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HomeMy WebLinkAbout2008-004 Aging - UNC Occupational Science Div for Preventive Home Visit Research Project~-~-~~ ~~~ UNC- CH ACCOUNT N0.5-50595 AGREEMENT Between THE UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL (hereinafter referred to as UNC-CH) And ORANGE COUNTY For and on Behalf of the ORANGE COUNTY DEPARTMENT ON AGING (hereinafter referred to as SUBCONTRACTOR) WHEREAS, UNC-CH has been awazded grant 1 R21 AG029502-OIAI, CFDA N0.93.866 titled, "Feasibility and Effects of Preventive Home V~.sits", from the National Institute of Health, National Institute on Aging (The Sponsor), which includes approval for SUBCONTRACTOR'S participation in this work; NOW THEREFORE, the parties mutually agree as follows: ARTICLE l . STATEMENT OF WORK SUBCONTRACTOR shall conduct the work as set forth in its proposal which is incorporated herein by reference and set forth in Exhibit A, attached hereto. ARTICLE 2. PERIOD OF PERFORMANCE The work under this Agreement shall be performed during the period September 1, 2007 through August 31, 2008. No costs shall be incurred under this Agreement prior to the start date or subsequent to the termination date. The period of performance may be extended only by mutual written Agreement of the parties and is contingent upon availability of funding from the Sponsor and the scope of work. ARTICLE 3. COMPENSATION In consideration of the SUBCONTRACTOR'S performance, UNC-CH shall compensate the SUBCONTRACTOR in an amount not to exceed $36,693.00. It is agreed between the parties that the above referenced sum shall represent the total amount of this Agreement, except that such amount may be amended by mutual written Agreement of the parties. The amount set forth above will cover direct and indirect costs of the work, as detailed in the attached budget which becomes. a part of this Agreement as Exhibit B. ARTICLE 4. ALLOWABLE COSTS The amount authorized will cover the direct costs of the research and whatever indirect costs are allocable thereto. The allowability of costs will be determined in accordance with OMB Circular A-21, applicable Cost Accounting Standards and the latest edition of the National Institutes of Health (NIH) Grants Policy Statement cost principles and any addenda thereafter. Any prior approvals are to be sought from UNC-CH and not the Federal Awarding Agency. ARTICLE 5. PAYMENT AND IlWOICES The SUBCONTRACTOR shall submit itemized invoices in an original and one copy to UNC-CH not more frequently than monthly. The invoices shall reference UNC-CH account number 5 -50595. Invoices aze to be submitted to: Malcolm P. Cutchin, Ph.D. Associate Professor, Occupational Science Suite 2050 Bondurant Hall CB# 7122 University of North Carolina at Chapel Hill Chapel Hill, NC 27599-7122 (919)843-4472 mcutchin@med.unc. edu Upon approval by the UNC-CH Principal Investigator, the invoice will be forwarded to the Office of Sponsored Reseazch for payment. The final invoice, clearly mazked "Final", shall be filed no later than forty-five (45) days after termination of each budget period. Upon request, the SUBCONTRACTOR shall furnish to UNC-CH any necessary documentation supporting invoiced amounts. SUBCONTRACTOR agrees that UNC-CH may withhold payment of any expenditure that appears questionable, or for which additional support is required. SUBCONTRACTOR further agrees to furnish UNC-CH such information as may be required to justify the expenditure in question. ARTICLE 6. AUDIT AND RECORDS If SUBCONTRACTOR is subject to the audit requirements of OMB Circulars A-110, A-133 or equivalent audit requirement, SUBCONTRACTOR shall submit a copy of its most recent financial and compliance audit report to the Chief Accountant, Office of Sponsored Research, The University of North Carolina at Chapel Hill, AOB 104 Airport Drive, Suite 2200, CB # 1350, Chapel Hill, NC 27599-1350, within thirty calendar days after execution of this subcontract. If the SUBCONTRACTOR is not subject to A-110, or A-133, the SUBCONTRACTOR shall have an audit of the program conducted and submitted to UNC-CH within 90 days of the end of the period of performance as specified in this subcontract. This audit will be conducted by an independent certified public accounting firm and shall be conducted in accordance with Standazds for Audit of Governmental Organizations, Programs, Activities and Functions. In addition, the SUBCONTRACTOR may be required to submit a copy of the above described audit to the North Cazolina State Auditor's Office. The SUBCONTRACTOR'S facilities, or such part thereof as may be engaged in the