Common use of RIGHT OF AUDIT AND MONITORING Clause in Contracts

RIGHT OF AUDIT AND MONITORING. 19 16.1. Monitoring of Conduct 19 16.2. Requests for Information 19 16.3. Rights of Review 19 ARTICLE XVII FINANCIAL REPORTING REQUIREMENTS 19 17.1. Quarterly Reports 19 17.2. Close-out Reports 20 17.3. Audited Financial Statements 20 17.4. Consolidated Financial Reports 20 17.5. Compliance with Grant Requirements of Comptroller 20 17.6. Compliance with Federal Reporting Requirements 21 17.7. Notice 21 17.8. Effect of Failure to Comply 21 ARTICLE XVIII PERFORMANCE REPORTING REQUIREMENTS 21 18.1. Monthly and Quarterly Reports 21 18.2. Close-out Performance Reports 21 18.3. Content of Performance Reports 21 18.4. Performance Standards 21 ARTICLE XIX AUDIT REQUIREMENTS 21 19.1. Submission of Audit Report 21 19.2. Performance of Audits 21 19.3. Instructions 22 ARTICLE XX SERVICE PROVIDER DIRECTORY 22 20.1. Inclusion in Directory 22 20.2. Multiple Locations 22 20.3. Update Requirements 22 20.4. Submission of Information 22 ARTICLE XXI INDEPENDENT CONTRACTOR 22 21.1. Independent Contractor 22 ARTICLE XXII TERMINATION; SUSPENSION 23 22.1. Termination 23 22.2. Breach 23 22.3. Suspension 23 ARTICLE XXIII POST-TERMINATION/NON-RENEWAL 23 23.1. Duties 23 23.2. Survival 23 ARTICLE XXIV SUBCONTRACTS 23 24.1. Subcontracting/Delegation 23 24.2. Application of Terms 24 ARTICLE XXV INTERNET ACCESS 24 25.1. Access to Internet 24 ARTICLE XXVI NOTICE OF CHANGE 24 26.1. Notice of Change 24 26.2. Failure to Provide Notification 24 26.3. Circumstances Affecting Performance; Notice 24 26.4. Effect of Failure to Provide Notice 25 ARTICLE XXVII ASSIGNMENT 25 27.1. Assignment Prohibited 25 ARTICLE XXVIII MERGERS/ACQUISITIONS 25 28.1. Effect of Reorganization 25 ARTICLE XXIX CONTRACTS WITH OTHER STATE AGENCIES; OTHER REQUIRED DISCLOSURES 25 29.1. Disclosure 25 29.2. Copies upon Request 26 29.3. Related Parties 26 29.4. Provider Board Membership 26 ARTICLE XXX CONFLICT OF INTEREST 26 30.1. Prohibited Payments 26 30.2. Request for Exemption 26 ARTICLE XXXI TRANSFER OF EQUIPMENT 26 31.1. Transfer of Equipment 26 31.2. Meaning of “Equipment” 26 ARTICLE XXXII WORK PRODUCT 26 32.1. Definition of Work Product 26 32.2. License to DHS 26 32.3. License to Provider; Objections 27 32.4. Unresolved Objections; Disclaimer 27

RIGHT OF AUDIT AND MONITORING. 19 16.117 13.1. Monitoring of Conduct 19 16.217 13.2. Requests for Information 19 16.3Information. 18 13.3. Rights of Review 19 18 ARTICLE XVII FINANCIAL XIV REPORTING REQUIREMENTS 19 17.118 14.1. Programmatic Reports 18 14.2. Grants in Excess of $25,000 18 14.3. Submission of Quarterly Reports 19 17.2. Close-out Reports 20 17.3. Audited Financial Statements 20 17.4. Consolidated Financial Reports 20 17.5. Compliance with Grant Requirements of Comptroller 20 17.6. Compliance with Federal Reporting Requirements 21 17.7. Notice 21 17.8. Reports; Effect of Failure to Comply 21 