RAFAEL State/Province: CALIFORNIA
ZIP Code: 94901-1943 Country: UNITED STATES
June 30, 2016 2:18 PM Page 1 of 1
DEPARTMENT OF HEALTH AND HUMAN SERVICES
............................... .... ....... ..........................................................
COUNTY OF MARIN Promoting and protecting health, well-being, self-sufficiency, and safety of all in Morin
MARIN July 18, 2016
H EALTH &
HUMAN
SERVICES Carol Jacobs-Courtz, Sr. Recreation Supervisor
Heidd,.Well-being C, iaferi- City of San Rafael Community Services Dept.
618 "B" Street
Grant Nash Colfax, MD San Rafael, CA 94901
DIRECTOR
Please sign the agreements along with initialing each checked exhibit on page 5, and
return all three agreements, program budget documents, and proof of insurance
coverage to the Department of Health and Human Services by August 15, 2016. The
enclosed scope of services from the California Department of Aging should be
retained with your contract files.
We look forward to working with you and your staff to provide critical services to
Marin's older adults. Please contact your contract liaison, Michele McCabe, if you
have any questions about the contract process.
Sincerely,
Lee Ilen, Director
Area ency on Aging
Enclosures
Re: Department of Health and Human Services Contract: FY 2016/2017
Kari Beuerman
HHS ASSISTANT DIRECTOR
Dear Carol,
SOCIAL SERVICES
Lee Pullen
Enclosed, please find three copies of the agreement between the City of San Rafael
DIVISION DIRECTOR
and the County of Marin, Department of Health and Human Services for July 1, 2016
through June 30, 2017 to provide Multi -Cultural Senior Activities in the amount of
$10,000.
Aging and Adult Services
10 North San Pedro Road
Insurance
Suite 1023
Please obtain a current Certificate of General Liability Insurance, and Automobile
San Rafael, CA 94903
Liability on ACORD Form 25 from your insurance carrier and a current Schedule B,
415 473 7118 T
which designates the County of Marin, Department of Health and Human Services as
415 473 7042 F
the "Additional Insured," and submit with your three signed contract agreements.
415 473 3232 TTY
Please note that the Schedule B is also known as Additional Insured.
WWW.marinhhs.org/aging-
adult-services
Budget
Please prepare and submit your program budget by August 15, 2016. The Grant
Award column should reflect your Area Agency on Aging Grant from the Older
Americans/Older Californians Act.
Please sign the agreements along with initialing each checked exhibit on page 5, and
return all three agreements, program budget documents, and proof of insurance
coverage to the Department of Health and Human Services by August 15, 2016. The
enclosed scope of services from the California Department of Aging should be
retained with your contract files.
We look forward to working with you and your staff to provide critical services to
Marin's older adults. Please contact your contract liaison, Michele McCabe, if you
have any questions about the contract process.
Sincerely,
Lee Ilen, Director
Area ency on Aging
Enclosures
EXHIBIT "K.1"
STATE OF CALIFORNIA AREA PLAN TERMS AND CONDITIONS AND
TITLE V TERMS AND CONDITIONS
Contractor will comply with the requirements of the California Department of Aging Area Plan Terms and
Conditions (AP Scope of Work: Exhibits A, B, D and E) from the Area Agency on Aging (PSA 5) or if applicable,
a copy of the Title V Terms and Conditions (TV Scope of Work: Exhibits A, B, D and E). By signing below, the
contract administrator at the office of the Area Agency on Aging confirms this document has been delivered with
the contract package.
The Area Agency on Aging will maintain a hard copy of the Area Plan (AP) Terms and Conditions and Title V
(TV) Terms and Conditions in the office of the Area Agency on Aging's State Contract folder. Copies of the
Area Plan (AP) Terms and Conditions and Title V (TV) Terms and Conditions are also maintained at the Board
of Supervisor's Office.
This is to confirm the Area Plan Terms and Conditions or Title V Terms and Conditions have been sent to the
provider as part of the contract. Due to the size of the document, a copy is not being made for each contract
file. A hard copy and electronic copy are available in the program office at the Area Agency on Aging.
AAA Contract Administrator's Signature Date signed and documents mailed
13
Exhibit A — Scope of Work
SCOPE OF WORK
1. Contractor agrees to provide to the California Department of Aging services under Agreement No.
AP -1617-05, in accordance with this Agreement.
2. The services shall be performed in Planning and Service Area(s): 5.
3. The services shall be provided as needed.
4. The project representatives during the term of this agreement will be:
State Agency: California Department of Aging
Name: June Ditgen
Phone (916) 419-7556
Fax: (916) 928-2510
Direct all contract inquiries to:
State Agency: California Department of Aging
Section/Unit: Business Services and Contracts
Attention: Don Fingado
Address: 1300 National Drive, Suite 200
Sacramento, CA 95834
Phone: (916) 419-7157
Fax: (916) 928-2500
Email: don.fingado@aging.ca.gov
Contractor County of Marin
Name: Lee Pullen
Phone: (415) 473-2689
Fax: (415) 473-7042
Contractor: County of Marin
Section/Unit: Area Agency On Aging
Attention: Gary Lara
Address: 10 North San Pedro Road, Suite 1023
San Rafael CA 94903-4155
Phone: (415) 473-7537
Fax: (415) 473-7042
Email: agingandadult@marincounty.org
Page 1 of 15
Scope of Work — Exhibit A
AP 16-17 Contract
ARTICLE I. PROGRAM DEFINITIONS
A. Definitions Specific to Title III and Title VII Programs
Child means an individual who is not more than eighteen (18) years of
age or who is an individual with a disability. [OAA § 372(a)(1)]
2. Coordination means activities that involve the active participation of the
Area Agency on Aging (AAA) staff to include liaison with non -Older
Americans Act (OAA) funded agencies and organizations for the purpose
of avoiding duplication, improving services, resolving problems related to
service delivery, and addressing the service needs of the eligible service
population.
3. Eligible Service Population for Title III B and D means individuals
sixty (60) years of age or older, with emphasis on those in greatest
economic and social need with particular attention to low-income minority
older individuals, older individuals with Limited English Proficiency (LEP),
and older individuals residing in rural areas. [OAA § 305 (a)(2)(E);
22 CCR 7119, 7125, 7127, 7130, 7135 and 7638.7]
4. Eligible Service Population for Title III C-1 and C-2 means individuals
sixty (60) years of age or older, with emphasis on those in greatest
economic and social need with particular attention to low-income minority
older individuals, older individuals with LEP, and older individuals residing
in rural areas. [OAA § 305 (a)(2)(E); 22 CCR 7125, 7127, 7130, 7135]
a. Individuals eligible to receive a meal at a congregate nutrition site
are:
(i) Any older individual.
(ii) The spouse of any older individual.
(iii) A person with a disability, under age sixty (60) who resides
in housing facilities occupied primarily by older individuals at
which congregate nutrition services are provided.
(iv) A disabled individual who resides at home with and
accompanies an older individual who participates in the
program.
(v) A volunteer under age sixty (60), if doing so will not deprive
an older individual sixty (60) or older of a meal.
[CCR 7636.9(b)(3); CCR 7638.7(b) and OAA 339(H)]
Page 2 of 16
Scope of Work — Exhibit A
AP 16-17 Contract
ARTICLE[. PROGRAM DEFINITIONS (Continued)
b. Individuals eligible to receive a home -delivered meal are individuals
who are:
(i) An older individual who is frail as defined by 22 CCR 7119,
and homebound by reason of illness, disability, or isolation.
(These individuals shall be given priority).
(ii) A spouse of a person in 22 CCR 7638.7(c)(2), regardless of
age or condition, if an assessment concludes that is in the
best interest of the homebound older individual.
(iii). An individual with a disability who resides at home with older
individuals, if an assessment concludes that it is in the best
interest of the homebound older individual who participates
in the program.
5. Eligible Service Population for Title III E means an adult family
member, or another individual, who is an informal provider of in-home and
community care to an older individual or to an individual with Alzheimer's
disease or a related disorder with neurological and organic brain
dysfunction. [OAA § 302(3)]
6. Grandparent or Older Individual Who is a Relative Caregiver means a
grandparent or step -grandparent of a child, or a relative of a child by
blood, marriage, or adoption, who is fifty-five (55) years of age or older,
and who:
a. Lives with the child;
b. Is the primary caregiver of the child because the biological or
adoptive parents are unable or unwilling to serve as the primary
caregiver of the child; and
C. Has a legal relationship with the child, such as legal custody or
guardianship, or is raising the child informally.
[OAA § 372(a)(2)(A)-(C)]
7. Indirect Costs means costs incurred for a common or joint purpose
benefiting more than one cost objective and not readily assignable to the
cost objective specifically benefited, without effort disproportionate to the
results achieved.
Page 3 of 16
Scope of Work — Exhibit A
AP 16-17 Contract
ARTICLE I. PROGRAM DEFINITIONS (Continued)
8. Individual with Severe Disability(ies) means a person with a severe,
chronic disability attributable to mental or physical impairment that is likely
to continue indefinitely and results in substantial functional limitation in
three or more major life activities. [OAA § 102(a)(48)]
9. In-kind Contributions means the value of non-cash contributions
donated to support the project or program (e.g., property, service, etc.).
10. Matching Contributions means local cash and/or in-kind contributions
made by the Contractor, a subcontractor, or other local resources that
qualify as match for the Contract funding.
11. Non -Matching Contributions means local funding that does not qualify
as matching contributions and/or is not being budgeted as matching
contributions (e.g., federal funds, overmatch, etc.).
12. Nutrition Services Incentive Program (NSIP) means the program whose
purpose is to provide incentives to encourage and reward effective
performance by AAAs in the efficient delivery of nutritious meals to older
individuals. The program consists of a cash allotment based on the ratio
of the number of meals served by each Planning and Service Area (PSA)
compared to the total number of meals served in the State in the prior -
prior federal fiscal year.
13. One -Time -Only Funds means:
a. Titles III and VII federal funds allocated to the AAA in a State fiscal
year that are not expended or encumbered for services and
administration provided by June 30 of that fiscal year as reported to
the California Department of Aging (CDA) in the Area Plan
Financial Closeout Report. [22 CCR 7314(x)(6)]
b. Title III and VII federal funds recovered from an AAA as a result of
a fiscal audit determination and resolution by CDA.
[22 CCR 7314(a)(7)]
C. Supplemental Title III and Title VII program funds allocated by the
Administration on Aging to CDA as a result of the federal
reallotment process. [22 CCR 7314(a)(8)]
14. Priority Services for Title III B means those services associated with
access to services (transportation, outreach, information and assistance,
and case management); in-home services including supportive services
such as respite and visiting, for families of older individuals who are
Page 4 of 16
Scope of Work — Exhibit A
AP 16-17 Contract
ARTICLE I. PROGRAM DEFINITIONS (Continued)
victims of Alzheimer's disease and related disorders with neurological and
organic brain dysfunction; and legal assistance.
15. Priority Services for Title III E means services provided to family
caregivers who care for individuals with Alzheimer's disease or related
disorders with neurological and organic brain dysfunction, and to
grandparents or older individuals, who are relative caregivers who care for
children with severe disabilities. [OAA § 372(b)(1)-(2)]
16. Program Development means activities that either establish a new
service or expand or integrate existing services.
17. Program Income means revenue generated by the Contractor or the
Subcontractor from contract -supported activities and may include:
a. Voluntary contributions received from a participant or other party for
services received.
b. Income from usage or rental fees of real or personal property
acquired with grant funds or funds provided under this Agreement.
C. Royalties received on patents and copyrights from contract -
supported activities.
d. Proceeds from the sale of items purchased under a CDA contract
agreement.
18. Program Requirements means Title III program requirements found in
the OAA [42 USC 3001-3058]; the Code of Federal Regulations
[45 CFR 1321]; the California Code of Regulations [22 CCR 7000 et seq.];
and CDA Program Memoranda, and California Retail Food Code (CRFC).
19. Title III B (Supportive Services) means a variety of services including,
but not limited to: personal care, homemaker, chore, adult day health care,
case management, assisted transportation, transportation, legal
assistance, information and assistance, outreach, and long-term care
ombudsman advocacy, as defined in the National Aging Programs
Information Systems (NAPIS) categories and the National Ombudsman
Reporting System (NORS). [OAA § 321(a)]
20. Title III C-1 (Congregate Nutrition Services) means nutrition services for
older individuals in a congregate setting. Services include meals, nutrition
and health promotion education, health promotion programs, nutrition risk
screening, and opportunities for socialization. Each meal shall provide
Page 5 of 16
Scope of Work — Exhibit A
AP 16-17 Contract
ARTICLE I. PROGRAM DEFINITIONS (Continued)
one-third (1/3) of the Dietary Reference Intakes (DRI) and comply with the
most current Dietary Guidelines for Americans (DGA). To be an eligible
Title III C-1 congregate nutrition site, the site must meet all of the following
criteria: [22 CCR 7638.7(a)]
a. Be open to the public. [45 CFR 1321.53(b)(3)]
b. Not means test. [OAA § 315(b)(3)]
C. Provide participants the opportunity to make voluntary contributions
and not deny service for not contributing to the cost of the service.
[OAA § 315(b)(4)] [22 CCR 7638.9]
d. Not receive funds from another source for the cost of the same
meal, equipment, or services. [2 CFR 200.403(f)][45 CFR
75.403(f)]
21. Title III C-2 (Home -Delivered Nutrition Services) means nutrition
services provided to homebound older individuals including meals,
nutrition and health promotion education, and nutrition risk screening.
Each meal shall provide one-third (1/3) of the DRI and comply with the
most current Dietary Guidelines for Americans.
[22 CCR 7135, 22 CCR 7638.7(c)]
22. Title III D (Disease Prevention and Health Promotion Services) means
disease prevention and health promotion programs that are based on
scientific evidence and demonstrated through rigorous evaluation to be
effective in improving the health of older adults. Title III D evidence -based
health promotion programs help older adults learn techniques and
strategies to delay and/or manage chronic health conditions and include
activities that improve nutrition, physical fitness, fall prevention, and
emotional well-being. [OAA 361 Part D]
Page 6 of 16
Scope of Work — Exhibit A
AP 16-17 Contract
ARTICLE I. PROGRAM DEFINITIONS (Continued)
23. Title III E Family Caregiver Support Program (FCSP) Categories are:
a. Information Services
b. Access Assistance
C. Support Services
d. Respite Care
e. Supplemental Services
[OAA 373(b)(1)(2)(3)(4)(5)]
B. Definitions Specific to Title VII -A (Allotments for Vulnerable Elder Riahts
Protection Activities)
1. Eligible Service Population means older individuals, sixty (60) years of
age or older, who are residents of long-term care facilities (i.e., nursing,
skilled nursing, distinct part facilities, residential care facilities for the
elderly, and other adult care homes similar to these facilities) regardless of
their socio-economic status or area of residence.
[OAA §§ 102(a)(35), 321(a)(10); Welf. & Inst. Code § 9701(b),(e)]
The Local Ombudsman Program may serve residents under sixty (60)
years of age if:
a. A majority of the residents of the facility where the younger person
resides are over age sixty (60) and
b. Such service does not weaken or decrease service to older
individuals covered by the OAA.
[Policy of the Office of Elder Rights Protection, Administration on Aging;
July 15, 1996]
2. Local Ombudsman Program Coordinator means the individual selected
by the Governing Board or Executive Director responsible for the Local
Ombudsman Program and designated by the State Ombudsman to
represent the Local Ombudsman Program and the Office of the State
Long -Term Care Ombudsman. This individual manages the day-to-day
operations of the Local Ombudsman Program, including implementation of
federal and State requirements. The Local Ombudsman Program
Coordinator is required to be a State Certified Ombudsman
Page 7 of 16
Scope of Work — Exhibit A
AP 16-17 Contract
ARTICLE I. PROGRAM DEFINITIONS (Continued)
Representative; complete State training for new Coordinators, and
participate in State Ombudsman sponsored meetings at least twice each
year. The selection is in accordance with policies and procedures
established by the State Ombudsman and meets the State Ombudsman's
criteria for designation and concurrence. [OAA §§ 712(a)(5)(A), 712(h)(5)]
[45 CFR 1327.1] [Welf. & Inst. Code §§ 9701(d), 9719]
3. Local Ombudsman Program means either a program of the AAA or its
Subcontractor that is designated by the State Ombudsman to carry out the
duties of the State Long -Term Care Ombudsman Program with respect to
the Planning and Service Area. The selection is in accordance with
policies and procedures established by the State Ombudsman and which
meets the State Ombudsman's criteria for designation and concurrence.
[OAA §§ 711(3), 712(a)(5)(D)] [45 CFR 1327.1]
[Welf. & Inst. Code § 9701(a)]
4. Office of the State Long -Term Care Ombudsman (OSLTCO) means the
office established by CDA to carry out the State Long -Term Care
Ombudsman Program, both directly and by contract between CDA and the
AARs. As a program of CDA, the OSLTCO is responsible for activities
that promote the development, coordination, and utilization of
Ombudsman services. The OSLTCO establishes and maintains effective
communication with programs that provide legal services for the elderly
and advocacy services of a similar nature that receive funding or official
designation from the State. The OSLTCO analyzes data, monitors
government actions, and provides recommendations pertaining to long-
term care facilities and services. The OSLTCO periodically updates
training procedures for Local Ombudsman Programs and provides them
with administrative and technical assistance.
[OAA §§ 712(a)(1)(A), 712(a)(3)(C),(F), 712(h)] [45 CFR 1327.1]
[Welf. & Inst. Code §§ 9710, 9716, 9717]
5. State Certified Ombudsman Representative means the volunteer or
employee of the Local Ombudsman Program who is individually certified
by the State Ombudsman in accordance with policies and procedures
established by the State Ombudsman to serve as representative of the
State Long -Term Care Ombudsman Program. Prior to certification by the
State Ombudsman, the individual is required to pass State and federal
criminal background clearance, complete a minimum of thirty-six (36)
hours of training, and complete a mentorship in accordance with policies
and procedures established by the State Ombudsman.