performance of this Agreement, and any pertinent books, documents, papers and records shall be subject at all reasonable times to inspection and audit by UNC-CH, Comptroller General of the United States, the State of North Carolina or any of their authorized representatives. Financial records, supporting documents and other records pertinent to this agreement shall be retained by the SUBCONTRACTOR for a period of three (3) years from the date of submission of the final expenditure report. Records pertaining to audits, appeals, litigation or settlement of claims arising out of performance of this Agreement shall be retained until such audits, appeals, litigation or claims have been settled. ARTICLE 7. KEY PERSONNEL Malcolm P. Cutchin, Ph.D., shall represent UNC-CH as Principal Investigator and shall be responsible for overall technical matters relating to this Agreement. Vibeke Talley shall represent SUBCONTRACTOR as Principal Investigator and shall not be replaced without the prior written approval of UNC-CH. Frances Hess. or her designee, shall represent UNC-CH as Contract Administrator and shall be responsible for all matters relating to the interpretation and administration of this Agreement. ARTICLE 8. REPORTS SUBCONTRACTOR shall render technical reports as required by the UNC-CH Principal Investigator. The SUBCONTRACTOR also agrees to provide an annual report of expenditures no later than 45 days after termination of the budget period. ARTICLE 9. SUBCONTRACTING None of the work performed under this Agreement shall be subcontracted without prior written authorization from UNC-CH. ARTICLE 10. LIABILITY The SUBCONTRACTOR shall at all times be considered to be an independent contractor and shall not hold himself/herselfnut as an employee of UNC-CH. Each party shall be solely liable for any claims, actions, demands or damages arising out of its performance of this Agreement. ARTICLE 11. SEVERABILITY If any provision of this Agreement or any provision of any document incorporated by reference shall be held invalid, such invalidity shall not effect the other provisions of this Agreement which can be given effect without the invalid provision, and to this end the provisions of this Agreement aze declazed to be severable. ARTICLE 12. TERMINATION This Agreement may be terminated by either party, with or without cause, by giving thirty (30) days prior written notice. The thirty (30) day termination period shall commence on the date of receipt of the notice by the affected party. The SUBCONTRACTOR shall immediately stop all work under this Agreement on the date and to the extent specified in the notice of termination. It is further understood that if funds for the support of the agreed upon work become unavailable under this Agreement, UNC-CH shall immediately notify the SUBCONTRACTOR and have no obligation to reimburse costs incurred beyond the date of notification and shall terminate this Agreement. UNC-CH shall reimburse SUBCONTRACTOR for reasonable, non-cancelable obligations properly incurred prior to the effective date of termination. SUBCONTRACTOR shall submit a final financial report to UNC-CH within forty-five (45) days of the notice of termination. ARTICLE 13. SPECIAL PROVISIONS The following clauses, which have been mazked, are incorporated into this Agreement. The full text of the clauses is included in their entirety as the Attachment to this Agreement. (X) Publicity (X) Equipment (X) Rebudgeting (X) Copyright (X) Patents (X) Publications (X) Human Subjects (X) Vertebrate Animals (X) Deliverable Items -Reports of Work (X) Assurances and Certifications (7~ Other Administrative Requirements ' (X) Grant Related Income (X) Financial Conflict of Interest (X) Acknowledgment of Federal Funding (X) Civil Rights and Equal Employment Opportunity (X) Salary Rate Limitation 4 IN WITNESS WHEREOF, the parties have caused this Agreement to be executed as of the date first written by their duly authorized representatives. FOR: THE UNIVERSITY OF NORTH FOR: ORANGE COUNTY CAROLINA AT CHAPEL HILL For: Tony G. Waldrop, Vice Chancellor for Research and Economic Development Office of Sponsored Research .Z- ~'- Q DATE llA 1-~ G- Gooo ~~~~ EMPLOYER I.D. NUMBER ATTACHMENT SPECIAL PROVISIONS PUBLICITY Neither party shall use the name of the other party in news releases or advertising or in other publications directed to the general public without approval of an authorized signatory of the other party. EQUIPMENT In accordance with National Institutes of Health requirements, except for equipment defined as Government Furnished Property, the SUBCONTRACTOR will retain title to all