18 14.4. Additional Reporting Requirements 18 ARTICLE XVIII PERFORMANCE REPORTING REQUIREMENTS 21 18.1XV SERVICE PROVIDER DIRECTORY 18 15.1. Monthly and Quarterly Reports 21 18.2Inclusion in Directory 18 15.2. Close-out Performance Reports 21 18.3Multiple Locations 19 15.3. Content Update Requirements 19 15.4. Submission of Performance Reports 21 18.4. Performance Standards 21 Information 19 ARTICLE XIX XVI AUDIT REQUIREMENTS 21 19.119 16.1. Submission of Audit Report 21 19.219 16.2. Performance of Audits 21 19.3Audits. 19 16.3. Instructions 22 19 ARTICLE XX SERVICE PROVIDER DIRECTORY 22 20.1. Inclusion in Directory 22 20.2. Multiple Locations 22 20.3. Update Requirements 22 20.4. Submission of Information 22 ARTICLE XXI XVII INDEPENDENT CONTRACTOR 22 21.120 17.1. Independent Contractor 22 20 ARTICLE XXII TERMINATION; SUSPENSION 23 22.1XVIII SANCTIONS 20 18.1. Imposition of Sanctions 20 ARTICLE XIX TERM AND TERMINATION 20 19.1. Term 20 19.2. Termination 23 22.220 19.3. Breach 23 22.3. Suspension 23 20 ARTICLE XXIII XX POST-TERMINATION/NON-RENEWAL 23 23.121 20.1. Duties 23 23.221 20.2. Survival 23 21 ARTICLE XXIV XXI SUBCONTRACTS 23 24.121 21.1. Subcontracting/Delegation 23 24.2Delegation. Application of Terms 24 21 ARTICLE XXV XXII INTERNET ACCESS 24 25.121 22.1. Access to Internet 24 21 ARTICLE XXVI XXIII NOTICE OF CHANGE 24 26.122 23.1. Notice of Change 24 26.2Change… 22 23.2. Failure to Provide Notification 24 26.322 23.3. Circumstances Affecting Performance; Notice 24 26.422 23.4. Effect of Failure to Provide Notice 25 22 ARTICLE XXVII XXIV ASSIGNMENT 25 27.122 24.1. Assignment Prohibited 25 22 ARTICLE XXVIII XXV MERGERS/ACQUISITIONS 25 28.123 25.1. Effect of Reorganization 25 23 ARTICLE XXIX CONTRACTS WITH OTHER STATE AGENCIES; OTHER REQUIRED DISCLOSURES 25 29.1. Disclosure 25 29.2. Copies upon Request 26 29.3. Related Parties 26 29.4. Provider Board Membership 26 ARTICLE XXX XXVI CONFLICT OF INTEREST 26 30.123 26.1. Prohibited Payments 26 30.223 26.2. Request for Exemption 26 Exemption. 23 ARTICLE XXXI XXVII TRANSFER OF EQUIPMENT 26 31.123 27.1. Transfer of Equipment 26 31.223 27.2. Meaning of “Equipment” 26 23 ARTICLE XXXII XXVIII WORK PRODUCT 26 32.123 28.1. Definition of Work Product 26 32.2. License to DHS 26 32.3. License to Provider; Objections 27 32.4. Unresolved Objections; Disclaimer 2723

RIGHT OF AUDIT AND MONITORING. 19 18 16.1. Monitoring of Conduct 19 18 16.2. Requests for Information 19 18 16.3. Rights of Review 19 18 ARTICLE XVII FINANCIAL REPORTING REQUIREMENTS 19 17.1. Quarterly Reports 19 17.2. Close-out Reports 20 19 17.3. Audited Financial Statements 20 19 17.4. Consolidated Financial Reports 20 17.5. Compliance with Grant Requirements of Comptroller 20 17.6. Compliance with Federal Reporting Requirements 21 20 17.7. Notice 21 20 17.8. Effect of Failure to Comply 21 20 ARTICLE XVIII PERFORMANCE REPORTING REQUIREMENTS 21 20 18.1. Monthly and Quarterly Reports 21 20 18.2. Close-out Performance Reports 21 20 18.3. Content of Performance Reports 21 18.4. Performance Standards 21 ARTICLE XIX AUDIT REQUIREMENTS 21 19.1. Submission of Audit Report 21 19.2. Performance of Audits 21 19.3. Instructions 22 21 ARTICLE XX SERVICE PROVIDER DIRECTORY 22 21 20.1. Inclusion in Directory 22 21 20.2. Multiple Locations 22 20.3. Update Requirements 22 20.4. Submission of Information 22 ARTICLE XXI INDEPENDENT CONTRACTOR 22 21.1. Independent Contractor 22 ARTICLE XXII TERMINATION; SUSPENSION 23 22 22.1. Termination 23 22 22.2. Breach 23 22 22.3. Suspension 23 22 ARTICLE XXIII POST-TERMINATION/NON-RENEWAL 23 22 23.1. Duties 23 22 23.2. Survival 23 ARTICLE XXIV SUBCONTRACTS 23 24.1. Subcontracting/Delegation 23 24.2. Application of Terms 24 23 ARTICLE XXV INTERNET ACCESS 24 23 25.1. Access to Internet 24 23 ARTICLE XXVI NOTICE OF CHANGE 24 26.1. Notice of Change 24 26.2. Failure to Provide Notification 24 26.3. Circumstances Affecting Performance; Notice 24 26.4. Effect of Failure to Provide Notice 25 24 ARTICLE XXVII ASSIGNMENT 25 24 27.1. Assignment Prohibited 25 24 ARTICLE XXVIII MERGERS/ACQUISITIONS 25 24 28.1. Effect of Reorganization 25 ARTICLE XXIX CONTRACTS WITH OTHER STATE AGENCIES; OTHER REQUIRED DISCLOSURES 25 29.1. Disclosure 25 29.2. Copies upon Request 26 29.3. Related Parties 26 29.4. Provider Board Membership 26 ARTICLE XXX CONFLICT OF INTEREST 26 30.1. Prohibited Payments 26 30.2. Request for Exemption 26 ARTICLE XXXI TRANSFER OF EQUIPMENT 26 31.1. Transfer of Equipment 26 31.2. Meaning of “Equipment” 26 ARTICLE XXXII WORK PRODUCT 26 32.1. Definition of Work Product 26 32.2. License to DHS 26 32.3. License to Provider; Objections 27 32.4. Unresolved Objections; Disclaimer 2724

RIGHT OF AUDIT AND MONITORING. 19 16.114.1. Monitoring of Conduct 19 16.214.2. Requests for Information 19 16.320 14.3. Rights of Review 19 20 ARTICLE XVII FINANCIAL XV REPORTING REQUIREMENTS 19 17.120 15.1. Monthly and Quarterly Reports 19 17.220 15.2. Close-out Reports Notice. 20 17.3. Audited Financial Statements 20 17.4. Consolidated Financial Reports 20 17.5. Compliance with Grant Requirements of Comptroller 20 17.6. Compliance with Federal Reporting Requirements 21 17.7. Notice 21 17.815.3. Effect of Failure to Comply 21 20 ARTICLE XVIII PERFORMANCE REPORTING REQUIREMENTS 21 18.1. Monthly and Quarterly Reports 21 18.2. Close-out Performance Reports 21 18.3. Content of Performance Reports 21 18.4. Performance Standards 21 ARTICLE XIX XVI AUDIT REQUIREMENTS 21 19.120 16.1. Submission of Audit Report 20 16.2. Performance of Audits. 21 16.3. Instructions. 21 ARTICLE XVII INDEPENDENT CONTRACTOR 21 17.1. Independent Contractor 21 ARTICLE XVIII SANCTIONS 21 18.1. Imposition of Sanctions 21 ARTICLE XIX TERM AND TERMINATION 21 19.1. Term 21 19.2. Performance of Audits Termination 21 19.3. Instructions 22 Breach. 21 ARTICLE XX SERVICE PROVIDER DIRECTORY SUBCONTRACTS 22 20.1. Inclusion in Directory 22 20.2. Multiple Locations 22 20.3. Update Requirements 22 20.4. Submission of Information 22 ARTICLE XXI INDEPENDENT CONTRACTOR 22 21.1. Independent Contractor 22 ARTICLE XXII TERMINATION; SUSPENSION 23 22.1. Termination 23 22.2. Breach 23 22.3. Suspension 23 ARTICLE XXIII POST-TERMINATION/NON-RENEWAL 23 23.1. Duties 23 23.2. Survival 23 ARTICLE XXIV SUBCONTRACTS 23 24.1. Subcontracting/Delegation 23 24.2. Application of Terms 24 22 ARTICLE XXV INTERNET ACCESS 24 25.1. Access to Internet 24 ARTICLE XXVI XXI NOTICE OF CHANGE 24 26.122 21.1. Notice of Change 24 26.222 21.2. Failure to Provide Notification 24 26.322 21.3. Circumstances Affecting Performance; Notice 24 26.422 21.4. Effect of Failure to Provide Notice 25 22 ARTICLE XXVII XXII ASSIGNMENT 25 27.123 22.1. Assignment Prohibited 25 23 ARTICLE XXVIII XXIII MERGERS/ACQUISITIONS 25 28.123 23.1. Effect of Reorganization 25 23 ARTICLE XXIX CONTRACTS WITH OTHER STATE AGENCIES; OTHER REQUIRED DISCLOSURES 25 29.1. Disclosure 25 29.2. Copies upon Request 26 29.3. Related Parties 26 29.4. Provider Board Membership 26 ARTICLE XXX XXIV CONFLICT OF INTEREST 26 30.123 24.1. Prohibited Payments 26 30.223 24.2. Request for Exemption 26 23 ARTICLE XXXI XXV TRANSFER OF EQUIPMENT 26 31.123 25.1. Transfer of Equipment 26 31.223 25.2. Meaning of “Equipment” 26 24 ARTICLE XXVI WORK PRODUCT 24 26.1. Work Product 24 ARTICLE XXVII PROMOTIONAL MATERIALS; PRIOR NOTIFICATION 24 27.1. Publications, Announcements, etc 24 27.2. Prior Notification/Release of Information 24 ARTICLE XXVIII INSURANCE 24 28.1. Maintenance of Insurance 24 28.2. Acceptable Coverage 24 28.3. Claims 24 ARTICLE XXIX LAWSUITS 25 29.1. Indemnification 25 ARTICLE XXX GIFTS AND INCENTIVES PROVISION 25 30.1. Gift Ban 25 ARTICLE XXXI EXHIBITS; ATTACHMENT AND PROGRAM MANUAL 25 31.1. Exhibits A through D 25 31.2. Attachment and Program Manual 25 ARTICLE XXXII WORK PRODUCT 26 MISCELLANEOUS 25 32.1. Definition of Work Product 26 Renewal 25 32.2. License to DHS 26 Amendments 25 32.3. License to Provider; Objections 27 Severability 25 32.4. Unresolved Objections; Disclaimer 27No Waiver 25 32.5. Applicable Law 25 32.6. Compliance with Law 26 32.7. Precedence 26 32.8. Headings 26 32.9. Entire Agreement 26 32.10. Counterparts 26 32.11. Reductions in Amounts Payable 26 32.12. Certification 26 EXHIBIT A SCOPE OF SERVICES 28 EXHIBIT B DELIVERABLES 29 EXHIBIT C PAYMENT 30 EXHIBIT D CONTACT INFORMATION 31 Agreement No. ADMINISTRATIVE/OPERATIONAL AGREEMENT BETWEEN THE DEPARTMENT OF HUMAN SERVICES AND FOR FISCAL YEAR 2012 The Illinois Department of Human Services (DHS), with its principal office at , and (Contractor), with its principal office at and payment address (if different than principal office) at , hereby enter into this Administrative/Operational Agreement. DHS and Contractor are collectively referred to herein as “Parties” or individually as a “Party”.

RIGHT OF AUDIT AND MONITORING. 19 16.124 15.1. Monitoring of Conduct 19 16.224 15.2. Requests for Information 19 16.324 15.3. Rights of Review 19 24 ARTICLE XVII XVI FINANCIAL REPORTING REQUIREMENTS 19 17.125 16.1. Quarterly Reports 19 17.225 16.2. Close-out Reports 20 17.325 16.3. Audited Financial Statements 20 17.425 16.4. Consolidated Annual Financial Reports 20 17.525 16.5. Compliance with Grant Requirements of Comptroller 20 17.6Comptroller. 26 16.6. Compliance with Federal Reporting Requirements 21 17.726 16.7. Notice 21 17.8Notice. 26 16.8. Effect of Failure to Comply 21 26 ARTICLE XVIII XVII PERFORMANCE REPORTING REQUIREMENTS 21 18.126 17.1. Monthly and Quarterly Reports 21 18.226 17.2. Close-out Annual Performance Reports 21 18.3Reports. 26 17.3. Final Performance Reports. 26 17.4. Content of Performance Reports 21 18.426 17.5. Performance Standards 21 Standards. 26 ARTICLE XIX XVIII AUDIT REQUIREMENTS 21 19.127 18.1. Submission of Audit Report 21 19.227 18.2. Performance of Audits 21 19.3Audits. Instructions 22 27 18.3. Instructions. 27 ARTICLE XX XIX SERVICE PROVIDER DIRECTORY 22 20.127 19.1. Inclusion in Directory 22 20.227 19.2. Multiple Locations 22 20.327 19.3. Update Requirements 22 20.427 19.4. Submission of Information 22 28 ARTICLE XXI XX INDEPENDENT CONTRACTOR 22 21.128 20.1. Independent Contractor 22 28 ARTICLE XXI SANCTIONS 28 21.1. Imposition of Sanctions 28 ARTICLE XXII TERMINATION; SUSPENSION 23 TERM AND TERMINATION 28 22.1. Termination 23 Term 28 22.2. Breach 23 Termination 28 22.3. Suspension 23 Breach. 28 ARTICLE XXIII POST-TERMINATION/NON-RENEWAL 23 29 23.1. Duties 23 29 23.2. Survival 23 Survival. 29 ARTICLE XXIV SUBCONTRACTS 23 29 24.1. Subcontracting/Delegation 23 24.2. Application of Terms 24 29 ARTICLE XXV INTERNET ACCESS 24 29 25.1. Access to Internet 24 29 ARTICLE XXVI NOTICE OF CHANGE 24 30 26.1. Notice of Change 24 30 26.2. Failure to Provide Notification 24 30 26.3. Circumstances Affecting Performance; Notice 24 30 26.4. Effect of Failure to Provide Notice 25 30 ARTICLE XXVII ASSIGNMENT 25 30 27.1. Assignment Prohibited 25 30 ARTICLE XXVIII MERGERS/ACQUISITIONS 25 31 28.1. Effect of Reorganization 25 31 ARTICLE XXIX CONTRACTS WITH OTHER STATE AGENCIES; OTHER REQUIRED DISCLOSURES 25 29.1. Disclosure 25 29.2. Copies upon Request 26 29.3. Related Parties 26 29.4. Provider Board Membership 26 ARTICLE XXX CONFLICT OF INTEREST 26 30.131 29.1. Prohibited Payments 26 30.231 29.2. Request for Exemption 26 31 ARTICLE XXXI XXX TRANSFER OF EQUIPMENT 26 31.131 30.1. Transfer of Equipment 26 31.231 30.2. Meaning of “Equipment” 26 31 ARTICLE XXXII XXXI WORK PRODUCT 26 32.131 31.1. Definition of Work Product 26 32.231 31.2. License to DHS 26 32.332 31.3. License to Provider; Objections 27 32.432 31.4. Unresolved Objections; Disclaimer 2732 ARTICLE XXXII PROMOTIONAL MATERIALS; PRIOR NOTIFICATION 32 32.1. Publications, Announcements, etc 32 32.2. Prior Notification/Release of Information 32 ARTICLE XXXIII INSURANCE 33 33.1. Purchase and Maintenance of Insurance 33 33.2. Cost of Insurance 33 33.3. Claims 33 ARTICLE XXXIV LAWSUITS 33 34.1. Indemnification 33 ARTICLE XXXV GIFTS AND INCENTIVES PROVISION 33 35.1. Gift Ban 33 ARTICLE XXXVI EXHIBITS; ATTACHMENT AND PROGRAM MANUAL 33 36.1. Exhibits A through E 33 36.2. Attachment and Program Manual 33 ARTICLE XXXVII MISCELLANEOUS 34 37.1. Renewal 34 37.2. Amendments 34 37.3. Severability 34 37.4. No Waiver 34 37.5. Applicable Law 34 37.6. Compliance with Law 34 37.7. Precedence 34 37.8. Headings 34 37.9. Entire Agreement 34 37.10. Counterparts 34 37.11. Funding Reserve/Reductions to Amounts Payable 34 37.12. Certification 35 EXHIBIT A SCOPE OF SERVICES 36 EXHIBIT B DELIVERABLES 37 EXHIBIT C PAYMENT 38 EXHIBIT D CONTACT INFORMATION 39 EXHIBIT E PERFORMANCE MEASURES 40 EXHIBIT F PERFORMANCE STANDARDS 41 Agreement No. COMMUNITY SERVICES AGREEMENT BETWEEN THE DEPARTMENT OF HUMAN SERVICES AND FOR FISCAL YEAR 2012 The Illinois Department of Human Services (DHS), with its principal office at , and

RIGHT OF AUDIT AND MONITORING. 19 18 16.1. Monitoring of Conduct 19 18 16.2. Requests for Information 19 Information. 18 16.3. Rights of Review 19 18 ARTICLE XVII FINANCIAL REPORTING REQUIREMENTS 19 17.1. Quarterly Reports 19 17.2. Close-out Reports 20 19 17.3. Audited Financial Statements 20 19 17.4. Consolidated Financial Reports 20 2019 17.5. Compliance with Grant Requirements of Comptroller 20 17.6. Compliance with Federal Reporting Requirements 21 20 17.7. Notice 21 20 17.8. Effect of Failure to Comply 21 20 ARTICLE XVIII PERFORMANCE REPORTING REQUIREMENTS 21 20 18.1. Monthly and Quarterly Reports 21 20 18.2. Close-out Performance Reports 21 20 18.3. Content of Performance Reports 21 2120 18.4. Performance Standards 21 ARTICLE XIX AUDIT REQUIREMENTS 21 19.1. Submission of Audit Report 21 19.2. Performance of Audits 21 19.3. Instructions 22 21 ARTICLE XX SERVICE PROVIDER DIRECTORY 22 21 20.1. Inclusion in Directory 22 21 20.2. Multiple Locations 22 2221 20.3. Update Requirements 22 2221 20.4. Submission of Information 22 ARTICLE XXI INDEPENDENT CONTRACTOR 22 21.1. Independent Contractor 22 ARTICLE XXII TERMINATION; SUSPENSION 23 22 22.1. Termination 23 22 22.2. Breach 23 22 22.3. Suspension 23 22 ARTICLE XXIII POST-TERMINATION/NON-RENEWAL 23 22 23.1. Duties 23 22 23.2. Survival 23 ARTICLE XXIV SUBCONTRACTS 23 24.1. Subcontracting/Delegation 23 24.2. Application of Terms 24 23 ARTICLE XXV INTERNET ACCESS 24 23 25.1. Access to Internet 24 23 ARTICLE XXVI NOTICE OF CHANGE 24 2423 26.1. Notice of Change 24 Change… 2423 26.2. Failure to Provide Notification 24 2423 26.3. Circumstances Affecting Performance; Notice 24 26.4. Effect of Failure to Provide Notice 25 24 ARTICLE XXVII ASSIGNMENT 25 24 27.1. Assignment Prohibited 25 24 ARTICLE XXVIII MERGERS/ACQUISITIONS 25 24 28.1. Effect of Reorganization 25 ARTICLE XXIX CONTRACTS WITH OTHER STATE AGENCIES; OTHER REQUIRED DISCLOSURES 25 29.1. Disclosure 25 29.2. Copies upon Request 26 29.3. Related Parties 26 29.4. Provider Board Membership 26 ARTICLE XXX CONFLICT OF INTEREST 26 30.1. Prohibited Payments 26 30.2. Request for Exemption 26 ARTICLE XXXI TRANSFER OF EQUIPMENT 26 31.1. Transfer of Equipment 26 31.2. Meaning of “Equipment” 26 ARTICLE XXXII WORK PRODUCT 26 32.1. Definition of Work Product 26 32.2. License to DHS 26 32.3. License to Provider; Objections 27 32.4. Unresolved Objections; Disclaimer 2724