[OAA §§ 711(5), 712(a)(5)(A), 712(h)(5)] [45 CFR 1327.1]
[Welf. & Inst. Code §§ 9712.5, 9719]
Page 8 of 16
Scope of Work — Exhibit A
AP 16-17 Contract
ARTICLE I. PROGRAM DEFINITIONS (Continued)
6. State Long -Term Care Ombudsman Program means the CDA program
through which the functions and duties of OSLTCO are carried out,
consisting of the Ombudsman, OSLTCO headed by the Ombudsman, and
the representatives of OSLTCO. [OAA § 712(a)(1)(B)] [45 CFR 1327.11
[Welf. & Inst. Code § 9700]
7. State Long -Term Care Ombudsman hereinafter referred to as the State
Ombudsman means the individual who heads the OSLTCO and is
responsible to personally, or through representatives of the Office, fulfill
the functions, responsibilities and duties set forth in 45 CFR 1327.13 and
1327.19. [OAA §§ 712(a)(2)-(3), 712(a)(5)(D)(ii), 712(e)] [45 CFR 1327.1]
Welf. & Inst. Code §§ 9701(f), 9711]
C. Definitions Specific to Title VII -A (Allotments for Vulnerable Elder Riqhts
Protection Activities — Programs for Prevention of Elder Abuse. Neqlect, and
Exploitation)
Elder Abuse Prevention Programs means activities to develop, strengthen,
and carry out programs for the prevention, detection, assessment, and treatment
of, intervention in, investigation of, and response to elder abuse, neglect, and
exploitation (including financial exploitation) [42 USC 3058i] [OAA § 721],
including:
1. Providing for public education and outreach to identify and prevent
elder abuse, neglect, and exploitation;
2. Providing for public education and outreach to promote financial
literacy and prevent identity theft and financial exploitation of older
individuals;
3. Ensuring the coordination of services provided by AAAs with
services instituted under the State adult protective service program,
State and local law enforcement systems, and courts of competent
jurisdiction;
4. Promoting the development of information and data systems,
including elder abuse reporting systems, to quantify the extent of
elder abuse, neglect, and exploitation in the PSA;
5. Conducting analyses of local Adult Protective Services and Long -
Term Care Ombudsman information concerning elder abuse,
neglect, and exploitation and identifying unmet service,
enforcement, or intervention needs;
Page 9 of 16
Scope of Work — Exhibit A
AP 16-17 Contract
ARTICLE I. PROGRAM DEFINITIONS (Continued)
6. Conducting training for individuals, including caregivers described
in part E of Title III, professionals, and paraprofessionals, in
relevant fields on the identification, prevention, and treatment of
elder abuse, neglect, and exploitation, with particular focus on
prevention and enhancement of self-determination and autonomy;
7. Providing technical assistance to programs that provide or have the
potential to provide services for victims of elder abuse, neglect, and
exploitation and for family members of the victims; and
8. Conducting special and on-going training, for individuals involved in
serving victims of elder abuse, neglect, and exploitation, on the
topics of self-determination, individual rights, State and federal
requirements concerning confidentiality, and other topics
determined by CDA to be appropriate.
ARTICLE II. SCOPE OF WORK
A. The Contractor shall:
Implement the statutory provisions of the Title III and Title VII Programs
[OAA § 306] in accordance with State and federal laws and regulations.
The Contractor shall make every effort to meet the goals and objectives
stipulated in the four-year Area Plan and annual updates of the Area
Plan's Goals, Objectives, and Service Unit Plan, herein incorporated into
this Agreement by reference. Performance shall not be unilaterally
reduced or otherwise changed without prior consultation with, and written
approval from CDA. A service unit reduction of greater than
ten percent (10%) requires written approval from CDA. A service unit
reduction of greater than twenty percent (20%) is a major change that
effects Area Plan goals and objectives and requires an Area Plan
Amendment. [22 CCR 7306(a)]
2. Establish and maintain an organization that shall have the ultimate
accountability for funds received from CDA and for the effective and
efficient implementation of the activities as described in the Area Plan and
all pertinent State and federal laws and regulations including data
reporting requirements.
3. Meet the adequate proportion requirements for priority services as
required under OAA § 306(a)(2); 22 CCR 7312.
4. Maintain staff time records and documentation to identify the allocation of
Program Development or Coordination activities to determine the amount
Page 10 of 16
Scope of Work — Exhibit A
AP 16-17 Contract
ARTICLE II. SCOPE OF WORK (Continued)
of Program Development or Coordination expenditures. Records and
documentation shall:
a) Include a written description for each Program Development or
Coordination activity in the staff time records that is of sufficient
detail to define the event or type of activity.
b) Be traceable back to the Program Development or Coordination
objectives as approved in the Area Plan.
5. Keep on file a written record/documentation supporting expenditures of
Program Development or Coordination activities for three (3) years or until
any audit is resolved, whichever is longer.
6. Meet the requirements under OAA § 301(a)(1)(A) to secure and maintain
maximum independence and dignity in a home environment for the eligible
service population capable of self-care with appropriate supportive and
nutrition services.
7. Remove individual and social barriers to economic and personal
independence for the eligible service population to the extent possible as
required under OAA § 301(a)(1)(B).
8. Provide a continuum of care for the vulnerable eligible service population
as required under OAA § 301(a)(1)(C).
9. Secure the opportunity for the eligible service population to receive
managed in-home services as required under OAA § 301(a)(1)(D).
10. Conduct and/or promote activities for the prevention and treatment of
elder abuse, neglect, and exploitation, as required under OAA § 721.
11. Enter into contracts with subcontractors that require them to provide
services pursuant to 22 CCR 7352 to 7364, and ensure all applicable
provisions required within this Agreement are included in the
subcontract(s).
12. Review, approve, and monitor subcontractor budgets and expenditures
and any subsequent amendments and revisions to budgets. The
Contractor shall, to the extent feasible, ensure that all budgeted funds are
expended by the end of each fiscal year.
13. Monitor, on an ongoing basis, the Subcontractor's use of federal and State
funds through reporting, site visits, regular contact, or other means to
Page 11 of 16
Scope of Work — Exhibit A
AP 16-17 Contract
ARTICLE II. SCOPE OF WORK (Continued)
assure the Subcontractor administers federal and State awards in
compliance with laws, regulations, and the provisions of contracts and that
performance goals are achieved. [2 CFR 200.331]. Onsite program
monitoring must be conducted every two (2) years for all programs except
Title III C-1 and Title III C-2, which must be conducted every year. Onsite
Fiscal monitoring must be conducted every two (2) years for all programs
including Title III C-1 and Title III C-2.
14. Monitor nutrition programs. Non-food preparation congregate dining sites
must be inspected using a standardized procedure developed by the AAA
that assures all sites are seen systematically, but not necessarily every
year. The AAA Registered Dietician (RD), annually, must physically
inspect each food preparation site (central kitchen). AAA policies and
procedures must guarantee the following:
a) Inspection of non-food preparation nutrition sites at least every
other year.
b) Inspection of non-food preparation nutrition sites more often if they
are seen to have an increased risk for food safety violations or a
history of corrective actions.
c) Inspection of central kitchens sites annually on-site.
[22 CCR 7634.3(d)]
15. Maintain or increase the number of Title III C-1 and C-2 meals served if
federal and/or State funds for meal programs increase. This Contract
shall promote and maintain high standards of food safety and sanitation as
required by the California Retail Food Code (CalCode).
16. Provide support and technical assistance to subcontractors and respond
in writing to all written requests for direction, guidance, and interpretation
of instructions to include client and performance data.
17. Distribute and maintain up-to-date CDA requirements so that all
responsible persons have ready access to standards, policies, and
procedures.
18. Provide program information and assistance to the public.
19. Maintain a four-year Area Plan, with annual updates, as specified in
22 CCR 7300 to 7320. The Area Plan and annual updates are due by
May 1 st of each year. The annual update shall be effective during the
same term as this Agreement.
Page 12 of 16
Scope of Work — Exhibit A
AP 16-17 Contract
ARTICLE Il. SCOPE OF WORK (Continued)
20. Maintain a program data collection and reporting system as specified in
Exhibit E of this Contract.
21. Contract Title III case management services only to a public or non-profit
agency, as required by 42 USC 3026(a)(8)(C).
22. Offer to each older individual seeking Title III case management services,
a list of agencies that provide similar services within the jurisdiction of the
AAA as specified in 42 USC 3026(a)(8)(C)(i)-(iii).
23. Include the identity of each designated community focal point in
subcontracts as specified in 42 USC 3026(a)(3)(B).
24. Ensure that meal counts associated with Title III C1, C2 and NSIP are in
accordance 22 CCR 7638.7(a)(1)-(4).
25. Offer a meal to a volunteer under age of sixty (60) if doing so will not
deprive an older individual of a meal. [22 CCR 7638.7(b)(1)] The
Contractor or the Subcontractor shall develop and implement a written
policy for providing and accounting for volunteer meals.
[22 CCR 7638.7(b)(2)]
26. Provide a home -delivered meal to an eligible individual.
[22 CCR 7638.7(c)]
27. Report a meal only once either as a Title III meal or a Title VI meal.
28. Adhere to 48 CFR 3.908, implementing section 828, entitled "Pilot
Program for Enhancement of Contractor Whistleblower Protections," of the
National Defense Authorization Act (NDAA) for Fiscal Year 2013
(Pub. L. 112-239, enacted January 2, 2013), applies to this Agreement.
29. Recognize any same-sex marriage legally entered into in a United States
(U.S.) jurisdiction that recognizes their marriage, including one of the
fifty (50) states, the District of Columbia, or a U.S. territory, or in a foreign
country so long as that marriage would also be recognized by a U.S.
jurisdiction. This applies regardless of whether or not the couple resides
in a jurisdiction that recognizes same-sex marriage. However, this does
not apply to registered domestic partnerships, civil unions or similar formal
relationships recognized under the law of the jurisdiction of celebration as
something other than a marriage. Accordingly, recipients must review and
revise, as needed, any policies and procedures which interpret or apply
federal statutory or regulatory references to such terms as "marriage,"
"spouse," family," "household member"' or similar references to familial
Page 13 of 16
Scope of Work — Exhibit A
AP 16-17 Contract
ARTICLE ll. SCOPE OF WORK (Continued)
relationships to reflect inclusion of same-sex spouse and marriages. Any
similar familial terminology references in the U.S. Department of Health
and Human Services' (HHS) statutes, regulations, or policy transmittals
will be interpreted to include same-sex spouses and marriages legally
entered into as described herein.
[1 USC 7 - Section 3 of the Defense of Marriage Act]
B. The Contractor shall ensure that the Local Ombudsman Program, in accordance
with policies and procedures established by the State Ombudsman, will:
Provide services to protect the health, safety, welfare and rights of
residents. [OAA § 712(a)(5)(B)(i)] [45 CFR 1327.19(a)(2)]
[Welf. & Inst. Code §§ 9701(a), 9712.5(b)]
2. Ensure residents in the service area of the Local Ombudsman
Program have regular, timely access to State Certified Ombudsman
Representatives and timely responses to complaints and requests
for assistance. [OAA § 712(a)(5)(B)(ii)] [45 CFR 1327.19(a)(3)]
[Welf. & Inst. Code § 9712.5(d)]
3. Identify, investigate, and seek to resolve complaints made by or on
behalf of residents that relate to their rights and well-being as
residents. Complaint investigations shall be done in an objective
manner to ascertain the pertinent facts. Findings shall be reported
to the complainant. If a complaint is not investigated; the
complainant shall be notified in writing of the decision not to
investigate and the reasons for the decision.
[OAA § 712(a)(5)(B)(iii)] [45 CFR 1327.19(a)(1)]
[Welf. & Inst. Code §§ 9701(a), 9712.5(a)]
4. Receive and investigate reports of suspected abuse, neglect and
exploitation of elder or dependent adults occurring in long-term care
facilities. [Welf. & Inst. Code § 15630 et seq.]
5. Witness advance health care directives and property transfers of
more than $100 for residents of skilled nursing facilities.
[HSC 1289] [PC 4675, PC 4700 et seq.]
6. Collect and submit data in accordance with the statewide uniform
reporting system established by the State Ombudsman and the
reporting provisions specified in Exhibit E of this Contract.
[OAA § 712(c)] [Welf. & Inst. Code § 9716(a)].
Page 14 of 16
Scope of Work — Exhibit A
AP 16-17 Contract
ARTICLE II. SCOPE OF WORK (Continued)
7. Represent the interests of residents before governmental agencies
and seek administrative, legal, and other remedies to protect the
rights and well-being of residents. [OAA § 712(a)(5)(B)(iv)]
[45 CFR 1327.19(a)(4)] [Welf. & Inst. Code § 9712.5(e)]
8. Review, comment, and facilitate the ability of the public to comment
on laws, regulations, policies, actions, and legislative bills that
pertain to the rights and well-being of residents.
[OAA § 712(a)(5)(B)(v)] [45 CFR 1327.19(a)(5)]
[Welf. & Inst. Code § 9712.5(g)(i)]
9. Support the development of resident and family councils.
[OAA § 712(a)(5)(B)(vi)] [45 CFR 1327.19(a)(6)]
[Welf. & Inst. Code § 9726.1(a)(3)]
10. Carry out other activities that the State Ombudsman determines to
be appropriate, including the following services
[OAA § 712(a)(5)(B)(vii)] [45 CFR 1327.19(a)(7)]:
a. Update, periodically, a plan for maintaining an ongoing
presence in long-term care facilities. [OAA § 712(a)(3)(D);
Welf. & Inst. Code § 9712.5(d)(1)]
b. Provide public information and technical support pertaining
to long-term care services, including inspection reports,
statements of deficiency, and plans of correction for long-
term care facilities within the service area.
[Welf. & Inst. Code § 9726.1(a)(1)]
C. Promote visitation programs and other community
involvement in long-term care facilities within the service
area. [Welf. & Inst. Code § 9726.1(a)(2), (4)]
d. Establish (in addition to support) resident, family and friends'
councils. [Welf. & Inst. Code § 9726.1(a)(3)]
e. Present community education and training programs to long-
term care facility staff, human service workers, families and
the general public about long-term care and residents' rights.
[Welf. & Inst. Code § 9726.1(a)(5)]
Page 15 of 16
Scope of Work — Exhibit A
AP 16-17 Contract
ARTICLE II. SCOPE OF WORK (Continued)
Refer other individuals' complaints and concerns that a
representative becomes aware are occurring in the facility to
the appropriate governmental agency.
[Welf. & Inst. Code § 9712.5(a)(2)]
11. Ensure that the Local Ombudsman Program, in accordance with
policies and procedures established by the State Ombudsman, will
use Citation Penalties Account funds, Licensing and Certification
Program funds, Skilled Nursing Facility Quality and Accountability
funds, Older Americans Act funds, and Older Californians Act funds
to support activities for the overall program.
12. Review and approve claims for Citation Penalties Account funds,
Licensing and Certification Program funds, and Skilled Nursing.
13. Facility Quality and Accountability funds, Older Americans Act
funds, and Older Californians Act funds.
14. Submit monthly fiscal documents to CDA, as determined by CDA,
for Citation Penalties Account funds, Licensing and Certification
Program funds, Skilled Nursing Facility Quality and Accountability
funds, Older Americans Act funds, and Older Californians Act
funds.
Page 16 of 16
Budget Detail, Payment Provisions, and Closeout — Exhibit B
AP 16-17 Contract
ARTICLE I. FUNDS
A. Expenditure of Funds
The Contractor shall expend all funds received hereunder in accordance
with this Agreement.
2. Any reimbursement for authorized travel and per diem shall be at rates not
to exceed those amounts paid by the State in accordance with the
California Department of Human Resources' (CaIHR) rules and
regulations.
In State:
Mileage -
http://www.calhr.ca.gov/emplovees/Pages/travel-r)ersonal-
vehicle.aspx
Per Diem (meals and incidentals) -
http://www.calhr.ca.gov/emplovees/Pages/travel-meals.asr)x
Lodging -
http://www.calhr.ca.gov/emplovees/Pages/travel-lodginq-
reimbursement.aspx
Out of State: http://www.calhr.ca.gov/emplovees/Pages/travel-out-of-
state.aspx
This is not to be construed as limiting the Contractor from paying any
differences in costs, from funds other than those provided by CDA,
between the CaIHR rates and any rates the Contractor is obligated to pay
under other contractual agreements. No travel outside the State of
California shall be reimbursed unless prior written authorization is
obtained from the State. [2 CCR 599.615 et seq.]
The Contractor agrees to include these requirements in all contracts it
enters into with subcontractors to provide services pursuant to this
Agreement.
3. CDA reserves the right to refuse payment to the Contractor or disallow
costs for any expenditure, as determined by CDA to be: out of compliance
with this Agreement, unrelated or inappropriate to contract activities, when
adequate supporting documentation is not presented, or where prior
approval was required, but was either not requested or not granted.
1 of 14
Budget Detail, Payment Provisions, and Closeout — Exhibit B
AP 16-17 Contract
ARTICLE I. FUNDS (Continued)
B. Accountabilitv for Funds
1. The Contractor shall maintain accounting records for funds received under
the terms and conditions of this Agreement. These records shall be
separate from those for any other funds administered by the Contractor,
and shall be maintained in accordance with Generally Accepted
Accounting Principles and Procedures and the Office of Management and
Budget's (OMB) Uniform Administrative Requirements, Cost Principles,
and Audit Requirements for Federal Awards. [2 CFR 200] [45 CRF 75]
2. Financial Management Systems
The Contractor shall meet the following standards for its financial
management systems, as stipulated in 2 CFR 200.302 and 45 CFR
75.302:
a. Financial Reporting.
b. Accounting Records.
C. Complete Disclosure.
d. Source Documentation.
e. Internal Control.
Budgetary Control.
g. Cash Management (written procedures).
h. Allowable Costs (written procedures).
C. Unexpended Funds
Upon termination, cancellation, or expiration of this Agreement, or dissolution of
the entity, the Contractor shall return to the State immediately upon written
demand, any funds provided under this Agreement, which are not payable for
goods or services delivered prior to the termination, cancellation, or expiration of
this Agreement, or the dissolution of the entity.
2of14
Budget Detail, Payment Provisions, and Closeout — Exhibit B
AP 16-17 Contract
ARTICLE I. FUNDS (Continued)
D. Fundinq Continqencies
1. It is understood between the parties that this Agreement may have been
written before ascertaining the availability or appropriation of funds, for the
mutual benefit of both parties, in order to avoid program and fiscal delays
that would occur if this Agreement were executed after that determination
was made.