equipment purchased under this Agreement. The SUBCONTRACTOR agrees to maintain sufficient records to enable UNC-CH to fulfill its accountability. REBUDGETING The administrative requirements for approval of rebudgeting will be governed by the policies indicated in NIH Grants Policy Statement. If agency approval is required, requests should be directed to Frances Hess, Contract Specialist, The University of North Carolina at Chapel Hill, Office of Sponsored Research, AOB 104 Airport Drive, Suite 2200, CB # 1350, Chapel Hill, NC 27599-1350. COPYRIGHT The author(s) is free to arrange for copyright without approval when publications or similar materials are developed from work supported in whole or in part by this Agreement. Any such copyrighted materials shall be subject to a royalty-free, non-exclusive, and irrevocable license to the U.S. Government to reproduce them, translate them, publish them, use and dispose of them, and to authorize others to do so. PATENTS The determination of the rights of ownership and disposition of patentable inventions resulting from the performance of the work under this Agreement and the administration of such inventions shall be in accordance with NIH Grants Policy Statement. If the SUBCONTRACTOR decides it will not take title to any such invention, it will so notify UNC-CH and provide such information as may be needed and requested by UNC-CH to permit UNC-CH to petition the Government for title. The SUBCONTRACTOR shall provide such notice to UNC-CH at least two (2) months before it informs the Government that it elects not to take title. The SUBCONTRACTOR shall submit a final report of inventions within thirty (30) days after the expiration of the subcontract to the UNC- CH Contract Administrator. PUBLICATIONS All publications must cite the sowce of support (i.e., National Institutes of Health through UNC- CH) and shall indicate that the findings, opinions and recommendations expressed therein are those of the author and not necessarily those of UNC-CH or National Institutes of Health. An advance copy of all proposed publications shall be furnished to the UNC-CH's Principal Investigator. HUMAN SUBJECTS Any activity under this Agreement which involves the use of human subjects shall be governed by applicable Department of Health and Human Services (HHS) policies and federal regulations. The SUBCONTRACTOR agrees that any human research protocol conducted under this Agreement shall be reviewed and approved by a designated Institutional Review Board (IRB) and certifies that this IRB is in full compliance with all relevant federal regulations. Prior to conducting research with human subjects, SUBCONTRACTOR certifies that, if applicable, it has an appropriate and current Federal Wide Asswance of Protection for Human Subjects (or other applicable asswance) on file with the United States Department of Health and Human Services and will provide a copy of such assurance upon request. SUBCONTRACTOR further certifies that it has in place all required programs or procedwes for education and training in the protection of human subject research and that SUBCONTRACTOR'S investigator and other individuals (or any substituted investigators) have completed any required education and training. Upon request, SUBCONTRACTOR shall provide a description of the education completed. VERTEBRATE ANIMALS Pursuant to the Animal Welfare Act and the Public Health Service Policy on Humane Care and Use of Laboratory Animals, the SUBCONTRACTOR and UNC-CH agree that any animal research protocol conducted under this Agreement shall be reviewed and approved by SUBCONTRACTOR'S Institutional Animal Care and Use Committee (IACUC} before any animal research is undertaken in the project. SUBCONTRACTOR certifies that its IACUC is in full compliance with all relevant federal regulations and has an approved General Assurance on file with HHS. DELIVERABLE ITEMS -REPORTS OF WORK The SUBCONTRACTOR shall render reports as required by UNC-CH's Principal Investigator. All reports shall be submitted to the following address: Malcolm P. Cutchin, Ph.D. Associate Professor, Occupational Science Suite 2050 Bondurant Hall CB# 7122 University of North Carolina at Chapel Hill Chapel Hill, NC 27599-7122 (919) 843-4472 mcutchin@med.unc.edu ASSURANCES AND CERTIFICATIONS The SUBCONTRACTOR agrees to complete and submit to the University of North Carolina any assurance and/or certification which may be required by our funding agency. Such certifications include but are not limited to Debarment and Suspension, Drug Free Workplace, Lobbying, Delinquent Federal Debt, Research Misconduct, Inclusion