City of Sacramento
City Council Report
915 I Street, 1st Floor
Sacramento, CA 95814
www.cityofsacramento.org
File ID: 2022-01511 8/16/2022 Consent Item 6.
California Community Program for Alzheimer’s Services and Support (CalCOMPASS) Grant Application for Triple R Adult Day Program
File ID: 2022-01511
Location: Citywide
Recommendation: Adopt a Resolution authorizing the City Manager, or the City Manager’s designee to: a) Submit an application on behalf of the City of Sacramento; b) Conduct all negotiations and sign and submit all grant documents; and c) Certify that the City agrees to comply with all applicable federal, state, and local laws, ordinances, rules, regulations and guidelines related to acceptance of grant funds.
Contact: Janelle Oishi, Program Specialist, (916) 808-1016, [email protected]; Stephanie Wilson, Recreation Superintendent, (916) 808-1591, [email protected], Department of Youth, Parks and Community Enrichment
Presenter: None
Attachments:
1-Description/Analysis
2-CalCOMPASS Request For Proposals
3-Resolution
Description/Analysis
Issue Detail: The California Department of Aging (CDA) is administering a competitive grant program with one-time funding of $4.5 million for a California Community Program for Alzheimer’s Services and Support (CalCOMPASS). CalCOMPASS is a 25-month pilot project to meet the needs of diverse older adults and families in community setting through the provision of dementia care services, provided at licensed Adult Day Programs and Adult Day Health Care Centers, to:
1. Address the health and wellbeing of older adults and their caregivers
2. Prevent or delay institutionalization
3. Advance health equity
City of Sacramento Page 1 of 4
File ID: 2022-01511 8/16/2022 Consent Item 6.
The City intends to submit an application to CalCOMPASS to reestablish funding support for the Triple R Adult Day Program previously sustained through the State Alzheimer’s Day Care Resource Center (ADCRC) funding. The state lost sustainability for ongoing annual funding via the ADCRC program in 2009 due to budget cuts; the current CalCOMPASS program is designed to fund a pilot program to develop a network of community-based service providers, in coordination with the California Department of Aging, to institute an adult day services program model that is sustainable and utilizes best practices of Alzheimer’s and dementia care. The Triple R Adult Day Program will provide person-centered care and support services for individuals and families experiencing dementia and serve as a model program for the State. Funding will allow for expansion of the number of participants being served through the program and will provide services to prevent and delay institutionalization of individuals due to high care needs. Staff of the program will provide intensive case management services to support caregivers’ health and wellbeing through education and a network of community resources. CalCOMPASS project applications may be awarded a maximum of $750,000 per project. The City will request up to $350,000 in support of the Triple R Adult Day Program.
The City of Sacramento’s Triple R Adult Day Program provides “Respite, Recreation and Resources” for families and older adults with Alzheimer’s and other forms of dementia. The program has been offered by the Department of Youth, Parks, & Community Enrichment since 1992. The program provides support for integral life experiences in a safe environment that supports the physical and cognitive health of older adults experiencing dementia. Staff are trained in dementia care and create a supportive, fun and social atmosphere while providing personal care to participants. Program participants may exhibit a range of moderate to advanced symptoms of dementia and receive care and supportive services tailored to their individual needs.
The Triple R Adult Day Program received a designation by the State of California in 1999 as the Alzheimer’s Day Care Resource Center (ADCRC) for Sacramento County. This designation is a state -approved indicator of quality care, with ongoing monitoring and evaluation to ensure state standards are rigorously implemented. The Triple R Adult Day Program is licensed by the state to provide care in three locations across the city: in North Sacramento, Midtown, and South Land Park.
The resolution authorizes City staff to respond to the California Department of Aging’s RFP by filing a grant application for funding to support the Triple R Adult Day Program. If a grant is awarded, staff would return to Council to approve the grant agreement and establish the budget.
Policy Considerations: Funding for this project would enhance recreational opportunities, ensure continuity of integral community services, and is consistent with the City’s strategic plan to achieve sustainability and enhance livability.
Economic Impacts: Not applicable.
City of Sacramento Page 2 of 4
File ID: 2022-01511 8/16/2022 Consent Item 6.
Environmental Considerations: This report concerns fiscal activities that do not constitute a "project" as defined by the California Environmental Quality Act Guidelines Section 15378(b).
Sustainability: The project has been reviewed for consistency with the goals, policies, and targets of the City’s Sustainability Master Plan (SMP) and the 2035 General Plan. The Project will advance the goals, policies, and targets of these plans by improving the health of residents through access to a diverse mix of wellness and recreation activities.
Commission/Committee Action: Not applicable.
Rationale for Recommendation: The Triple R Adult Day Program provides a critical segment of services to older adults experiencing Alzheimer’s and dementia. Individuals experiencing dementia can require ongoing support with activities of daily living such as bathing and eating, as well as experience impacts in mood and behavior. Caregivers of individuals experiencing Alzheimer’s and other forms of dementia also face challenges in daily care and require ongoing support. In addition, Alzheimer’s and dementia disproportionately impact women, ethnic minorities, and individuals with disabilities. As Alzheimer’s and dementia are the cause of death in 1 in 3 older adults (California Taskforce on Alzheimer’s Prevention & Preparedness Report, 2020), it is vital to ensure the City’s communities have continued access to a critical resource like the Triple R Adult Day Program.
The recommended project meets all grant criteria and maximizes competitiveness based on the following criteria:
· Is one of a small group of eligible service providers · Has specific experience and capacity for required grant program elements such as ongoing provision of caregiver support, provides services to participants with moderate to advanced stages of dementia, etc.
· Meets the grant goals to leverage partnerships toward integrating models of support, demonstrate experience with recognized models of care and best practices, and facilitate collaborative relationships with local and regional stakeholders.
Financial Considerations: The total grant application amount will not exceed $350,000. If approved, the grant would provide State funds for the implementation of program services and supports. The RFP did not specify a requirement of matching funds but encourages match in the forms of committed funds and in-kind resources. The RFP denotes a period of Q&A between the RFP posting date of July 29, 2022, and August 16, 2022. Final clarification on match as a required element is anticipated by the end date. The Triple R Adult Day Program has the capacity to address any formal match requirement through program income. Should a grant be awarded to the City, final acceptance of grant funds will be evaluated at the time of Council approval of the grant agreement to allow for an appropriation of funds to complete the project scope and establish the project budget.
Local Business Enterprise (LBE): Not applicable; no goods or services are being purchased with City of Sacramento Page 3 of 4
File ID: 2022-01511 8/16/2022 Consent Item 6.
this action.
City of Sacramento Page 4 of 4
STATE OF CALIFORNIA - HEALTH AND HUMAN SERVICES AGENCY GAVIN NEWSOM GOVERNOR
CALIFORNIA DEPARTMENT OF AGING
BUSINESS MANAGEMENT BUREAU
2880 GATEWAY OAKS DRIVE, SUITE 200
SACRAMENTO, CA 95833
WWW.AGING.CA.GOV
TEL 916-419-7500
REQUEST FOR PROPOSALS (RFP)
Notice to Prospective Proposers
Cal-COMPASS Pilot Project
Purpose: Funding Opportunity for California’s Community Program for Alzheimer’s Services and Support (Cal-COMPASS)
To: Licensed Adult Day Programs and Adult Day Health Care Centers Attention: Program Directors, Executive Directors of Adult Day Programs and Adult Day Health Care Centers
RFP Number: CC-2223-99
RFP Release Date: July 29, 2022
Funding Period: Through December 31, 2024
Reference: American Rescue Plan Act of 2021 Section 9817; and in accordance with State Medicaid Director (SMD) Letter #21-003l; and Welfare and Institutions Code 14124.12
Subject: 2022–24 Cal-COMPASS Pilot
You are invited to review and respond to this California Department of Aging (CDA) solicitation. The CDA is seeking proposals from Program Directors and Executive Directors of Adult Day Programs (ADPs), which are currently licensed by the California Department of Social Services (CDSS) and in good standing; and Adult Day Health Care (ADHC) Centers, which are currently licensed by the California Department of Public Health (CDPH) and in good standing, of an opportunity to apply for Cal- COMPASS funding provided by the California Department of Aging (CDA) for the administration of services and supports in alignment with the Centers for Medicare & Medicaid Services (CMS) Home and Community Based Services (HCBS) spending plan.
In submitting a proposal, proposers agree that they have read, understood, and will comply with the instructions found herein. Failure to comply with any of the requirements may result in rejection of a proposal. By submitting a response, proposers understand that they will agree to the terms and conditions stated in this solicitation and any resulting agreement.
Department of Aging
RFP Number: CC-2223-99
All agreements entered into with the State of California will include by reference the state’s General Terms and Conditions and Contractor Certification Clauses that may be viewed and downloaded at:
https://www.dgs.ca.gov/OLS/Resources/Page-
Content/Office-of-Legal-Services-Resources-List-Folder/Standard-Contract-Language.
This solicitation is published at the Cal e-Procure website at:
https://caleprocure.ca.gov/pages/index.aspx. To ensure receipt of any addenda that may be issued and answers to questions received, you must register online at https://caleprocure.ca.gov/pages/bidder-vendor.aspx.
The CDA strongly recommends potential Proposers read this entire document thoroughly and carefully before submitting a proposal.
Department of Aging
RFP Number: CC-2223-99
TABLE OF CONTENTS
1. PURPOSE / BACKGROUND ....................................... 4Error! Bookmark not defined.
A. Program Background and Information .................................................................. 4 B. Agreement Term…………………………………… ................................................. 6 C. Funding Amount ................................................................................................... 6
2. MINIMUM QUALIFICATIONS ...................................... 6Error! Bookmark not defined.
A. Proof of Legal Right To Do Business .................................................................. 66 B. License Required of Proposers for this RFP......................................................... 7 C. Eligibility Criteria .................................................. 7Error! Bookmark not defined. 1) Operational Criteria ......................................................................................... 7 2) Population Readiness Criteria ......................................................................... 8 3) Leadership Criteria .......................................................................................... 8 4) Equity Criteria .................................................................................................. 8 D. Agreement to Sign ................................................................................................ 9
3. PROPOSAL REQUIREMENTS AND INFORMATION ............................................ 11 A. Key Action Dates ............................................ 11Error! Bookmark not defined.
B. Proposers’ Questions ....................................................................................... 11 C. Submission of Proposals ................................................................................. 12 D. Narrative Proposal Requirements .................................................................... 12 E. Proposal Narrative Content .............................................................................. 16 F. Agreement to Sign ........................................................................................... 17
4. PROPOSAL EVALUATION AND AWARD ......................................................... 1817 A. Review of Proposal Requirements ..................................................................... 18 B. False Statements Disclaimer .............................................................................. 27 C. Intention to Award ............................................................................................... 27 D. Disposition of Proposals ..................................................................................... 27 E. Tax Delinquency Disclaimer .............................................................................. 27
5. REQUIRED ATTACHMENTS .................................................................................. 28 A. Required Attachments: ....................................................................................... 28 Attachment 1 Proposal Submission Checklist ...................................... 29 Attachment 2 P roposer’s Certification .................................................. 30 Attachment 3 Minimum Qualifications Response ................................. 31 Attachment 4 Proposer’s Budget .......................................................... 35 Attachment 5 California Civil Rights Certification (CDA 9026) .............. 36 Attachment 6 Bidder Declaration Form (GSPD-05-105) ....................... 37 Attachment 7 Payee Data Record (Std. 204) ....................................... 39 Attachment 8 Insurance Certifications and Samples ............................ 40 Attachment 9 Darfur Contracting Act Certification (only if applicable) .. 43 Attachment 10 Contractor Certification Clauses (CCC 04/2017) ............ 45 Attachment 11 Information Integrity & Security Statement (CDA 1024) . 50 Attachment 12 S ample Standard Agreement (Std. 213 and Exhibits) .... 52 Note: Attachment 12 is included for reference and information only. Only the successful proposer will submit these documents, when requested by the CDA.
Department of Aging
RFP Number: CC-2223-99
1. P URPOSE / BACKGROUND
A. P ROGRAM BACKGROUND AND INFORMATION
Alzheimer’s Disease is one of the most expensive diseases in America, with estimated costs of more than $320 billion in 2022.
1 Alzheimer’s, the most
common form of dementia, can become serious enough to interfere with daily life activities, such as dressing, bathing or eating. In addition to affecting mood and behavior, Alzheimer’s and dementia are most well-known for leaving people with memory challenges that subject them to risks risk of wandering, falls, or other injuries that could lead to hospitalizations.
2 Alzheimer’s and dementia
disproportionately impact women, Black, and Latinx populations, and those with disabilities. For example, people with Intellectual/Developmental Disabilities (IDD), especially Down Syndrome, face the greatest risk of Alzheimer’s, with 70% dying of this disease.
3 The consequences are staggering. Alzheimer's or
another dementia are the cause of death for 1 in 3 of older adults.4 It is imperative that California use its resources effectively to find innovative solutions to address the severe problem of Alzheimer’s disease and dementia for older adults.
This opportunity will launch a 25-month pilot project to meet the needs of diverse older adults and families in communities through the provision of dementia-capable services provided at licensed ADP and ADHC Centers to address the health and well-being of older adults and their caregivers, prevent or delay institutionalization, and advance health equity. This furthers the recommendations of the Governor’s Task Force on Alzheimer’s Prevention and Preparedness.
1 Alzheimer’s Association, “Alzheimer’s Disease Facts and Figures.” https://www.alz.org/alzheimers-dementia/facts-figures.
2 Alzheimer’s Association. “What is Alzheimer’s Disease?” https://www.alz.org/alzheimers- dementia/what-is-alzheimers.
3 Governor’s Task Force on Alzheimer’s Prevention, Preparedness & Path Forward, “Our Path Forward.” http://caalztaskforce.org/wp-content/uploads/2021/01/2020-Alzheimers- Report_FinalDigital.pdf, p. 20.
4 Id. at 8.
Department of Aging
RFP Number: CC-2223-99
A limited number of contract awards will be made to ADP and ADHC Centers that meet eligibility criteria and can demonstrate ability and capacity to successfully develop and provide innovative dementia-capable services. These services include but are not limited to person-centered support for persons with dementia and caregivers utilizing social, health-related, and non-pharmacological approaches that would expand and enhance HCBS by preventing or delaying the need for individuals with dementia and/or Alzheimer’s disease to be placed into institutional care settings. Proposers should assess the amount of funds necessary to carry out the 26-month pilot project and make a proposal to CDA based on need. A range of awards with the minimum amount of $350,000 and the maximum amount of $750,000 will be awarded to each successful proposer.
CDA, in partnership with Proposers who are awarded agreements, will create a modernized approach to the Alzheimer’s Day Care Resource Centers (ADCRC) principles and best practices for Alzheimer’s and dementia in community care settings. CDA is administering a time-limited pilot project that will leverage one- time funds to design and implement a modernized Alzheimer’s community care model. This pilot will serve as a learning laboratory through which to further develop best practices in diverse communities and where there is a great need for educating and supporting caregivers. The sites selected, or successful Proposers, along with CDA team members will help shape the model, collect participant data, and further develop best practices.
CDA has been granted one-time funds for the Cal-COMPASS pilot that will help facilitate and create a dementia care model that may be financially sustainable and sets a standard for dementia care in the full field of licensed ADP and ADHC Centers, thereby uplifting dementia-capable services statewide. This investment also supports principles of equity and access to care in the community setting by using enhanced person-centered principles to support people at any stage of dementia.
Interested ADP and ADHC Center Program Directors and Executive Directors must submit a written proposal for the 2022–24 Cal-COMPASS Funds via email to the Health at Home Branch at the email address listed below under the section titled Proposal Deadline.
The Cal-COMPASS proposal eligibility requirements, and general information are below. Only ADP and ADHC Centers that are licensed and in good standing with CDSS/CDPH are eligible to apply. Maintaining a license in good standing requires that a license is active and not expired, suspended, revoked, surrendered, conditioned, or otherwise in a status that in any manner restricts the activity of a licensee under the authority of the license.
This process is a competitive process for funding. To be considered, the proposal must be complete, submitted timely and comply with all stated requirements. A review committee will consider all qualified applicants and will rank each proposal against established criteria. Proposers may be invited to a virtual interview.
Department of Aging
RFP Number: CC-2223-99
B. AGREEMENT TERM
The award period is through December 31, 2024, and the successful Proposers will enter into an agreement with CDA and must comply with all terms and conditions therein. Contractors must submit a final report within 30 calendar days following the end of the Agreement term by January 31, 2025.
C. FUNDING AMOUNT
CDA has allocated $4.5 million for this program. CDA is seeking to award agreements in a range of a minimum amount of $350,000 and the maximum amount of $750,000 awarded to each successful Proposer for the 25-month pilot period to provide innovative dementia-capable services in various parts of the state. There is only one proposal permitted during the agreement term.
2. MINIMUM QUALIFICATIONS
The successful proposers will be selected on a competitive basis to provide services as described in detail in the Sample Agreement, Exhibit A, Scope of Work (Attachment 12). In order to have a proposal evaluated, the proposer must meet the following minimum qualifications:
A. PROOF OF LEGAL RIGHT TO DO BUSINESS:
1) Proposers must submit a copy of their license to do business in the State of California, where applicable.
2) Proposers must certify that they are and will continue to meet all terms and conditions for operating a business in the city/county in which the business is headquartered.
3) Proposers which are corporations, including non-profits, regardless of where they are incorporated, shall submit a print-out from the California Secretary of State website https://businesssearch.sos.ca.gov/
which shows that their
corporation is registered and is currently in good standing. 4) Proposers must be eligible to receive public funds (a list of entities that have been declared ineligible to receive government funds can be found at https://www.sam.gov
.)
Department of Aging
RFP Number: CC-2223-99
B. LICENSE REQUIRED OF PROPOSERS FOR THIS RFP:
1) Be licensed as an Adult Day Programs (ADP) by the California Department of Social Services; OR, as an Adult Day Health Care Center (ADHC) by the California Department of Public Health (CDPH) and in good standing. A license in good standing requires that a license is active and not expired, suspended, revoked, surrendered, conditioned, or otherwise in a status that in any manner restricts the activity of a licensee under the authority of the license.
Proposers must submit a copy of their license and standing will be verified.
C. ELIGIBILITY CRITERIA
Proposers must meet the following criteria to submit a proposal for this Cal- COMPASS funding:
1) O perational Criteria:
a) C urrently operate as an ADP/ADHC site (pre-pandemic) as demonstrated by ongoing provision of caregiver support through various means; accepting participants in moderate and/or advanced stages of dementia; and providing ongoing dementia training of staff.
b) Have experience assisting participants with cognitive impairment and their caregivers with challenging situations, which may include personal or local crises such as medical emergencies, disasters, or pandemic response. c) Have experience partnering with academic institutions, higher education and/or community-based organizations to develop and deliver training for staff and caregivers—please include details of any agreements (Memorandum of Understanding, letters, contracts, etc. that summarize the types of training developed and delivered including number of hours trained and brief overview of curriculum).
d) Have the capability to hire and/or maintain a multidisciplinary team to address and/or provide dementia-capable services.
e) Utilize technology as a standard support for staff, participants, and caregivers.
f) Proposer must certify financial solvency or stability and provide proof.
Proof may be
(1) audited financial statements, or
(2) balance sheets and income statements for two years.
Department of Aging
RFP Number: CC-2223-99
2) Population Readiness Criteria:
a) Have a history of providing supportive services and/or facilitating support for serving people at all stages of Alzheimer’s Disease and dementia.
Proposers must address their use of proven models and innovative practices of dementia-capable services. The supportive experience should be highlighted by the center’s policies, procedures, programs, investments, and initiatives.
b) Have experience with supporting individuals and caregivers through connections to local resources in the community including health, social services, housing, and transportation.
c) Demonstrate, using reliable data, the need for dementia support in community and analysis of gaps that exist.
3) Leadership Criteria:
a) Have proven operational leadership at executive and staff levels b) Demonstrate ongoing commitment to dementia and caregiving best practices and ethical standards of care
4) Equity Criteria:
a) Represent a geographic cross section of the state: rural and urban and extends access to care to underserved communities.
b) Reflect and responds to language, race, ethnicity, and cultural diversity represented in their communities, inclusive of Latinx, Black, and LGBTQ+ participants and caregivers.
c) Address unique needs of underrepresented populations, which may include individuals who live alone without support, individuals with younger-onset Alzheimer’s disease or dementia, individuals with Down Syndrome, and others.
Department of Aging
RFP Number: CC-2223-99
D. AGREEMENT TO SIGN:
1) The Proposer shall certify that, if awarded an agreement, they shall sign and return two (2) originals of the Standard Agreement signature pages (Std. 213), to be received by the CDA no later than seven (7) calendar days from the date the CDA e-mails the agreement to the email address provided by Proposer on the Minimum Qualifications Response Form (Attachment 3); OR that Contractor shall provide electronic signature in DocuSign as initiated by CDA, no later than seven (7) calendar days from the date the CDA sends the DocuSign envelope.
2) The Proposer shall further certify, by initialing Attachment 8, that they understand the insurance requirements in Attachment 12, Sample Agreement, Exhibit D, Article 10, and if awarded an agreement, shall provide the CDA with all required insurance documents as may be applicable, in a timely manner.
3) Proposer shall certify their understanding that all agreements entered into with the State of California are required to comply with Governor's Executive Order (EO) N-6-22:
https://www.gov.ca.gov/wp-
content/uploads/2022/03/3.4.22-Russia-Ukraine-Executive-Order.pdf. 4) Proposer must certify their understanding that the CDA reserves the right, at its sole discretion, to cancel a proposed award to a Proposer who fails to submit the required documentation for execution of the Agreement (i.e., insurance) in a timely fashion. Should the CDA cancel a proposed award for this reason, the CDA reserves the right, at its sole discretion, to award the contract to the next highest-scoring, responsive and responsible Proposer.
Department of Aging
RFP Number: CC-2223-99
3. P ROPOSAL REQUIREMENTS AND INFORMATION
A. KEY ACTION DATES
Below are the Key Action Dates for this solicitation. All times referred to in this solicitation are Pacific Daylight Time (PDT).
Event Date Time
RFP Release Date Friday, July 29, 2022 --
Last Day to Submit Questions Thursday, August 11, 2022 5:00 PM Anticipated Date of Addendum to
be Published (Written Responses
to Questions)
Monday, August 15, 2022 5:00 PM
Virtual RFP Proposers Conference Tuesday, August 16, 2022 2:00 PM Final Date for Proposal Submission Wednesday, August 24, 2022 5:00 PM Proposal Opening & Administrative
Evaluation
Thursday, August 25, 2022 11:00 AM
Anticipated Dates of Evaluation August 26 – Sept. 1, 2022 -- Anticipated Date that Notice of
Intent to Award will be Posted
Friday, September 2, 2022 --
Proposed Start Date of Agreements September 19, 2022 -- * All dates after the Final Proposal Submission date are subject to change without notice.
B. PROPOSER’S QUESTIONS:
1) Proposers should notify the CDA immediately via email to [email protected] AND [email protected] if
they need clarification about the services being sought or have questions about the RFP instructions or requirements. Please put in the email subject line: Cal-COMPASS Proposal Inquiry. The CDA will respond to all questions via an addendum to the solicitation with all questions and answers posted on Cal e-Procure (
www.caleprocure.ca.gov).
Note: It is the responsibility of the Proposer to check Cal e- Procure for any changes to this RFP, as all questions, answers and addenda will be posted there. The CDA will not be held responsible for inaccurate proposals due to Proposer’s
oversight in reviewing any and all information via Cal e-Procure. 2) Verbal comments regarding this RFP are unofficial and are not binding on the CDA unless later confirmed in writing as an official addendum. 3) It is the responsibility of each Proposer to seek clarification or correction of the RFP. Failure to do so, shall neither nullify the RFP nor excuse any wrong information provided by the Proposer.
Department of Aging
RFP Number: CC-2223-99
C. VIRTUAL PROPOSERS CONFRENCE
1) A Virtual Proposers Conference is scheduled for 2:00 PM PDT on Tuesday, August 16, 2022. Once proposers notify the CDA analyst of their participation, they will receive the zoom link to join the conference. The conference will be an opportunity for proposers to ask questions on any aspect of this proposal process, or the terms or the work of the contract.
2) This conference is optional. It is HIGHLY recommended that all interested proposers attend the conference. Proposers who wish to attend the conference must notify Katie Paige via e-mail at
[email protected], by 4:00 PM PDT on Monday, August 15, 2022. This notification must include the first and last name of the proposed attendee(s), as well as an email address and phone number for contact information.
3) For interested proposers who need assistance due to a physical impairment, a reasonable accommodation will be provided by the CDA, upon request.
Proposers must request the accommodation when requesting to attend the conference as described above.
4) Subcontractors may not represent a potential prime contractor at a conference. Proposers may bring as many participants as they feel necessary, since this is a virtual conference.
5) The conference will start promptly at 2:00 PM PDT on Tuesday, August 16, 2022, and late parties, as well as timely participants, will need to read the addendum carefully. Proposers are encouraged to send questions via email in advance (see section B, above).
D. SUBMISSION OF PROPOSALS:
1) All proposals must be submitted via email to both:
[email protected] AND [email protected] and received by the date and time shown in Section 3, A – Key Action Dates. The subject line of the email must list the RFP number, and include the subject line as shown in the following example:
SUBJECT: SUBMITTAL – RFP CC-2223-99 – [Proposer Name]
Email to:
[email protected] and [email protected] a) The emailed Proposal must be received no later than the due date and time listed in Section 3, A – Key Action Dates.
Department of Aging
RFP Number: CC-2223-99
b) The emailed bid must be sent with your request for a read-receipt from the recipient (so that you know it was received).
c) The emails will not be opened until after the 4:00 PM PDT deadline.
Emailed proposals received after 4:00 PM PDT will not be opened or evaluated.
d) P roposal s must not be encrypted or otherwise password-protected. To meet size limits, proposals may need to be split into several PDF documents.
e) All proposals submitted must clearly and legibly show the name and address of the Proposer’s firm.
f) It is the Proposer’s responsibility to ensure that their proposal is submitted in a manner that enables the CDA to easily locate all response descriptions and exhibits for each requirement of this RFP. Note:
Attachment 12 should not be returned with the proposal. (1) Signature Requirements:
(a) All documents requiring a signature must bear an electronic/digital signature of a person authorized to bind the proposing
firm/organization.
(b) An individual who is authorized to bind the Proposer contractually shall sign the Proposer Certification Sheet. The signature should indicate the title or position that the individual holds in the firm. An unsigned proposal may be rejected.
(c) Electronic/digital signatures of individuals authorized to bind the Proposer are required.
(2) General Contents:
(a) All proposals shall include all of the documents identified in Section 5, Required Attachments, Attachment 1, Proposal Submission Checklist.
(b) Proposals should provide straightforward and concise descriptions of the Proposer's ability to satisfy the requirements of this RFP. The proposal must be complete and accurate. Omissions, inaccuracies, or misstatements will be sufficient cause for rejection of a proposal. (c) Proposals must be submitted for the performance of all the services described herein. Any deviation from the work specifications will not be considered and shall cause a proposal to be rejected.
Department of Aging
RFP Number: CC-2223-99
(d) A proposal shall be rejected if it is conditional or incomplete, or if it contains any alterations of form or other irregularities of any kind.
The state may reject any or all proposals and may waive an immaterial deviation in a proposal. The state’s waiver of an immaterial deviation or defect shall in no way modify the RFP document or excuse the Proposer from full compliance with all requirements if awarded the agreement.
(e) Before submitting a response to this solicitation, Proposers should review, correct all errors, and confirm compliance with the RFP requirements.
(f) Where applicable, Proposers must carefully examine work sites and specifications. Proposers shall investigate conditions, character, and quality of surface or subsurface materials or obstacles that might be encountered. No additions or increases to the agreement amount will be made due to a lack of careful examination of work sites and specifications.
(3) General Considerations:
(a) No verbal understanding or agreement shall be binding on either party.
(b) Costs for developing proposals in anticipation of award of the agreement are entirely the responsibility of the Proposer and shall not be charged to the State of California.
(4) Withdrawing and Resubmitting:
(a) Proposers may modify a proposal after its submission by withdrawing their original proposal package and resubmitting a new proposal package to (both email addresses below) prior to the proposal submission deadline. Proposer’s modifications offered in any other manner, verbal or written, will not be considered. (b) Proposers may withdraw their proposal by submitting a written withdrawal request to the CDA Contracts Office to (both email addresses below), signed by the Proposer or an authorized agent.
A Proposer may thereafter submit a new proposal package prior to the proposal submission deadline.
Department of Aging
RFP Number: CC-2223-99
Proposals may not be withdrawn without cause, subsequent to the proposal submission deadline. Communications will be sent to both email addresses below:
[email protected] AND
[email protected]
(c) A copy of any proposal submitted in response to this RFP may be returned only at the applicant’s expense, unless CDA, in its sole discretion, should waive such expense.
(5) Modification and Rejections:
(a) The CDA may modify the RFP, prior to the solicitation due date and time, by the issuance of an addendum to all parties who received a solicitation package. All Addenda will be posted on the CSCR, with the original advertisement.
(b) The CDA reserves the right to reject all proposals. The CDA is not required to award an agreement pursuant to this RFP.
(c) If a Proposer believes that one or more of the RFP requirements is onerous, unfair, or imposes unnecessary constraints to the Proposer in proposing less costly or alternate solutions, the Proposer may request a change to the RFP by submitting, in writing, the recommended change(s) and the facts substantiating this belief and reasons for making the recommended change. Such requests must be submitted to the CDA Contract Analyst by the date specified in the Key Action Dates – Deadline to Submit Written Questions. Such changes will be made at the sole option of the CDA. If the CDA determines that any requested change is in the best interest of the state, all Proposers will be notified of the change by the issuance of an Addendum to this RFP (without revealing the identity of the Proposer who requested the change).
Department of Aging
RFP Number: CC-2223-99
(d) A proposal submitted with alternate contract language will be considered a counteroffer and will be rejected. The State’s General Terms and Conditions (GTC) are not negotiable. Proposers are hereby advised that proposals of alternate contract language or attempts to negotiate the State’s Terms and Conditions after the selection of a proposed awardee shall be considered a counteroffer for the purposes of this solicitation. In such a situation, the CDA shall notify the proposed awardee that they must accept the state’s language and terms as offered or be disqualified from being awarded a contract. Should a contractor fail to accept the language and terms offered, the CDA shall disqualify that vendor and award the contract to another proposer and issue a revised Letter of Intent to Award, if applicable.
E. PROPOSAL NARRATIVE CONTENT
5) Proposers shall submit one narrative describing:
a) How your organization meets the eligibility criteria list in Section 2, Minimum Qualifications, and
b) Background on your center and its successes; and how you will meet the Cal-COMPASS Project Goals, below.
c) N arrative limit for 1a and 1b combined is 10 pages, single spaced, Arial 12 point font.
6) Proposal Package
The proposal package shall also include the amount of funding the center is requesting, as a total amount, along with a draft detailed budget (Attachment 4).
7) Cal-COMPASS Project Goals
a) Create an opportunity to further distinguish California as a hub of expertise for Alzheimer’s and dementia-capable community-based services. b) Leverage CDA’s partnerships across multiple agencies, departments, and stakeholders to integrate a model for Alzheimer’s and dementia supports into the Master Plan for Aging, California Advancing and Innovating Medi- Cal (CalAIM) and other initiatives.
c) Demonstrate practices that aid in the development of a Cal-COMPASS learning laboratory to accelerate knowledge and skill building for Alzheimer’s and dementia-capable programs and best practices.
Department of Aging
RFP Number: CC-2223-99
d) Utilize cross-departmental expertise of ADPs and ADHCs that have specializations in Alzheimer’s and dementia care to implement proven best practices and the testing of latest research, person-centered concepts, and non-pharmacological interventions.
e) Create a statewide learning community with a sustained focus and strong links to the DHCS’ efforts with CalAIM and the new Office of Medicare Innovation and Integration, helping to achieve the goal of community living for those with Alzheimer’s and dementia and support of their caregivers who are facing challenges due to disease stages, symptoms, and/or circumstances.
f) Foster connections with the state’s existing infrastructure and resources, which may include Area Agencies on Aging, Aging and Disability Resource Connections, Caregiver Resource Centers, Independent Living Centers, and the work of the California Department of Public Health and its 10 California Alzheimer’s Disease Centers and six Healthy Brain Initiative counties.
g) Create a direct link and consistent approach to the Medicaid Home and Community Based Services Spending Plan’s investments in workforce development and training that can be used to build Alzheimer’s and dementia-capable expertise among clinical and non-clinical care providers.
h) Gather and maintain data to evaluate outcomes for similarly identified individuals.
i) Enable common standards of practice to be defined, monitored, and evaluated via uniform assessment measures and use for outcomes research and continuous quality improvement.
j) Facilitate collaborative relationships with local partners, including, but not limited to Area Agencies on Aging, ADCRC, and experienced stakeholders. Leverage these relationships to build and expand future funding and certification for Alzheimer’s and dementia-capable programs that will be critically needed as the number of people living with Alzheimer’s, including people with Down’s Syndrome, increases exponentially.
F. AGREEMENT TO SIGN:
1) The Proposer shall certify that, if awarded an agreement, they shall sign and return two (2) originals of the Standard Agreement signature pages (Std. 213), to be received by the CDA no later than seven (7) calendar days from the date the CDA e-mails the agreement to the email address provided by Proposer on the Minimum Qualifications Response Form (Attachment 3).
Department of Aging
RFP Number: CC-2223-99
2) The Proposer shall further certify, by initialing Attachment 8, that they understand the insurance requirements in Attachment 12, Sample Agreement, Exhibit D, Article 10, and if awarded an agreement, shall provide the CDA with all required insurance documents as may be applicable, in a timely manner.
3) The Proposer shall certify their understanding that all agreements entered into with the State of California are required to comply with Governor's Executive Order N-6-22: https://www.gov.ca.gov/wp-
content/uploads/2022/03/3.4.22-Russia-Ukraine-Executive-Order.pdf. 4) Proposer must certify their understanding that the CDA reserves the right, at its sole discretion, to cancel a proposed award to a Proposer who fails to submit the required documentation for execution of the Agreement (i.e., insurance) in a timely fashion. Should the CDA cancel a proposed award for this reason, the CDA reserves the right, at its sole discretion, to award the contract to the next lowest, responsive and responsible Proposer.
4. PROPOSAL EVALUATION AND AWARD
A. REVIEW OF PROPOSAL REQUIREMENTS:
1) Phase 1 – Administrative Evaluation
The CDA will conduct an administrative evaluation in accordance with the RFP requirements to determine a Proposer’s responsiveness and responsibility. Each proposal will be checked for completeness and/or absence of all required information and to ensure that the Proposer meets the minimum qualifications in conformance with the submission requirements.
Proposals that contain false or misleading statements, or which provide references which do not support an attribute or condition claimed by the Proposer, may be rejected.
a) Definitions of Responsive and Responsible Proposers
A responsive Proposer is one who submits a proposal that meets each of the submission requirements and minimum qualification requirements stated in the RFP.
A responsible Proposer is one that is trustworthy and possesses the necessary quality, fitness and capacity to satisfactorily perform the proposed work. Proposers who are determined to be not responsible or who submit non-responsive proposals shall have the proposals rejected.
Department of Aging
RFP Number: CC-2223-99
b) Determining Responsive Proposers
(1) Each proposal will first be reviewed to determine whether the Proposer is responsive. This includes but is not limited to, ensuring that the proposal was received by the date and time specified; contains all the required documents; meets the minimum qualifications; meets the format requirements specified; and that there is no material deviation from the terms and conditions of the proposed contract. (2) A non-responsive proposal is one that does not meet the requirements stated in the RFP, fails to provide all required documents/ attachments, or proposals that deviate substantially from requirements. A proposal that changes the terms and conditions of the RFP or the contract provisions will be considered a counterproposal and will be rejected as non-responsive.
c) Determining Responsible Proposers
Responsive proposals shall be evaluated as evidence of the Proposer’s responsibility. The CDA reserves the right to reevaluate a Proposer’s responsibility prior to award and is in no way limited to submitted proposal packages in making a determination as to a Proposer’s responsibility. d) Tax Delinquency
Public Contract Code section 10295.4 provides that a state agency shall not enter into any contract for goods or services with a contractor whose name appears on either list of the 500 largest tax delinquencies pursuant to Section 7063 or 19195 of the Revenue and Taxation Code. CDA will check the websites of the Franchise Tax Board and the CA Department of Tax and Fee Administration which post and periodically update lists of the 500 largest tax delinquencies as required by law, to ensure proposers are not on either list.
2) Phase 2 – Technical Proposal Evaluation
The CDA will conduct an evaluation of each proposal not rejected in Phase 1 by an Evaluation Committee.
a) Rating Criterion Guidelines
The criteria in the Sample Score Sheet of this RFP will be used by reviewers to evaluate proposals submitted in response to this RFP. In addition to what is stated below, in scoring the proposal, each criterion will be rated on the basis of completeness, responsiveness, clarity of response, and weighed in the context of its contribution to the end product. (Sample Score Sheet begins on the next page)
Department of Aging
RFP Number: CC-2223-99
SAMPLE SCORE SHEET
Evaluator:_________________________________________________________ Proposer Name: ____________________________________________________
MINIMUM QUALIFICATIONS PASS FAIL
A. Proof of Legal Right to Do Business:
A.1. Proposer has provided a copy of their license to do business in the State of California, (as applicable).
A.2. Proposer has signed to certify that they are and will continue to meet all terms and conditions for operating a business in the city/county in which the business is headquartered.
A.3. Proposers which are corporations have provided a printout from the California Secretary of State website which shows that their corporation is currently in good standing.
A.4. Proposers must be eligible to receive public funds (a list of entities that have been declared ineligible to receive
government funds can be found at https://www.sam.gov.)
B. License Required of Proposers for This RFP:
B.1. Proposer is licensed as an Adult Day Programs (ADP) by the California Department of Social Services; OR, as an Adult Day Health Care Center (ADHC) by the California
Department of Public Health (CDPH) and in good standing. A license in good standing requires that a license is active and not expired, suspended, revoked, surrendered, conditioned, or otherwise in a status that in any manner restricts the activity of a licensee under the authority of the license.
Proposer has submitted a copy of their license and license has been verified.
C. Eligibility Requirements:
C.1.-Operational Requirements
C.1.a. Does Proposer currently operate as an ADP/ADHC site (pre- pandemic) as demonstrated by ongoing provision of
caregiver support through various means; accepting
participants in moderate and/or advanced stages of
dementia; and providing ongoing dementia training of staff.
C.1.b. Have experience assisting participants with cognitive impairment and their caregivers with challenging situations, which may include personal or local crises such as medical emergencies, disasters, or pandemic response
Department of Aging
RFP Number: CC-2223-99
C.1.c. Have experience partnering with academic institutions, higher education and/or community-based organizations to develop and deliver training for staff and caregivers—please include details of any agreements (Memorandum of Understanding, letters, contracts, etc. that summarize the types of training developed and delivered including number of hours trained and brief overview of curriculum)
C.1.d. Have the capability to hire and/or maintain a multidisciplinary team to address and/or provide dementia-capable services
C.1.e. Utilize technology as a standard support for staff, participants, and caregivers
C.1.f. Proposer has certified financial solvency or stability by signing the attestation; AND has provided 1) audited financial statements, OR 2) balance sheets and income statements for two years.
C.2.-Population Readiness Criteria
C.2.a. Have a history of providing supportive services and/or facilitating support for serving people at all stages of Alzheimer’s Disease and dementia. Proposers must address their use of proven models and innovative practices of
dementia-capable services. The supportive experience
should be highlighted by the center’s policies, procedures, programs, investments, and initiatives.
C.2.b. Have experience with supporting individuals and caregivers through connections to local resources in the community including health, social services, housing, and transportation
C.2.c. Demonstrate, using reliable data, the need for dementia support in community and analysis of gaps that exist
C.3. Leadership Criteria
C.3.a. Have proven operational leadership at executive and staff levels
C.3.b. Demonstrate ongoing commitment to dementia and
caregiving best practices and ethical standards of care
C.4. Equity Criteria
C.4.a. Represent a geographic cross section of the state: rural and urban and extends access to care to underserved
communities
C.4.b. Reflect and responds to language, race, ethnicity, and cultural diversity represented in their communities, inclusive of Latinx, Black, and LGBTQ+ participants and caregivers
Department of Aging
RFP Number: CC-2223-99
C.4.c. Address unique needs of underrepresented populations, which may include individuals who live alone without support, individuals with younger-onset Alzheimer’s disease or
dementia, individuals with Down Syndrome, and others.
D. Agreement to Sign:
D.1. Proposer has certified by signature that, if awarded an agreement, they shall sign and return two (2) originals of the Standard Agreement signature pages (Std. 213), to be received by the CDA no later than seven (7) calendar days from the date the CDA e-mails the agreement to the email address provided by Proposer on the Minimum Qualifications Response Form
(Attachment 3).
D.2. Proposer has further certified, by initialing Attachment 8, that they understand the insurance requirements in Attachment 12, Sample Agreement, Exhibit D, Article 10, and if awarded an agreement, shall provide the CDA with all required insurance documents as may be applicable, in a timely manner
D.3. Proposer has certified their understanding that the CDA reserves the right, at its sole discretion, to cancel a proposed award to a Proposer who fails to submit the required
documentation for execution of the Agreement (i.e., insurance) in a timely fashion. Should the CDA cancel a proposed award for this reason, the CDA reserves the right, at its sole discretion, to award the contract to the next highest-scoring, responsive and responsible Proposer.
If Proposers pass all the Minimum Qualifications, their proposal will move forward for further evaluation and scoring.
PROPOSER NAME: _____________________________________
Pass
Yes No
Department of Aging
RFP Number: CC-2223-99
Only those Proposers who Pass all Minimum Qualifications will have their proposals scored.
Points Scoring Guidelines
0 Response not provided.
1 Inadequate Response (i.e., content and/or explanation offered) is inadequate or does not meet the eligibility requirements. The omission(s), flaw(s), or defect(s) are significant and unacceptable. 2 Barely Adequate Response (i.e., content and/or explanation offered) is barely adequate or barely meet the eligibility requirements, or CDA’s expectations. The omission(s), flaw(s), or defect(s) may be consequential but are acceptable.
3 Adequate Response (i.e., content and/or explanation offered) is adequate or meets the eligibility requirements, or CDA’s expectations. The omission(s), or defect(s), if any, are inconsequential and acceptable. 4 More than Adequate Response (i.e., content and/or explanation offered) is more than adequate or fully meets the eligibility requirements, or CDA’s expectations.
5 Excellent or Outstanding Response (i.e., content and/or explanation offered) meets the eligibility requirements or is well above average and exceeds CDA’s expectations. Proposer offers one or more enhancing features, methods or approaches that will enable performance to exceed CDA’s basic expectations.
Proposal Narrative Evaluation
A. Eligibility Criteria Maximum
Points
Points
Earned
Operational Criteria:
Is applicant currently operating as an ADP/ADHC site
(pre-pandemic) as demonstrated by ongoing provision
of caregiver support through various means; accepting
participants in moderate and/or advanced stages of
dementia; and providing ongoing dementia training of
staff.
0-5 years in
operation = 5
points
6-10 years in
operation = 10
points
11-15+ years in
operation = 15
points
Describe applicant’s experience assisting participants
with cognitive impairment and their caregivers with
challenging situations, which may include personal or
local crises such as medical emergencies, disasters,
or pandemic response.
0-5 years of
experience = 5
points
6-10 years of
experience = 10
points
11-15+ years of
experience = 15
points
Department of Aging
RFP Number: CC-2223-99
Has the proposer described their experience
partnering with academic institutions, higher education and/or community-based organizations to develop and
deliver training for staff and caregivers—please
include details of any agreements (Memorandum of
Understanding, letters, contracts, etc. that summarize
the types of training developed and delivered including number of hours trained and brief overview of
curriculum)?
0-5 years of
experience = 5
points
6-10 years of
experience = 10
points
11-15+ years of
experience = 15
points
Has the proposer described their capability to hire
and/or maintain a multidisciplinary team to address
and/or provide dementia-capable services?
Inadequately
described = 2
points
Adequately
described = 5
points
Excellent response
= 8 points
Has the proposer described how they utilize
technology as a standard support for staff,
participants, and caregivers?
Inadequately
described = 2
points
Adequately
described = 5
points
Excellent response
= 8 points
Population Readiness Criteria:
Has the proposer described their history of providing
supportive services and/or facilitating support for
serving people at all stages of Alzheimer’s Disease
and dementia? The proposer must address their use
of proven models and innovative practices of
dementia-capable services. The supportive
experience should be highlighted by the center’s
applicant’s policies, procedures, programs,
investments, and initiatives.
Inadequately
described = 2
points
Adequately
described = 5
points
Excellent response
= 8 points
Has the proposer described their experience with
supporting individuals and caregivers through
connections to local resources in the community
including health, social services, housing, and
transportation?
Inadequately
described = 1
points
Adequately
described = 3
points
Excellent response
= 5 points
Has the proposer described, using reliable data, the
need for dementia support in community and analysis
of gaps that exist?
Inadequately
described = 1
points
Adequately
described = 3
points
Excellent response
= 5 points
Department of Aging
RFP Number: CC-2223-99
Leadership Criteria:
Describe the applicant’s operational leadership at
executive and staff levels?
Inadequately
described = 1
points
Adequately
described = 3
points
Excellent response
= 5 points
Describe the applicant’s ongoing commitment to
dementia and caregiving best practices and ethical
standards of care.
Inadequately
described = 2
points
Adequately
described = 5
points
Excellent response
= 8 points
Equity Criteria:
Describe how the applicant represents a geographic
cross section of the state: rural and urban and extends access to care to underserved communities.
Inadequately
described = 2
points
Adequately
described = 5
points
Excellent response
= 8 points
Describe the applicant’s ability (and efforts) to reflect and respond to language, race, ethnicity, and cultural
diversity represented in their communities, inclusive of Latinx, Black, and LGBTQ+ participants and
caregivers.
Inadequately
described = 2
points
Adequately
described = 5
points
Excellent response
= 8 points
Describe how the applicant addresses unique needs
of underrepresented populations, which may include
individuals who live alone without support, individuals with younger-onset Alzheimer’s disease or dementia,
individuals with Down syndrome, and others.
Inadequately
described = 2
points
Adequately
described = 5
points
Excellent response
= 8 points
Identify at least one stated project goal and describe
the applicant’s plans to meet it. There is no limit to the number of goals identified and addressed.
Inadequately
identifies/describes
= 1 points
Adequately
identifies/describes
= 3 points
Excellent response
= 5 points
Department of Aging
RFP Number: CC-2223-99
B. Narrative on How Proposer Will Meet Cal-
COMPASS Goals
Maximum
Points
Points
Earned
Create an opportunity to further distinguish California as a hub of expertise for Alzheimer’s and dementia-
capable community-based services.
Inadequately
described = 1
points
Adequately
described = 3
points
Excellent response
= 5 points
Leverage CDA’s partnerships across multiple agencies,
departments, and stakeholders to integrate a model for
Alzheimer’s and dementia supports into the Master Plan
for Aging, California Advancing and Innovating Medi-Cal (CalAIM) and other initiatives.
Inadequately
described = 1
points
Adequately
described = 3
points
Excellent response
= 5 points
Demonstrate practices that aid in the development of a
Cal-COMPASS learning laboratory to accelerate
knowledge and skill building for Alzheimer’s and
dementia-capable programs and best practices.
Inadequately
described = 1
points
Adequately
described = 3
points
Excellent response
= 5 points
Utilize cross-departmental expertise of ADPs and
ADHCs that have specializations in Alzheimer’s and
dementia care to implement proven best practices and
the testing of latest research, person-centered
concepts, and non-pharmacological interventions.
Inadequately
described = 1
points
Adequately
described = 3
points
Excellent response
= 5 points
Create a statewide learning community with a sustained
focus and strong links to the DHCS’ efforts with CalAIM and the new Office of Medicare Innovation and
Integration, helping to achieve the goal of community
living for those with Alzheimer’s and dementia and
support of their caregivers who are facing challenges
due to disease stages, symptoms, and/or
circumstances.
Inadequately
described = 1
points
Adequately
described = 3
points
Excellent response
= 5 points
Foster connections with the state’s existing
infrastructure and resources, which may include Area
Agencies on Aging, Aging and Disability Resource
Connections, Caregiver Resource Centers, Independent
Living Centers, and the work of the California
Department of Public Health and its 10 California
Inadequately
described = 1
points
Adequately
described = 3
points
Excellent response
= 5 points
Department of Aging
RFP Number: CC-2223-99
Alzheimer’s Disease Centers and six Healthy Brain
Initiative counties.
Create a direct link and consistent approach to the
Medicaid Home and Community Based Services
Spending Plan’s investments in workforce development
and training that can be used to build Alzheimer’s and
dementia-capable expertise among clinical and non-
clinical care providers.
Inadequately
described = 1
points
Adequately
described = 3
points
Excellent response
= 5 points
Gather and maintain data to evaluate outcomes for
similarly identified individuals.
Inadequately
described = 1
points
Adequately
described = 3
points
Excellent response
= 5 points
Enable common standards of practice to be defined,
monitored, and evaluated via uniform assessment
measures and use for outcomes research and
continuous quality improvement.
Inadequately
described = 1
points
Adequately
described = 3
points
Excellent response
= 5 points
Facilitate collaborative relationships with local partners, including, but not limited to Area Agencies on Aging,
ADCRC, and experienced stakeholders. Leverage these
relationships to build and expand future funding and
certification for Alzheimer’s and dementia-capable
programs that will be critically needed as the number of people living with Alzheimer’s, including people with
Down’s Syndrome, increases exponentially.
Inadequately
described = 1
points
Adequately
described = 3
points
Excellent response
= 5 points
Maximum possible points [Eligibility Criteria + Narrative Score + Cost Score = Total]
Total Points Awarded
All narrative points include eligibility criteria (operational, population readiness, leadership, and equity criteria) and narrative on how proposer will meet the Cal-COMPASS
goals.
Department of Aging
RFP Number: CC-2223-99
B. FALSE STATEMENTS DISCLAIMER:
Proposals that contain false or misleading statements, or which provide references which do not support an attribute or condition claimed by the Proposer, may be rejected.
C. INTENTION TO AWARD:
If an award is made pursuant to this RFP, the CDA intends to award to multiple Proposers, as intended for this pilot program, pursuant to American Rescue Plan Act of 2021 Section 9817; and in accordance with State Medicaid Director (SMD) Letter #21-003; and Welfare and Institutions Code 14124.12. Proposers should submit proposals accordingly.
D. DISPOSITION OF PROPOSALS (CONFIDENTIALITY)
CDA will comply with all federal and State laws regarding the disclosure of public records. The State cannot prevent the disclosure of public documents.
Should a proposer desire to keep any or all components of their response to this RFP confidential, the Proposer would need to obtain a protective order from a court of competent jurisdiction. In the absence of a protective order, the proposal will not be scored and will be returned.
However, the contents of all proposals will be held in the strictest confidence until the “Notice of Intent to Award” is posted. After the Notice of Intent to Award is posted, all documents submitted in response to this RFP will become the property of the State of California and will be regarded as public records under the California Public Records Act and subject to review by the public (Government Code Section 6250 et seq.).
Department of Aging
RFP Number: CC-2223-99
5. REQUIRED ATTACHMENTS
A. Refer to the following list for additional attachments that are a required part of this solicitation.
Attachment 1 Proposal Submission Checklist
Attachment 2 Proposer’s Certification
Attachment 3 Minimum Qualifications Response
Attachment 4 Proposer’s Budget
Attachment 5 California Civil Rights Certification (CDA 9026) Attachment 6 Bidder Declaration Form (GSPD-05-105)
Attachment 7 Payee Data Record (Std. 204)
Attachment 8 Insurance Certifications and Samples
Attachment 9 Darfur Contracting Act Certification (Only if applicable) Attachment 10 Contractor Certification Clauses (CCC 04/2017).
Attachment 11 Information Integrity and Security Statement (CDA 1024) Note: Attachment 12 is included for reference and information only. Only the successful proposer will submit these documents, when requested by the CDA.
Attachment 12 Sample Standard Agreement (Std. 213 and Exhibits) Department of Aging
RFP Number: CC-2223-99
ATTACHMENT 1
Proposal Submission Checklist
Complete this checklist to confirm the items in your proposal. For your proposal to be considered responsive, Attachments 1 through 12 in this checklist, and the Proposal Narrative, must be submitted by the Proposal Submittal Deadline indicated in this RFP. Include this checklist with your proposal package.
Proposer's Name: ____________________________________________________
Attachment Name of Attachment
______ Attachment 1 Proposal Submission Checklist (this document is your cover sheet) – followed by your Table of Contents
Your Proposal Narrative
______ Attachment 2 Proposer’s Certification (complete & sign) – Mandatory ______ Attachment 3 Minimum Qualifications Response (3 pages, complete & sign) – Mandatory
______ Attachment 4 Proposer’s Budget (CDA 3006) Mandatory ______ Attachment 5 California Civil Rights Certification (CDA 9026) – Mandatory
______ Attachment 6 Bidder Declaration Form (GSPD 05-105) Mandatory _____ Attachment 7 Payee Data Record (Std. 204) – Mandatory This form is available at
http://www.documents.dgs.ca.gov/dgs/fmc/pdf/std204.p
df
______ Attachment 8 Insurance Certifications (print and initial) (no need to return the samples) – Mandatory
______ Attachment 9 Darfur Contracting Act Certification (only if applicable) ______ Attachment 10 Contractor Certification Clauses (CCC – 4/2017) – Mandatory
______ Attachment 11 Information Integrity and Security Statement (CDA 1024) – Mandatory
Department of Aging
RFP Number: CC-2223-99
ATTACHMENT 2
PROPOSER ’S CERTIFICATION
The signature affixed hereon and dated certifies compliance with all the requirements of this proposal document. The signature below authorizes the verification of this certification.
By signing below, the Proposer represents and warrants that statements and representations contained in the documents and data submitted in connection with this proposal are true and correct. In the event the Proposer’s submittal in connection with this proposal contains false statements or misrepresentations of fact, the proposal may be rejected, or any succeeding contract terminated for cause, and the Proposer deemed to be a non-responsible proposer which may adversely affect future proposals submitted by the Proposer. In addition, any misrepresentation of fact or fraud in connection with an attempt to secure a state contract, could result in legal action being taken against the Proposer.
An Unsigned Proposer’s Certification May Be Cause for Rejection Company Name Telephone Number
Address Email
Name Title
Original Signature Date
Department of Aging
RFP Number: CC-2223-99
ATTACHMENT 3
MINIMUM QUALIFICATIONS RESPONSE
Proposer’s Name: ______________________________________________________
Minimum Qualification Proposer’s Response
A. Proposer has provided a copy of their license
to do business in the State of California, (as
applicable).
Business License(s)?
☐ Yes ☐ No ☐ N/A
1. Proposer has signed to certify that they
are and will continue to meet all terms
and conditions for operating a business in
the city/county in which the business is
headquartered.
Do you so certify eligibility by your
signature below?
☐ Yes ☐ No
2. Proposers which are corporations have
provided a printout from the California
Secretary of State website
(
https://bizfileonline.sos.ca.gov/) which
shows that their corporation is currently in
good standing.
Printout included?
☐ Yes ☐ No ☐ N/A
3. Proposers must be eligible to receive
public funds (a list of entities that have
been declared ineligible to receive
government funds can be found at
https://www.sam.gov.)
Do you so certify by your signature
below?
☐ Yes ☐ No
B. Proposer has provided a copy of their license
as an Adult Day Program (ADP) by the
California Department of Social Services;
OR, as an Adult Day Health Care Center
(ADHC) by the California Department of
Public Health (CDPH) and in good standing.
A license in good standing requires that a
license is active and not expired, suspended,
revoked, surrendered, conditioned, or
otherwise in a status that in any manner
restricts the activity of a licensee under the
authority of the license.
Copy of License(s) Included?
☐ Yes ☐ No
C. Does Proposer currently operate as an
ADP/ADHC site (pre-pandemic) as
demonstrated by ongoing provision of
caregiver support through various means;
accepting participants in moderate and/or
advanced stages of dementia; and providing
ongoing dementia training of staff.
Contractor is currently operating a
site (as defined)?
☐ Yes ☐ No
1. Have experience assisting participants
with cognitive impairment and their
Department of Aging
RFP Number: CC-2223-99
caregivers with challenging situations,
which may include personal or local
crises such as medical emergencies,
disasters, or pandemic response
2. Have experience partnering with
academic institutions, higher education
and/or community-based organizations to
develop and deliver training for staff and
caregivers—please include details of any
agreements (Memorandum of
Understanding, letters, contracts, etc. that
summarize the types of training
developed and delivered including
number of hours trained and brief
overview of curriculum)
3. Have the capability to hire and/or
maintain a multidisciplinary team to
address and/or provide dementia-capable
services
4. Utilize technology as a standard support
for staff, participants, and caregivers
5. Proposer has certified financial solvency
or stability by signing the attestation; AND
has provided 1) audited financial
statements, OR 2) balance sheets and
income statements for two years.
6. Have a history of providing supportive
services and/or facilitating support for
serving people at all stages of
Alzheimer’s Disease and dementia.
Proposers must address their use of
proven models and innovative practices
of dementia-capable services. The
supportive experience should be
highlighted by the center’s policies,
procedures, programs, investments, and
initiatives.
7. Have experience with supporting
individuals and caregivers through
connections to local resources in the
community including health, social
services, housing, and transportation
8. Demonstrate, using reliable data, the
need for dementia support in community
and analysis of gaps that exist
Department of Aging
RFP Number: CC-2223-99
9. Have proven operational leadership at
executive and staff levels
10. Demonstrate ongoing commitment to
dementia and caregiving best practices
and ethical standards of care
11. Represent a geographic cross section of
the state: rural and urban and extends
access to care to underserved
communities
12. Reflect and responds to language, race,
ethnicity, and cultural diversity
represented in their communities,
inclusive of Latinx, Black, and LGBTQ+
participants and caregivers
13. Address unique needs of
underrepresented populations, which may
include individuals who live alone without
support, individuals with younger-onset
Alzheimer’s disease or dementia,
individuals with Down Syndrome, and
others.
D. Agreement To Sign
1. Proposer certifies that, if awarded an
agreement, they shall sign and return two
(2) originals of the Standard Agreement
signature pages (Std. 213) to be received
by the CDA no later than seven (7)
calendar days from the date the CDA e-
mails the Agreement, to
[email protected]
; or
request electronic signature from CDA;
and return any other required documents
as directed.
Do you so certify?
☐ Yes ☐ No
2. Proposer certifies, by initialing
Attachment 8, that they understand the
insurance requirements in Attachment 12,
Sample Agreement, Exhibit D, Article 10,
and if awarded an agreement, shall
provide the CDA with all required
insurance documents as may be
applicable, in a timely manner
Attachment 8 initialed & included?
☐ Yes ☐ No
3. Proposer shall certify their understanding
that all agreements entered into with the
State of California are required to comply
with Governor's Executive Order (EO) N-
6-22: https://www.gov.ca.gov/wp-
Do you so certify by your signature
below?
☐ Yes ☐ No
Department of Aging
RFP Number: CC-2223-99
content/uploads/2022/03/3.4.22-Russia-
Ukraine-Executive-Order.pdf.
4. Proposer certifies their understanding that
the CDA reserves the right, at its sole
discretion, to cancel a proposed award to
a Proposer who fails to submit the
required documentation for execution of
the Agreement (i.e., insurance) in a timely
fashion. Should the CDA cancel a
proposed award for this reason, the CDA
reserves the right, at its sole discretion, to
award the contract to another responsive
and responsible Proposer.
Do you so certify by your signature
below?
☐ Yes ☐ No
I, the undersigned, declare that the certifications
required above are true and that I am authorized
to make such certifications and bind the
Proposer contractually.
____________________________
Print First and Last Name
____________________________
Signature of Declarer
______________
Date Signed
Department of Aging
RFP Number: CC-2223-99
ATTACHMENT 4
COST PROPOSAL (BUDGET)
1. IMPORTANT CONSIDERATIONS:
A. The Proposer shall set forth the cost proposal/budget/rates in clear, legible figures.
B. By submitting a cost proposal, the Proposer agrees that his or her final cost proposal constitutes an irrevocable offer which shall be valid for 180 calendar days from the proposal submission date.
C. The CDA does not expressly, or by implication, agree that the actual amount of work will correspond therewith and reserves the right to omit portions of the work as may be deemed necessary or advisable by the CDA. The estimates of work are a good faith estimate and are not a guarantee of business. The percentages indicated below will be used solely for comparison of cost proposals. However, the actual rates quoted by the Proposer shall be binding for the term of the agreement.
D. The Proposer shall not be reimbursed for any travel-related expenses. Any and all travel shall be at the expense of the Proposer and should be factored into the rates.
E. If subcontractors are obtained to perform the work in this Agreement, their role and reimbursement method must be clearly identified in the cost proposal and in the Budget.
2. INSTRUCTIONS:
A. The Proposer shall submit their Budget using the Attachment 4, Budget Form (CDA 3006), which accompanies this RFP as a separate document, with categories and costs clearly defined.
Department of Aging
RFP Number: CC-2223-99
ATTACHMENT 5
CALIFORNIA CIVIL RIGHTS CERTIFICATION
STATE OF CALIFORNIA
CALIFORNIA DEPARTMENT OF AGING
CALIFORNIA CIVIL RIGHTS LAWS CERTIFICATION
CDA 9026 (NEW 04/2018)
Pursuant to Public Contract Code Section 2010, a person that submits a bid or proposal to, or otherwise proposes to enter into or renew a contract with, a state agency with respect to any contract in the amount of $100,000 or above shall certify, under penalty of perjury, at the time the bid or proposal is submitted, or the contract is renewed, all of the following:
1. CALIFORNIA CIVIL RIGHTS LAWS: For contracts executed or renewed after January 1, 2017, the contractor certifies compliance with the Unruh Civil Rights Act (Section 51 of the Civil Code) and the Fair Employment and Housing Act (Section 12960 of the Government Code); and
2. EMPLOYER DISCRIMINATORY POLICIES: For contracts executed or renewed after January 1, 2017, if a Contractor has an internal policy against a sovereign nation or peoples recognized by the United States government, the Contractor certifies that such policies are not used in violation of the Unruh Civil Rights Act (Section 51 of the Civil Code) or the Fair Employment and Housing Act (Section 12960 of the Government Code).
CERTIFICATION
I, the official named below, certify under penalty of perjury under the laws of the State of California that the foregoing is true and correct.
Contractor Name (Printed): Federal ID Number:
By (Authorized Signature):
Printed Name and Title of Person Signing:
Date Executed: Executed in the County and State of:
Department of Aging
RFP Number: CC-2223-99
ATTACHMENT 6
BIDDER DECLARATION FORM (GSPD -05- 105)
Department of Aging
RFP Number: CC-2223-99
Department of Aging
RFP Number: CC-2223-99
ATTACHMENT 7
PAYEE DATA RECORD (STD. 204)
Form is located at the following web address:
http://www.documents.dgs.ca.gov/dgs/fmc/pdf/std204.pdf
A Std 204 also accompanies this RFP as a separate document.
Department of Aging
RFP Number: CC-2223-99
ATTACHMENT 8
INSURANCE CERTIFICATIONS AND SAMPLES
Proposer’s Name: ____________________________________________________________ This form reminds Proposers of the insurance requirements that may be imposed by this solicitation and provides samples of some of the forms that they may be required to produce prior to being awarded an agreement.
Initial Certification
Proposer acknowledges that they have reviewed and understand the insurance requirements for this solicitation as described in Attachment 12, Sample Agreement, Exhibit D, Article 10, Insurance Requirements.
Proposer acknowledges that they have reviewed and understand the sample insurance forms provided with this attachment.
Proposer certifies that, if awarded an agreement, the Proposer shall provide the CDA with all required insurance documents as may be applicable, in a timely manner. This includes, but may not be limited to:
Certificates of insurance showing the Proposer’s insurance coverage types and limitations,
Proof that the Proposer has insured the State of California, its officers, employees, and agents. Proposer further understands that this proof shall come in the form of either:
An endorsement to the Proposer’s insurance policy (Form CG 20 10 11 85 or as broad as),
A copy of the Proposer’s current insurance policy that shows that the policy already insures all parties required to be insured by this Agreement.
Proposer certifies that, should Commercial General Liability insurance be required, and should the Proposer use a subcontractor to complete a portion of this Agreement, the Proposer shall either:
Include the subcontractor as an additional named insured under the Proposer’s policy, or
Ensure that each subcontractor is insured under their own Commercial General Liability policy.
Proposers are NOT required to submit proof of insurance with proposal.
Proof of insurance shall only be required of those proposers awarded a contract.
Department of Aging
RFP Number: CC-2223-99
ACORD CERTIFICATE
This is a sample insurance certificate.
ENDORSEMENT
Language on this certificate indicating that the
State is an additional insured is not sufficient
to meet the requirements of Exhibit D.
INSURED
The name in this box MUST match the name listed
in the PAYEE’S LEGAL BUSINESS NAME field on
the Std. 204.
TYPE OF INSURANCE and LIMITS
Each required insurance type, with the exception of
Worker’s Compensation and Professional Liability,
must be listed on the certificate.
CERTIFICATE HOLDER
This box must be completed as indicated
in Exhibit D, Insurance Requirements
POLICY EXP.
All required insurance types must be active (not
expired). If an insurance policy expiration date is
impending, awarded firms are advised to be
ready to submit an updated certificate with the
renewal dates.
Department of Aging
RFP Number: CC-2223-99
“BLANKET ENDORSEMENT”
Section g. is an example of an existing insurance
policy that contains a provision naming a contracted
party an additional insured.
Department of Aging
RFP Number: CC-2223-99
ATTACHMENT 9
DARFUR CONTRACTING ACT CERTIFICATION
Public Contract Code sections 10475 - 10481 applies to any company that currently or within the previous three years has had business activities or other operations outside of the United States. For such a company to bid on or submit a proposal for a State of California contract, the company must certify that it is either a) not a scrutinized company; or b) a scrutinized company that has been granted permission by the Department of General Services to submit a bid or proposal.
If your company has not, within the previous three years, had any business activities or other operations outside of the United States, you do not need to complete this form.
OPTION #1 - CERTIFICATION
If your company, within the previous three years, has had business activities or other operations outside of the United States, in order to be eligible to submit a bid or proposal, please insert your company name and Federal ID Number and complete the certification below.
I, the official named below, CERTIFY UNDER PENALTY OF PERJURY that a) the prospective Bidder named below is not a scrutinized company per Public Contract Code section 10476; and b) I am duly authorized to legally bind the prospective Bidder named below. This certification is made under the laws of the State of California.
Company/Vendor Name (Printed) Federal ID Number
By (Authorized Signature)
Printed Name and Title of Person Signing
Date Executed Executed in the County and State of
OPTION #2 – WRITTEN PERMISSION FROM DGS
Pursuant to Public Contract Code section 10477, subsection (b), the Director of the Department of General Services may permit a scrutinized company, on a case-by-case basis, to bid on or submit a proposal for a contract with a state agency for goods or services, if it is in the best interests of the state. If you are a scrutinized company that has obtained written permission from the DGS to submit a bid or proposal, complete the information below.
Department of Aging
RFP Number: CC-2223-99
We are a scrutinized company as defined in Public Contract Code section 10476, but we have received written permission from the Department of General Services to submit a bid or proposal pursuant to Public Contract Code section 10477, subsection (b). A copy of the written permission from DGS is included with our bid or proposal.
Company/Vendor Name (Printed) Federal ID Number
Initials of Submitter
Printed Name and Title of Person Initialing
Department of Aging
RFP Number: CC-2223-99
ATTACHMENT 10
Contractor Certification Clauses
CCC 04/2017
CERTIFICATION
I, the official named below, CERTIFY UNDER PENALTY OF PERJURY that I am duly authorized to legally bind the prospective Contractor to the clause(s) listed below. This certification is made under the laws of the State of California.
Contractor/Bidder Firm Name (Printed)
Federal ID Number
By (Authorized Signature)
Printed Name and Title of Person Signing
Date Executed Executed in the County of
CONTRACTOR CERTIFICATION CLAUSES
1. STATEMENT OF COMPLIANCE: Contractor has, unless exempted, complied with the nondiscrimination program requirements. (Gov. Code §12990 (a-f) and CCR, Title 2, Section 11102) (Not applicable to public entities.)
2. DRUG-F REE WORKPLACE REQUIREMENTS: 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:
a. 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. b. Establish a Drug-Free Awareness Program to inform employees about:
1) the dangers of drug abuse in the workplace;
2) the person's or organization's policy of maintaining a drug-free workplace; 3) any available counseling, rehabilitation and employee assistance programs; and,
Department of Aging
RFP Number: CC-2223-99
4) penalties that may be imposed upon employees for drug abuse violations. c. Every employee who works on the proposed Agreement will:
1) receive a copy of the company's drug-free workplace policy statement; and, 2) agree to abide by the terms of the company's statement as a condition of employment on the Agreement.
Failure to comply with these requirements may result in suspension of payments under the Agreement or termination of the Agreement or both and Contractor may be ineligible for award of any future State agreements if the department determines that any of the following has occurred: the Contractor has made false certification, or violated the certification by failing to carry out the requirements as noted above. (Gov. Code §8350 et seq.)
3. NATIONAL LABOR RELATIONS BOARD CERTIFICATION: Contractor certifies that no more than one (1) final unappealable finding of contempt of court by a Federal court has been issued against Contractor within the immediately preceding two-year period because of Contractor's failure to comply with an order of a Federal court, which orders Contractor to comply with an order of the National Labor Relations Board. (Pub. Contract Code §10296) (Not applicable to public entities.)
4. CO
NTRACTS FOR LEGAL SERVICES $50,000 OR MORE - PRO BONO
REQUIREMENT: Contractor hereby certifies that Contractor will comply with the requirements of Section 6072 of the Business and Professions Code, effective January 1, 2003.
Contractor agrees to make a good faith effort to provide a minimum number of hours of pro bono legal services during each year of the contract equal to the lessor of 30 multiplied by the number of full time attorneys in the firm’s offices in the State, with the number of hours prorated on an actual day basis for any contract period of less than a full year or 10% of its contract with the State.
Failure to make a good faith effort may be cause for non-renewal of a state contract for legal services, and may be taken into account when determining the award of future contracts with the State for legal services.
5. EXPATRIATE CORPORATIONS: Contractor hereby declares that it is not an expatriate corporation or subsidiary of an expatriate corporation within the meaning of Public Contract Code Section 10286 and 10286.1 and is eligible to contract with the State of California.
Department of Aging
RFP Number: CC-2223-99
6. SWEATFREE CODE OF CONDUCT:
a. All Contractors contracting for the procurement or laundering of apparel, garments or corresponding accessories, or the procurement of equipment, materials, or supplies, other than procurement related to a public works contract, declare under penalty of perjury that no apparel, garments or corresponding accessories, equipment, materials, or supplies furnished to the state pursuant to the contract have been laundered or produced in whole or in part by sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor, or with the benefit of sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor. The contractor further declares under penalty of perjury that they adhere to the Sweatfree Code of Conduct as set forth on the California Department of Industrial Relations website located at www.dir.ca.gov , and Public
Contract Code Section 6108.
b. The contractor agrees to cooperate fully in providing reasonable access to the contractor’s records, documents, agents or employees, or premises if reasonably required by authorized officials of the contracting agency, the Department of Industrial Relations, or the Department of Justice to determine the contractor’s compliance with the requirements under paragraph (a).
7. DOMESTIC PARTNERS: For contracts of $100,000 or more, Contractor certifies that Contractor is in compliance with Public Contract Code section 10295.3.
8. G ENDER IDENTITY : For contracts of $100,000 or more, Contractor certifies that Contractor is in compliance with Public Contract Code section 10295.35.
DOING BUSINESS WITH THE STATE OF CALIFORNIA
The following laws apply to persons or entities doing business with the State of California.
1. CONFLICT OF INTEREST: Contractor needs to be aware of the following provisions regarding current or former state employees. If Contractor has any questions on the status of any person rendering services or involved with the Agreement, the awarding agency must be contacted immediately for clarification.
Current State Employees (Pub. Contract Code §10410):
1) No officer or employee shall engage in any employment, activity or enterprise from which the officer or employee receives compensation or has a financial interest, and which is sponsored or funded by any state agency, unless the employment, activity or enterprise is required as a condition of regular state employment.
Department of Aging
RFP Number: CC-2223-99
2) No officer or employee shall contract on his or her own behalf as an independent contractor with any state agency to provide goods or services.
Former State Employees (Pub. Contract Code §10411):
1) For the two-year period from the date he or she left state employment, no former state officer or employee may enter into a contract in which he or she engaged in any of the negotiations, transactions, planning, arrangements or any part of the decision-making process relevant to the contract while employed in any capacity by any state agency.
2) For the twelve-month period from the date he or she left state employment, no former state officer or employee may enter into a contract with any state agency if he or she was employed by that state agency in a policy-making position in the same general subject area as the proposed contract within the 12-month period prior to his or her leaving state service.
If Contractor violates any provisions of above paragraphs, such action by Contractor shall render this Agreement void. (Pub. Contract Code §10420) Members of boards and commissions are exempt from this section if they do not receive payment other than payment of each meeting of the board or commission, payment for preparatory time and payment for per diem. (Pub.
Contract Code §10430 (e))
2. LABOR CODE/WORKERS' COMPENSATION: Contractor needs to be aware of the provisions which require every employer to be insured against liability for Worker's Compensation or to undertake self-insurance in accordance with the provisions, and Contractor affirms to comply with such provisions before commencing the performance of the work of this Agreement. (Labor Code Section 3700)
3. AM
ERICANS WITH DISABILITIES ACT : 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 U.S.C. 12101 et seq.)
4. CO
NTRACTOR NAME CHANGE : An amendment is required to change the Contractor's name as listed on this Agreement. Upon receipt of legal documentation of the name change the State will process the amendment. Payment of invoices presented with a new name cannot be paid prior to approval of said amendment.
5. C
ORPORATE QUALIFICATIONS TO DO BUSINESS IN CALIFORNIA :
a. When agreements are to be performed in the state by corporations, the contracting agencies will be verifying that the contractor is currently qualified to do business in California in order to ensure that all obligations due to the state are fulfilled.
Department of Aging
RFP Number: CC-2223-99
b. "Doing business" is defined in R&TC Section 23101 as actively engaging in any transaction for the purpose of financial or pecuniary gain or profit. Although there are some statutory exceptions to taxation, rarely will a corporate contractor performing within the state not be subject to the franchise tax. c. Both domestic and foreign corporations (those incorporated outside of California) must be in good standing in order to be qualified to do business in California.
Agencies will determine whether a corporation is in good standing by calling the Office of the Secretary of State.
6. RESOLUTION: A county, city, district, or other local public body must provide the State with a copy of a resolution, order, motion, or ordinance of the local governing body which by law has authority to enter into an agreement, authorizing execution of the agreement.
7. A
IR OR WATER POLLUTION VIOLATION : Under the State laws, the Contractor shall not be: (1) in violation of any order or resolution not subject to review promulgated by the State Air Resources Board or an air pollution control district; (2) subject to cease and desist order not subject to review issued pursuant to Section 13301 of the Water Code for violation of waste discharge requirements or discharge prohibitions; or (3) finally determined to be in violation of provisions of federal law relating to air or water pollution.
8. PAYEE
DATA RECORD FORM STD. 204 : This form must be completed by all contractors that are not another state agency or other governmental entity Department of Aging
RFP Number: CC-2223-99
ATTACHMENT 11
INFORMATION INTEGRITY AND SECURITY STATEMENT (CDA 1024)
STATE OF CALIFORNIA
CALIFORNIA DEPARTMENT OF AGING
INFORMATION INTEGRITY AND SECURITY STATEMENT
CDA 1024 (REV 03/2020)
In compliance with California Government Code Section 11019.9, California Civil Code Section 1798 et seq., Department of General Services Management Memo 06-12, and Statewide Information Management Manual (SIMM) 5300 the California Department of Aging (CDA) hereby requires the Contractor/Vendor to:
1. ACKNOWLEDGE:
• Any wrongful access, inspection, use, or disclosure of Personal, Confidential or Sensitive Information (PSCI) is a crime and is prohibited under state and federal laws, including but not limited to California Penal Code Section 502, California Government Code Section 15619, California Civil Code Section 1798.53 and 1798.55, and the Health Insurance Portability and Accountability Act.
Acknowledge.
• Any wrongful access, inspection, use, disclosure, or modification of PSCI information may result in termination of this Contract/Agreement.
2. MEET THE FOLLOWING REQUIREMENTS:
• PSCI information shall be protected from disclosure in accordance with all applicable laws, regulations, and policies.
• PSCI data be protected by authorized access using the principles of least privilege.
• Any occurrence that actually or potentially jeopardizes the confidentiality, integrity, or availability of an information system or the information the system processes, stores, or transmits or that constitutes a violation or imminent threat of violation of security policies, security procedures or acceptable use policies will immediately be reported to CDA by completing a Security Incident Report CDA (1025A and 1025B).
• All access codes which allow access to confidential information will be properly safeguarded.
• Obligations to protect PSCI information obtained under this Contract/Agreement will continue after termination of the Contract/Agreement with CDA.
Department of Aging
RFP Number: CC-2223-99
• All employees/subcontractors of the Contractor/Vendor will complete the required Security Awareness Training module located at
https://aging.ca.gov/Information_security/
within 30 days of the start date of
the Contract/Agreement or within 30 days of the start date of any new employee or subcontractor. This training must be completed annually. • All employees/subcontractors of the Contractor/Vendor must comply with CDA’s confidentiality and data security requirements as outlined in the Contract/Agreement.
• All employees/subcontractors of the Contract/Vendor must comply with the Appendix D, section XVIII encryption and self-certification requirements as outlined in the contract.
3. CERTIFY:
To protect PSCI information by:
• Accessing, inspecting, using, disclosing or modifying PSCI information only for the purpose of performing official duties.
• Never accessing, inspecting, using, disclosing, or modifying PSCI information for curiosity, personal gain, or any non-business-related reason. • Securing PSCI information in approved locations.
• Never removing PSCI information from the work site without authorization. Meets the encryption requirements in Exhibit D Article 18:
Is in full compliance with the 128 Encryption requirements.
Is not in compliance with the 128 Encryption requirements and will achieve compliance by .
I hereby certify that I have reviewed this Confidentiality Statement and will comply with the above statements.
Contractor/Vendor Printed Name and Title
Contractor/Vendor Signature Date
CDA Program/Project Contract Number
Department of Aging
RFP Number: CC-2223-99
RFP SAMPLE – Attachment 12– SAMPLE AGREEMENT
ATTACHMENT 12
SAMPLE AGREEMENT
SCO ID: 4170-CC2223xx
STATE OF CALIFORNIA – DEPARTMENT OF GENERAL SERVICES
STANDARD AGREEMENT
STD 213 (Rev. 04/2020)
AGREEMENT NUMBER
CC-2223-xx
PURCHASING AUTHORITY NUMBER (If Applicable)
1. This Agreement is entered into between the Contracting Agency and the Contractor named below:
CONTRACTING AGENCY NAME
California Department of Aging
CONTRACTOR NAME
2. The term of this Agreement is:
START DATE
THROUGH END DATE
3. The maximum amount of this Agreement is:
$
4. The parties agree to comply with the terms and conditions of the following exhibits, which are by this reference made a part of the Agreement.
EXHIBITS TITLE PAGES
Exhibit A Scope of Work 14 pages
Exhibit A, Attachment 1 Contractor’s Proposal xx page
Exhibit B Budget Detail, Payment Provisions, and Closeout 4 pages Exhibit B, Attachment 1 Budget Display 1 page
Exhibit C* General Terms and Conditions – GTC-4/2017* 0 pages Exhibit D Special Terms and Conditions 19 pages
Exhibit E Business Associate Addendum 9 pages
Items shown with an asterisk (*), are hereby incorporated by reference and made part of this agreement as if attached hereto.
These documents can be viewed at https://www.dgs.ca.gov/OLS/Resources IN WITNESS WHEREOF,THIS AGREEMENT HAS BEEN EXECUTED BY THE PARTIES HERETO.
CONTRACTOR
CONTRACTOR NAME (if other than an individual, state whether a corporation, partnership, etc.)
CONTRACTOR BUSINESS ADDRESS
CITY
STATE
CA
ZIP
PRINTED NAME OF PERSON SIGNING
TITLE
CONTRACTOR AUTHORIZED SIGNATURE
DATE SIGNED
STATE OF CALIFORNIA
CONTRACTING AGENCY NAME
California Department of Aging
CONTRACTING AGENCY ADDRESS
2880 Gateway Oaks Drive, Suite 200
CITY
Sacramento
STATE
CA
ZIP
95833
PRINTED NAME OF PERSON SIGNING
TITLE
CONTRACTING AGENCY AUTHORIZED SIGNATURE
DATE SIGNED
CALIFORNIA DEPARTMENT OF GENERAL SERVICES APPROVAL EXEMPTION (If Applicable)
HCBS 14124.12
CA Department of Aging Contractor Name CC-2223-xx Agreement
RFP SAMPLE – Attachment 12 – SAMPLE AGREEMENT
THIS PAGE IS INTENTIONALLY LEFT BLANK.
CA Department of Aging Contractor Name
CC-2223-xx Agreement
RFP SAMPLE Exhibit A – Scope of Work
EXHIBIT A
SCOPE OF WORK
1. ARTICLE 1. CAL-COMPASS PROGRAM OVERVIEW
In 1980, AB 2975 established the Older Californians Act (OCA). The 1980 OCA established the California Department of Aging (CDA) as the single state agency responsible for administering the Older Americans Act (OAA) within California. It also defined the duties and functions of CDA as well as the state's 33 Area Agencies on Aging (AAAs). In 1996, the Legislature amended the OCA via the Mello-Granlund Act (AB 2800). AB 2800 expanded upon the 1980 OCA by establishing new programs and making structural changes to service delivery. One such change was the establishment of state-funded programs and services for older adults and adults with disabilities through community-based services Some of these programs and services include but are not limited to: access services, nutrition services, legal services, support services, health promotion and disease prevention, and caregiver support services. AB 2800 also established community-based services that were not included in the OAA but funded by the State’s general fund and/or Medi-Cal (i.e., the State’s Medicaid program). The Alzheimer’s Day Care Resource Center (ADCRC) program is one such program and provided access to specialized day care resource centers for individuals with Alzheimer’s disease and other dementia-related disorders as well as support to their families and caregivers. While the authorizing language remains in statute, budget cuts during the 2008 Great Recession eliminated funding for the ADCRC program.
CDA has been granted one-time funds that will help facilitate and create a dementia care model that is financially sustainable and sets a standard for dementia care in the full field of licensed Adult Day Programs (ADP) and Adult Day Health Care (ADHC) Centers, thereby uplifting dementia-capable services statewide. This investment also supports principles of equity and access to care in the community setting by using enhanced person-centered principles to support people at any stage of dementia.
CDA, in partnership with Proposers, will create a modernized approach to the ADCRC principles and best practices for Alzheimer’s and dementia in community care settings. CDA is administering a time limited program that will leverage one- time funds to design and implement a modernized Alzheimer’s community care model. California’s Community Program for Alzheimer’s Services and Support (Cal- COMPASS) will serve as a learning laboratory through which to further develop ADCRC best practices in diverse communities and where there is a great need for educating and supporting caregivers. The sites selected, or Proposers, along with CDA team members will help shape the model, collect participant data, and further develop best practices.
CA Department of Aging Contractor Name
CC-2223-xx Agreement
RFP SAMPLE Exhibit A – Scope of Work
WELFARE AND INSTITUTIONS CODE – WIC, DIVISION 8.5 MELLO-GRANLUND OLDER CALIFORNIANS ACT [9000 – 9850], CHAPTER 7.5 COMUNICTY-BASED SERVICES PROGRAMS [9540 – 9547].
23.1 9542. (d) In order to be eligible to receive funds under this section, a direct services contract applicant shall do all of the following:
1. Provide a program and services to meet the special care needs of, and address the behavioral problems of, participants.
2. Provide adequate and appropriate staffing to meet the nursing, psychosocial, and recreational needs of participants.
3. Provide physical facilities that include the safeguards necessary to protect the participants’ safety.
4. Provide a program for assisting individuals who cannot afford the entire cost of the program. This may include, but need not be limited to, utilizing additional funding sources to provide supplemental aid and allowing family members to participate as volunteers at the applicant’s facility.
5. Utilize volunteers and volunteer aides and provide adequate training for those volunteers.
6. Provide a match of not less than 25 percent of the direct services contract amount consisting of cash or in-kind contributions, identify other potential sources of funding for the applicant’s facility, and outline plans to seek additional funding to remain solvent.
7. Maintain family and caregiver support groups.
8. Encourage family members and caregivers to provide transportation to and from the applicant’s facility for participants.
9. Concentrate on participants in the moderate to severe ranges of disability.
10. Provide or arrange for a noon meal to participants.
11. Serve as model centers available to other service providers for onsite training in the care of these patients.
12. Maintain a systematic means of capturing and reporting all required community- based services program data.
13. To the extent possible within their resources, direct services contract applicants are encouraged to:
CA Department of Aging Contractor Name
CC-2223-xx Agreement
RFP SAMPLE Exhibit A – Scope of Work
14. Establish contact with local educational programs, such as nursing and gerontology programs, to provide onsite training to students.
15. Provide services to assist family members, including counseling and referrals to other resources.
16. Involve the center in community outreach activities and provide educational and informational materials to the community.
A. A direct services contractor shall be licensed as an adult day program, as defined in paragraph (2) of subdivision (a) of Section 1502 of the Health and Safety Code, or as an adult day health care center, as defined in subdivision (b) of Section 1570.7 of the Health and Safety Code and shall be subject to the requirements of this division, including this chapter, for purposes of operating an Alzheimer’s day care resource center. If the direct services contractor surrenders its adult day program or adult day health care center license, or if the license has been terminated because of noncompliance with applicable licensure or certification standards, these actions shall also serve to terminate the direct services contractor’s Alzheimer’s day care resource center contract.
B. An Alzheimer’s day care resource center that was not licensed as an adult day program or adult day health care center prior to January 1, 2005, shall be required to be so licensed by January 1, 2008. A direct services program that qualifies to operate as an Alzheimer’s day care resource center after January 1, 2005, shall be required to be licensed as an adult day program or adult day health care center.
C. Nothing in this chapter shall be construed to prevent existing adult day care services, including adult day health care centers, from developing a specialized program under this chapter. The applicants shall meet all of the requirements for direct services contractors in this chapter and satisfactorily demonstrate that the direct services contract funding award shall be used to develop a distinct specialized program for this target population.
D. (Amended by Stats. 2009, 4th Ex. Sess., Ch. 4, Sec. 9. Effective July 28, 2009.) E. CAL-COMPASS GOALS:
1) Create an opportunity to further distinguish California as a hub of expertise for Alzheimer’s and dementia-capable community-based services. 2) Leverage CDA’s partnerships across multiple agencies, departments, and stakeholders to integrate a model for Alzheimer’s and dementia supports into the Master Plan for Aging, California Advancing and Innovating Medi-Cal (CalAIM) and other initiatives.
CA Department of Aging Contractor Name
CC-2223-xx Agreement
RFP SAMPLE Exhibit A – Scope of Work
3) Demonstrated practices that aid in the development of a Cal-COMPASS learning laboratory to accelerate knowledge and skill building for Alzheimer’s and dementia-capable programs and best practices.
4) Utilize cross-departmental expertise of ADPs and ADHCs that have specializations in Alzheimer’s and dementia care to implement proven best practices and the testing of latest research, person-centered concepts, and non-pharmacological interventions.
5) Create a statewide learning community with a sustained focus and strong links to the DHCS’ efforts with CalAIM and the new Office of Medicare Innovation and Integration, helping to achieve the goal of community living for those with Alzheimer’s and dementia and support of their caregivers who are facing challenges due to disease stages, symptoms, and/or circumstances. 6) Foster connections with the state’s existing infrastructure and resources, which may include Area Agencies on Aging, Aging and Disability Resource Connections, Caregiver Resource Centers, Independent Living Centers, and the work of the California Department of Public Health and its 10 California Alzheimer’s Disease Centers and six Healthy Brain Initiative counties. 7) Create a direct link and consistent approach to the Medicaid Home and Community Based Services Spending Plan’s investments in workforce development and training that can be used to build Alzheimer’s and dementia-capable expertise among clinical and non-clinical care providers. 8) Gather and maintain data and evaluate outcomes for similarly identified individuals.
9) Enable common standards of practice to be defined, monitored, and evaluated via uniform assessment measures and use for outcomes research and continuous quality improvement.
10) Facilitate collaborative relationships with local partners, including, but not limited to Area Agencies on Aging, ADCRC, and experienced stakeholders.
Leverage these relationships to build and expand future funding and certification for Alzheimer’s and dementia-capable programs that will be critically needed as the number of people living with Alzheimer’s, including people with Down’s Syndrome, increases exponentially.
F. CAL-COMPASS OUTCOMES:
1) Develop start-up and staff training manuals.
2) Implement tested and valid common evaluation and screening tools. 3) Create a replicable and scalable dementia-care services model.
CA Department of Aging Contractor Name
CC-2223-xx Agreement
RFP SAMPLE Exhibit A – Scope of Work
4) Establish demographic and related descriptive statistics. 5) Gather, review, and analyze data to support positive person-centered outcomes.
6) Allow for shared technology and telehealth services. 7) Develop training for the community and providers to keep people out of Nursing Facilities, Hospitals and Emergency Departments.
2. ARTICLE 2. CAL-COMPASS OPERATIONS
A. Contractors (as defined in Exhibit D, Article 1, Section A, Subsection 2 of this Agreement) are responsible for:
1) Maintain licensing status with the State of California and operate in accordance with all applicable federal and state laws, rules, regulations, and policies.
2) Comply with all processes, reporting, and procedures required by CDA. 3) Provide a program and services to meet the special care needs of, and address the behavioral problems of, participants.
4) Provide adequate and appropriate staffing to meet the nursing, psychosocial, and recreational needs of participants.
5) Provide physical facilities that include the safeguards necessary to protect the participants’ safety.
6) Provide a program for assisting individuals who cannot afford the entire cost of the program. This may include, but need not be limited to, utilizing additional funding sources to provide supplemental aid, and allowing family members to participate as volunteers at the applicant’s facility. 7) Provide a match of not less than 25 percent of the direct services amount consisting of cash or in-kind contributions, identify other potential sources of funding for the applicant’s facility, and outline plans to seek additional funding to remain solvent.
8) Maintain family and caregiver support groups.
9) Provide transportation to and from the facility for participants. 10) Concentrate on participants in the moderate to severe ranges of disability. 11) Provide or arrange for a meal for participants.
CA Department of Aging Contractor Name
CC-2223-xx Agreement
RFP SAMPLE Exhibit A – Scope of Work
12) Serve as model centers available to other service providers for onsite training in the care of these participants.
13) Maintain a systematic means of capturing and reporting all required community-based services program data.
14) Establish contact with local educational programs, such as nursing and gerontology programs, to provide onsite training.
15) Provide services to assist family members, including counseling and referrals to other resources.
16) Involve Proposers in community outreach activities and provide educational and informational materials to the community.
17) Commit to assist with the development and use of common Cal-COMPASS elements to further the goal of refining and designing a person-centered, equitable, and evidenced-informed approach to Alzheimer’s and dementia services which include but not limited to:
a) Enrollment and disenrollment processes
b) Diagnostic requirements (how to support the participant in getting an accurate diagnosis and subsequent planning)
c) Tools selected for common use, including evaluating engagement in activities
d) Training curriculum
e) Tiers of service with dementia-specific criteria
f) Required practices
g) Best practices
h) Equity and access standards and approaches
i) Community education framework
j) Support group requirements
k) Learning Community framework that meets the needs of diverse programs and communities
l) Coordination with ADRCs, Alzheimer's and other Associations CA Department of Aging Contractor Name
CC-2223-xx Agreement
RFP SAMPLE Exhibit A – Scope of Work
m) Coordination with CalAIM and DHCS
n) Evaluation component
18) Notifying CDA at the beginning of this Agreement of key personnel who will provide services as part of Cal-COMPASS and will notify CDA as soon as feasible of any key personnel changes.
19) Notifying CDA in writing of any proposal to make major changes to Cal- COMPASS, implementation strategy, key personnel, or timetable and will obtain CDA's written approval before making any such changes. 20) Actively participating in the Alzheimer’s and dementia-capable learning community.
21) Providing availability to continual care for people in moderate to severe stages of disease.
22) Actively participating in the Cal-COMPASS workgroup to help develop best practices and support for caregiving families and individuals living alone in the community.
23) Ensuring ongoing engagement with community and state partners. 24) Serving as a hub for creating community awareness around prevention, early intervention and clinical best practices around diagnosis and treatment. 25) Holding regular meetings, participate in Cal-COMPASS conference calls, provide data and quarterly reports to CDA as required and requested. 26) Maintaining complete books and records of revenues and expenditures for Cal-COMPASS and make available to CDA for inspection at reasonable times as deemed necessary by CDA.
B. CDA is responsible for and shall incorporate the following components into Cal- COMPASS:
1) Provide staff support to coordinate work on Cal-COMPASS, Contractors (as defined in Exhibit D, Article 1, Section A, Subsection 2 of this Agreement), and others.
2) Create and maintain a resource library on the CDA website drawing upon the assistance provided by Cal-COMPASS sites.
3) Provide Contractors (as defined in Exhibit D, Article 1, Section A, Subsection 2 of this Agreement) with guidance and technical assistance regarding Cal- COMPASS reporting requirements and data collection processes.
CA Department of Aging Contractor Name
CC-2223-xx Agreement
RFP SAMPLE Exhibit A – Scope of Work
4) Monitor and conduct an evaluation of operations under Cal-COMPASS. This may include a visit from CDA staff and/or advisors to observe Contractor’s (as defined in Exhibit D, Article 1, Section A, Subsection 2 of this Agreement) implementation of the program, discuss the program with Contractor’s (as defined in Exhibit D, Article 1, Section A, Subsection 2 of this Agreement) personnel, and review financial and other records and materials connected with the activities financed by this Agreement (as defined in Exhibit D, Article 1, Section A, Subsection 3 of this Agreement).
3. ARTICLE 3. REPORTING REQUIREMENTS AND DISBURSEMENT SCHEDULE A. Contractor shall submit the following reports, in a format and manner acceptable to CDA:
Report Due Date Report Type
1st Report February 28, 2023 Interim & Expenditure Reports 2nd Report April 30, 2023 Interim & Expenditure Reports 3rd Report June 30, 2023 Interim & Expenditure Reports 4th Report August 31, 2023 Interim & Expenditure Reports 5th Report October 31, 2023 Interim & Expenditure Reports 6th Report December 31, 2023 Interim & Expenditure Reports Final Report February 28, 2024 FINAL Evaluation Report B. The final report shall be comprehensive and include:
1) A summary of the program goals and objectives.
2) Accomplishments toward achieving those goals and objectives. 3) Issues encountered and how the issues were resolved.
C. Quarterly Status Reports
1) Reports are due no later than the 30th of the month, following the close of the calendar year quarter unless otherwise specified by CDA. 2) Reports are a snapshot of each quarter and shall include an overview of significant developments during the report period, identified problems, and solutions. The report narrative should be concise and informative. The subject areas to be addressed are:
a) Staffing Ratios – Including the Full Time Equivalent (FTEs) for each position and staffing ratio. Include staff exemptions and self-certification of staff meeting program requirements
CA Department of Aging Contractor Name
CC-2223-xx Agreement
RFP SAMPLE Exhibit A – Scope of Work
b) Dementia Care Management Activities (as defined in Exhibit D, Article 1, Section A, Subsection 4 of this Agreement) – Including, but not limited to, training, quality assurance, participant grievances critical incident reporting, internal/external program reviews and corrective action plans, policy changes, and contract compliance
c) Medi-Cal Managed Care Plans (MCPs) – Problems/issues with support from the MCPs
3) Fiscal Reporting – Expenditure data and receivables by budget category 4) Monthly participant count
5) Staff roster
6) Training efforts
7) ADCRC Operations – Examine how successful ADCRC programs operate a) Compare current operations with historical operations and identify gaps b) Report on modernized Cal-COMPASS approach
8) Report on external models and evidence-based practices to evaluate program design
9) Report on the results of Cal-COMPASS with the intent to refine the model as needed
10) Report on implementation of Cal-COMPASS model
11) Report best practices to inform the model framework D. Contractor shall submit Ad Hoc Reports as may be required by CDA. Common program elements for reporting purposes may include but not be limited to eligibility criteria, including qualifying symptoms and diagnoses:
1) Enrollment and disenrollment processes
2) Diagnostic requirements (how to support the participant in getting an accurate diagnosis and subsequent planning)
3) Tools selected for common use, including evaluating engagement in activities 4) Training curriculum
a) Tiers of service with dementia-specific criteria
CA Department of Aging Contractor Name
CC-2223-xx Agreement
RFP SAMPLE Exhibit A – Scope of Work
b) Required practices
c) Best practices
d) Equity and access standards and approaches
e) Community education framework
f) Support group requirements
g) Learning Community framework that meets the needs of diverse programs and communities
h) Coordination with ADRCs, Alzheimer's and other Associations i) Coordination with California Advancing and Innovating Medi-Cal (CalAIM) Aim and the Department of Health Care Services (DHCS)
j) Evaluation component
k) Fiscal closeout reports
(1) As part of the closeout procedures for this contract, Contractor shall submit a closeout package which must include the following documents:
(a) Final accounting reconciliation
(b) Closeout budget
(c) Fiscal summary report for the State
(2) Contractor, at its discretion, may at any time prepare and submit reports and correspondence to CDA summarizing any issues and/or concerns.
4. ARTICLE 4. TERMINATION OBLIGATIONS SPECIFIC TO THIS AGREEMENT A. CONTRACT PERIOD
The Contract period will commence as of August 1, 2022, and continue until Cal- COMPASS has been implemented, unless terminated sooner. Contractors (as defined in Exhibit D, Article 1, Section A, Subsection 2 of this Agreement) must submit a final report within 30 calendar days following the end of the contract term by January 31, 2023. Work on the program ends with the submission of the final report.
CA Department of Aging Contractor Name
CC-2223-xx Agreement
RFP SAMPLE Exhibit A – Scope of Work
B. AGREEMENT TERMINATION BY CDA
CDA may terminate this Agreement by providing a thirty (30) day written notification to Contractor. Upon such termination, Contractor and any Sub- Contractors will return any funds (including interest accrued) not expended or committed for the purposes of the program prior to the termination to CDA within forty-five (45) days.
C. TERMINATION BY CONTRACTOR
Contractor, and Sub-Contractor may terminate the agreement with a thirty (30) day notice to CDA if the continuation of the Agreement creates a financially unsustainable burden for Contractor. Contractor shall provide written notification of termination to CDA with an explanation of the financial information causing the termination. Upon such termination, Contractor, and Sub-Contractor will return any funds, (including interest accrued) not expended or committed for the purposes of the program prior to the termination, to CDA within forty-five (45) days of the date of the termination.
After CDA’s Notice of Termination or Contractor’s, and Sub-Contractor’s Notice of Intent to Terminate, Contractor shall immediately proceed with the following obligations, as applicable, regardless of any delay in determining or adjusting any funds due under this clause.
Contractor shall:
1) Take immediate steps to ensure the health and safety of ADCRC Participants managed by Contractor. Contractor agrees to refer ADCRC Participants to other local resources.
2) Maintain staff to provide services to Participants during transition. 3) Deliver updated Participant records to the subsequent ADCRC Providers as directed by CDA.
4) With assistance from CDA, develop a written Transition Plan, to locate alternative services for each Participant through another ADCRC site or community agency in accordance with this Agreement.
5) Contractor shall submit a transition plan to CDA within fifteen (15) days of delivery of the written Notice to Terminate the Contract. The Transition Plan must be approved by CDA and shall, at a minimum, include the following:
a) A current Participant count identifying Participant information upon request.
CA Department of Aging Contractor Name
CC-2223-xx Agreement
RFP SAMPLE Exhibit A – Scope of Work
b) A description of how Participants will be notified about the change in their ADCRC Provider.
c) A plan to communicate with other ADCRC sites, local agencies and advocacy organizations that can assist in locating alternative services for Participants.
d) A plan to inform community referral sources of the pending termination of this Agreement and what alternatives, if any, exist for future referrals. e) A plan to evaluate the health and safety of Participants to assure appropriate placement.
f) A plan to transfer confidential Participant records to a new ADCRC Provider.
g) A plan to maintain adequate staff to provide continued care to ADCRC Participants through the term of the Agreement.
h) Contractor shall implement the Transition Plan as approved by CDA. CDA will monitor the progress in carrying out all elements of the Transition Plan.
(1) Be responsible for providing all necessary Participant services until termination or expiration of the Agreement.
(2) Submit a full accounting and closeout of Contractor’s existing budget.
D. CONFIDENTIALITY
Contractor will maintain the confidentiality of all Protected Health Information (PHI) and/or Personal Identifying Information (PII) (as defined in Exhibit F of this Agreement) provided to CDA and will not disclose it to any other party without prior written consent of CDA.
CA Department of Aging Contractor Name
CC-2223-xx Agreement
RFP SAMPLE Exhibit A – Scope of Work
E. INDEPENDENT AGREEMENTS
CDA and Contractor are entering into an independent Agreement with regard to one another, and nothing in this Agreement will be construed to create an employment, joint employment, partnership, joint venture, agency, or any other kind of relationship between them. In no event will Contractor or its employees, or agents, if any, be considered employees of CDA. Contractor will not have, nor will Contractor claim or imply that Contractor has, any authority to enter into any obligation on behalf of, or binding upon, CDA. Contractor will be solely responsible for all taxes, withholdings, and other statutory or contractual obligations of any sort, regarding persons retained by it to perform the program, including, but not limited to, workers' compensation insurance, and employee pension, health, welfare, or other fringe benefit plans.
F. INDEMNIFICATION
Contractor agrees to indemnify, defend and save harmless the State of California, the California Department of Aging and its officers, employees and agents, from any and all claims, losses, and liabilities accruing or resulting to any and all contractors, subcontractors, suppliers, laborers and any other person, firm, or corporation furnishing or supplying work services, materials, or supplies in connection with the performance of this Agreement, and from any and all claims and losses accruing or resulting to any person, firm or corporation who may be injured or damaged by Contractor in the performance of this Agreement.
G. DISSEMINATION AND PUBLICITY
CDA, along with other Cal-COMPASS partners, will oversee dissemination of the results of the program and any related publicity activities. CDA will provide appropriate acknowledgment of Contractor if any material resulting from Cal- COMPASS is published whether in print or electronic form. Contractor will not issue a press release or any other publication regarding the program or the resulting published material without the prior review and approval of the content of such proposed publication by CDA.
H. BUSINESS ASSOCIATE
While providing technical assistance to Contractor, CDA anticipates it will receive PHI regarding Contractor's beneficiaries. As such, CDA and Contractor (as defined in Exhibit D, Article 1, Section A, Subsection 2 of this Agreement) will comply with the obligations as set forth in Exhibit F of this Agreement.
CA Department of Aging Contractor Name
CC-2223-xx Agreement
RFP SAMPLE Exhibit A – Scope of Work
I. NOTICES
All notices required or permitted under this Agreement will be sufficient if sent electronically to [email protected]; or hand-delivered; or mailed to the party involved at its respective address set forth below, by certified or registered mail, return receipt requested; or sent by a nationally recognized overnight courier service, addressed to the appropriate party as follows:
If to CDA:
California Department of Aging
Attn: Cal-COMPASS / Shawntel Bush
2880 Gateway Oaks Drive, Suite 200
Sacramento, CA 95833
If to Contractor:
Name
ATTN: Name
Address
Address
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit A, Attachment 1 – Contractor’s Proposal
EXHIBIT A, ATTACHMENT 1
CONTRACTOR’S PROPOSAL
[Successful proposers’ proposals will be inserted here in any contract agreements, if agreements are awarded.]
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit B – Budget Detail, Payment Information, and Closeout
EXHIBIT B
BUDGET DETAIL, PAYMENT INFORMATION, AND CLOSEOUT
1. ARTICLE 1. CAL-COMPASS PROGRAM BUDGET
A. Contractor will complete work on the program in accordance with the budget set forth in this Agreement. The payments are intended to cover all fees and expenses associated with the program, and no further payment will be made under this Agreement unless agreed to in advance in writing by the parties. If Contractors expend greater than the award amount, they shall do so using their own funding for the overage.
1. Contractor will return unexpended funds to CDA to allow for reallocation of the funds, as needed.
2. Contractor will return any portion of the funding (including interest accrued) not expended or committed for the purposes of the program within the Grant period (or any authorized extension of the Agreement term) to CDA within forty-five (45) days of the close of work on the program. At CDA’s discretion, any final funding may be reduced to reflect unexpended or uncommitted funds based upon a reconciliation of Contractor’s final expenditure report.
2. ARTICLE 2. FUNDS
A. EXPENDITURE OF FUNDS
1) The Contractors 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’ (CalHR) rules and regulations.
In State:
a) Mileage/Per Diem (meals and incidentals)/Lodging
https://www.calhr.ca.gov/employees/pages/travel-reimbursements.aspx
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit B – Budget Detail, Payment Information, and Closeout
Out of State:
b) http://hrmanual.calhr.ca.gov/Home/ManualItem/1/2201
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 CalHR 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. [SCM 3.17.2.A(4)]
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.
3. ARTICLE 3. BUDGET AND BUDGET REVISION
A. Payment for performance by the Contractors under this Agreement may be dependent upon the availability of future appropriations by the Legislature or Congress for the purposes of this agreement. No legal liability on the part of the State for any payment may arise under this contract until funds are made available and until the Contractors have received notice of funding availability, which will be confirmed in writing.
1) Funding Reduction in Subsequent Fiscal Years
a) If funding for any State fiscal year is reduced or deleted by the Legislature, Congress, or Executive Branch of State Government for the purposes of this program, the State shall have the option to either:
(1) Terminate the Agreement
(2) Offer an Agreement amendment to the Contractors to reflect the reduced funding for this agreement
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit B – Budget Detail, Payment Information, and Closeout
4. ARTICLE 4. DEFAULT PROVISIONS
A. The State, without limiting any rights which it may otherwise have, may, at its discretion and upon written notice to the Contractors, withhold further payments under this Agreement, and/or demand immediate repayment of the balance of any advance payment hereunder, upon occurrence of any one of the following events:
1) Termination or suspension of this Agreement
2) A finding by the State that the Contractor:
a) Has failed to observe any of the conditions of these provisions, or has failed to comply with any material provisions of this Agreement or b) Has failed to make progress, or is in such unsatisfactory financial condition, as to endanger performance of this Agreement
5. ARTICLE 6. REPORTING REQUIREMENTS AND DISBURSEMENT SCHEDULE A. Excluding any reduction for unused or uncommitted funds, the Contractor shall receive award of a minimum of $350,000 and a maximum of $750,000 for providing innovative dementia-capable services in various parts of the state.
Contractors may submit only one proposal for the funding. The award period is through December 31, 2023, and the successful Contractors will enter into an Agreement with CDA and must comply with all terms and conditions therein.
B. These funds awarded to Contractors should be used to provide dementia- capable services at licensed Adult Day Programs (ADPs) and Adult Day Health Care (ADHC) Centers, allowing for community-based dementia services that would include, but not be limited to caregiver support and social and non- pharmacological approaches that would expand and enhance HCBS services by preventing or delaying the need for individuals with dementia and Alzheimer’s to be placed into institutional care settings. These activities will include payment to Contractor for operational and administrative expenditures in providing services by a qualified multidisciplinary team within the funding period through December 31, 2023.
6. ARTICLE 7. PAYMENT INFORMATION
A. The Contractor shall submit monthly expenditures in an electronic format, utilizing the CDA online Local Finance Reporting System, no later than the last business day of each month unless otherwise specified by CDA, reporting costs and funding for the month prior.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit B – Budget Detail, Payment Information, and Closeout
B. Payments will be made to reimburse monthly expenditures reported. CDA shall process and approve reported expenditures that are based upon actual, not estimated expenditures.
C. CDA shall notify the Contractor of any disputed expenditures. The Contractor shall submit timely expenditures to CDA. Late expenditures may lead to a delay in payment until the following month.
D. Upon written request by CDA, Contractor shall submit additional documentation or justification to support the reported expenditure.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit B – Budget Display
EXHIBIT B, ATTACHMENT 1
BUDGET DISPLAY
[Successful proposers’ budget displays will be inserted here in any contract agreements, if agreements are awarded.]
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
EXHIBIT D
SPECIAL TERMS AND CONDITIONS
1. ARTICLE 1. DEFINITIONS
A. GENERAL DEFINITIONS
1) “Agreement” or “Contract” means the Standard Agreement (Std. 213); Exhibits A, B, D, , E, and F; the approved Budget as identified in Exhibit B; amendments; and any other Addendums, Appendices, or documents incorporated by reference, unless otherwise provided for in this Article. 2) "Contractor" means the entity contracting directly with the California Department of Aging under this Agreement.
3) “Dementia Care Management” a model of collaborative care, on the treatment and care of people with dementia and their caregivers.
4) “State” means the State of California.
5) “California Department of Aging” (CDA) and the “Department” are used interchangeably.
6) “Confidential information” means all information disclosed by a party to the other party, whether orally or in writing, that is designated as confidential or that reasonably should be understood to be confidential given the nature of the information and the circumstances of disclosure.
7) “Sub-Contractor” means the legal entity that receives funds from the Contractor to carry out part of a federal award identified in this Agreement. 8) “Sub-Contract” means any form of legal agreement between the Contractor and the Sub-Contractor, including an agreement that the Contractor considers a contract, including vendor type Agreements for providing goods or services under this Agreement.
9) “CFR” means Code of Federal Regulations.
10) “USC” means United States Code.
11) “CCR” means California Code of Regulations.
12) “Cal. Gov. Code” means California Government Code.
13) “Cal. Civ. Code” means California Civil Code.
14) “Participant” means any individual participating in the ADCRC program.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
15) “Party” and “Parties” means an entity or the entities, respectively, executing this Agreement.
16) “Allocation” means the process of assigning a cost, or a group of costs, to one or more cost objective(s), in reasonable proportion to the benefit provided or other equitable relationship. The process may entail assigning a cost(s) directly to a final cost objective or through one or more intermediate cost objectives (2 CFR 200.4).
17) “Disallowed costs” means those charges determined to be unallowable, in accordance with the applicable Federal statutes, regulations, or the terms and conditions of the Federal award. (2 CFR 200.31 and 45 CFR 75.2).
2. ARTICLE 2. ASSURANCES
A. LAW, POLICY AND PROCEDURE, LICENSES, AND CERTIFICATES Contractor agrees to administer this Agreement and require Sub- Contractors to administer their sub-contracts in accordance with this Agreement and with all applicable local, State, and federal laws and regulations including, but not limited to, discrimination, occupational safety, and to fire, safety, health, and sanitation regulations, directives, and guidelines related to this Agreement and to resolve all issues using good administrative practices and sound judgment. Contractor and its Sub- Contractor s shall keep current and in effect all licenses, permits, notices, and certificates that are required by law.
B. SUB-CONTRACTS
The Contractor shall require language in all sub-contracts to require all sub- contractors to comply with all applicable State and federal laws.
C. NONDISCRIMINATION
Contractor shall comply with all federal and State statutes, regulations, and laws or other authorities relating to nondiscrimination and shall comply with the following:
1) Equal Access to Federally Funded Benefits, Programs and Activities.
Contractor shall ensure compliance with Title VI of the Civil Rights Act of 1964 [42 USC 2000d; 45 CFR 80 et seq.], which prohibits recipients of federal financial assistance from discriminating against persons based on race, color, religion, or national origin.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
2) Equal Access to State-Funded Benefits, Programs and Activities.
Contractor shall, unless exempted, ensure compliance with the requirements of Cal. Gov. Code § 11135 et seq., and 2 CCR § 11140 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] 3) C ontractor shall assure the State and the Department that Contractor complies with the Americans with Disabilities Act of 1990 (ADA), which prohibits discrimination based on disability, as well as all applicable regulations and guidelines issued pursuant to the ADA. [42 USC 12101 et seq.]
4) Contractor agrees to include these requirements in all contracts it enters into with sub- contractors to provide services pursuant to this Agreement.
D. STANDARDS OF WORK
Contractor agrees that the performance of work pursuant to the requirements of this Agreement shall conform to accepted professional standards.
E. CONFLICT OF INTEREST
1) The Contractors shall prevent employees, consultants, or members of governing bodies from using their positions for purposes including, but not limited to, the selection of Sub- Contractors, 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. If the State or the Department determines that a conflict of interest exists, any increase in costs associated with the conflict of interest may be disallowed by the State or the Department 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 perceived) 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.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
F. AGREEMENT AUTHORIZATION
1) If a public entity, Contractor shall submit to CDA a copy of an approved resolution, order, or motion by the Governing Board or appropriately delegated authority referencing this Agreement number authorizing execution of this Agreement.
2) If a private nonprofit entity, Contractor shall submit to CDA an authorization by the Board of Directors to execute this Agreement, referencing this Agreement number.
3) Documentation in the form of a resolution, order, or motion by the Governing Board or appropriately delegated authority is required for the original and each subsequent amendment to this Agreement. This requirement may also be met by a single resolution by Contractor’s Governing Board or appropriately delegated authority authorizing the Director or designee to execute the original and all subsequent amendments to this Agreement.
G. CONTRACTOR’S STAFF
1) Contractor shall maintain adequate staff to meet the obligations under this Agreement.
2) This staff shall be available to the State or the Department for training and meetings which the State or the Department may find necessary to carry out the objectives of this project.
3) Any failure by the Contractor to maintain good standing shall result in suspension or termination of this Agreement with CDA until satisfactory status is restored to the satisfaction of CDA. A person or organization in good standing is regarded as having complied with all explicit obligations, while not being subject to any form of sanction, suspension, or disciplinary censure.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
H. LOBBYING CERTIFICATION
By signing this Agreement, Contractor hereby certifies to the best of its knowledge and belief, that:
1) No federally appropriated funds have been paid or will be paid, by or on behalf of 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 (see 45 CFR 75.450).
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. ARTICLE 3. SUB-CONTRACTS
A. 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 sub- contracts, 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 Sub- Contractor has no right of appeal to CDA.
B. Contractor shall, in the event any sub-contract 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 and ensuring the keeping of, access to, availability of, and retention of records of Sub-Contractors.
C. Contractor shall not obligate funds for this Agreement in any sub-contracts for services beyond the ending date of this Agreement.
D. Contractor shall have no authority to contract for, or on behalf of, or incur obligations on behalf of the State.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
E. Contractor shall maintain on file copies of sub-contracts, memorandums and/or Letters of Understanding which shall be made available for review at the request of CDA.
F. Contractor shall monitor the insurance requirements of its sub-contractors in accordance with this Agreement. (Exhibit D, Article 10) G. Contractor shall require language in all sub-contracts to require all sub- contractors 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 sub-contractors, 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 Sub- Contractor(s) in the performance of this Agreement.
H. Contractor shall ensure that the Sub-Contractor 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. Contractor shall, prior to the awarding of a sub-contract to any for-profit entity, submit the following to CDA for review and approval:
1) The Request for Proposal or Invitation for Bid.
2) All bids or proposals received.
3) The proposal or bid evaluation documentation, along with the Contractor’s rationale for awarding the sub-contract to a for-profit entity. [22 CCR 7362] Where a program may be sub-contracted 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 sub-contracted program by an independent audit firm.
J. Contractor shall require all sub-contractors to maintain adequate staff to meet the Sub-Contractor’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 Sub-Contractor shall be in good standing with the Secretary of State of California and shall maintain that status throughout the term of the Agreement.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
L. Contractor shall refer to 2 CFR 200.330, Subpart D - Subrecipient and Grantee Determinations and 45 CFR 75.351, Subpart D - Subrecipient and Grantee Determinations in making a determination if a sub-grantee relationship exists. If such a relationship exists, then the Contractor shall follow the procurement requirements in the applicable OMB Circular.
M. Contractor shall utilize procurement procedures as follows:
1) 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 III or Title VII 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).
4. ARTICLE 4. GENERAL PROVISIONS
A. ASSIGNMENT
Neither Party will assign or delegate any part of this Agreement to any other person or entity without the express prior written consent of the other Party. The Parties acknowledge and agree that notwithstanding the foregoing, this Agreement will inure to the benefit of, and be binding upon, the respective successors and assigns of the respective parties.
B. SEVERABILITY
If any provision of this Agreement is determined to be void, illegal or otherwise unenforceable, that provision will be limited or eliminated to the minimum extent necessary so that this Agreement will remain enforceable and in full force and effect.
C. WAIVER
The failure of either Party to enforce its rights under this Agreement at any time for any period will not be construed as a waiver of such rights.
D. GOVERNING LAW
This Agreement has been executed and delivered in and will be governed by and construed in accordance with the substantive laws of the State of California.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
E. JURISDICTION, VENUE, FORUM
The parties hereto mutually consent and submit to the jurisdiction of any state or federal court of competent jurisdiction located in the County of Sacramento, State of California, in any action or proceeding arising out of or relating in any manner to this Agreement.
F. ENTIRE AGREEMENT
This Agreement, including all Appendices and Exhibits constitutes the entire Agreement and understanding of the parties and terminates and supersedes all prior agreements, arrangements, and understandings, both oral and written, express or implied, between the Parties concerning its subject matter.
5. ARTICLE 5. AGREEMENT
A copy of this executed Agreement is on file and available for inspection at the California Department of Aging, 2880 Gateway Oaks, Suite 200, Sacramento, California 95833.
6. ARTICLE 6. COMMENCEMENT OF WORK
Should Contractor or Sub-Contractor begin work in advance of receiving notice that this Agreement is approved, that work shall be considered as having been performed at risk as a volunteer and may not be reimbursed or compensated.
7. ARTICLE 7. RECORDS
A. 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 Sub-Contractors. This includes Letters of Agreement, insurance documentation, memorandums and/or Letters of Understanding, Participant 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 Department, the State, or the duly authorized agents of either, at any time.
B. All such records, including confidential records, must be maintained, and made available by Contractor: (1) until an audit has occurred and an audit resolution has been issued or unless otherwise authorized in writing by CDA, (2) for such longer period, if any, as is required by applicable statute, by any other clause of this Agreement, and (3) for such longer period as CDA deems necessary.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
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. Contractor shall ensure that any Participant records remain the property of CDA upon termination of this Agreement and are returned to CDA.
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 CDA.
E. All records containing confidential information shall be handled in a confidential manner in accordance with the requirements for information integrity and security. After the authorized period has expired, confidential records shall be shredded and disposed of in a manner that will maintain confidentiality.
F. Adequate source documentation of each transaction shall be maintained relative to the allowability of expenditures reimbursed by the State or the Department under this Agreement. If the allowability of expenditures cannot be determined because records or documentation of the Contractor are nonexistent or inadequate, the expenditures will be questioned in the audit and may be disallowed by CDA during the audit resolution process.
8. ARTICLE 8. MONITORING AND EVALUATION
A. Authorized representatives of the State or the Department shall have the right to monitor and evaluate Contractor’s performance pursuant to this Agreement. Said monitoring and evaluation may include, but is not limited to, administrative processes and data components. This shall include policies, procedures, and interviews of project staff and participants.
B. Contractor shall cooperate with the State and the Department in the monitoring and evaluation processes, which include, but are not limited to, making any administrative and program staff available during any scheduled process.
C. Contractor shall monitor grants and sub-grants to ensure compliance with laws, regulations, and the provisions of contracts that may have a direct and/or material effect on each of its CDA funded programs.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
9. ARTICLE 9. AUDIT REQUIREMENTS
A. GENERAL
1) Any duly authorized representative of the federal or State government, which includes but is not limited to the State Auditor, CDA Staff, and any entity selected by the State to perform inspections, shall have the right to monitor and audit Contractor and Sub-Contractors providing services under this Agreement through on-site inspections, audits, and other applicable means the federal or State government, or its delegate, determines necessary. CDA will provide timely notice to Contractor if CDA is informed of an audit by an outside federal or State government entity affecting Contractor. 2) Contractor shall make available all reasonable information necessary to substantiate any expenditures under this agreement are allowable and allocable, including, but not limited to books, documents, papers, and records.
Contractor shall agree to make such information available to the federal government, the State, or any of their duly authorized representatives, including representatives of the entity selected by State to perform inspections, for examination, copying, or mechanical reproduction, on or off the premises of the appropriate entity upon a reasonable request. 3) All agreements entered into by Contractor and Sub-Contractors with audit firms for purposes of conducting independent audits under this Agreement shall contain a clause permitting any duly authorized representative of the federal or State government access to the supporting documentation of said audit firm(s).
4) Contractor shall cooperate with and participate in any audits which may be required by the State, including CDA fiscal and compliance audits. 5) Unless prohibited by law, the cost of audits completed in accordance with provisions of Single Audit Act Amendments of 1996, are allowable charges to Federal Awards. The costs may be considered a direct cost, or an allocated indirect cost, as determined in accordance with provisions of applicable The Office of Management and Budget (OMB) cost principal circulars. 6) Contractor may not charge to federal awards the cost of any audit under the Single Audit Act Amendments of 1996 not conducted in accordance with the Act.
7) CDA shall have access to all audit reports of Contractors and have the option to perform audits and/or additional work, as needed.
8) Contractor shall include in its contract with an independent auditor a clause permitting access by the State to the work papers of the independent auditor.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
9) Audits to be performed shall be, minimally, financial and compliance audits, and may include economy and efficiency and/or program results audits.
B. CDA FISCAL AND COMPLIANCE AUDITS
1) The CDA Audits Branch shall perform fiscal and compliance audits of Contractors in accordance with Generally Accepted Government Auditing Standards (GAGAS) to ensure compliance with applicable laws, regulations, grants, and agreement requirements.
2) The CDA fiscal and compliance audits may include, but not be limited to, a review of:
a) Financial closeouts (See “Definitions, Closeout” 2 CFR 200.1 and 45 CFR
75.2)
b) Internal controls (2 CFR 200.303 and 45 CFR 75.303)
c) Allocation of expenditures (See “Definitions, Allocation” 2 CFR 200.1 and 45 CFR 75.2)
d) Allowability of expenditures (2 CFR 200.403 and 45 CFR 75.403) C. SINGLE AUDIT REPORTING REQUIREMENTS (2 CFR 200 SUBPART F AND 45 CFR 75 SUBPART F)
1) Contractor Single Audit Reporting Requirements
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; and 2 CFR 200.501 to 200.521. A copy shall be submitted to the:
California Department of Aging
Attention: Audits Bureau
2880 Gateway Oaks, Suite 200
Sacramento, California 95833
b) 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 parties of this Agreement.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
c) For purposes of reporting, 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.
2) 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. 3) Contract Resolution of Contractor’s Subrecipients
Contractor shall have the responsibility for resolving its contracts with Sub- Contractors to determine whether funds provided under this Agreement are expended in accordance with applicable laws, regulations, and provisions of contracts or agreements. Contractor shall, at a minimum, perform Contract resolution within fifteen (15) months of the “Financial Closeout Report.” 4) Contractor shall ensure that Sub-Contractor single audit reports meet 2 CFR 200 and 45 CFR 75, Subparts F-Audit Requirements
5) Contract resolution includes:
a) Ensuring that Sub-Contractors expending $750,000 or more in federal awards during the Sub-Contractor’s fiscal year have met the audit requirements of 2 CFR 200.501 - 200.521 and 45 CFR 75.501 to 75.521. b) Issuing a management decision on audit findings within six (6) months after receipt of the Sub-Contractors’ single audit report and ensuring that the Sub-Contractors takes appropriate and timely corrective action. c) Reconciling expenditures reported to the Contractor to the amounts identified in the single audit or other type of audit if the Sub-Contractors was not subject to the single audit requirements. For a Sub-Contractors 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 and 45 CFR 75.352], documented review of financial statements, and documented expense verification, including match, etc.).
6) When alternative procedures are used, 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.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
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. 7) Contractor shall ensure that Sub-Contractors single audit reports meet 2 CFR 200 and 45 CFR 75, Subparts F - Audit Requirements:
a) 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 and 45 CFR
75.512]
b) Properly procured – use procurement standards for auditor selection. [2 CFR 200.509 and CFR 75.509]
c) Performed in accordance with Generally Accepted Government Auditing Standards. [2 CFR 200.514 and 45 CFR 75.514]
d) 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 and 45 CFR 75.515] e) Performed in accordance with provisions applicable to this program as identified in 2 CFR Part 200, and 45 CFR Part 75, Subpart F, Audit Requirements.
8) Requirements identified in Sections D and E of this Article shall be included in contracts with the Sub-Contractor. Further, the Sub-Contractor 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.
9) 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 Sub-Contractor in making a California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
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.
10) 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:
a) Any costs when audits required by the Single Audit Act and 2 CFR 200 and 45 CFR 75, Subparts F – Audit Requirements have not been conducted or have been conducted but not in accordance therewith; and b) Any costs of auditing a non-federal entity that is exempted from having an audit conducted under the Single Audit Act and 2 CFR 200 and 45 CFR 75, Subparts F – Audit Requirements because its expenditures under federal awards are less than $750,000 during the non-federal entity’s fiscal year.
(1) 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. (2) Pass-through entities may charge federal awards for the cost of agreed-upon-procedures engagements to monitor Sub-Contractors who are exempted from the requirements of the Single Audit Act and 2 CFR 200 and 45 CFR 75, Subparts 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 200.425]
10. ARTICLE 10. INSURANCE REQUIREMENTS
A. Prior to commencement of any work under this Agreement, Contractor shall provide for the term of this Agreement, the following insurance:
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.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
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 Sub-Contractors 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
B. The insurance will be obtained from an insurance company acceptable to the Department of General Services (DGS), Office of Risk, and Insurance Management (ORIM), or be provided through partial or total self-insurance acceptable to DGS.
C. Evidence of insurance shall be in a form and content acceptable to DGS ORIM.
D. 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:
1) The Certificate of Insurance shall provide the statement: “The Department of Aging, State of California, its officers, agents, and employees, 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.
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, Contractor agrees to provide CDA 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. Contractor shall provide the new Certificate of Insurance at least thirty (30) days prior to the expiration date of the prior insurance coverage. In the event Contractor fails to keep said insurance coverage in effect at all times, CDA may, in addition to any other remedies it may have, terminate this Agreement.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
G. Contractor shall require its Sub-Contractors 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, Contractor shall require all of its Sub-Contractors to hold the Contractor harmless. The Sub-Contractor’s Certificate of Insurance for general and auto liability shall also name Contractor, not the State, as the certificate holder and additional insured. Contractor shall maintain Certificates of Insurance for all of its Sub-Contractors.
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.
I. Contractor shall be insured against liability for Worker’s Compensation or undertake self-insurance in accordance with the provisions of the California Labor Code and Contractor affirms to comply with such provisions before commencing the performance of the work under this Agreement. [California Labor Code § 3700 et seq.]
11. ARTICLE 11. DISSOLUTION OF ENTITY
Contractor shall notify CDA immediately of any intention to discontinue existence of the entity or to bring an action for dissolution.
12. ARTICLE 12. 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 by both parties. 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 the State government.
13. ARTICLE 13. INFORMATION INTEGRITY, AND SECURITY
A. INFORMATION ASSETS
Contractor, and its Sub-Contractors, shall have in place operational policies, procedures, and practices to protect State information assets, including those assets used to store or access Protected Health Information (PHI), Personal Identifying Information (PII), and any information protected under the Health Insurance Portability and Accountability Act (HIPAA) (i.e., public, confidential, sensitive and/or personal identifying information) as specified in the State Administrative Manual, 5300 to 5365.3; Cal. Gov.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
Code § 11019.9, DGS Management Memo 06-12; California Department of Finance Budget Letter 06-34; and CDA Program Memorandum 07-18 Protection of Information Assets and the Statewide Health Information Policy Manual.
Information assets may be in hard copy or electronic format and may include but is not limited to:
1) Reports
2) Notes
3) Forms
4) Computers, laptops, cellphones, printers, scanners
5) Networks (LAN, WAN, WIFI) servers, switches, routers 6) Storage media, hard drives, flash drives, cloud storage 7) Data, applications, databases
B. ENCRYPTION OF COMPUTING DEVICES
Contractor, and its Sub-Contractors, shall use 128-Bit encryption for data collected under this Agreement that is confidential, sensitive, and/or personal information including data stored on all computing devices (including but not limited to, workstations, servers, 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
1) Contractor, and its Sub-Contractors, shall ensure that all confidential, sensitive and/or PII is protected from inappropriate or unauthorized access or disclosure in accordance with applicable laws, regulations, and State policies. 2) Contractor, and its Sub-Contractors, shall protect from unauthorized disclosure all confidential, sensitive, and/or PII concerning persons receiving services pursuant to this Agreement, except for statistical information not identifying any participant.
3) “Personal 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; any symbol or other California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
4) identifying characteristic assigned to the individual, such as finger or voice print or a photograph; or any other information that would tend to identify an individual.
5) “Personal Health Information” is individually identifiable health information in any form, including physical records, electronic records, or spoken information. Demographic information may also be considered PHI when they are linked with health information.
6) Contractor, and its Sub-Contractors, shall not use confidential, sensitive and/or PII as described above for any purpose other than carrying out the obligations under this Agreement.
7) Contractor, and its Sub-Contractors, may share PHI and/or PII to perform the activities stated in Exhibit A of this Agreement only with prior written authorization from CDA.
8) Participants may 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
D. HEALTH INSURANCE PORTABILITY AND ACCOUNTABILITY ACT (HIPAA) Contractor, and its Sub-Contractors, agree to comply with the privacy and security requirements of HIPAA.
E. INFORMATION INTEGRITY AND SECURITY STATEMENT
Contractor shall sign and return an Information Integrity and Security Statement (CDA 1024) form with this Agreement. This is to ensure that Contractor is aware of, and agrees to comply with, its obligations to protect CDA information assets from unauthorized access and disclosure.
F. SECURITY INCIDENT REPORTING
A security incident occurs when CDA information assets are or reasonably believed to have been accessed, modified, destroyed, or disclosed without proper authorization, or are lost or stolen. Contractor, and its Sub-Contractors, must comply with CDA’s security incident reporting
procedure.
G. SECURITY BREACH NOTIFICATIONS
Contractor, and its Sub-Contractors, shall provide all notices required by federal and/or State law in the event confidential, sensitive, and/or PII could have been breached in accordance with HIPAA, the Information Practices Act of 1977, and any other applicable federal or State authority.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
RFP SAMPLE Exhibit D – Special Terms and Conditions
H. SOFTWARE MAINTENANCE
Contractor, and its Sub-Contractors, shall apply security patches and upgrades in a timely manner and keep virus software up to date on all systems on which State data may be stored or accessed.
I. ELECTRONIC BACKUPS
Contractor, and its Sub-Contractors, shall ensure that all electronic information is protected by performing regular backups of files and databases and ensure the availability of information assets for continued business. Contractor shall ensure that all data, files, and backup files are encrypted.
14. ARTICLE 14. COPYRIGHTS AND RIGHTS IN DATA
A. COPYRIGHTS
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 agreement for the acquisition, operation, or maintenance of computer software in violation of copyright laws.
B. RIGHTS IN DATA
1) 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 (60) 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.
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 copyrighted or copyrightable) which are first produced or developed under this Agreement.
The term does not include financial reports, cost analyses and similar information incidental to agreement administration.
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.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
SAMPLE Exhibit E – Business Associate Addendum
EXHIBIT E
BUSINESS ASSOCIATE ADDENDUM
1. HIPPA
This Agreement has been determined to constitute a business associate relationship under the Health Insurance Portability and Accountability Act (HIPAA) and its implementing privacy and security regulations at 45 Code of Federal Regulations, Parts 160 and 164.
2. AGREEMENT
The term “Agreement” as used in this Exhibit is and shall be construed to be consistent with the definition provided in Exhibit D, Article 1, Section A, Subsection
1. 3. BUSINESS ASSOCIATE
CDA (Business Associate) may create, receive, maintain, transmit or aggregate certain information pursuant to the terms of this Agreement, some of which information may constitute Protected Health Information (PHI) and/or confidential information protected by Federal and/or state laws.
A. PUBLIC HEALTH INFORMATION
As used in this Agreement and unless otherwise stated, the term Protected Health Information (PHI) refers to and includes Personal Identifying Information (PII) and any information protected under the Health Insurance Portability and Accountability Act (HIPAA) (i.e., public, confidential, sensitive and/or personal identifying information) as specified in the State Administrative Manual, 5300 to 5365.3; Cal. Gov. Code § 11019.9, DGS Management Memo 06-12; California Department of Finance Budget Letter 06-34; and CDA Program Memorandum 07-18 Protection of Information Assets and the Statewide Health Information Policy Manual.
B. CONFIDENTIAL INFORMATION
As used in this Agreement, the term “confidential information” means all information disclosed by a party to the other party, whether orally or in writing, that is designated as confidential or that reasonably should be understood to be confidential given the nature of the information and the circumstances of disclosure.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
SAMPLE Exhibit E – Business Associate Addendum
4. TERMS
The terms used in this Agreement, but not otherwise defined, shall have the same meanings as those terms in HIPAA. Any reference to statutory or regulatory language shall be to such language as in effect or as amended.
5. PERMITTED USES AND DISCLOSURES OF PHI BY CONTRACTOR.
Except as otherwise indicated in this Agreement, Contractor may use or disclose PHI and/or PII, inclusive of de-identified data derived from such PHI and/or PII, only to perform functions, activities or services specified in this Agreement, provided that such use or disclosure would not violate HIPAA or other applicable laws.
A. SPECIFIC USE AND DISCLOSURE PROVISIONS.
Except as otherwise indicated in this Agreement, Contractor may use and disclose PHI if necessary for the proper management and administration of the Contractor or to carry out the legal responsibilities of the Contractor. Contractor may disclose PHI for this purpose if the disclosure is required by law, or the Contractor obtains reasonable assurances from the person to whom the information is disclosed that it will be held confidentially and used or further disclosed only as required by law or for the purposes for which it was disclosed to the person, and the person notifies the Contractor of any instances of which it is aware that the confidentiality of the information has been breached.
6. COMPLIANCE WITH OTHER APPLICABLE LAWS
A. To the extent that other state and/or federal laws provide additional, stricter, and/or more protective (collectively, “more protective”) privacy and/or security protections to PHI or other confidential information covered under this Agreement beyond those provided through HIPAA, Contractor agrees:
1) To comply with the more protective privacy and security standards set forth in applicable state or federal laws to the extent such standards provide a greater degree of protection and security than HIPAA or are otherwise more favorable to the individuals whose information is concerned; and
2) To treat any violation of such additional and/or more protective standards as a breach or security incident, as appropriate, pursuant to Section 18. of this Agreement.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
SAMPLE Exhibit E – Business Associate Addendum
3) Examples of laws that provide additional and/or stricter privacy protections to certain types of PHI and/or confidential information, as defined in Section 4. of this Agreement, include, but are not limited to the Information Practices Act, California Civil Code sections 1798-1798.78, Confidentiality of Alcohol and Drug Abuse Patient Records, 42 CFR Part 2, Welfare and Institutions Code section 5328, and California Health and Safety Code section 11845.5.
7. ADDITIONAL RESPONSIBILITIES OF BUSINESS ASSOCIATE CONTRACTOR A. NONDISCLOSURE.
Contractor shall not use or disclose PHI or other confidential information other than as permitted or required by this Agreement or as required by law.
B. SAFEGUARDS AND SECURITY.
1) Contractor shall use safeguards that reasonably and appropriately protect the confidentiality, integrity, and availability of PHI and other confidential data and comply, where applicable, with subpart C of 45 CFR Part 164 with respect to electronic protected health information, to prevent use or disclosure of the information other than as provided for by this Agreement. Such safeguards shall be based on applicable Federal Information Processing Standards (FIPS) Publication 199 protection levels.
2) Contractor shall, at a minimum, utilize an industry-recognized security framework when selecting and implementing its security controls, and shall maintain continuous compliance with its selected framework as it may be updated from time to time. Examples of industry-recognized security frameworks include but are not limited to
a) NIST SP 800-53 – National Institute of Standards and Technology Special Publication 800-53
b) FedRAMP – Federal Risk and Authorization Management Program c) PCI – PCI Security Standards Council
d) ISO/ESC 27002 – International Organization for Standardization / International Electrotechnical Commission standard 27002 e) IRS PUB 1075 – Internal Revenue Service Publication 1075 f) HITRUST CSF – HITRUST Common Security Framework
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
SAMPLE Exhibit E – Business Associate Addendum
3) Contractor shall employ FIPS 140-2 compliant encryption of PHI at rest and in motion unless Business Associate determines it is not reasonable and appropriate to do so based upon a risk assessment, and equivalent alternative measures are in place and documented as such. In addition, Business Associate shall maintain, at a minimum, the most current industry standards for transmission and storage of PHI and other confidential information.
a) Contractor shall apply security patches and upgrades, and keep virus software up to date, on all systems on which PHI and other confidential information may be used.
b) Contractor shall ensure that all members of its workforce with access to PHI and/or other confidential information sign a confidentiality statement prior to access to such data. The statement must be renewed annually. c) Contractor shall identify the security official who is responsible for the development and implementation of the policies and procedures required by 45 CFR Part 164, Subpart C.
C. CONTRACTOR’S AGENT.
Contractor shall ensure that any agents, subcontractors, sub awardees, vendors, or others (collectively, “agents”) that use or disclose PHI and/or confidential information on behalf of Contractor agree to the same restrictions and conditions that apply to Business Associate with respect to such PHI and/or confidential information.
8. MITIGATION OF HARMFUL EFFECTS.
Contractor shall mitigate, to the extent practicable, any harmful effect that is known to Contractor of a use or disclosure of PHI and other confidential information in violation of the requirements of this Agreement.
9. ACCESS TO PHI.
Contractor shall make PHI available in accordance with 45 CFR section 164.524.
10. AMENDMENT OF PHI.
Contractor shall make PHI available for amendment and incorporate any amendments to protected health information in accordance with 45 CFR section 164.526.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
SAMPLE Exhibit E – Business Associate Addendum
11. ACCOUNTING FOR DISCLOSURES.
Contractor shall make available the information required to provide an accounting of disclosures in accordance with 45 CFR section 164.528.
12. COMPLIANCE WITH CDA OBLIGATIONS.
To the extent Contractor is to carry out an obligation of DHCS under 45 CFR Part 164, Subpart E, comply with the requirements of the subpart that apply to CDA in the performance of such obligation.
13. BREACHES AND SECURITY INCIDENTS.
Contractor shall implement reasonable systems for the discovery and prompt reporting of any breach or security incident, and take the following steps:
A. NOTICE TO CDA.
1) Contractor shall notify CDA immediately upon the discovery of a suspected breach or security incident that involves confidential, sensitive, PII and/or PHI.
This notification will be provided by email upon discovery of the breach. If Contractor is unable to provide notification by email, then Business Associate shall provide notice by telephone to CDA.
2) Contractor shall notify CDA within 24 hours by email (or by telephone if Contractor is unable to email CDA) of the discovery of:
a) Unsecured PHI if the PHI is reasonably believed to have been accessed or acquired by an unauthorized person;
b) Any suspected security incident which risks unauthorized access to PHI and/or other confidential information;
c) Any intrusion or unauthorized access, use or disclosure of PHI in violation of this Agreement; or
d) Potential loss of confidential data affecting this Agreement. e) Upon discovery of a breach or suspected security incident, intrusion, or unauthorized access, use or disclosure of PHI, Contractor shall take:
f) Prompt action to mitigate any risks or damages involved with the security incident or breach; and
g) Any action pertaining to such unauthorized disclosure required by applicable Federal and State law.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
SAMPLE Exhibit E – Business Associate Addendum
B. INVESTIGATION.
Contractor shall immediately investigate such security incident or confidential breach.
C. NOTIFICATION OF INDIVIDUALS.
If the cause of a breach is attributable to Business Associate or its agents, Contractor shall notify individuals accordingly and shall pay all costs of such notifications, as well as all costs associated with the breach. The notifications shall comply with applicable federal and state law. CDA shall approve the time, manner, and content of any such notifications and their review and approval must be obtained before the notifications are made.
D. RESPONSIBILITY FOR REPORTING OF BREACHES TO ENTITIES OTHER THAN CDA.
If the cause of a breach of PHI is attributable to Business Associate or its subcontractors, Business Associate is responsible for all required reporting of the breach as required by applicable federal and state law.
E. CDA CONTACT INFORMATION.
To direct communications to the above referenced CDA staff, the Contractor shall initiate contact as indicated here. CDA reserves the right to make changes to the contact information below by giving written notice to Contractor. These changes shall not require an amendment to this Agreement.
CDA Program
Contract Manager
CDA Privacy Office CDA Information Security
Office
See the Scope of
Work exhibit for
Program Contract
Manager/Assistant
Director information.
Privacy Office
c/o: Jeremy Avila
Department of Aging
2880 Gateway Oaks Drive,
Suite 200
Sacramento, CA 95833
Email: [email protected]
Telephone: (916) 445-4646
Information Security Office
CDA Information Security
Office
2880 Gateway Oaks Drive,
Suite 200
Sacramento, CA 95833
Email: [email protected]
14. RESPONSIBILITY OF CDA.
CDA agrees to not request the Contractor to use or disclose PHI in any manner that would not be permissible under HIPAA and/or other applicable federal and/or state law.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
SAMPLE Exhibit E – Business Associate Addendum
15. AUDITS, INSPECTION AND ENFORCEMENT
A. FACILITIES INSPECTION
From time to time, CDA may inspect the facilities, systems, books, and records of Contractor to monitor compliance with this Agreement. Contractor shall promptly remedy any violation of this Agreement and shall certify the same to the CDA.
Whether or how CDA exercises this provision shall not in any respect relieve Contractor of its responsibility to comply with this Agreement.
B. AUDIT
If Contractor is the subject of an audit, compliance review, investigation or any proceeding that is related to the performance of its obligations pursuant to this Agreement or is the subject of any judicial or administrative proceeding alleging a violation of HIPAA, Contractor shall promptly notify CDA unless it is legally prohibited from doing so.
16. TERMINATION
A. TERMINATION FOR CAUSE.
Upon CDA’s knowledge of a violation of this Agreement by Contractor, CDA may in its discretion:
B. CURE OF VIOLATION
Provide an opportunity for Contractor to cure the violation and terminate this Agreement if Contractor does not do so within the time specified by CDA; or C. TERMINATION
Terminate this Agreement if Business Associate has violated a material term of this Agreement.
D. JUDICIAL OR ADMINISTRATIVE PROCEEDINGS.
CDA may terminate this Agreement if Contractor is found to have violated HIPAA, or stipulates or consents to any such conclusion, in any judicial or administrative proceeding.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
SAMPLE Exhibit E – Business Associate Addendum
17. MISCELLANEOUS PROVISIONS
A. DISCLAIMER.
CDA makes no warranty or representation that compliance by Contractor with this Agreement will satisfy the Contractor’s business needs or compliance obligations. Contractor is solely responsible for all decisions made by Contractor regarding the safeguarding of PHI and other confidential information.
B. AMENDMENT.
1) Conflicting Provisions
Any provision of this Agreement which conflicts with current or future applicable Federal or State laws is hereby amended to conform to the provisions of those laws. Such amendment of this Agreement shall be effective on the effective date of the laws necessitating it and shall be binding on the parties even though such amendment may not have been reduced to writing and formally agreed upon and executed by the parties. 2) Failure to make Amends
Failure by Contractor to take necessary actions required by amendments to this Agreement under Section 22.2.1 shall constitute a material violation of this Agreement.
3) Assistance in Litigation or Administrative Proceedings.
Business Associate shall make itself and its employees and agents available to DHCS at no cost to DHCS to testify as witnesses, or otherwise, in the event of litigation or administrative proceedings being commenced against DHCS, its directors, officers and/or employees based upon claimed violation of HIPAA, which involve inactions or actions by the Business Associate. 4) No Third-Party Beneficiaries.
Nothing in this Agreement is intended to or shall confer, upon any third person any rights or remedies whatsoever.
5) Interpretation.
The terms and conditions in this Agreement shall be interpreted as broadly as necessary to implement and comply with HIPAA and other applicable laws.
California Department of Aging Contractor Name
Agreement#: CC-2223-XX
SAMPLE Exhibit E – Business Associate Addendum
6) No Waiver of Obligations.
No change, waiver or discharge of any liability or obligation hereunder on any one or more occasions shall be deemed a waiver of performance of any continuing or other obligation, or shall prohibit enforcement of any obligation, on any other occasion.
RESOLUTION NO. 2022-
Adopted by the Sacramento City Council
Approving the Application for CalCOMPASS Grant Funds for the Triple R Adult Day Program
BACKGROUND
A. The State Department of Aging is seeking proposals from Adult Day Programs and Adult Day Health Care Centers to apply for California’s Community Program for Alzheimer’s Services and Support (CalCOMPASS)
B. The Triple R Adult Day Program will propose continued implementation of its services to individuals experiencing Alzheimer’s and dementia and their families, as well as expand its service model and serve as a model program for the State of California.
C. The grant application for the Triple R Adult Day Program will not exceed $350,000 for a contract period of October 2022 through December 2024.
BASED ON THE FACTS SET FORTH IN THE BACKGROUND, THE CITY COUNCIL RESOLVES AS FOLLOWS:
Section 1. Approves the filing of a grant application for the Triple R Adult Day Program
Section 2. The City delegates the authority to the City Manager, or his designee to conduct all negotiations, sign and submit all grant documents, including, but not limited to, applications, agreements, amendments, and payment requests with the State, which may be necessary for the completion of the Grant Scope.
Section 3. The City certifies that it agrees to comply with all applicable federal, state and local laws, ordinances, rules, regulations and guidelines related to acceptance of grant funds.