2. This Agreement is valid and enforceable only if sufficient funds are made
available to the State by the United States Government or the Budget Acts
of the appropriate fiscal years for purposes of this program(s). In addition,
this Agreement is subject to any additional restrictions, limitations, or
conditions enacted by the Congress or the Legislature that may affect the
provisions, terms, or funding of this Agreement in any manner.
3. Limitation of State Liabilitv
Payment for performance by the Contractor shall be dependent upon the
availability of future appropriations by the Legislature or Congress for the
purposes of this Contract and approval of an itemized budget No legal
liability on the part of the State for any payment may arise under this
Contract until funds are made available; the itemized budget is received
and approved by the State and the Contractor has received an executed
contract.
4. Fundinq Reduction(s)
a. If funding for any State fiscal year is reduced or deleted by the
Department of Finance, Legislature, or Congress for the purposes
of this program, the State shall have the option to either:
Terminate the Contract pursuant to Exhibit D, Article XII., A
of this Agreement, or
Offer a contract amendment to the Contractor to reflect the
reduced funding for this Contract.
b. In the event the State elects to offer an amendment, it shall be
mutually understood by both parties that:
The State reserves the right to determine which contracts, if
any, under this program shall be reduced.
3 of 14
Budget Detail, Payment Provisions, and Closeout — Exhibit B
AP 16-17 Contract
ARTICLE I. FUNDS (Continued)
ii. Some contracts may be reduced by a greater amount than
others, and
iii. The State shall determine at its sole discretion the amount
that any or all of the contracts shall be reduced for the fiscal
year.
E. Interest Earned
Interest earned on federal advance payments deposited in interest-
bearing accounts must be remitted annually to CDA. Interest amounts up
to $500 per year may be retained by the Contractor and subcontractors for
administrative expenses. [2 CFR 200.305(b)(9)] [45 CRF 75.305 (8)(ii)]
2. Interest earned on advances of federal and non-federal funds shall be
identified as non -match cash.
3. The Contractor must maintain advance payments of federal awards in
interest-bearing accounts, unless the following apply: [2 CFR
200.305(b)(8)] [45 CRF 75.305 (8)(i)(ii)(iii)(iv)]
a. The Contractor receives less than $120,000 in federal awards per
year.
b. The best reasonably available interest-bearing account would not
be expected to earn interest in excess of $500 per year on federal
cash balances.
C. The depository would require an average or minimum balance so
high that it would not be feasible within the expected federal and
non-federal cash resources.
d. A foreign government or banking system prohibits or precludes
interest bearing accounts.
ARTICLE II. BUDGET AND BUDGET REVISION
A. The Contractor shall be compensated for expenses only as itemized in the
approved Budget with the exception of line item budget transfers as noted in this
Exhibit and shall not be entitled to payment for these expenses until this
Agreement is approved and executed by CDA. The approved budget is hereby
incorporated by reference into this Agreement as a part of Exhibit B.
4 of 14
Budget Detail, Payment Provisions, and Closeout — Exhibit B
AP 16-17 Contract
ARTICLE II. BUDGET AND BUDGET REVISION (Continued)
B. The Budget must set forth in detail the reimbursable items, unit rates and
extended total amounts for each line item. The Contractor's budget shall include,
at a minimum, the following items when reimbursable under this Agreement:
1. Personnel Costs - monthly, weekly, or hourly rates, as appropriate and
personnel classifications together with the percentage of time to be
charged to this Agreement.
2. Fringe Benefits.
3. Contractual Costs — subcontract and consultant cost detail.
4. Indirect Costs.
5. Rent - specify square footage and rate.
6. Supplies.
7. Equipment - detailed descriptions and unit costs.
8. In State Travel — mileage reimbursement rate, lodging, per diem and other
costs.
9. Out of State Travel - any travel outside the State of California including
mileage reimbursement rate, lodging, per diem and other costs.
10. Other Costs - a detailed list of other operating expenses.
C. The Contractor shall ensure that the Subcontractor shall submit a budget, which
shall be incorporated by reference into the Subcontract and will have, at a
minimum, the categories listed in Section B. above.
D. Unless otherwise specified by CDA, the final budget revision must be submitted
at least ninety (90) days prior to the ending date of the Contract.
E. Indirect Costs
The maximum reimbursement amount allowable for indirect costs is
ten percent (10%) of the Contractor's and/or Subcontractor's direct costs,
excluding in-kind contributions and nonexpendable equipment.
2. Contractors requesting reimbursement for indirect costs shall retain on file
an approved indirect cost rate or an allocation plan documenting the
methodology used to determine the indirect costs.
5of14
Budget Detail, Payment Provisions, and Closeout — Exhibit B
AP 16-17 Contract
ARTICLE II. BUDGET AND BUDGET REVISION (Continued)
3. Indirect costs exceeding the ten percent (10%) maximum may be
budgeted as in-kind and used to meet the minimum matching
requirements (Title III and Title VII only).
4. For major Institutes of Higher Education and major nonprofit
organizations, indirect costs must be classified within two broad
categories: "Facilities" and "Administration." "Facilities" is defined as
depreciation on buildings, equipment and capital improvement, interest on
debt associated with certain buildings, equipment and capital
improvements, and operations and maintenance expenses.
"Administration" is defined as general administration and general
expenses such as the director's office, accounting, personnel and all other
types of expenditures not listed specifically under one of the subcategories
of "Facilities" (including cross allocations from other pools, where
applicable). [2 CFR 200.414] [45 CFR 75.414]
ARTICLE III. PROGRAM SPECIFIC FUNDS
A. Proqram Income
Program Income must be reported and expended under the same terms
and conditions as the program funds from which it is generated.
2. Program Income must be used to pay for current allowable costs of the
program in the same fiscal year that the income was earned (except as
noted in 4).
3. For Title I II -B, III -C, III -D, II I -E, VII Ombudsman, and VI I -A Elder Abuse
Prevention programs, Program Income must be spent before contract
funds (except as noted in 4) and may reduce the total amount of contract
funds payable to the Contractor.
4. For Title III -B, III -C, III -D, III -E, VII Ombudsman, and VII -A Elder Abuse
Prevention programs, if Program Income is earned in excess of the
amount reported in the Area Plan Budget, the excess amount may be
deferred for use in the first quarter of the following Contract period, which
is the last quarter of the federal fiscal year.
5. If Program Income is deferred for use it must be used by the last day of
the federal fiscal year and reported when used.
6. Program Income may not be used to meet the matching requirements of
this Agreement.
6 of 14
Budget Detail, Payment Provisions, and Closeout — Exhibit B
AP 16-17 Contract
ARTICLE III. PROGRAM SPECIFIC FUNDS (Continued)
7. Program Income must be used to expand baseline services.
B. One -Time Onlv (OTO) Funds
OTO funds are non -transferable between funding sources. This means
that OTO funds can only be used in the program in which they were
accrued.
2. OTO funds can only be awarded to a subcontractor that has a valid
contract with the AAA. All contracts shall be procured either through an
open and competitive procurement process pursuant to 22 CCR 7352 or
through a non-competitive award pursuant to 22 CCR 7360.
3. Titles III and VII federal Program OTO funds shall only be used for the
following purposes:
a. The purchase of equipment that enhances the delivery of services
to the eligible service population.
b. Home and community-based projects that are approved in advance
by CDA, and are designed to address the unmet needs of the
eligible service population identified in the Area Plan.
C. Innovative pilot projects that are approved in advance by CDA, and
are designed for the development or enhancement of a
comprehensive and coordinated system of services as defined in
45 CFR 1321.53(a)(b).
d. OTO funds can be used to maintain or increase baseline services.
However, AARs shall assure that services funded with OTO funds
will not create an expectation of service delivery beyond the current
Contract period. Expenditures for baseline services do not require
advance CDA approval.
4. NSIP OTO funds shall only be used to purchase food used in the Elderly
Nutrition Program.
C. Matchinq Contributions
"Matching Contributions" means local cash and/or in-kind contributions made by
the Contractor, a subcontractor, or other local resources that qualify as match for
the Contract funding.
7of14
Budget Detail, Payment Provisions, and Closeout — Exhibit B
AP 16-17 Contract
ARTICLE III. PROGRAM SPECIFIC FUNDS (Continued)
Cash and/or in-kind contributions may count as match, if such
contributions are used to meet program requirements.
2. Any matching contributions (cash or in-kind) must be verifiable from the
records of the Contractor or a subcontractor.
3. Matching contributions must be used for allowable costs in accordance
with the OMB cost principles.
D. Area Plan Administration
Area Plan Administration may be combined into one cost objective for purposes
of documenting charges for salaries and wages funded from federal fund
Titles III -B, III -C1, III -C2, III -E, and III -C1 and III -C2 General Fund administration
allocations.
ARTICLE IV. PROGRAM SPECIFIC BUDGET AND BUDGET REVISION
A. The Contractor shall submit electronically the original Area Plan Budget with the
Area Plan and Area Plan annual updates by May 1, unless otherwise instructed
by CDA.
B. The Contractor shall submit electronically a budget revision thirty (30) calendar
days after receiving an amended Area Plan Budget Display with changes in
funding levels, unless otherwise instructed by CDA.
C. The final date to submit a budget revision is April 30 of the Contract period
unless otherwise specified by CDA.
D. Line Item Budciet Transfers
The Contractor may transfer contract funds between line items under the
following terms and conditions:
The Contractor may transfer any or all administrative funds into program
without restrictions for each funding source - Title III -B, C1, C2, D & E.
However, the Contractor shall not transfer funds designated for programs
into administration.
2. The Contractor may make unlimited transfer of funds between budget line
items for Title III -B, C1, C2, D, and E programs. However, the Contractor
shall submit a revised budget to CDA when one or the cumulative line item
budget transfers exceeds ten percent (10%) of the total budget for each
funding source.
8 of 14
Budget Detail, Payment Provisions, and Closeout — Exhibit B
AP 16-17 Contract
ARTICLE IV. PROGRAM SPECIFIC BUDGET AND BUDGET REVISION (Continued)
3. The Contractor shall maintain a written record of all budget changes and
clearly document line item budget changes. The record shall include the
date, amount and purpose of the transfer. This record shall be available
to CDA upon request and shall be maintained in the same manner as all
other financial records.
E. Allocation Transfers
The Contractor shall submit a request to CDA to transfer federal or State
funds between Title III -B, C1 and C2 programs in accordance with the
budget display in Exhibit B. The request shall be submitted as instructed
in the Area Plan Budget forms.
a. Transfer of federal baseline funds is allowable between Titles III -B
and III -C in accordance with OAA § 308(b)(5)(A) and between
Titles III -C1, and III -C2 in accordance with OAA § 308(b)(4)(A).
b. Transfer of State funds is allowable between Title III -C1 General
Fund and Title III -C2 General Fund.
2. Approved transfers and Area Plan Budgets will be incorporated by
reference into the current Agreement.
3. Transfer of funds cannot be processed or approved after the end of the
specified Contract period.
F. Matchinq Requirements
The required minimum administration matching contributions for Title III -B,
III -C, & III -E combined is twenty-five percent (25%).
2. The required minimum program matching contributions for Title III -B and
III -C is ten percent (10%).
3. The required minimum program matching contributions for Title III -E is
twenty-five percent (25%).
4. Minimum matching requirements are calculated on net costs, which are
total costs less program income, non-matching contributions, and State
funds.
5. Program matching contributions for Title II I -B and III -C can be pooled to
meet the minimum requirement of ten percent (10%).
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Budget Detail, Payment Provisions, and Closeout — Exhibit B
AP 16-17 Contract
ARTICLE IV. PROGRAM SPECIFIC BUDGET AND BUDGET REVISION (Continued)
6. Matching contributions generated in excess of the minimum required are
considered overmatch.
7. Program overmatch from Title III -B or III -C cannot be used to meet the
program match requirement for III -E.
8. Of the total minimum match required for Title I II at least twenty-five
percent (25%) must be from local public agencies (e.g., city and county
governments, school districts, special districts, and water districts).
9. Expend not more than ten percent (10%) of the total Title III -E
federal and matching non-federal share to provide support services to
grandparents and older individuals who are relative caregivers of a child
who is not more than eighteen (18) years of age in accordance with
OAA § 373(g)(2)(C).
10. Limit expenditures for Title III -E Supplemental Services to twenty
percent (20%) of the total Title III -E federal and matching non-federal
share.
G. Proqram Development or Coordination
The Contractor shall not budget or fund Program Development or Coordination
activities as a cost of Title III -B Supportive Services until it has first budgeted and
spent the total of its Title III -B, III -C, & III -E funds allocated for Area Plan
administration costs. During the Contract period, Program Development or
Coordination activities and Area Plan administration activities can occur
simultaneously. (See Article VI. of this Exhibit of this Agreement for
reconciliation during the closeout period.)
ARTICLE V. PAYMENTS
A. Title III -B, III -C, III -D. III -E, VII Ombudsman and VII -A Elder Abuse Prevention
The Contractor shall prepare and submit a monthly expenditure report and a
request for funds to the online California Aging Reporting System (CARS) Fiscal
Module by the 30th of each month as follows, or unless otherwise specified by
CDA.
10 of 14
Budget Detail, Payment Provisions, and Closeout — Exhibit B
AP 16-17 Contract
ARTICLE V. PAYMENTS (Continued)
Monthly Fiscal Reporting Due Dates
RFF Month July Aug Sept Oct Nov Dec Jan Feb Mar Apr May June
RFF 5/30 6/30 7/30 8/30 9/30 10/30 11/30 12/30 1/30 2/28 3/30 4/30
Due Date
Expenditure
Report Apr May June July Aug Sept Oct Nov Dec Jan Feb Mar
Month
Expenditure
Report 5/30 6/30 7/30 8/30 9/30 10/30 11/30 12/30 1/30 2/28 3/30 4/30
Due Date
*The table is a standard request for funds (RFF) and expenditure reporting
schedule. If the effective date of this Contract is not July 1, the Contractor's RFF
and expenditure reporting will commence with the first month of the term of this
Contract period and end with the month preceding the last full month of the
Contract.
B. Ombudsman Citation Penalties Account, Licensing and Certification Proqram
funds, Skilled Nursing Facilitv Qualitv and Accountabilitv Funds, and Older
Californians Act.
The Contractor shall submit a monthly expenditure report and a request for funds
by the 30th of each month unless otherwise specified by CDA.
C. During the Contract period, CDA shall advance funds based on an analysis of
current cash needs.
D. Upon execution of this Agreement, CDA will make monthly payments of Nutrition
Services Incentive Program (NSIP) funding to the Contractor during the first
month of each quarter.
E. CDA may require financial reports more frequently than indicated above or with
more detail (or both), upon written notice to the Contractor, until such time as
CDA determines that the financial management standards are met.
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Budget Detail, Payment Provisions, and Closeout — Exhibit B
AP 16-17 Contract
ARTICLE VI. CLOSEOUT
A. The Area Plan Financial Closeout Report and Report of Property Purchased with
Agreement Funds (CDA 32) shall be submitted annually to the CDA Fiscal Team.
All contractors must submit to CDA, Closeout Reports as instructed by CDA.
B. Federal funds will be reduced proportionately to maintain the required matching
ratios if the Contractor fails to report sufficient match.
C. During the review and approval of the closeout, administration costs will be
increased to the total amount allocated before approving final costs for Program
Development or Coordination activities.
D. Closeout reporting documents must be addressed to the CDA Fiscal Team.
E. Final expenditures must be reported to CDA in accordance with the budget
display in Exhibit B. If the expenditures reported by the Contractor exceed the
advanced amount, CDA will reimburse the difference to the Contractor. If the
expenditures reported by the Contractor are less than the advanced amount,
CDA will invoice the Contractor for the unspent funds.
12 of 14
State of California
Califomia Department of Aging
CDA 001 (Rev. 11105)
Exhibit B - Budget Detail,
Payment Provisions, and Closeout
AREA PLAN
Budget Display
Fiscal Year 2016-17 (Federal Funding
Years 2016 & 2017)
County of Marin
12 months (July 1, 2016 - June 30,
2017)
Project
Baseline Cumulative
Updated Cumulative
Number
Baseline
Adjustments Transfers
Baseline OTO
Supportive Services
Federal Title IIIB
3BSL16-16 •
51,181
(b)
51,181
Federal Title IIIB
3BSL17-16
153,542
I`i -
153,542
Total Supportive Services
204,723
-
204,723
Ombudsman
Federal Title IIIB
3BOL16-16
5,160
(b) -
5,160
Federal Title IIIB
3BOL17-16
15,480
t`i -
15,480
Federal Title Vila
70FL16-16
6,498
(b)
6,498
Federal Title Vila
7OFL17-16
19,494
I`I
19,494
General Fund IIIB
B1GL
7,965
(a) -
7,965
Public Health L & C
Program Fund
LCPF
3,186
(a)
3,186
Stale Health Facilities
Citation Penalties
Account
SDFL
9,423
(a)
9,423
SNF Quality &
Accountability
SNFL
15,133
(a)
15,133
Total Ombudsman
82,339
82,339
Congregate Nutrition
Federal Title IIIC1
3C11_16-16
74,330
(b)
74,330
Federal Title IIIC1
3011-17-16
222,990
t`i
222,990
General Fund C1
C1 GL
25,380
(a) -
25,380
NSIPCI
NC11_16-16
2,654
(b) -
2,654
NSIPCI
NC1L17-16
7,963
t`I -
7,963
Total Congregate Nutrition
333,317
-
333,317 -
Home -Delivered Meals
Federal Title IIIC2
3C206-16
38,006
(b) -
38,006 -
Federal Title IIIC2
3C21-17-16
114,019
t`I -
114,019 -
General Fund C2
C2GL
25,446
tat -
25,446
NSIP C2
NC21_16-16
14,801
(b) -
14,801 -
NSIP C2
NC21_17-16
44,402
t`i -
44,402 -
Total Home Delivered
Meals
236,674
-
236,674 -
Disease Prevention
Federal Title IIID
3DFL16-16
3,588
(b)
3,588 -
Federal Title IIID
3DFL17-16
10,763
t`I
10,763 -
Total Disease Prevention
14,351
14,351 -
Family Caregiver
Federal Title IIIE
3EFL16-16
25,019
(b)
25,019 -
Federal Title IIIE
3EFL17-16
75,055
t`I
75,055 -
Total Title IIIE
100,074
100,074 -
Elder Abuse
Federal Title VII
7EFL16-16
898
(b)
898 -
Federal Title VII
7EFL17-16
2,694
t`I
2,694 -
Total Elder Abuse
3,592
3,592 -
1 13 1
Award ':
Dale:
Amendment #:
Issue Dale:
Updated Total
AP -1617-05
7/1/2016
Net Change
51,181
153,542
204,723 -
5,160
15,480
6,498
19,494
7,965
3,186
9,423
15,133
82,339
74,330
222,990
25,380
2,654
7,963
333,317
38,006
114,019
25,446
14,801
44,402
236,674
3,588
10,763
14,351
25,019
75,055
100,074
898
2,694
3,592
state of California
Award #:
AP-1617-05
California Department of Aging
Date:
7/1/2016
CDA 001111- 1110s)
Amendment #:
Exhibit B - Budget Detail,
Payment Provisions, and Closeout Issue Date:
AREA PLAN
Budget Display
Fiscal Year
2016-17 (Federal Funding Years 2016 & 2017)
County of Marin
12 months (July 1, 2016 - June 30,
2017)
Project
Baseline Cumulative Updated Cumulative
Number
Baseline
Adjustments Transfers Baseline OTO Updated Total Net Change
Administration
Federal Title IIIB
3BAL16-16
10,608 (b)
10,608
10,608
Federal Title 1116
3BAL17-16
31,823 (`)
31,823
31,823
Federal Title IIIC1
ClAL16-16
13,781 (b)
13,781
13,781
Federal Title IIIC1
ClAL17-16
41,341 W
41,341
41,341
Federal Title IIIC2
C2AL16-16
7,046 (b)
- 7,046
7,046
Federal Title IIIC2
C2AL17-16
21,139 (`)
- - 21,139
21.139
Federal Title IIIE
3EAL16-16
4,628 (b)
- 4,628
4,628
Federal Title IIIE
3EAL17-16
13,882 t`)
13,882
13,882 -
General Fund C1
1GAL
253 la)
253
253 -
General Fund C2
2GAL
67 (a)
67
67 -
Total Administration
144,568
144,568
144,568 -
Funding Summary
Federal Funds
1,032,785
1,032,785
1,032,785 -
General Fund
59,111
59,111
59,111- -
Public Health L & C
Program Fund
3,186
3,186
3,186 -
SNF Quality &
Accountability
15,133
15,133
15,133 -
State Health Facilities
Citation Penalties
Account
9,423
9,423
9,423 -
Grand Total - All Funds
1,119,638
1,119,638
1,119,638 -
Comments:
The maximum amount of Title
IIIE expenditures allowable for supplemental services is:
31,622
The maximum amount of Title
IIIE expenditures allowable for Grandparents is:
15,811
The minimum General Fund to
be expended for State Match in Title III is:
39,319
CFOA NUMBER
Year
Award #
Award Name
,
93.041
2b16
16AACAt7tA
;Order Americans Act Title VII-Allotments for Vulnerable Elder Rights Protection Activities
93.041
2017
17AACAT7EAOlder
Americans Act Title VII-Allotments For Vulnerable Elder Rights Protection Activities
93.042
2016
16AACAt7d-
%lder Americans Act Title VII-Allotments for Vulnerable Elder Rights Protection Activities
93.042
2017
17AACAT70M
!Older Americans Act Title VII-Allotments For Vulnerable Elder Rights Protection Activities
93.043
2016
16AACAT3P_H
Americans Act Title III-Grants for State & Community Programs on Aging
93.043
2017
17AACAT3PH
_!Older
+Older Americans Act Title III-Grants for State & Community Programs on Aging
93.044
2016
16AACAT3SS
_
iOlder Americans Act Title III-Grants for State & Community Programs on Aging
93.044
2017
17AACAT3SS
:Older Americans Act Title 111-Grants for State & Community Programs on Aging
93.045
2016
16AACAT364
iOlder Americans Act Title III-Grants for State & Community Programs on Aging
93.045
2017
17AACAT3CM
Oder Americans Act Title III-Grants for State & Community Programs on Aging
93.045
2016
16AACA-f HR
Older Americans Act Title III-Grants for State & Community Programs on Aging
93.045
2017
17AACAT3HD
iOider Americans Act Title III-Grants for State & Community Programs on Aging
_
93.052
2016
16AACAT3FC
)Older Americans Act Title III-Grants for State & Community Programs on Aging
_(
93.052
2017
17AACAT3FC
101der Americans Act Title III-Grants for State & Community Programs on Aging
93.053
2016
16AACANSIP
jOlder Americans Act Section 311-Nutrition Services Incentive Program
93.053
2017
17AACANBIP
Older Americans Act Section 311-Nutrition Services Incentive Orogram
(a) Funds must be expended by 6/30/17 and final expenditures reported in closeout by 7/31/17.
lb) Funds must be obligated by 9/30/16 and final expenditures reported in closeout by 7/31/17. The baseline request to be transferred for the project (7/1/16- 9-30/16)
is due 5/1/16. These funds may not be carried over into a following year contract.
(c) Funds must be reported in closeout by 7/31/17 and may be carried over into the following year contract. The baseline request to be transferred for the project
(10/1/16 -6/30/17) is due 5/1/17.
14
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE I. DEFINITIONS AND RESOLUTIONS OF LANGUAGE CONFLICTS
A. General Definitions
1. "Agreement" or "Contract" means the Standard Agreement (Std. 213),
Exhibits A, B, C, D and E, an approved Budget as identified in Exhibit B,
and if applicable, a Work Plan or Budget Narrative, which are hereby
incorporated by reference, amendments, and any other documents
incorporated by reference; unless otherwise provided for in this Article.
2. "Contractor' means the Area Agency on Aging (AAA) awarded funds
under this Agreement and is accountable to the State and/or federal
government for use of these funds and is responsible for executing the
provisions for services provided under this Agreement.
3. "CCR" means California Code of Regulations.
4. "CFR" means Code of Federal Regulations.
5. "Data Universal Numbering System (DUNS) number" means the nine -digit
number established and assigned by Dun and Bradstreet, Inc., to uniquely
identify business entities.
6. "Cal. Gov. Code" means California Government Code.
7. "OMB" means the federal Office of Management and Budget.
8. "PCC" means the Public Contract Code.
9. "Reimbursable item" also means "allowable cost" and "compensable item."
10. "State" and "Department" mean the State of California and the California
Department of Aging (CDA) interchangeably.
11. "Subcontractor" means the legal entity that receives funds from the
Contractor to carry out part of a federal award identified in this Agreement.
12. "Subcontract" means any form of legal agreement between the Contractor
and the Subcontractor, including an agreement that the Contractor
considers a contract, including vendor type Agreements for providing
goods or services under this Agreement.
13. "USC" means United States Code.
14. "Welf. & Inst. Code" means Welfare and Institutions Code.
Page 1 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE I. DEFINITIONS AND RESOLUTIONS OF LANGUAGE CONFLICTS (Continued)
B. Resolution of Lanquaqe Conflicts
The terms and conditions of this federal award and other requirements have the
following order of precedence, if there is any conflict in what they require:
The Grant Terms and Conditions.
2. The Older American Act Amendments of 2006 (OAA) as amended and
other applicable federal statutes and their implementing regulations.
3. If applicable, the Older Californians Act and other California State codes
and regulations.
4. Standard Agreement (Std. 213), all Exhibits and any amendments thereto.
5. Any other documents incorporated herein by reference including, if
applicable, the federal HHS terms and conditions found in Part II of the
HHS Grant Policy Statement.
http://www.hhs.qov/asfr/oaapa/aboutoa/hhsgpsl 07.pdf
6. Program memos and other guidance issued by CDA.
ARTICLE II. ASSURANCES
A. Law, Policv and Procedure. Licenses, and Certificates
The Contractor agrees to administer this Agreement and require any
subcontractors to administer their subcontracts in accordance with this
Agreement, and with all applicable local, State, and federal laws and regulations
including, but not limited to, discrimination, wages and hours of employment,
occupational safety, and to fire, safety, health, and sanitation regulations,
directives, guidelines, and/or manuals related to this Agreement and resolve all
issues using good administrative practices and sound judgment. The Contractor
and its subcontractors shall keep in effect all licenses, permits, notices, and
certificates that are required by law.
B. Subcontracts
The Contractor shall require language in all subcontracts to require all
subcontractors to comply with all applicable State and federal laws.
Page 2 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE II. ASSURANCES (Continued)
C. Nondiscrimination
The Contractor shall comply with all federal statutes relating to nondiscrimination.
These include those statutes and laws contained in the Contractor Certification
Clauses (CCC 307), which is hereby incorporated by reference. In addition, the
Contractor shall comply with the following:
Equal Access to Federally -Funded Benefits, Proqrams and Activities
The Contractor shall ensure compliance with Title VI of the Civil Rights Act
of 1964 [42 USC 2000d; 45 CFR 80], which prohibits recipients of federal
financial assistance from discriminating against persons based on race,
color, religion, or national origin.
2. Equal Access to State -Funded Benefits. Proqrams and Activities
The Contractor shall, unless exempted, ensure compliance with the
requirements of Cal. Gov. Code § 11135 to 11139.5, and 22 CCR 98000
et seq., which prohibit recipients of state financial assistance from
discriminating against persons based on race, national origin, ethnic group
identification, religion, age, sex, sexual orientation, color, or disability.
[22 CCR 98323 Chapter 182, Statutes of 2006]
3. The Contractor assures the State that it complies with the Americans with
Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis
of disability, as well as all applicable regulations and guidelines issued
pursuant to the ADA. [42 USC 12101 et seq.]
4. The Contractor agrees to include these requirements in all contracts it
enters into with subcontractors to provide services pursuant to this
Agreement.
D. Standards of Work
The Contractor agrees that the performance of work and services pursuant to the
requirements of this Agreement shall conform to accepted professional
standards.
E. Conflict of Interest
The Contractor shall prevent employees, consultants, or members of
governing bodies from using their positions for purposes including, but not
limited to, the selection of subcontractors, that are, or give the appearance
of being, motivated by a desire for private gain for themselves or others,
such as family, business, or other ties. In the event that the State
Page 3 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE II. ASSURANCES (Continued)
determines that a conflict of interest exists, any increase in costs
associated with the conflict of interest may be disallowed by the State and
such conflict may constitute grounds for termination of the Agreement.
2. This provision shall not be construed to prohibit employment of persons
with whom the Contractor's officers, agents, or employees have family,
business, or other ties, so long as the employment of such persons does
not result in a conflict of interest (real or apparent) or increased costs over
those associated with the employment of any other equally qualified
applicant, and such persons have successfully competed for employment
with the other applicants on a merit basis.
F. Covenant Aqainst Contingent Fees
1. The Contractor warrants that no person or selling agency has been
employed or retained to solicit this Agreement. There has been no
agreement to make commission payments in order to obtain this
Agreement.
2. For breach or violation of this warranty, CDA shall have the right to
terminate this Agreement without liability or at its discretion to deduct from
the Agreement price or consideration, or otherwise recover, the full
amount of such commission, percentage, brokerage, or contingency fee.
G. Pavroll Taxes and Deductions
The Contractor shall promptly forward payroll taxes, insurances, and
contributions, including State Disability Insurance, Unemployment Insurance, Old
Age Survivors Disability Insurance, and federal and State income taxes withheld,
to designated governmental agencies as required by law.
H. Facility Construction or Repair
This section applies only to Title III funds and not to other funds allocated to other
Titles under the OAA. Title III funds may be used for facility construction or
repair.
1. When applicable for purposes of construction or repair of facilities, the
Contractor shall comply with the provisions contained in the following and
shall include such provisions in any applicable agreements with
subcontractors:
Page 4 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE II. ASSURANCES (Continued)
a. Copeland "Anti -Kickback" Act. [18 USC 874, 40 USC 276c]
[29 CFR 3]
b. Davis -Bacon Act. [40 USC 276a to 276a-7] [29 CFR 5]
C. Contract Work Hours and Safety Standards Act.
[40 USC 327 to 333] [29 CFR 5, 6, 7, 8]
d. Executive Order 11246 of September 14, 1965, entitled "Equal
Employment Opportunity" as amended by Executive Order 11375
of October 13, 1967, as supplemented in Department of Labor
Regulations. [41 CFR 60]
2. Payments are not permitted for construction, renovation, alteration,
improvement, or repair of privately -owned property which would enhance
the owner's value of such property except where permitted by law and by
CDA.
3. When funding is provided for construction and non -construction activities,
the Contractor must obtain prior written approval from CDA before making
any fund or budget transfers between construction and non -construction.
Contracts in Excess of $100,000
If all funding provided herein exceeds $100,000, the Contractor shall comply with
all applicable orders or requirements issued under the following laws:
1. Clean Air Act, as amended. [42 USC 7401]
2. Clean Water Act, as amended. [33 USC 1251 ]
3. Federal Water Pollution Control Act, as amended. [33 USC 1251, et seq.]
4. Environmental Protection Agency Regulations. [40 CFR, 29] [Executive
Order 11738]
5. Public Contract Code Section 10295.3.
J. Debarment, Suspension, and Other Responsibilitv Matters
1. The Contractor certifies to the best of its knowledge and belief, that it and
its subcontractors:
Page 5 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE II. ASSURANCES (Continued)
a. Are not presently debarred, suspended, proposed for disbarment,
declared ineligible, or voluntarily excluded from covered
transactions by any federal department or agency.
b. Have not, within a three-year period preceding this Agreement,
been convicted of, or had a civil judgment rendered against them
for commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (federal,
State, or local) transaction or contract under a public transaction;
violation of federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction of
records, making false statements, or receiving stolen property.
C. Are not presently indicted for, or otherwise criminally or civilly
charged by a governmental entity (federal, State, or local) with
commission of any of the offenses enumerated in paragraph (1)(b)
of this certification.
d. Have not, within a three-year period preceding this Agreement, had
one or more public transactions (federal, State, or local) terminated
for cause or default.
2. The Contractor shall report immediately to CDA in writing, any incidents of
alleged fraud and/or abuse by either the Contractor or subcontractors.
3. The Contractor shall maintain any records, documents, or other evidence
of fraud and abuse until otherwise notified by CDA.
4. The Contractor agrees to timely execute any and all amendments to this
Agreement or other required documentation relating to the Subcontractor's
debarment/suspension status.
K. Aqreement Authorization
If a public entity, the Contractor shall submit to CDA a copy of an
approved resolution, order, or motion referencing this Agreement number
authorizing execution of this Agreement. If a private nonprofit entity, the
Contractor shall submit to CDA an authorization by the Board of Directors
to execute this Agreement, referencing this Agreement number.
2. These documents, including minute orders must also identify the action
taken.
Page 6 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE If. ASSURANCES (Continued)
3. Documentation in the form of a resolution, order, or motion by the
Governing Board of the AAA is required for the original and each
subsequent amendment to this Agreement. This requirement may also be
met by a single resolution from the Governing Board of the Contractor
authorizing the AAA Director or designee to execute the original and all
subsequent amendments to this Agreement.
L. Contractor's Staff
The Contractor shall maintain adequate staff to meet the Contractor's
obligations under this Agreement.
2. This staff shall be available to the State for training and meetings which
the State may find necessary from time to time.
M. DUNS Number and Related Information
The DUNS number must be provided to CDA prior to the execution of this
Agreement.
2. The Contractor must keep the DUNS number and related updates on the
website at http://fedgov.dnb.com/webform.
3. The Contractor shall review all DUNS information to ensure it is up-to-date
and the DUNS number status is "active."
4. If CDA cannot access the Contractor's DUNS information related to this
federal subaward on the Federal Funding Accountability and
Transparency Act Subaward Reporting System (SAM.gov) due to errors in
the Contractor's data entry for its DUNS number, the Contractor must
immediately update the information as required.
N. Corporate Status
The Contractor shall be a public entity, private nonprofit entity, or Joint
Powers Authority (JPA). If a private nonprofit corporation or JPA, the
Contractor shall be in good standing with the Secretary of State of
California and shall maintain that status throughout the term of this
Agreement.
2. The Contractor shall ensure that any subcontractors providing services
under this Agreement shall be of sound financial status.
Page 7 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE II. ASSURANCES (Continued)
3. Any subcontracting private entity or JPA shall be in good standing with the
Secretary of State of California and shall maintain that status throughout
the term of this Agreement.
4. Failure to maintain good standing by the contracting entity shall result in
suspension or termination of this Agreement with CDA until satisfactory
status is restored. Failure to maintain good standing by a subcontracting
entity shall result in suspension or termination of the subcontract by the
Contractor until satisfactory status is restored.
O. Lobbvinq Certification
The Contractor, by signing this Agreement, hereby certifies to the best of its
knowledge and belief, that:
No federally appropriated funds have been paid or will be paid, by or on
behalf of the Contractor, to any person for influencing or attempting to
influence an officer or employee of any agency; a Member of Congress;
an officer or employee of Congress; or an employee of a Member of
Congress; in connection with the awarding of any federal contract; the
making of any federal grant; the making of any federal loan; the entering
into of any cooperative agreement; and the extension, continuation,
renewal, amendment, or modification of any federal contract, grant, loan,
or cooperative agreement.
2. If any funds other than federally appropriated funds have been paid or will
be paid to any person for influencing or attempting to influence an officer
or employee of any federal agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in
connection with this federal contract, grant, loan, or cooperative
agreement, the Contractor shall complete and submit Standard Form -LLL;
Disclosure Form to Report Lobbying, in accordance with its instructions.
3. The Contractor shall require that the language of this certification be
included in the award documents for all subcontracts at all tiers (including
contracts under grants, loans, and cooperative agreements which exceed
$100,000) and that all subcontractors shall certify and disclose
accordingly.
4. This certification is a material representation of fact upon which reliance
was placed when this transaction was made or entered into.
5. This certification is a prerequisite for making or entering into this
transaction imposed by 31 USC 1352.
Page 8 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE II. ASSURANCES (Continued)
6. 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.
ARTICLE III. AGREEMENT
A copy of this executed Agreement is on file and available for inspection at the
California Department of Aging, 1300 National Drive, Suite 200, Sacramento, California
95834.
ARTICLE IV. COMMENCEMENT OF WORK
Should the Contractor or subcontractor begin work in advance of receiving notice that
this Agreement is approved, that work may be considered as having been performed at
risk as a mere volunteer and may not be reimbursed or compensated.
ARTICLE V. SUBCONTRACTS
A. The Contractor is responsible for carrying out the terms of this Agreement,
including the satisfaction, settlement, and resolution of all administrative,
programmatic, and fiscal aspects of the program(s), including issues that arise
out of any subcontracts, and shall not delegate or contract these responsibilities
to any other entity. This includes, but is not limited to, disputes, claims, protests
of award, or other matters of a contractual nature. The Contractor's decision is
final and the Subcontractor has no right of appeal to CDA.
B. The Contractor shall, in the event any subcontractor is utilized by the Contractor
for any portion of this Agreement, retain the prime responsibility for all the terms
and conditions set forth, including but not limited to, the responsibility for
preserving the State's copyrights and rights in data in accordance with
Article XIX. of this Exhibit, for handling property in accordance with Article VII. of
this Exhibit, and ensuring the keeping of, access to, availability of, and retention
of records of subcontractors in accordance with Article VI. of this Exhibit.
C. The Contractor shall not obligate funds for this Agreement in any subcontracts for
services beyond the ending date of this Agreement.
D. The Contractor shall have no authority to contract for, or on behalf of, or incur
obligations on behalf of the State.
E. The Contractor shall maintain on file copies of subcontracts, memorandums
and/or Letters of Understanding which shall be made available for review at the
request of CDA.
Page 9 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE V. SUBCONTRACTS (Continued)
F. The Contractor shall monitor the insurance requirements of its subcontractors in
accordance with Article XI. of this Exhibit.
G. The Contractor shall require language in all subcontracts to require all
subcontractors to indemnify, defend, and save harmless the Contractor, its
officers, agents, and employees from any and all claims and losses accruing to
or resulting from any subcontractors, suppliers, laborers, and any other person,
firm, or corporation furnishing or supplying work services, materials, or supplies
in connection with any activities performed for which funds from this Agreement
were used 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
Subcontractor(s) in the performance of this Agreement.
H. The Contractor shall ensure that the Subcontractor will complete all reporting and
expenditure documents requested by CDA. These reporting and expenditure
documents shall be sent to the Contractor in a timely manner and at intervals as
determined by CDA.
I. The Contractor shall, prior to the awarding of a subcontract to any for-profit
entity, submit the following to CDA for review and approval:
The Request for Proposal or Invitation for Bid.
2. All bid proposals received.
3. The proposal or bid evaluation documentation, along with the Contractor's
rationale for awarding the subcontract to a for-profit entity. [22 CCR 7362]
Where a program may be subcontracted to a for-profit organization, the
Contractor should include in its contract with the for-profit entity, a requirement
for performance of a program -specific audit of the subcontracted program by an
independent audit firm.
The Contractor shall require all subcontractors to maintain adequate staff to meet
the Subcontractor's Agreement with the Contractor. This staff shall be available
to the State for training and meetings which the State may find necessary from
time to time.
K. If a private nonprofit corporation, the Subcontractor shall be in good standing with
the Secretary of State of California and shall maintain that status throughout the
term of the Agreement.
L. The Contractor shall refer to 2 CFR 200, Subpart F - Audit Requirements and
45 CFR 75, Subpart F — Audit Requirements in making a determination if a
subcontractor relationship
Page 10 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE V. SUBCONTRACTS (Continued)
exists. If such a relationship exists, then the Contractor shall follow the
procurement requirements in the applicable regulation.
M. The Contractor shall utilize procurement procedures as follows:
1. The Contractor shall obtain goods and services through open and
competitive awards. Each Contractor shall have written policies and
procedures, including application forms, for conducting an open and
competitive process, and any protests resulting from the process.
2. For goods and services purchased with Title II I or Title VI I funds, the
procurement procedures must include, at a minimum, the requirements
set forth in 22 CCR 7352. The only exception is contained in
22 CCR 7360(a). The Contractor issuing a noncompetitive award must
comply with 22 CCR 7360(b) -(d).
ARTICLE VI. RECORDS
A. The Contractor shall maintain complete records which shall include, but not be
limited to, accounting records, contracts, agreements, a reconciliation of the
"Financial Closeout Report" (CDA Closeout) to the audited financial statements,
single audit report, and general ledgers, and a summary worksheet identifying
the results of performing an audit resolution of its subcontractors in accordance
with Article X. of this Exhibit. This includes the following: Letters of Agreement,
insurance documentation, Memorandums and/or Letters of Understanding,
patient or client records, and electronic files of its activities and expenditures
hereunder in a form satisfactory to CDA. All records pertaining to this Agreement
must be made available for inspection and audit by the State or its duly
authorized agents, at any time during normal business hours.
B. All such records, including confidential records, must be maintained and made
available by the Contractor: (1) until an audit has occurred and an audit
resolution has been issued or unless otherwise authorized in writing by CDA's
Audit Branch, (2) for such longer period, if any, as is required by applicable
statute, by any other clause of this Agreement, or by Sections B and C of this
Article, and (3) for such longer period as CDA deems necessary.
C. If this Agreement is completely or partially terminated, the records relating to the
work terminated shall be preserved and made available for the same periods as
specified in Section A above. The Contractor shall ensure that any resource
directories and all client records remain the property of CDA upon termination of
this Agreement, and are returned to CDA or transferred to another contractor as
instructed by CDA.
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Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE VI. RECORDS (Continued)
D. In the event of any litigation, claim, negotiation, audit exception, or other action
involving the records, all records relative to such action shall be maintained and
made available until every action has been cleared to the satisfaction of the State
and is so stated in writing to the Contractor.
E. Adequate source documentation of each transaction shall be maintained relative
to the allowability of expenditures reimbursed by the State under this Agreement.
If the allowability of expenditures cannot be determined because records or
documentation of the Contractor are nonexistent or inadequate according to
guidelines set forth in 2 CFR 200.302 and CFR 75.302, the expenditures will be
questioned in the audit and may be disallowed by CDA during the audit
resolution process.
F. All records containing confidential information shall be handled in a confidential
manner in accordance with the requirements for information integrity and
security, and in accordance with guidelines set forth in this Article, and Article
XVI I I. After the authorized period has expired, confidential records shall be
shredded and disposed of in a manner that will maintain confidentiality.
ARTICLE VII. PROPERTY
A. Unless otherwise provided for in this Article, property refers to all assets used in
operation of this Agreement.
Property includes land, buildings, improvements, machinery, vehicles,
furniture, tools, and intangibles, etc.
2. Property does not include consumable office supplies such as paper,
pencils, toner cartridges, file folders, etc.
B. Property meeting all of the following criteria is subject to the reporting
requirements:
1. Has a normal useful life of at least one (1) year.
2. Has a unit acquisition cost of at least $500 (a desktop or laptop setup,
including all peripherals is considered a unit, if purchased as a unit).
3. Is used to conduct business under this Agreement.
C. Additions, improvements, and betterments to assets meeting all of the conditions
in Section B above must also be reported. Additions typically involve physical
extensions of existing units. Improvements and betterments typically do not
increase the physical size of the asset. Instead, improvements and betterments
enhance the condition of an asset (e.g., extend life, increase service capacity, and
lower operating costs). Examples of assets that might be improved and bettered
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Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE VII. PROPERTY (Continued)
include roads, bridges, curbs and gutters, tunnels, parking lots, streets and
sidewalks, drainage, and lighting systems.
D. Intangibles are property which lack physical substance but give valuable rights to
the owner. Examples of intangible property include patents, copyrights, leases,
and computer software. By contrast, hardware consists of tangible equipment
(e.g., computer printer, terminal, etc.). Costs include all amounts incurred to
acquire and to ready the intangible asset for its intended use. Typical intangible
property costs include the purchase price, legal fees, and other costs incurred to
obtain title to the asset.
E. The Contractor shall keep track of property purchased with funds from this
Agreement, and submit to CDA annually with the Closeout, in electronic form, a
cumulative inventory of all property furnished or purchased by either the
Contractor or the Subcontractor with funds awarded under the terms of this
Agreement or any predecessor Agreement for the same purpose. The
Contractor shall use the electronic version of the Report of Property
Furnished/Purchased with Aqreement Funds (CDA 32) to report property to CDA,
unless otherwise directed by CDA.
The Contractor shall record the following information when property is acquired:
1. Date acquired.
2. Item description (include model number).
3. CDA tag number or other tag identifying it as CDA property.
4. Serial number (if applicable).
5. Purchase cost or other basis of valuation.
6. Fund source.
F. Disposal of Property
1. Prior to disposal of any property purchased by the Contractor or the
Subcontractor with funds from this Agreement or any predecessor
Agreement, the Contractor must obtain approval from CDA for all items
with a unit cost of $500 or more. Disposition, which includes sale, trade-
in, discarding, or transfer to another agency may not occur until approval
is received from CDA. The Contractor shall email to CDA the electronic
version of the Request to Dispose of Property (CDA 248). CDA will then
instruct the AAA on disposition of the property. Once approval for
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Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE VII. PROPERTY (Continued)
disposal has been received from CDA, the item(s) shall be removed from
the Contractor's inventory report.
2. The Contractor must remove all confidential, sensitive, or personal
information from CDA property prior to disposal, including removal or
destruction of data on computing devices with digital memory and storage
capacity. This includes, but is not limited to magnetic tapes, flash drives,
personal computers, personal digital assistants, cell or smart phones,
multi -function printers, and laptops.
G. The Contractor shall immediately investigate and within five (5) days fully
document the loss, destruction, or theft of such property.
H. The State reserves title to all State -purchased or financed property not fully
consumed in the performance of this Agreement, unless otherwise required by
federal law or regulations or as otherwise agreed by the parties.
The Contractor shall exercise due care in the use, maintenance, protection, and
preservation of such property during the period of the project, and shall assume
responsibility for replacement or repair of such property during the period of the
project, or until the Contractor has complied with all written instructions from CDA
regarding the final disposition of the property.
J. In the event of the Contractor's dissolution or upon termination of this Agreement,
the Contractor shall provide a final property inventory to the State. The State
reserves the right to require the Contractor to transfer such property to another
entity, or to the State.
K. To exercise the above right, no later than one hundred twenty (120) days after
termination of this Agreement or notification of the Contractor's dissolution, the
State will issue specific written disposition instructions to the Contractor.
L. The Contractor shall use the property for the purpose for which it was intended
under the Agreement. When no longer needed for that use, the Contractor shall
use it, if needed, and with written approval of the State for other purposes in this
order:
1. For another CDA program providing the same or similar service.
2. For another CDA -funded program.
M. The Contractor may share use of the property and equipment or allow use by
other programs, upon written approval from CDA. As a condition of the approval,
CDA may require reimbursement under this Agreement for its use.
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Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE VII. PROPERTY (Continued)
N. The Contractor or subcontractors shall not use equipment or supplies acquired
under this Agreement with federal and/or State monies for personal gain or to
usurp the competitive advantage of a privately -owned business entity.
O. If purchase of equipment is a reimbursable item, the equipment to be purchased
will be specified in the budget.
P. The Contractor shall include the provisions contained in this Article in all its
subcontracts awarded under this Agreement.
ARTICLE VIII. ACCESS
The Contractor shall provide access to the federal or State contracting agency, the
California State Auditor, the Comptroller, General of the United States, or any of their
duly authorized federal or State representatives to any books, documents, papers, and
records of the Contractor or subcontractor which are directly pertinent to this specific
Agreement for the purpose of making an audit, examination, excerpts, and
transcriptions. The Contractor shall include this requirement in its subcontracts.
ARTICLE IX. MONITORING AND EVALUATION
A. Authorized State representatives shall have the right to monitor and evaluate the
Contractor's administrative, fiscal and program performance pursuant to this
Agreement. Said monitoring and evaluation may include, but is not limited to,
administrative processes, fiscal, data and procurement components. This will
include policies, procedures, procurement, audits, inspections of project
premises, interviews of project staff and participants and, when applicable,
inspection of food preparation sites.
B. The Contractor shall cooperate with the State in the monitoring and evaluation
processes, which include making any administrative, program and fiscal staff
available during any scheduled process.
C. The Contractor shall monitor contracts and subcontracts to ensure compliance
with laws, regulations, and the provisions of contracts that may have a direct
and/or material effect on each of its major programs.
D. The Contractor is responsible for maintaining supporting documentation including
financial and statistical records, contracts, subcontracts, monitoring reports, and
all other pertinent records until an audit has occurred and an audit resolution has
been issued or unless otherwise authorized in writing by CDA.
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Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE X. AUDITS
A. Contractors that expend $750,000 or more in federal funds shall arrange for an
audit to be performed as required by the Single Audit Act of 1984, Public Law 98-
502; the Single Audit Act Amendments of 1996, Public Law 104-156;
2 CFR 200.501 to 200.521; and 45 CFR 75.501 to 75.521. A copy shall be
submitted to the:
California Department of Aging
Attention: Audit Branch
1300 National Drive, Suite 200
Sacramento, California 95834
The copy shall be submitted within thirty (30) days after receipt of the Auditor's
report or nine (9) months after the end of the audit period, whichever occurs first,
or unless a longer period is agreed to in advance by the cognizant or oversight
Welawl
For purposes of reporting, the Contractor shall ensure that State -funded
expenditures are displayed discretely along with the related federal expenditures
in the single audit report's "Schedule of Expenditures of Federal Awards" (SEFA)
under the Catalog of Federal Domestic Assistance (CFDA) number.
For State contracts that do not have CFDA numbers, the Contractor shall ensure
that the State -funded expenditures are discretely identified in the SEFA by the
appropriate program name, identifying grant/contract number, and as passed
through CDA.
B. The Contractor shall perform a reconciliation of the "Financial Closeout Report"
to the audited financial statements, single audit, and general ledgers. The
reconciliation shall be maintained and made available for CDA review.
C. The Contractor shall, at a minimum, perform Contract resolution within
fifteen (15) months of the "Financial Closeout Report."
D. The Contractor shall have the responsibility for resolving its contracts with
subcontractors to determine whether funds provided under this Agreement are
expended in accordance with applicable laws, regulations, and provisions of
contracts or agreements.
Contract resolution includes:
Ensuring that subcontractors expending $750,000 or more in federal
awards during the Subcontractor's fiscal year have met the audit
requirements of 2 CFR 200.501 - 200.521 and 45 CFR 75.501 - 75.521 as
summarized in Section D and E of this Article.
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Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE X. AUDITS (Continued)
2. Issuing a management decision on audit findings within six (6) months
after receipt of the Subcontractor's single audit report and ensuring that
the Subcontractor takes appropriate and timely corrective action.
3. Reconciling expenditures reported to the Contractor to the amounts
identified in the single audit or other type of audit if the Subcontractor was
not subject to the single audit requirements. For a subcontractor who was
not required to obtain a single audit and did not obtain another type of
audit, the reconciliation of expenditures reported to CDA must be
accomplished through performing alternative procedures (e.g., risk
assessment [2 CFR 200.331] [45 CFR 75.352], documented review of
financial statements, and documented expense verification, including
match, etc.).
4. When alternative procedures are used, the Contractor shall perform
financial management system testing, which provides, in part, for the
following:
a. Accurate, current, and complete disclosure of the financial results
of each federal award or program.
b. Records that identify adequately the source and application of
funds for each federally funded activity.
C. Effective control over, and accountability for, all funds, property,
and other assets to ensure these items are used solely for
authorized purposes.
d. Comparison of expenditures with budget amounts for each federal
award.
e. Written procedures to implement the requirements of
2 CFR 200.305 and 45 CFR 75.305.
Written procedures for determining the allowability of costs in
accordance with 2 CFR Part 200, Subpart E - Cost Principles and
45 CFR Part 75, Subpart E — Cost Principles.
[2 CFR 200.302] [45 CFR 75.3021
5. The Contractor shall document system and expense testing to show an
acceptable level of reliability, including a review of actual source
documents.
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Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE X. AUDITS (Continued)
6. Determining whether the results of the reconciliations performed
necessitate adjustment of the Contractor's own records.
E. The Contractor shall ensure that subcontractor single audit reports meet 2 CFR
200, Subpart F - Audit Requirements and 45 CFR 75, Subpart F — Audit
Requirements requirements:
1. Performed timely — not less frequently than annually and a report
submitted timely. The audit is required to be submitted within thirty (30)
days after receipt of the Auditor's report or nine (9) months after the end of
the audit period, whichever occurs first. [2 CFR 200.512] [45 CFR 75.512]
2. Properly procured — use procurement standards for auditor selection.
[2 CFR 200.509] [45 CFR 75.509]
3. Performed in accordance with Generally Accepted Government Auditing
Standards. [2 CFR 200.514] [45 CFR 75.514]
4. All inclusive — includes an opinion (or disclaimer of opinion) of the financial
statements; a report on internal control related to the financial statements
and major programs; an opinion (or disclaimer of opinion) on compliance
with laws, regulations, and the provisions of contracts; and the schedule of
findings and questioned costs. [2 CFR 200.515] [45 CFR 75.515]
5. Performed in accordance with provisions applicable to this program as
identified in 2 CFR 200, Subpart F Audit Requirements and 45 CFR Part
75, Subpart F — Audit Requirements.
F. Requirements identified in Sections D and E of this Article shall be included in
contracts with the Subcontractor. Further, the Subcontractor shall be required to
include in its contract with the independent Auditor that the Auditor will comply
with all applicable audit requirements/standards; CDA shall have access to all
audit reports and supporting work papers, and CDA has the option to perform
additional work, as needed.
G. The Contractor shall prepare a summary worksheet of results from the contract
resolutions performed of all subcontractors. The summary worksheet shall
include, but not be limited to, contract amounts; amounts resolved; amounts of
match verified, resolution of variances; recovered amounts; whether an audit was
relied upon or the Contractor performed an independent expense verification
review (alternative procedures) of the Subcontractor in making a determination;
whether audit findings were issued; and, if applicable, issuance date of the
management letter; and any communication or follow-up performed to resolve
the findings.
Page 18 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE X. AUDITS (Continued)
H. A reasonably proportionate share of the costs of audits required by, and
performed in accordance with the Single Audit Act Amendments of 1996, as
implemented by requirements of this part, are allowable. However, the following
audit costs are unallowable:
Any costs when audits required by the Single Audit Act, 2 CFR 200,
Subpart F — Audit Requirements and 45 CFR 75, Subpart F — Audit
Requirements have not been conducted or have been conducted but not
in accordance therewith; and
2. Any costs of auditing a non-federal entity that is exempted from having an
audit conducted under the Single Audit Act, 2 CFR 200, Subpart F — Audit
Requirements and 45 CFR 75, Subpart F — Audit Requirements because
its expenditures under federal awards are less than $750,000 during the
non-federal entity's fiscal year.
a. The costs of a financial statement audit of a non-federal entity that
does not currently have a federal award may be included in the
indirect cost pool for a cost allocation plan or indirect cost proposal.
b. Pass-through entities may charge federal awards for the cost of
agreed -upon -procedures engagements to monitor subcontractors
who are exempted from the requirements of the Single Audit Act,
2 CFR 200, Subpart F — Audit Requirements and 45 CFR 75,
Subpart F — Audit Requirements. This cost is allowable only if the
agreed-upon procedures engagements are conducted in
accordance with Generally Accepted Government Auditing
Standards (GAGAS) attestation standards, paid for and arranged
by the pass-through entity, and limited in scope to one or more of
the following types of compliance requirements: activities allowed
or not allowed; allowable costs/cost principles; eligibility; and
reporting.
[2 CFR 200.4251 [45 CFR 75.4251
The Contractor shall cooperate with and participate in any further audits which
may be required by the State.
ARTICLE XI. INSURANCE
A. Prior to commencement of any work under this Agreement, the Contractor shall
provide for the term of this Agreement, the following insurance:
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Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE XI. INSURANCE (Continued)
1. General liability of not less than $1,000,000 per occurrence for bodily
injury and property damage combined. Higher limits may be required by
the State in cases of higher than usual risks.
2. Automobile liability including non -owned auto liability, of not less than
$1,000,000 for volunteers and paid employees providing services
supported by this Agreement.
3. If applicable, or unless otherwise amended by future regulation, the
Contractor and subcontractors shall comply with the Public Utilities
Commission General Order No. 115-F which requires higher levels of
insurance for charter-party carriers of passengers and is based on seating
capacity as follows:
a. $750,000 if seating capacity is under 8
b. $1,500,000 if seating capacity is 8 — 15
C. $5,000,000 if seating capacity is over 15
4. Professional liability of not less than $1,000,000 as it appropriately relates
to the services rendered. Coverage shall include medical malpractice
and/or errors and omissions. (All programs except Title V).
B. The insurance will be obtained from an insurance company acceptable to the
Department of General Services, Office of Risk and Insurance Management
(DGS, GRIM), or be provided through partial or total self-insurance acceptable to
the Department of General Services (DGS).
C. Evidence of insurance shall be in a form and content acceptable to DGS, ORIM.
D. The Contractor shall notify the State within five (5) business days of any
cancellation, non -renewal, or material change that affects required insurance
coverage.
E. Insurance obtained through commercial carriers shall meet the following
requirements:
The Certificate of Insurance shall provide the statement: "The Department
of Aging, State of California, its officers, agents, employees, and servants
are included as additional insureds, with respect to work performed for the
State of California under this Agreement." Professional liability coverage
is exempt from this requirement.
Page 20 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE XI. INSURANCE (Continued)
2. CDA shall be named as the certificate holder and CDA's address must be
listed on the certificate.
F. The insurance provided herein shall be in effect at all times during the term of
this Agreement. In the event the insurance coverage expires during the term of
this Agreement, the Contractor agrees to provide CDA, at least thirty (30) days
prior to the expiration date, a new Certificate of Insurance evidencing insurance
coverage as provided herein for a period not less than the remaining Agreement
term or for a period not less than one (1) year. In the event the Contractor fails to
keep in effect at all times said insurance coverage, CDA may, in addition to any
other remedies it may have, terminate this Agreement.
G. The Contractor shall require its subcontractors under this Agreement, other than
units of local government which are similarly self-insured, to maintain adequate
insurance coverage for general liability, Worker's Compensation liabilities, and if
appropriate, auto liability including non -owned auto and professional liability, and
further, the Contractor shall require all of its subcontractors to hold the Contractor
harmless. The Subcontractor's Certificate of Insurance for general and auto
liability shall also name the Contractor, not the State, as the certificate holder and
additional insured. The Contractor shall maintain Certificates of Insurance for all
of its subcontractors.
H. A copy of each appropriate Certificate of Insurance or letter of self-insurance,
referencing this Agreement number shall be submitted to CDA with this
Agreement.
The Contractor shall be insured against liability for Worker's Compensation or
undertake self-insurance in accordance with the provisions of the Labor Code
and the Contractor affirms to comply with such provisions before commencing
the performance of the work under this Agreement. [Labor Code § 3700]
ARTICLE XII. TERMINATION
A. Termination Without Cause
CDA may terminate performance of work under this Agreement, in whole or in
part, without cause, if CDA determines that a termination is in the State's best
interest. CDA may terminate the Agreement upon ninety (90) days written notice
to the Contractor. The Notice of Termination shall specify the extent of the
termination and shall be effective ninety (90) days from the delivery of the Notice.
The parties agree that if the termination of the Contract is due to a reduction or
deletion of funding by the Department of Finance (DOF), Legislature or
Congress, the Notice of Termination shall be effective thirty (30) days from the
delivery of the Notice. The Contractor shall submit to CDA a Transition Plan as
specified in Exhibit E of this Agreement. The parties agree that for the
Page 21 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE XII. TERMINATION (Continued)
terminated portion of the Agreement, the remainder of Agreement shall be
deemed to remain in effect and is not void.
B. Termination for Cause
CDA may terminate performance of work under this Agreement, in whole or in
part, for cause. CDA may terminate the Agreement upon thirty (30) days written
notice to the Contractor. The Notice of Termination shall be effective thirty (30)
days from the delivery of the Notice of Termination unless the grounds for
termination are due to threat to life, health or safety of the public and in that case,
the termination shall take effect immediately. The Contractor shall submit to
CDA a Transition Plan as specified in Exhibit E of this Agreement. The grounds
for termination for cause shall include, but are not limited to, the following:
In case of threat of life, health or safety of the public, termination of the
Agreement shall be effective immediately.
2. A violation of the law or failure to comply with any condition of this
Agreement.
3. Inadequate performance or failure to make progress so as to endanger
performance of this Agreement.
4. Failure to comply with reporting requirements.
5. Evidence that the Contractor is in an unsatisfactory financial condition as
determined by an audit of the Contractor or evidence of a financial
condition that endangers performance of this Agreement and/or the loss of
other funding sources.
6. Delinquency in payment of taxes or payment of costs for performance of
this Agreement in the ordinary course of business.
7. Appointment of a trustee, receiver, or liquidator for all or a substantial part
of the Contractor's property, or institution of bankruptcy, reorganization or
the arrangement of liquidation proceedings by or against the Contractor.
8. Service of any writ of attachment, levy of execution, or commencement of
garnishment proceedings against the Contractor's assets or income.
9. The commission of an act of bankruptcy.
10. Finding of debarment or suspension. [Article II J]
11. The Contractor's organizational structure has materially changed.
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Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE XII. TERMINATION (Continued)
12. CDA determines that the Contractor may be considered a "high risk"
agency as described in 2 CFR 200.205 and 45 CFR 75.205. If such a
determination is made, the Contractor may be subject to special
conditions or restrictions.
C. Contractor's Obliqation After Notice of Termination
After receipt of a Notice of Termination, and except as directed by CDA, the
Contractor shall immediately proceed with the following obligations, as
applicable, regardless of any delay in determining or adjusting any funds due
under this clause.
The Contractor shall:
Stop work as specified in the Notice of Termination.
2. Place no further subcontracts for materials or services, except as
necessary, to complete the continued portion of the Contract.
3. Terminate all subcontracts to the extent they relate to the work terminated.
4. Settle all outstanding liabilities and termination settlement proposals
arising from the termination of subcontracts, (the approval or ratification of
which will be final for purposes of this clause).
D. Effective Date
Termination of this Agreement shall take effect immediately in the case of an
emergency such as threat to life, health, or safety of the public. The effective
date for Termination with Cause or for funding reductions is thirty (30) days and
Termination without Cause is ninety (90) days subsequent to written notice to the
Contractor. The notice shall describe the action being taken by CDA, the reason
for such action and, any conditions of the termination, including the date of
termination.
E. Voluntary Termination of Area Plan Aqreement (Title III Only)
Pursuant to 22 CCR 7210, the Contractor may voluntarily terminate its contract
prior to its expiration either by mutual agreement with CDA or upon thirty (30)
days written notice to CDA. In case of voluntary termination, the Contractor shall
allow CDA up to one hundred eighty (180) days to transition services. The
Contractor shall submit a Transition Plan in accordance with Exhibit E of this
Agreement.
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Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE XII. TERMINATION (Continued)
F. Notice of Intent to Terminate by Contractor (All other non -Title III Proqrams)
In the event the Contractor no longer intends to provide services under this
Agreement, the Contractor shall give CDA Notice of Intent to Terminate. Such
notice shall be given in writing to CDA at least one hundred eighty (180) days
prior to the proposed termination date. Unless mutually agreed upon, the
Contractor does not have the authority to terminate the Agreement. The Notice
of Intent to Terminate shall include the reason for such action and the anticipated
last day of work. The Contractor shall submit a Transition Plan in accordance
with Exhibit E.
G. In the Event of a Termination Notice
CDA will present written notice to the Contractor of any condition, such as, but
not limited to, transfer of clients, care of clients, return of unspent funds; and
disposition of property, which must be met prior to termination.
ARTICLE XIII. REMEDIES
The Contractor agrees that any remedy provided in this Agreement is in addition to and
not in derogation of any other legal or equitable remedy available to CDA as a result of
breach of this Agreement by the Contractor, whether such breach occurs before or after
completion of the project.
ARTICLE XIV. DISSOLUTION OF ENTITY
The Contractor shall notify CDA immediately of any intention to discontinue existence of
the entity or to bring an action for dissolution.
ARTICLE XV. AMENDMENTS, REVISIONS OR MODIFICATIONS
A. No amendment or variation of the terms of this Agreement shall be valid unless
made in writing, signed and approved through the State amendment process in
accordance with the State Contract Manual. No oral understanding or
agreement not incorporated in this Agreement is binding on any of the parties.
B. The State reserves the right to revise, waive, or modify the Agreement to reflect
any restrictions, limitations, or conditions enacted by Congress or the Legislature
or as directed by the Executive Branch of State government.
ARTICLE XVI. NOTICES
A. Any notice to be given hereunder by either party to the other may be effected by
personal delivery in writing or by registered or certified mail, overnight mail,
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Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE XVI. NOTICES (Continued)
postage prepaid, return receipt requested, provided the Contractor retains
receipt, and shall be communicated as of actual receipt.
B. Any notice given to CDA for the Contractor's change of legal name, main
address, or name of the Director shall be addressed to the Director of CDA on
the Contractor's letterhead.
C. All other notices with the exception of those identified in Section B of this Article
shall be addressed to the California Department of Aging, AAA Based Teams,
1300 National Drive, Suite 200, Sacramento, California, 95834. Notices mailed
to the Contractor shall be to the address indicated on the coversheet of this
Agreement.
D. Either party may change its address by written notice to the other party in
accordance with this Article.
ARTICLE XVII. DEPARTMENT CONTACT
A. The name of CDA's contact to request revisions, waivers, or modifications
affecting this Agreement, will be provided by the State to the Contractor upon full
execution of this Agreement.
B. The Contractor shall, upon request from CDA, submit the name of its Agency
Contract Representative (ACR) for this Agreement by submitting an Agency
Contract Representative form to CDA's Contracts and Business Services
Section. This form requires the ACR's address, phone number, email address,
and FAX number to be included on this form. For any change in this information,
the Contractor shall submit an amended Agency Contract Representative form to
the same address. This form may be requested from CDA's Contracts and
Business Services Section.
ARTICLE XVIII. INFORMATION INTEGRITY, AND SECURITY
A. Information Assets
The Contractor shall have in place operational policies, procedures, and
practices to protect State information assets, (i.e., public, confidential, sensitive
and/or personal information) as specified in the State Administrative
Manual, § 5300 to 5365.3; Cal. Gov. Code § 11019.9, DGS Management
Memo 06 12; DOF Budget Letter 06-34; and CDA Program Memorandum 07-18
Protection of Information Assets.
Information assets include (but are not limited to):
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Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE XVIII. INFORMATION INTEGRITY, AND SECURITY (Continued)
1. Information collected and/or accessed in the administration of the State
programs and services.
2. Information stored in any media form, paper or electronic.
B. Encrvption on Portable Computing Devices
The Contractor is required to encrypt data collected under this Agreement that is
confidential, sensitive, and/or personal including data stored on portable
computing devices (including but not limited to, laptops, personal digital
assistants, notebook computers and backup media) and/or portable electronic
storage media (including but not limited to, discs, thumb/flash drives, portable
hard drives, and backup media).
C. Disclosure
The Contractor shall ensure that personal, sensitive and confidential
information is protected from inappropriate or unauthorized access or
disclosure in accordance with applicable laws, regulations and State
policies. The requirement to protect information shall remain in force until
superseded by laws, regulations or policies.
2. The Contractor shall protect from unauthorized disclosure, names and
other identifying information concerning persons receiving services
pursuant to this Agreement, except for statistical information not
identifying any participant.
3. "Identifying information" shall include, but not be limited to: name;
identifying number; social security number; state driver's license or state
identification number; financial account numbers; and symbol or other
identifying characteristic assigned to the individual, such as finger or voice
print or a photograph.
4. The Contractor and it subcontractors shall not use the identifying
information in paragraph 3 above for any purpose other than carrying out
the Contractor's obligations under this Agreement. The Contractor and its
subcontractors are authorized to disclose and access identifying
information for this purpose as required by OAA.
5. The Contractor shall not, except as otherwise specifically authorized or
required by this Agreement or court order, disclose any identifying
information obtained under the terms of this Agreement to anyone other
than CDA without prior written authorization from CDA. The Contractor
may be authorized, in writing, by a participant to disclose identifying
information specific to the authorizing participant.
Page 26 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE XVIII. INFORMATION INTEGRITY, AND SECURITY (Continued)
6. The Contractor may allow a participant to authorize the release of
information to specific entities, but shall not request or encourage any
participant to give a blanket authorization or sign a blank release, nor shall
the Contractor accept such blanket authorization from any participant.
D. Training/Education
The Contractor must provide ongoing education and training, at least
annually, to all employees and subcontractors who handle personal,
sensitive or confidential information. The Contractor's employees,
subcontractors, and volunteers must complete the required Security
Awareness Training module located at www.aginq.ca.aov within thirty (30)
days of the start date of the Contract/Agreement or within thirty (30) days
of the start date of any new employee, subcontractor or volunteer. The
Contractor must maintain certificates of completion on file and provide
them to CDA upon request. Training may be provided on an individual
basis or in groups. A sign -in sheet is acceptable documentation for group
training in lieu of individual certificates. If internet access is not available,
a hardcopy of the training module may be provided to employees and/or
volunteers for completion.
2. The Contractor may substitute CDA's Security Awareness Training
program with its own Security Training provided such training meets or
exceeds CDA's training requirement. Contractors shall maintain
documentation of training and education provided to their staff, volunteers,
and/or subcontractors.
3. All employees and volunteers who handle personal, sensitive or
confidential information relating to CDA's programs must participate in
Security Awareness Training.
E. Health Insurance Portabilitv and Accountabilitv Act (HIPAA)
The Contractor agrees to comply with the privacy and security requirements of
HIPAA to the extent applicable and to take all reasonable efforts to implement
HIPAA requirements. The Contractor will make reasonable efforts to ensure that
subcontractors comply with the privacy and security requirements of HIPAA.
F. Contractor Confidentialitv Statement
The Contractor shall sign and return a Contractor/Vendor Confidentiality
Statement (CDA 1024) form with this Agreement. This is to ensure that the
Contractor is aware of, and agrees to comply with, their obligations to protect
CDA information assets from unauthorized access and disclosure.
Page 27 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE XVIII. INFORMATION INTEGRITY, AND SECURITY (Continued)
G. Securitv Incident Reportinq
A security incident occurs when CDA information assets are accessed, modified,
destroyed, or disclosed without proper authorization, or are lost or stolen. The
Contractor must report all security incidents to the appropriate CDA Program
Manager immediately upon detection. A Security Incident Report (CDA 1025)
form must be submitted to the CDA Information Security Officer within five (5)
business days of the date the incident was detected.
H. Notification of Securitv Breach to Data Subiects
Notice must be given by the Contractor or subcontractors to any data
subject whose personal information could have been breached.
2. Notice must be given in the most expedient time possible and without
unreasonable delay except when notification would impede a criminal
investigation or when necessary measures to restore system integrity are
required.
3. Notice may be provided in writing, electronically, or by substitute notice in
accordance with State law, regulation, or policy.
I. Software Maintenance
The Contractor shall apply security patches and upgrades and keep virus
software up-to-date on all systems on which State data may be used.
J. Electronic Backups
The Contractor shall ensure that all electronic information is protected by
performing regular backup of automated files and databases and ensure the
availability of information assets for continued business. The Contractor shall
ensure that any portable electronic media used for backups is encrypted.
K. Provisions of this Article
The provisions contained in this Article shall be included in all contracts of both
the Contractor and its subcontractors.
Page 28 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE XIX. COPYRIGHTS AND RIGHTS IN DATA
A. Copvrights
1. If any material funded by this Agreement is subject to copyright, the State
reserves the right to copyright such material and the Contractor agrees not
to copyright such material, except as set forth in Section B of this Article.
2. The Contractor may request permission to copyright material by writing to
the Director of CDA. The Director shall grant permission, or give reason
for denying permission to the Contractor in writing within sixty (60) days of
receipt of the request.
3. If the material is copyrighted with the consent of CDA, the State reserves
a royalty -free, non-exclusive, and irrevocable license to reproduce,
prepare derivative works, publish, distribute and use such materials, in
whole or in part, and to authorize others to do so, provided written credit is
given to the author.
4. The Contractor certifies that it has appropriate systems and controls in
place to ensure that State funds will not be used in the performance of this
contract for the acquisition, operation, or maintenance of computer
software in violation of copyright laws.
B. Riqhts in Data
The Contractor shall not publish or transfer any materials, as defined in
paragraph 2 below, produced or resulting from activities supported by this
Agreement without the express written consent of the Director of CDA.
That consent shall be given, or the reasons for denial shall be given, and
any conditions under which it is given or denied within thirty (30) days after
the written request is received by CDA. CDA may request a copy of the
material for review prior to approval of the request. This subsection is not
intended to prohibit the Contractor from sharing identifying client
information authorized by the participant or summary program information
which is not client -specific.
2. As used in this Agreement, the term "subject data" means writings, sound
recordings, pictorial reproductions, drawings, designs or graphic
representations, procedural manuals, forms, diagrams, workflow 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
Agreement. The term does not include financial reports, cost analyses
Page 29 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE XIX. COPYRIGHTS AND RIGHTS IN DATA (Continued)
and similar information incidental to contract administration, or the
exchange of that information between AAAs to facilitate uniformity of
contract and program administration on a statewide basis.
3. Subject only to other provisions of this Agreement, the State may use,
duplicate, or disclose in any manner, and have or permit others to do so
subject to State and federal law, all subject data delivered under this
Agreement.
ARTICLE XX. BILINGUAL AND LINGUISTIC PROGRAM SERVICES
[Cal. Gov. Code 11135-11139.5] [22 CCR § 98211, 98310-98314, 98324-
98326,98340,98370]
8324-
98326,98340,98370]
A. Needs Assessment
The Contractor shall conduct a cultural and linguistic group -needs
assessment of the eligible client population in the Contractor's service
area to assess the language needs of the population and determine what
reasonable steps are necessary to ensure meaningful access to services
and activities to eligible individuals. [22 CCR 98310, 98314]
The group -needs assessment shall take into account the following
four (4) factors:
a. Number or proportion of persons with Limited English Proficiency
(LEP) eligible to be served or encountered by the program.
b. Frequency with which LEP individuals come in contact with the
program.
C. Nature and importance of the services provided.
d. Local or frequently used resources available to the Contractor.
This group -needs assessment will serve as the basis for the Contractor's
determination of "reasonable steps" and provide documentary evidence of
compliance with Cal. Gov. Code § 11135 et seq.; 22 CCR 98000 to
98382.
2. The Contractor shall prepare and make available a report of the findings of
the group -needs assessment that summarizes:
a. Methodologies used.
Page 30 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE XX. BILINGUAL AND LINGUISTIC PROGRAM SERVICES
[Cal. Gov. Code 11135-11139.5] [22 CCR § 98211, 98310-98314, 98324-
98326, 98340, 98370] (Continued)
b. The linguistic and cultural needs of non-English speaking or LEP
groups.
C. Services proposed to address the needs identified and a timeline
for implementation. [22 CCR 98310]
3. The Contractor shall maintain a record of the group -needs assessment on
file at the Contractor's headquarters at all times during the term of this
Agreement. [22 CCR 98310, 98313]
B. Provision of Services
The Contractor shall take reasonable steps, based upon the group -needs
assessment identified in Section A of this Article, to ensure that
"alternative communication services" are available to non-English
speaking or LEP beneficiaries of services under this Agreement.
[22 CCR 98211 ]
2. "Alternative communication services" include, but are not limited to, the
provision of services and programs by means of the following:
a. Interpreters or bilingual providers and provider staff.
b. Contracts with interpreter services.
C. Use of telephone interpreter lines.
d. Sharing of language assistance materials and services with other
providers.
e. Translated written information materials, including but not limited to,
enrollment information and descriptions of available services and
programs.
Referral to culturally and linguistically appropriate community
service programs.
3. Based upon the findings of the group -needs assessment, the Contractor
shall ensure that reasonable alternative communication services are
available to meet the linguistic needs of identified eligible client population
groups at key points of contact. Key points of contact include, but are not
limited to, telephone contacts, office visits and in-home visits.
[22 CCR 98211 ]
Page 31 of 32
Special Terms and Conditions - Exhibit D
AP 16-17 Contract
ARTICLE XX. BILINGUAL AND LINGUISTIC PROGRAM SERVICES
[Cal. Gov. Code 11135-11139.5] [22 CCR § 98211, 98310-98314, 98324- 98326, 98340,
98370] (Continued)
The Contractor shall self -certify to compliance with the requirements of
this section and shall maintain the self -certification record on file at the
Contractor's office at all times during the term of this Agreement.
[22 CCR 98310]
4. The Contractor shall notify its employees of clients' rights regarding
language access and the Contractor's obligation to ensure access to
alternative communication services where determined appropriate based
upon the needs assessment conducted by the Contractor. [22 CCR 98324]
5. Noncompliance with this section may result in suspension or termination
of funds and/or termination of this Agreement. [22 CCR 983701
C. Compliance Monitoring
The Contractor shall develop and implement policies and procedures for
assessing and monitoring the performance of individuals and entities that
provide alternative communication services to non-English and LEP
clients. [22 CCR 98310]
2. The Contractor shall monitor, evaluate, and take effective action to
address any needed improvement in the delivery of culturally and
linguistically appropriate services. [22 CCR 98310]
3. The Contractor shall permit timely access to all records of compliance with
this section. Failure to provide access to such records may result in
appropriate sanctions. [22 CCR 98314]
D. Notice to Eligible Beneficiaries of Contracted Services
The Contractor shall designate an employee to whom initial complaints or
inquiries regarding national origin can be directed. [22 CCR 98325]
2. The Contractor shall make available to ultimate beneficiaries of contracted
services and programs information regarding CDA's procedure for filing a
complaint and other information regarding the provisions of Cal. Gov.
Code § 11135 et seq. [22 CCR 98326]
3. The Contractor shall notify CDA immediately of a complaint alleging
discrimination based upon a violation of State or federal law.
[22 CCR 98211, 98310, 98340]
Page 32 of 32
Additional Provisions - Exhibit E
AP 16-17 Contract
ARTICLE I. ASSURANCES SPECIFIC TO THIS AGREEMENT
A. General Assurances
The Contractor shall assure that the following conditions are met:
1. Services are provided only to the defined Eligible Service Population.
2. If the Contractor makes any award of funds to a public or private nonprofit
agency, for the following purposes: (1) acquiring, altering, leasing, or
renovating a facility, including a mobile facility, for use as a multipurpose
senior center or (2) constructing a facility, including a mobile facility, for
use as a multipurpose senior center, the Contractor shall adhere to the
program requirements and to 45 CFR 75.327(2), "Procurement
Standards" (procurement by contractors and subcontractors for nonprofit
organizations), and 45 CFR 75.327 (procurement for State and local
governments), as applicable.
3. The Contractor shall comply with the standards and guidelines for
procurement of supplies, equipment, construction, and services as
provided in 45 CFR 75.328.
4. The Contractor assures that when an existing facility has been altered
(with funds made available by this Agreement) and is used as a
multipurpose senior center, the period of time in which such facility shall
be used as a center is as follows:
a. Not less than three (3) years from the date the Agreement
terminates, where the amount of the Agreement, including the
non-federal share, does not exceed $30,000.
b. If the Agreement amount exceeds $30,000, the fixed period of time
shall be not less than three (3) years from the date of Agreement
plus one (1) year for each additional $10,000, or part thereof, to a
maximum of $75,000.
C. For Agreement amounts which exceed $75,000, the fixed period of
time shall be no less than ten (10) years.
5. Any multipurpose senior center constructed with funds made available by
this Agreement shall be used for that purpose for at least twenty (20)
years after completion of that construction.
6. Any facility to be used as a senior center and acquired with funds made
available by this Agreement shall be used for that purpose for at least
ten (10) years from the date of acquisition.
Page 1 of 16
Additional Provisions - Exhibit E
AP 16-17 Contract
ARTICLE I. ASSURANCES SPECIFIC TO THIS AGREEMENT (Continued)
7. Any agency awarded Title III funds for senior center acquisition or
construction will have a completed and notarized Notice of Assurances to
the State of California of the Use of Property and the United States' Right
of Recapture (CDA 214) recorded with the County Recorder. The
Contractor shall periodically validate continuing use of such facility as a
senior center during the recapture period.
8. CDA will make funds available only for the support of activities specified in
an approved and current Area Plan that is in compliance with State and
federal laws and regulations.
9. The Contractor and/or Subcontractor shall make use of trained volunteers
to expand the provision of FCSP activities in accordance with
OAA § 373(d).
10. An individual's receipt of services under the In -Home Supportive Services
Program shall not be the sole cause for denial of any services provided by
the AAA or its subcontractors.
11. Funds made available under Title III E shall be budgeted and expended in
accordance with the five federal support service components specified in
OAA § 373(b), and distinguished between "caregiver" and "grandparent"
support services, as required for NAPIS.
12. Funds made available under Title III E shall enable comprehensive and
multifaceted systems of support services that include the five federal
support service components for both "family caregiver" and "grandparent
caregiver" [OAA § 373(a) -(b)], unless the AAA has documented through
the Area Plan process that one or more of these components is being
addressed by other sources.
13. Funds made available under this Agreement shall supplement, and not
supplant, any federal, State, or local funds expended by a State or unit of
general purpose local government to provide Title III (excluding III E) and
Title VII services.
14. Funds made available under Title III E shall supplement and not supplant
other services that may directly or indirectly support unpaid caregiving,
such as Medicaid waiver programs (e.g., the Multipurpose Senior Services
Program, etc.) or other caregiver services such as those provided through
the Department of Social Services' Kinship Support Service Programs, the
California Community Colleges' Foster and Kinship Care Education
Programs, the Department of Developmental Services' Regional Centers,
Page 2 of 16
Additional Provisions - Exhibit E
AP 16-17 Contract
ARTICLE I. ASSURANCES SPECIFIC TO THIS AGREEMENT (Continued)
the California Caregiver Resource Centers and other Title III funded
providers.
15. The following closely related programs identified by CFDA number are to
be considered as an "other cluster" for purposes of determining major
programs or whether a program -specific audit may be elected. The
Contractor shall identify the CFDA titles and numbers to the independent
auditor conducting the organization's single audit along with each of its
subcontractors. The funding source (Federal Grantor) for the following
programs is the U.S. Department of Health and Human Services,
Administration for Community Living.
93.041 Special Programs for the Aging -Title VII, Chapter 3 —
Programs for Prevention of Elder Abuse, Neglect, and
Exploitation (Title VII -A, Chapter 3).
93.042 Special Programs for the Aging -Title VII, Chapter 2 — Long -
Term Care Ombudsman Services for Older Individuals
(Title VII -A).
93.043 Special Programs for the Aging -Title III, Part D —
Disease Prevention and Health Promotion Services
(Title III -D).
93.044 Special Programs for the Aging -Title III, Part B —
Grants for Supportive Services and Senior Centers
(Title III -B).
93.045 Special Programs for the Aging -Title III, Part C —
Nutrition Services (Title III -C).
93.052 National Family Caregiver Support Program -Title III, Part E.
93.053 Nutrition Services Incentive Program.
"Cluster of programs" means a grouping of closely -related programs that
share common compliance requirements. The types of clusters of
programs are research and development, student financial aid, and other
clusters. "Other clusters" are defined by the consolidated CFR in the
Compliance Supplement or as designated by a state for federal awards
provided to its subcontractors that meet the definition of "cluster of
programs." When designating an "other cluster," a state shall identify the
federal awards included in the cluster and advise the subcontractors of
Page 3 of 16
Additional Provisions - Exhibit E
AP 16-17 Contract
ARTICLE I. ASSURANCES SPECIFIC TO THIS AGREEMENT (Continued)
compliance requirements applicable to the cluster. A "cluster of programs"
shall be considered as one program for determining major programs, as
described in 45 CFR 75.525(a), whether a program -specific audit may be
elected. (Federal Office of Management and Budget,
[45 CFR 75 Requirements], Audits of States, Local Governments
45 CFR 75 Appendix V to part 75 F. 1., and Non -Profit Organizations
45 CFR 75 Appendix IV to part 75 C. 2.a.
16. The Contractor assures that voluntary contributions shall be allowed and
may be solicited in accordance with the following requirements
[OAA § 315(b)]:
a. The Contractor or any subcontractors for any Title III or Title VII A
services shall not use means tests.
b. Any Title III or Title VI I A client that does not contribute toward the
cost of the services received shall not be denied services.
C. Methods used to solicit voluntary contributions for Title III and
Title VII A services shall be non -coercive.
d. Each service provider will:
(i) Provide each recipient with an opportunity to voluntarily
contribute to the cost of the service.
(ii) Clearly inform each recipient that there is no obligation to
contribute and that the contribution is purely voluntary.
(iii) Protect the privacy and confidentiality of each recipient with
respect to the recipient's contribution or lack of contribution;
and
(iv) Establish appropriate procedures to safeguard and account
for all contributions.
17. Any Title III and Title VII service shall not implement a Cost Sharing
program unless approved by CDA.
18. The Contractor shall comply with OAA § 306(a)(17), which requires an
AAA to include in its Area Plan information on how it will coordinate
activities and develop long-range emergency preparedness plans with
local and State emergency response agencies, relief organizations, local
Page 4 of 16
Additional Provisions - Exhibit E
AP 16-17 Contract
ARTICLE I. ASSURANCES SPECIFIC TO THIS AGREEMENT (Continued)
and State governments, and any other institutions that have responsibility
for disaster relief service delivery.
19. The Contractor, at a minimum, shall identify and make contact with its
local Office of Emergency Services (OES) to define their respective roles
and responsibilities. This contact shall include a discussion of the types of
clients served by the AAA and how OES will address their needs in the
community.
20. The Contractor shall furnish annually, or whenever a change occurs, the
name of its Disaster Coordinator to the CDA Disaster Coordinator.
21. The Contractor shall assure that its Information and Assistance staff have
written procedures in place and are trained at least annually on how to
handle emergencies. As specified in 22 CCR § 7547, the training shall
consist of:
a. Familiarity with telephone numbers of fire, police, and ambulance
services for the geographic area served by the provider. These
telephone numbers shall be posted near the telephone for easy
access when an emergency arises.
b. Techniques to obtain vital information from older individuals and
persons with disabilities who require emergency assistance.
C. Making written emergency procedure instructions available to all
staff who have contact with older individuals or persons with
disabilities.
22. The Contractor shall not require proof of age, citizenship, or disability as a
condition of receiving services.
23. The Contractor shall develop a policy and procedure to ensure that
Title III C-1 and Title III C-2 meals are only received by eligible individuals.
24. The Contractor shall annually assess each Title III C-2 client's nutrition
risk using the Determine Your Nutritional Risk checklist published by the
Nutrition Screening Initiative. [OAA § 339(2)(J)] [OAA § 207(a)(3)]
25. The Contractor shall assure that the following publication conditions are
met:
Materials published or transferred by the Contractor and financed with
funds under this Agreement shall:
Page 5 of 16
Additional Provisions - Exhibit E
AP 16-17 Contract
ARTICLE I. ASSURANCES SPECIFIC TO THIS AGREEMENT (Continued)
a. state, "The materials or product were a result of a project
funded by a contract with the California Department of
Aging".
b. give the name of the entity, the address, and telephone
number at which the supporting data is available and
C. include a statement that, "The conclusions and opinions
expressed may not be those of the California Department of
Aging and that the publication may not be based upon or
inclusive of all raw data."
B. Assurances Specific to the Ombudsman Program
The Contractor shall assure the following:
The Local Ombudsman Program, representatives of the Local
Ombudsman Program, OSLTCO, and members of their immediate family
shall be free of actual and perceived conflicts of interest.
[45 CFR 1327.21]
2. Representatives of the Local Ombudsman Program shall have
unescorted, unhindered access to long-term care facilities and long-term
care facility residents between the hours of 7:00 a.m. and 10:00 p.m.,
seven days a week. [OAA § 712(b)(1)(A)] [Welf. & Inst. Code § 9722(a)]
[22 CCR 8020(a)]. Authorization by the State Ombudsman is required for
entry outside of these hours. [Welf. & Inst. Code § 9722(a)]
[22 CCR 8020(b)]
3. Representatives of the Local Ombudsman Program shall have access to
the medical and personal records of residents with appropriate
documentation of consent, or when authorized by the State Ombudsman,
in accordance with policies developed by the State Ombudsman.
[OAA § 712(b)(1)(B)] [45 CFR 1327.11(e)(2)(iv)]
[Welf. & Inst. Code § 9724]
4. Representatives of the Local Ombudsman Program, upon request to a
long-term care facility staff, shall be provided with a roster, census, or
other list of the names and room numbers or room locations of all current
residents. [Welf. & Inst. Code § 9722(d)]
Page 6 of 16
Additional Provisions - Exhibit E
AP 16-17 Contract
ARTICLE I. ASSURANCES SPECIFIC TO THIS AGREEMENT (Continued)
5. Representatives of the Local Ombudsman Program shall not carry out the
responsibilities of the Program until the State Ombudsman accepts them
for certification. [OAA § 712(h)(5)(B)] [45 CFR 1327.13(c)(3)]
Pelf. & Inst. Code § 9719(a)]
6. All records and files maintained by the local Ombudsman Program relating
to any complaint or investigation shall remain confidential unless
disclosure is authorized. [OAA §§ 705(a)(6)(C); 712(d)(2)]
[45 CFR 1327.11(e)(3); 1327.19(b)(6-9)] Pelf. & Inst. Code § 9725]
7. The Local Ombudsman Program shall enter into a Memorandum of
Understanding (MOU) with the Legal Services Provider (LSP) which will
address conflict of interest, provision of legal advice, procedures for
referral, and other technical assistance. The LSP may assist the State in
providing legal representation to the Program when an Ombudsman
Representative has been subpoenaed or a suit or other legal action has
been threatened or brought against the performance of the official duties
of the Ombudsman Representative. [OAA § 712(h)(7)]
[45 CFR 1327.13(h)(10] Pelf. & Inst. Code § 9717(c)] [Statewide
Standards for Legal Assistance in California]
8. Each Local Ombudsman Program shall maintain a separate budget. The
Local Ombudsman Coordinator shall be responsible for managing the
day-to-day operation of the Program, including managing all paid staff and
volunteers in the Program. The Local Ombudsman Coordinator shall
determine budget priorities, develop or participate in budget preparation,
and be informed of budget allocations by the Contractor specific to the
Ombudsman Program. [45 CFR 1327.13(f)]
9. The Local Ombudsman Program Coordinator shall provide CDA with an
organizational chart that includes:
a. All local staff that are wholly or partly funded by Ombudsman
Program resources.
b. Their titles/roles within the Program.
C. The number of hours per week charged to the Local Ombudsman
Program for each position.
10. The Coordinator shall inform CDA of any staffing changes.
[45 CFR 1327.13(b)]
Page 7 of 16
Additional Provisions - Exhibit E
AP 16-17 Contract
ARTICLE I. ASSURANCES SPECIFIC TO THIS AGREEMENT (Continued)
11. The Local Ombudsman Program Coordinator shall inform CDA/OSLTCO
of issues with local Ombudsman Representatives, complex cases,
situations with potential legal implications, changes in staffing, emerging
regional issues with statewide impact, breaches of confidentiality, and
conflict of interest issues.
12. Representatives of the Local Ombudsman Program shall conduct
interviews/investigations in a confidential manner and the Program shall
have office space and telecommunications that protect the confidentiality
of all complaint -related communications and records.
[OAA § 705(a)(6)(C)] [45 CFR 1327.19(b)(2)(i)]
[Welf. & Inst. Code §§ 9725; 15633(c)]
13. Each Local Ombudsman Program shall have information systems
sufficient to run State -approved database systems and to receive and
send confidential e-mail messages to and from CDA. [OAA § 712(c)]
[45 CFR 1327.13(d)] [Welf. & Inst. Code § 9716(a)]
14. The entity providing Ombudsman services must be insured or self-insured
for professional liability covering all Ombudsman activities including, but
not limited to, investigation of resident complaints.
C. Assurances Specific to Leaal Service Providers (LSPs)
In accordance with OAA § 731, the Contractor shall assure that the following
conditions are met:
LSPs will coordinate with State -designated providers of Long -Term Care
Ombudsman services by developing and executing an MOU which will
address conflict of interest, provision of legal advice, procedures for
referral and other technical assistance.
2. LSPs may provide direct legal assistance to residents of the long-term
care facilities where the clients are otherwise eligible and services are
appropriate.
3. Where both legal and Ombudsman services are provided by the same
agency, providers must develop and follow policies and procedures to
protect the integrity, resources, and confidentiality of both programs.
4. LSPs may assist the State in providing legal representation to the
Ombudsman Program when an Ombudsman or the program is named as
a party or witness, in a subpoena, civil suit or other legal action
challenging the performance of the official duties of the Ombudsman.
Page 8 of 16
Additional Provisions - Exhibit E
AP 16-17 Contract
ARTICLE I. ASSURANCES SPECIFIC TO THIS AGREEMENT (Continued)
5. LSPs are to coordinate with the local Legal Services Corporation (LSC)
program, if the provider is not an LSC -funded program.
6. LSPs are to coordinate with the network of other service providers,
including but not limited to, other LSPs, Long -Term Care Ombudsman
Programs, Health Insurance Counseling and Advocacy Programs, senior
information and assistance, Adult Protective Services, law enforcement,
case management services and focal points.
7. LSPs are to coordinate legal assistance activities with the statewide
hotline and private Bar, including groups within the private Bar furnishing
services to older individuals on a pro bono or reduced fee basis.
8. LSPs are to use the Uniform Reporting System revised by CDA in
July 2013 to collect data on legal services provided.
9. Waiver of this section of the Contract may be obtained from CDA pursuant
to Exhibit D, Article XV. of this Agreement entitled, Amendments,
Revisions, or Modifications.
ARTICLE II. REPORTING PROVISIONS
A. The Contractor shall submit program performance reports to the CDA Data Team
for: Title III B, Title III C-1, Title III C-2, Title III D, Title Ili E, and Title VII Elder
Abuse Prevention Programs in accordance with CDA requirements.
[Welf. & Inst. Code § 9102 (a)(5]
B. The Contractor shall have written procedures to assure that all submitted
performance data is timely, complete, accurate, and verifiable.
1. Quarterly, the Contractor shall submit data reports for OAA -funded
programs as follows:
Quarter
Reporting Period
Quarter 1
July 1 - September 30
Quarter 2
October 1 - December 31
Quarter 3
January 1 - March 31
Quarter 4
April 1 - June 30
Page 9 of 16
Due Date
October 31
January 31
April 30
July 31
Additional Provisions - Exhibit E
AP 16-17 Contract
ARTICLE II, REPORTING PROVISIONS (Continued)
2. Annually, the Contractor shall submit performance reports as follows, or
as instructed by CDA:
Reporting Period Due Date
July 1 — June 30 September 30
3. For reports that will be submitted late, ten (10) calendar days prior to the
report due date, the Contractor shall submit to the Data Team
(DataTeam.Rer)orts ..agina.ca.aov), a written explanation including the
reasons for the delay and the estimated date of submission.
4. For web -based California Aging Report System (CARS) reports, the
Contractor shall approve all data within ten (10) calendar days of receipt of
notification of passed status. If data in the CARS report is not correct and
approvable within ten (10) days, the Contractor will make a notation in the
comments area of the CARS report and submit the data using the
approved status button.
C. Reporting Requirements specific to Title III B. Title III C-1. Title III C-2, Title III D,
Title III E, and Title VII A Elder Abuse Prevention Proqram services
The Contractor shall submit program data reports electronically as follows:
Upload the NAPIS State Program Report (SPR) to CARS at
httr)s:Hca.getcare.com.
2. Submit the California Legal Services Quarterly Aggregate Report Form
(CDA 1022) via email to DataTeam.Regorts(dc agina.ca.gov.
3. Submit performance data reports quarterly.
4. Submit NAPIS SPR reports annually.
D. The Contractor shall verify the accuracy of all data submitted to CDA by
reviewing and responding to the Annual Data Error Report in accordance with
CDA requirements.
The Contractor shall, in accordance with CDA requirements, correct
and/or explain all logic and questionable errors in the Annual Data Error
Report.
Page 10 of 16
Additional Provisions - Exhibit E
AP 16-17 Contract
ARTICLE II. REPORTING PROVISIONS (Continued)
a. The Contractor shall return the Annual Data Error Report to CDA,
verifying that corrections have been made, via email to
DataTeam. Reaorts(abaaina.ca.aov.
b. The Annual Data Error Reports are due to CDA by a date specified
by CDA, which can vary from year to year.
2. The Contractor shall review and verify all quarterly and annual NAPIS
SPR and CDA 1022 data for accuracy and make necessary corrections, in
accordance with CDA requirements.
E. Reportina Provisions Specific to the Ombudsman Proaram
The Contractor shall take the following actions, or shall require its Subcontractor,
the Local Ombudsman Program, to enter data into the Internet -based NORS
utilizing software provided by CDA, as required. NORS data entry must be
timely, complete, accurate, and verifiable.
Data entry for quarterly NORS reports must be completed no later than
one month following the end of the reporting quarter (i.e., October 31,
January 31, April 30, and July 31) with copies of the aggregate data sent
to the corresponding AAA.
2. On or before the reporting dates, the Local Ombudsman Program must
submit the Quarterly Ombudsman Data Reporting Form (OSLTCO S301),
indicating that data for the quarter has been completed or the reason for
any delay, to the OSLTCO mailbox (stateombCcDaaina.ca.aov) with a copy
to the AAA.
F. The Contractor shall have written reporting procedures specific to each program
which include:
Collection and reporting of program data for the Contractor and
Subcontractor.
2. Ensuring accuracy of all data from the Contractor and Subcontractor.
3. Verification of the Contractor and Subcontractor data prior to submission
to the CDA Data Team.
4. Procedures for the Contractor and Subcontractor on correcting data
errors.
Page 11 of 16
Additional Provisions - Exhibit E
AP 16-17 Contract
ARTICLE il. REPORTING PROVISIONS (Continued)
5. A methodology for calculating and reporting:
a. Total estimated unduplicated clients in each non -registered service.
b. Total estimated unduplicated clients in all non -registered services.
C. Total estimated unduplicated clients across all registered and
non -registered services.
6. A performance data monitoring process.
G. The Contractor shall orient and train staff and Subcontractor staff regarding
program data collection and reporting requirements. The Contractor shall have
cross -trained staff in the event of planned or unplanned, prolonged absences to
ensure timely and accurate submission of data.
H. Reporting Provisions Specific to Title VII A. Chapter 3 Elder Abuse Prevention
1. The Contractor shall complete and submit the Elder Abuse Prevention
Quarterly Activity Report (CDA 1037) to the OSLTCO Program mailbox
(stateombe,aginq.ca.gov) on the following reporting due dates:
jQuarter
Reporting Period
Due Date
Quarter 1
July 1 - September 30
October 31
Quarter 2
October 1 - December 31
January 31
Quarter 3
January 1 March 31
April 30
Quarter 4
April 1 - June 30
July 31
2. The Contractor shall also enter the quarterly aggregate number of "Elder
Abuse Prevention, Education and Training Sessions" and "Elder Abuse
Prevention Educational Materials" into CARS on a quarterly basis.
3. The Contractor shall also report in CARS the total Elder Abuse
Prevention, Education and Training sessions and Elder Abuse Prevention,
Education Materials from the Elder Abuse Prevention Quarterly Activity
Report.
ARTICLE III. APPEAL PROCESS
A. The Contractor may appeal an adverse determination as defined in 22 CCR 7702
using the appeal process established by CDA in 22 CCR 7700 through 7710.
Page 12 of 16
Additional Provisions - Exhibit E
AP 16-17 Contract
ARTICLE III. APPEAL PROCESS (Continued)
Such appeal shall be filed within thirty (30) days of receipt of CDA's notice of
adverse determination.
B. Subcontractors of the Contractor may appeal the Contractor's final adverse
determination relating to Title III and Title VII programs using the appeal process
established in 22 CCR 7700 to 7710.
C. Any dispute regarding an existing direct service contract or the procurement of
the direct service contract shall be resolved locally, consistent with
W&I § 9535(k), and as specified in the procurement documents and contracts of
the Contractor.
D. Appeal costs or costs associated with any court review are not reimbursable.
ARTICLE IV. TRANSITION PLAN
A. The Contractor shall submit a transition plan to the State within fifteen (15) days
of delivery of a written Notice of Termination (pursuant to Exhibit D, Article XII. of
this Agreement) for a service funded either by Title III or Title VII. The transition
plan must be approved by the State and shall at a minimum include the following:
A description of how clients will be notified about the change in their
service provider.
2. A plan to communicate with other organizations that can assist in locating
alternative services.
3. A plan to inform community referral sources of the pending termination of
the service and what alternatives, if any, exist for future referrals.
4. A plan to evaluate clients in order to assure appropriate placement.
5. A plan to transfer any confidential medical and client records to a new
contractor.
6. A plan to dispose of confidential records in accordance with applicable
laws and regulations.
7. A plan for adequate staff to provide continued care through the term of the
Contract. [22 CCR 7206(e)(4)]
8. A full inventory and plan to dispose of, transfer, or return to the State all
equipment purchased during the entire operation of the Contract.
Page 13 of 16
Additional Provisions - Exhibit E
AP 16-17 Contract
ARTICLE IV. TRANSITION PLAN (Continued)
9. Additional information as necessary to effect a safe transition of clients to
other community service providers.
B. The Contractor shall implement the transition plan as approved by the State.
The State will monitor the Contractor's progress in carrying out all elements of
the transition plan.
C. if the Contractor fails to provide and implement a transition plan as required by
Exhibit D, Article XII. of this Agreement, the Contractor will implement a transition
plan submitted by CDA to the Contractor following the Notice of Termination.
ARTICLE V. OBLIGATIONS UPON TERMINATION SPECIFIC TO THE OMBUDSMAN
PROGRAM
A. Transition of Local Ombudsman Services
The Contractor shall, upon receipt of notice of intent to terminate
Ombudsman services by the subcontractor, notify CDA in writing, within
one (1) working day of the receipt of the notice.
2. The Contractor shall, upon notice of termination, implement one of the
following options to ensure continuity of Ombudsman services in
accordance with federal and State mandates.-
a.
andates:
a. Continue the provision of mandated Ombudsman services as a
subcontract with a provider selected in response to a Request for
Proposal (RFP). CDA shall allow the Contractor up to one hundred
eighty (180) days to transition services to a new subcontractor.
b. Continue the provision of mandated Ombudsman services as a
direct service of the Contractor. CDA shall allow the Contractor up
to one hundred eighty (180) days to transition services from the
Subcontractor to the Contractor.
B. Transition Plan
The Contractor shall submit a Transition Plan to CDA within fifteen (15)
days from the occurrence of any of the following:
a. The Contractor's receipt of written notice of the Subcontractor's
intent to terminate Ombudsman services.
b. The Contractor's written notice to the Subcontractor of its intent to
terminate the subcontract for Ombudsman services.
Page 14 of 16
Additional Provisions - Exhibit E
AP 16-17 Contract
ARTICLE V. OBLIGATIONS UPON TERMINATION SPECIFIC TO THE OMBUDSMAN
PROGRAM (Continued)
C. The Contractor's receipt of written notice of CDA's intent to
terminate the Contract for Ombudsman services.
d. The Transition Plan shall be submitted to:
CDA OSLTCO
1300 National Drive, Suite 200
Sacramento, CA 95834
Attn: State Ombudsman
2. The Contractor shall identify in the Transition Plan which option it has
chosen to ensure that there will be no break in continued services, based
on the following:
a. Continue the mandated Ombudsman provisions as a direct service
of the Contractor, utilizing experienced State Certified Ombudsman
Representatives and a local Program Coordinator selected by the
Contractor and designated by the State Ombudsman to represent
the Local Ombudsman Program.
b. Continue the mandated Ombudsman provisions as a subcontracted
service with a subsequent provider selected in response to an RFP
requiring the utilization of experienced State Certified Ombudsman
Representatives, and designated by the State Ombudsman to carry
out Ombudsman duties with respect to the PSA.
3. The Transition Plan shall, at a minimum, include the following:
a. Details of how the Contractor shall maintain an adequate level of
State Certified Ombudsman Representatives to ensure continuity of
services during the transition to a subsequent Local Ombudsman
Program.
b. Details of how the Contractor shall notify all the impacted facilities
and community referral sources of the change in the parties
providing Local Ombudsman Program services.
Page 15 of 16
Additional Provisions - Exhibit E
AP 16-17 Contract
ARTICLE V. OBLIGATIONS UPON TERMINATION SPECIFIC TO THE OMBUDSMAN
PROGRAM (Continued)
C. Details of how the Contractor shall deliver to the subsequent Local
Ombudsman Program, a full inventory of updated confidential client
records, public facility records, and records documenting
Ombudsman certification and training.
d. A description of how the subsequent Local Ombudsman Program
will be assisted in assessing the status of all active clients' records
at the point of transfer to ensure timely continuation of Ombudsman
services.
e. A description of how residents and their families will be notified
about the changes in their Ombudsman services provider.
C. The Contractor shall implement the Transition Plan as approved by the CDA.
The CDA will monitor the Contractor's progress in carrying out all elements of the
Transition Plan.
D. If the Contractor fails to provide and implement the Transition Plan as required
above, the Contractor agrees to implement a Transition Plan submitted by the
CDA to the Contractor. This Transition Plan may utilize State Certified
Ombudsman Representatives from either the terminating Subcontractor or from a
neighboring Local Ombudsman Program.
Page 16 of 16
CONTRACT ROUTING FORM
INSTRUCTIONS: Use this cover sheet to circulate all contracts for review and approval in the order shown below.
TO BE COMPLETED BY INITIATING DEPARTMENT PROJECT MANAGER:
Contracting Department: Community Services
Project Manager: Carlene McCart
Extension: x 3340
Contractor Name: County of Marin
Contractor's Contact: Department of Health and Human Services contract: FY 2016/2017
Contact's Email: www.marinhhs.org/aging-adult-services
❑ FPPC: Check if Contractor/Consultant must file Form 700
Step
RESPONSIBLE
DESCRIPTION
COMPLETED
REVIEWER
CONTINUE ROUTING PROCESS WITH HARD COPY
DEPARTMENT
DATE
Check/Initial
1
Project Manager
a. Email PINS Introductory Notice to Contractor
Click here to
❑
6 City Attorney
Review and approve hard copy of signed
enter a clate.
agreement
b. Email contract (in Word) & attachments to City
attached
7 City Attorney
Review and approve insurance in PINS, and bonds
Atty c/o Laraine.Gittens@cityofsanrafael.org
(for Public Works Contracts)
2
City Attorney
a. Review, revise, and comment on draft agreement
la -k here to
<,_�'[�^��
9 City Clerk
and return to Project Manager
enter a clale.
❑
forwards copies to Project Manager
b. Confirm insurance requirements, create Job on
No insurance
PINS, send PINS insurance notice to contractor
required
❑
3
Project Manager
Forward three (3) originals of final agreement to
attached
contractor for their signature
4
Project Manager
When necessary, * contractor -signed agreement
❑ N/A
agendized for Council approval
*PSA > $20,000; or Purchase > $35,000; or
Or
Public Works Contract > $125,000
Date of Council approval: August 15, 2016
8/15/2016
PRINT
CONTINUE ROUTING PROCESS WITH HARD COPY
5 Project Manager
Forward signed original agreements to City
8/18/16
Attorney with printed copy of this routing form
6 City Attorney
Review and approve hard copy of signed
agreement
7 City Attorney
Review and approve insurance in PINS, and bonds
'v
(for Public Works Contracts)
8 City Manager/ Mayor
Agreement executed by Council authorized official
<,_�'[�^��
9 City Clerk
Attest signatures, retains original agreement and
forwards copies to Project Manager