of Women and Minorities as Subjects, Inclusion of Children as Subjects, and Financial Conflict of Interest. OTHER ADMINISTRATIVE REQUIREMENTS This Agreement will be administered in accordance with the terms and conditions set forth in NIH Grants Policy Statement and any addenda thereafter. GRANT RELATED INCOME NIH policy requires that UNC-CH, as grantee, maintain records of the receipt and disposition of all grant related income generated by grant-supported activities. The SUBCONTRACTOR will inform UNC-CH of any grant-related income and will maintain appropriate records of such income to enable UNC-CH to fulfill its responsibilities to NIH. 8 FINANCIAL CONFLICT OF INTEREST The SUBCONTRACTOR certifies that it maintains an appropriate written, enforced policy on conflict of interest that complies with the provisions of 42 CFR Part 50. ACKNOWLEDGMENT OF FEDERAL FUNDING The SUBCONTRACTOR agrees to comply with the requirements as follows: "When issuing statements, press releases, requests for proposals, bid solicitations, or other documents describing projects or programs funded in whole or in part with Federal money, all grantees receiving Federal funds, including but not limited to State and local governments and recipients of Federal research funds, shall clearly state (1) the percentage of the total costs of the program or project which will be financed with Federal money, (2) the dollar amount of Federal funds for the program or project, and (3) percentage and dollar amount of the total costs for the project or program that will be financed by non-governmental sources. " CIVIL RIGHTS AND EQUAL EMPLOYMENT OPPORTUNITY The SUBCONTRACTOR shall comply with Title VI and VII of the Civil Rights Act of 1964, and Executive Order 11246 and certifies that it has a valid Assurance of Compliance on file with the HHS (Form HHS 690}. The SUBCONTRACTOR agrees to include in any contract entered into pursuant to this Agreement, paragraphs (1) through (7), Part II, Subpart B, Section 202, Executive Order 11246. 9 . . SALARY RATE LIMITATION Pursuant to Public Law (P.L.) 110-005, NIH Fiscal Year (FY) 2007 (October 1, 2006 -September 30, 2007), no funds may be used to pay the direct salary of an individual through this grant at a rate in excess of the Executive Level I of the Federal Executive Pay scale (direct salary is exclusive of Overhead, Fringe Benefits and General and Administrative Expenses). Effective October 1, 2006 through December 31, 2006 the Executive Level I is $183,500, and effective January O1, 2007 the Executive Level I salary level is increased to $186,600. The Executive Level I per year salary limit also applies to individuals proposed under subcontracts. If this is a multi- year grant, it may be subject to unilateral modification by the Government if an individual's salary rate exceeds any salary rate ceiling established in future HHS appropriation acts. P.L. 110-005 states in pertinent part: "None of the funds appropriated in this title for the National Institutes of Health, the Agency for Healthcare Research and Quality, and the Substance Abuse and Mental Health Services Administration shall be used to pay the salary of an individual, through a grant or other extramural mechanism, at a rate in excess of Executive Level l of the Federal Executive Pay Scale. " 10 ~[ ~lt/iC~l~ UNC-CH Acct. No. 5-50595 J ~~"' ~ T Amendment # 1 to the ~~ / AGREEMENT Between THE UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL (hereina$er referred to as UNC-CH) And ORANGE COUNTY for and on behalf of the ORANGE COUNTY DEPARTMENT ON AGING (hereinafter referred to as SUBCONTRACTOR) The purpose of this Amendment is to extend the Period of Performance to end August 31, 2009 and to increase Compensation by $17,965.00. The following change is hereby incorporated into the agreement: ARTICLE 2. PERIOD OF PERFORMANCE Delete: "...the work under this agreement shall be performed during the period September 1, 2007 through August 31, 2008..." Insert: "...the work under this agreement shall be performed during the period September 1, 2007 through August 31, 2009..." ARTICLE 3. COMPENSATION Delete: "...UNC-CH shall compensate the SUBCONTRACTOR in an amount not to exceed $36,693.00..." Insert: "...UNC-CH shall compensate the SUBCONTRACTOR in an amount not to exceed $54,658.00..." ALL OTHER TERMS AND CONDITIONS OF THIS AGREEMENT REMAIN UNCHANGED. FOR THE UNIVERSITY OF NORTH CAROLINA AT CHAPEL HII,L: ~~-- tL.o ,,~ v Tony G. Waldrop, Vice Chancellor for Research and Economic Development (Date) ~ ~r 9 - o ~_ FOR ORANGE COUNTY for and on behalf of the ORANGE COUNTY DEPARTMENT ON AGING: