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HomeMy WebLinkAboutResolution - 2001-R0316 - Contract For Public Health Services - Texas Department Of Health - 08/30/2001Resolution No. 2001—RO316 August 30, 2001 Item No. 27 RESOLUTION BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK: THAT the Mayor of the City of Lubbock is hereby authorized and directed to execute for and on behalf of the City of Lubbock a Contract for Public Health Services between City and the Texas Department of Health (TDH Document #7560005906A200201), including Changes No. 0l and No. 02, a copy of which Contract, including Changes No. 01 and No. 02, is attached hereto and any associated documents, which Contract shall be spread upon the minutes of this Council and as spread upon the minutes of this Couacil shall constitute and be a part hereof as if fully copied herein in detail. Passed by the City Council this 30th day of August , 2001. -11'� WINDY v. ATTEST: Reb cca Garza, City Secretary APPROVED AS TO CONTENT: Tommy C den, Health Department Director OVED AS TO FORM: Dofiald G.- Van'Tiver, First Assistant City Attorney DDres/TDHconxes August 20, 2001 ^ E s P Foca CONTRACT FOR PURI,iC HFALTH SF,RVICF.S Resolution No. 2001—R 0316 August 30, 2001 Item No. 27 TTIA T)nrT TATPNTT NTn A nnnnni Contract Issued by: TEXAS DEPARTMENT OF HEALTH JD (RECEIVING AGENCY) 1100 WEST 49TH STREET AUSTIN, TEXAS 78756-3199 Legal Authority to Contract: Chapters 12 and 121, Health and Safety Code. Venue: The provisions of this Contract shall be interpreted in accordance with Texas law. Venue for any court disputes shall be in Travis County, Texas. PERFORMING AGENCY NAME: LUBBOCK CITY HEALTH DEPARTMENT MAILING ADDRESS: PO BOX 2548 LUBBOCK TX 79457-0000 STREET ADDRESS: 1902 TEXAS AVENUE LUBBOCK TX 79457-0000 NAME OF AUTHORIZED CONTRACTING ENTITY: CITY OF LUBBOCK HEALTH DEPARTMENT (If different from PERFORMING AGENCY) PAYEE DATA (If not the same as PERFORMING AGENCY or AUTHORIZED CONTRACTING ENTITY; must be on file with the Texas State Comptroller's Office.): NAME: CITY OF LUBBOCK ADDRESS: PO BOX 2000 -ACCOUNTING DEPT LUBBOCK TX 79457-0000 (City, State, Zip) State of Texas Vendor Identification No. (14 digits) PAYEE AGENCY Fiscal 17560005906034 Year Ending Month: December PAYEE BUSINESS INFORMATION FOR STATISTICAL REPORTING: Please check the categories that apply to your business. Small Business - A corporation, sole proprietorship, or other legal entity formed for the purpose of making a profit which is independently owned and operated and has fewer than 100 employees or has less than $1,000,000 in annual gross receipts. _ Historically Underutilized Business (HUB) - A corporation, sole proprietorship, or joint venture formed for the purpose of making a profit in which at least 51 % of all classes of the shares of stock or other equitable securities are owned by one or more persons who have been historically underutilized (socially disadvantaged) because of their identification as members of certain groups: Black American, Hispanic American, Asian Pacific American, Native American, and Women. The HUB must be certified by General Services Commission or another entity. _ For Profit Organization SUMMARY OF CONTRACT DOCUMENTATION: COVER PAGE 1 - Receiving and Performing Agency Data GENERAL PROVISIONS COVER PAGE 2 - Details of Attachment(s) ATTACHMENT(S) COVER PAGE 3 - Authorized Signatures EXHIBITS, IF APPLICABLE Cover Page 1 DETAILS OF ATTACHMENTS Att/ TDH Term Financial Assistance Direct Total Amount Amd Program Assistance (TDH Share) No. ID Begin End Source of Amount Funds* 01 M&D 09/01/01 08/31/02 State 0.00 0.00 0.00 TDH Document No.7560005906A2002 Totals Chane No. 00 $ 000 $ 0.00 $ 0.00 *Federal funds are indicated by a number from the Catalog of Federal Domestic Assistance (CFDA), if applicable. REFER TO BUDGET SECTION OF ANY ZERO AMOUNT ATTACHMENT FOR DETAILS. Cover Page 2 EXECUTED IN DUPLICATE ORIGINALS ON THE DATES SHOWN. CITY OF LUBBOCK HEALTH DEPARTMENT Authorized Contracting Entity (type above if different from PERFORMING AGENCY) for and in behalf of: PERFORMING AGENCY NAME: LUBBOC ITY HEALT P TMENT r By: (Signature of pe on authorized to sign contracts) Date: Windy Slum, Mayor (Name and Title) August 30, 2001 RECOMMENDED: By: C' 16w�— aww"o -") — (PERFORMIgG AGENCY Director, if different from person authorized to sign contract) TMW Cbz, Health Director RECEIVING AGENCY NAME: TEXAS DEPARTMENT OF HEALTH By:- a, bo�'4 (Signature of person authorized to sig contracts) Melanie A. Doyle, Director Grants Management Division (Name and Title) Date: C TDH Document No: 7560005906A02 00010` o« Cover Page 3 GENERAL PROVISIONS FOR TEXAS DEPARTMENT OF HEALTH GRANT CONTRACTS TABLE OF CONTENTS ARTICLE 1 - PREAMBLE 2 - TERM 3 - FUNDING 4 - AMENDMENTS 5 - APPLICABLE LAWS AND STANDARDS 6 - DEBARMENT AND SUSPENSION 7 - ASSURANCES 8 - CHILD ABUSE REPORTING REQUIREMENTS 9 - INTELLECTUAL PROPERTY 10 - HISTORICALLY UNDERUTILIZED BUSINESSES 11 - CONFLICT OF INTEREST 12 - CERTIFICATION OF HARDWARE, SOFTWARE, FIRMWARE, AND MICRO CODE PRODUCTS 13 - STANDARDS FOR FINANCIAL AND PROGRAMMATIC MANAGEMENT 14 - BONDING AND LIABILITY INSURANCE 15 - TERMS AND CONDITIONS OF PAYMENT 16 - PROGRAMINCOME 17 - CONTRACTS WITH SUBRECIPIENTS 18 - CONTRACTSFOR PROCUREMENT 19 - REPORTS. 20 - INSPECTIONS 21 - RECORDS RETENTION 22 - PATIENT OR CLIENTS RECORDS 23 - CONFIDENTIALITY 24 - HOLD HARMLESS 25 - SANCTIONS 26 - SANCTION. REVIEW 27 - DISPUTE RESOLUTIONS FOR BREACH OF CONTRACT 28 - TERMINATION 29 - VOID CONTRACT 30 - SEVERABILITY 31 - SURVIVAL OF TERMS 32 - CONTSTRUCTION OF AMBIGUITIES 33 - NO -WAIVER OF SOVEREIGN IMMUNITY (Fee for -Service) 2002 GENERAL PROVISIONS 04/01 Any alteration to this document constitutes a counter-offer and must be approved in writing by the Texas Department of Health. GENERAL PROVISIONS FOR TEXAS DEPARTMENT OF HEALTH GRANT CONTRACTS ARTICLE 1. Preamble PERFORMING AGENCY and RECEIVING AGENCY (the parties) agree to make and enter into this grant contract (contract), to faithfully perform the duties prescribed by this contract, and to uphold and abide by its terms and provisions. This contract consists of RECEIVING and PERFORMING AGENCY identifying data, Details of Attachment(s), authorized signatures, General Provisions, and Attachment(s) with detailed Scope(s) of Work, Special Provisions, budget(s), and exhibit(s) as applicable. This contract represents the complete and entire understanding and agreement of the parties. No prior agreement or understanding, oral or otherwise, of the parties or their agents will be valid or enforceable unless embodied in this contract. The person or persons signing and executing this contract on behalf of PERFORMING AGENCY, or representing themselves as signing and executing this contract on behalf of PERFORMING AGENCY, warrant and guarantee that he, she, or they have been duly authorized by PERFORMING AGENCY to execute this contract on behalf of PERFORMING AGENCY and to validly and legally bind PERFORMING AGENCY to all of its terms, performances, and provisions. PERFORMING AGENCY assures compliance with this contract, including these General Provisions unless otherwise specified in any Special Provisions of the Attachment(s) to this document. If these General Provisions are revised or replaced during the term of this contract and PERFORMING AGENCY does not consent to comply with the modified General Provisions, PERFORMING AGENCY may exercise its termination options in accordance with the General Provisions, Termination Article. ARTICLE 2. Term The time period of this contract shall be governed by the term(s) of the Attachment(s). No commitment of contract funds is permitted prior to the first day or subsequent to the last day of the term. The term may be extended or shortened by amendment(s). ARTICLE 3. Funding This contract is contingent upon the availability of funding for each Attachment for the term of the Attachment. PERFORMING AGENCY shall have no right of action against the State of Texas or RECEIVING AGENCY in the event that RECEIVING AGENCY is unable to fulfill its obligations under this contract as a result of lack of sufficient funding of RECEIVING AGENCY for any Attachment(s) to this contract. If funds become unavailable, provisions of the Termination Article will apply. ARTICLE 4. Amendments This contract may be amended only if the amendment is in writing and signed by individuals with authority to bind all parties. PERFORMING AGENCY shall not perform and RECEIVING AGENCY shall not pay for the performance of different or additional services, work, or products except pursuant to an amendment of this contract that is (Fee -for -Service) 2002 GENERAL PROVISIONS Page 1 04/01 exeduted in compliance with this Article. RECEIVING AGENCY may not waive any term, covenant, or condition of this contract unless by amendment executed in compliance with this Article. PERFORMING AGENCY shall plan expenditures so that any necessary budget revisions or amendments are executed no Iater than 90 days prior to the expiration of the Attachment term. PERFORMING AGENCY shall provide a written justification for any budget revisions and/or amendments. If a budget revision or amendment is requested during the last quarter of the Attachment term, the written justification must include a reason for the delay. Revision or amendment requests may be granted at the discretion of RECEIVING AGENCY. ARTICLE 5. Applicable Laws and Standards This contract shall be interpreted under and in accordance with the laws of the State of Texas and enabling state rules. Where applicable, federal statutes and regulations, including federal grant requirements applicable to funding sources, will apply to this contract. The principles in the Uniform Grant Management Standards (UGMS) as amended by revised federal circulars and incorporated in UGMS by the Governor's Budget and Planning Office shall be used as a guide in the pricing of fixed price arrangements where costs are used in determining the appropriate price. RECEIVING AGENCY must give prior approval for changes to contract Attachment(s) as specified by UGMS in Part III- "State Uniform Administrative Requirements for Grants and Cooperative Agreements," Subpart C - Post -Award Requirements, item _30 -Changes and applicable federal Office of Management and Budget (OMB) circulars. RECEIVING AGENCY will provide copies of applicable OMB circulars, Code of Federal Regulations, and UGMS to PERFORMING AGENCY upon request. These documents are incorporated by reference as a condition of this contract. PERFORMING AGENCY may not use funds granted under this contract to pay any person for influencing or attempting to influence an officer or employee of any agency, federal or state, 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 contract or grant or the extension, continuation, renewal, amendment, or modification of any contract or grant (31 USC §1352, as amended, and UGMS). If at any time this contract exceeds $100,000, regardless of funding source, PERFORMING AGENCY shall file with RECEIVING AGENCY a declaration containing the name of any registrant under the Lobbying Disclosure Act of 1995 who has made lobbying contacts on behalf of PERFORMING AGENCY in connection with that contract or grant, a certification that none of the funds provided by RECEIVING AGENCY have been or will be used for payment to lobbyists, and disclosure of the names of any and all registered lobbyists with whom PERFORMING AGENCY has an agreement. PERFORMING AGENCY shall require any person who requests or receives a subgrant or subcontract to file the same declaration, certification, and disclosure with RECEIVING AGENCY. PERFORMING AGENCY shall file the declaration, certification, and disclosure at the time of application for the contract or grant; upon execution of a contract or grant unless PERFORMING AGENCY previously filed a declaration, certification, or disclosure form in connection with the award; and at the end of each calendar quarter in which there occurs any event that materially affects the accuracy of the information contained in any declaration, certification, or disclosure previously filed. RECEIVING AGENCY will supply the certification form to PERFORMING AGENCY upon request. PERFORMING AGENCY, if a corporation, certifies by execution of this contract that it is current and will remain current in its payment of franchise taxes to the State of Texas or that it is exempt from payment of franchise taxes under Texas law (Texas Tax Code, § 171.001 et seq., as amended). A false statement regarding franchise tax status is a material breach of this contract. If franchise tax payments become delinquent during the Attachment term, payments under this contract will be withheld until PERFORMING AGENCY'S delinquent franchise tax is paid in full. (Fee -for -Service) 2002 GENERAL PROVISIONS Page 2 04101: ARTICLE 6. Debarment and Suspension PERFORMING AGENCY certifies by execution of this contract to the following: • it is not ineligible for participation in federal or state assistance programs under Executive Order 12549, Debarment and Suspension, Feb. 18, 1986, 51 Fed. Reg. 6370; • neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department or agency; • it has not knowingly failed to pay a single substantial debt or a number of outstanding debts to a federal or state agency; and, • it is not subject to an outstanding judgment in a suit against PERFORMING AGENCY for collection of the balance of a debt. Where PERFORMING AGENCY is unable to certify to any of the statements in this Article, PERFORMING AGENCY shall attach an explanation. PERFORMING AGENCY shall not contract with a subrecipient nor procure goods or services from a subcontractor, at any tier, which is debarred or suspended or is otherwise excluded from or ineligible for participation in federal assistance programs under Executive Order 12549. ARTICLE 7. Assurances PERFORMING AGENCY shall establish safeguards to prohibit employees from using their positions "for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest or personal gain. To the extent such provisions are applicable to PERFORMING AGENCY, PERFORMING AGENCY agrees to fully comply with the following: • Title VI of the Civil Rights Act of 1964, 42 USC §§2000d et seq., as amended (P.L. 88-352), which prohibits discrimination on the basis of race, color or national origin, and includes the provision for effective communication and equal access to programs, services and activities to persons with Limited English Proficiency; • Title IX of the Education Amendments of 1972, 20 USC §§1681-1683, and 1685-1686, as amended, which prohibits discrimination on the basis of sex; • Section 504 of the Rehabilitation Act of 1973, 29 USC §794(a), which prohibits discrimination on the basis of disabilities and the Americans with Disabilities Act of 1990, 42 USC §§ 12101 et seq., including the provision for effective communication arid equal access to programs, services and activities to persons with sensory and speech impairments; • The Age Discrimination Act of 1975, 42 USC §§6101-6107, as amended, which prohibits discrimination on the basis of age; • The Drug Abuse Office and Treatment Act of 1972, 21 USC § § 1101 et seq., as amended, relating to nondiscrimination on the basis of drug abuse; • The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970, 42 USC §290dd (b)(1), as amended, relating to the nondiscrimination on the basis of alcohol abuse or alcoholism; • Public Health Service Act of 1912, §§523 and 527, 42 USC §290dd-2, as amended, relating to confidentiality of alcohol and drug abuse patient records; • Title VIII of the Civil Rights Act of 1968, 42 USC §§3601 et seq., as amended, relating to nondiscrimination in the sale, rental or financing of housing; and, (Fee -for -Service) 2002 GENERAL PROVISIONS Page 3 04/01 • The requirements of any other nondiscrimination statute(s). Collectively, such requirements obligate RECEIVING AGENCY to provide services without discrimination on the basis of race, color, national origin, age, sex, or disability. PERFORMING AGENCY shall carry out the terms of this contract in a manner which will assist RECEIVING AGENCY in complying with such obligations to the fullest extent of PERFORMING AGENCY'S ability. PERFORMING AGENCY agrees to comply with all or part of the following, as applicable: A. Texas Labor Code, Chapter 21, which requires that certain employers not discriminate on the basis of race, color, disability, religion, sex, national origin, or age. B. Immigration Reform and Control Act of 1986, 8 USC §1324a, as amended, regarding employment verification and retention of verification forms for any individual(s) hired on or after November 6, 1986, who will perform any labor or services under this contract. C. Pro -Children Act of 1994, 20 USC §§6081-6084, regarding the provision of a smoke-free workplace and promoting the non-use of all tobacco products. D. The National Research Service Award Act of 1971, 42 USC §§289a-1 et seq., as amended, and 6601 (P.L. 93-348 and P.L. 103-43), as amended, regarding the protection of human subjects involved in research, development, and related activities supported by any applicable award of federal assistance, as implemented by 45 CFR Part 46, Protection of Human Subjects. E. The Clinical Laboratory Improvement Amendments of 1988, 42 USC §263a, as amended, which establish federal requirements for the regulation and certification of clinical laboratories. F. The Occupational Safety and Health Administration Regulations on Blood Borne Pathogens, 29 CFR §1910.1030, which set safety standards for those workers and facilities in the private sector who may handle blood borne pathogens, or Title 25 Texas Administrative Code(TAC), Chapter 96, which affects facilities in the public sector. G. Laboratory Animal Welfare Act of 1966, 7 USC §§2131 et seq. (P.L. 89-544), as amended, pertaining to the care, handling, and treatment of warm-blooded animals held for research, teaching, or other activities supported by this award of assistance. H. Article 9102, Texas Revised Civil Statutes, as amended, pertaining to standards which eliminate architectural barriers for persons with disabilities. I. Health and Safety Code § 165.004, relating to the promotion of breast-feeding by providing information that encourages breast-feeding to program participants who are pregnant women or mothers with infants. Promotional material may be requested from RECEIVING AGENCY by calling (512) 406-0744. Environmental standards pursuant to the following: (1) institution of environmental quality control measures under the National Environmental Policy Act of 1969, 42 USC §§4321-4347 and Executive Order 11514, "Protection and Enhancement of Environmental Quality." (2) Notification of violating facilities pursuant to Executive Order 11738, "Providing for Administration of the Clean Air Act and Federal Water Pollution Control Act with Respect to Federal Contracts, Grants, or Loans." (Fee -for -Service) 2002 GENERAL PROVISIONS Page 4 04101 (3) Protection of wetlands pursuant to Executive Order 11990. (4) Evaluation of flood hazards in floodplains in accordance with Executive Order 11988. (5) Assurance of project consisteney with the approved State Management program developed under the Coastal Zone Management Act of 1972, 16 USC §§ 1451 et seq., as amended. (6) Conformity of federal actions to state clean air implementation plans under the Clean Air Act of 1955, as amended, 42 USC §§7401 et seq. (7) Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, 42 USC §§300f -300j, as amended. (8) Protection of endangered species under the Endangered Species Act of 1973, 16 USC § 1531 et seq., as amended. K. Hatch Political Activity Act, 5 USC §§7321-26, which limits the political activity of employees whose principal employment activities are funded in whole or in part with federal funds. L. The Federal Fair Labor Standards Act and the Intergovernmental Personnel Act of 1970, as applicable, concerning minimum wage and maximum hours. M. General Appropriations Act, Regular Session, 76th Legislature, 1999, Article, §9-6.13, pp. IX - 39&40, "Limitation on Grants to Units of Local Government." For the purpose of §9-6.13, "unit of local government" shall mean a council of governments, a regional planning commission, or a similar regional planning agency created under Chapter 391, Local Government Code; a Local Workforce Development Board; or an MHMR community center. N. Texas Government Code, Chapter 573, relating to nepotism. O. Texas Government Code, Chapter 552, relating to open records and public information. P. Texas Government Code, Chapter 551, relating to open meetings. Q. Texas Occupations Code, Chapter 1701, as amended, and all rules adopted by the Texas Commission on Law Enforcement Officer Standards and Education pursuant to Chapter 1701, as amended, relating to regulated law enforcement agencies. PERFORMING AGENCY shall ensure that the facilities under its ownership, lease or supervision which will be utilized in the accomplishment of the project are not listed on the Environmental Protection Agency's (EPA) list of Violating Facilities and shall notify the Federal grantor agency of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under consideration for listing by the EPA (Executive Order 11738). PERFORMING AGENCY shall comply with the flood insurance purchase requirements of 102(a) of the Flood Disaster Protection Act of 1973, 42 USC §§4001-4003, as amended. Section 102(a) requires the purchase of flood insurance in communities where the insurance is available as a condition for the receipt of any federal financial assistance for construction or acquisition proposed for use in any area that has been identified by the Secretary of the U.S. Department of Housing and Urban Development as an area having special flood hazards. As required by Texas Family Code, §231.006, a child support obligor who is more than 30 days delinquent in paying child support and a business entity in which the obligor is a sole proprietor, partner, shareholder, or owner with an ownership interest of at least 25% is not eligible to receive payments from state funds under a contract to provide property, materials, or services or receive a state -funded grant or loan. If applicable, PERFORMING AGENCY agrees to comply with these provisions, certifies that it is not ineligible to receive the payments specified in this contract, and acknowledges that this contract may be terminated and payment may be withheld if this certification is inaccurate. (Fee -for -Service) 2002 GENERAL PROVISIONS Page 5 04101 If PERFORMING AGENCY provides medical, dental, psychological or surgical treatment to a minor under this contract, either directly or through contracts with subrecipients, the treatment of a minor shall be provided only if consent to treatment is obtained pursuant to Chapter 32 of the Texas Family Code relating to consent to treatment of a child by a non -parent or child. If requirements of federal law relating to consent directly conflict with Chapter 32 of the Family Code, federal law shall supersede state law. PERFORMING AGENCY shall comply with the requirements of the Texas Workers' Compensation Act, Labor Code, Chapters 401-406, and rules promulgated thereunder found at 28 Texas Administrative Code (TAC), Part 2, which cover compensation for employees' injuries. When incorporated into a contract, standard assurances contained in the application package, if any, become terms or conditions for receipt of RECEIVING AGENCY funds. PERFORMING AGENCY and its subrecipients shall maintain an appropriate contract administration system to ensure that all terms, conditions, and specifications are met. PERFORMING AGENCY shall comply with all federal tax laws and is solely responsible for filing all required state and federal tax forms. PERFORMING AGENCY shall comply with all applicable requirements of federal and state laws, executive orders, regulations and policies governing the activity described in the Attachment(s), and with the applicable standard conditions or assurances prescribed by UGMS in Part III, "State Uniform Administrative Requirements for Grants and Cooperative Agreements," Subpart B -Pre -Award Requirements, item _.14 -State Assurances. PERFORMING AGENCY assures it shall not transfer, assign or sell its interest in this contract without the written consent of RECEIVING AGENCY. ARTICLE S. Child Abuse Reporting Requirements (PERFORMING AGENCY is required to comply with this article only as related to services provided under the following Attachments: Human Immunodeficiency Virus and Sexually Transmitted Diseases (all Attachments), Title X and Title XX (Family Planning), Community Oriented Public Health/Primary Health Care, Title V Maternal and Child Health (Fee-for-service), and Bureau of Nutrition Services/Cards (WIC).] PERFORMING AGENCY and each of its subrecipients shall make a good faith effort to comply with child abuse reporting guidelines and requirements in Chapter 261 of the Texas Family Code relating to investigations of reports of child abuse and neglect. PERFORMING AGENCY and each of its subrecipients shall develop, implement and enforce a written policy that includes at a minimum the RECEIVING AGENCY'S Child Abuse Screening, Documenting, and Reporting Policy for Grant Services Contractors and train all staff on reporting requirements. PERFORMING AGENCY and its subrecipients shall use the Checklist for TDH Monitoring as required by RECEIVING AGENCY. (The policy and checklist are available at each of the above -referenced programs' websites.) ARTICLE 9. Intellectual Prope Texas Health and Safety Code § 12.020(a), as amended, authorizes RECEIVING AGENCY to apply for, register, secure, hold, and protect a patent, copyright, trademark or other evidence of protection or exclusivity issued in or for intellectual property. "Intellectual property" consists of inventions; discoveries; improvements to any process, machine, manufacture, or composition of matter; products; technology; scientific information; trade secrets; computer software; literary works; musical works with any accompanying words; dramatic works with any accompanying music; pantomimes and choreographic works; pictorial, graphic, and sculptural works; motion pictures and other audiovisual works; sound recordings; architectural works; words, names, symbols, devices, slogans or any (Fee for -Service) 2002 GENERAL PROVISIONS Page 6 04/01 combination thereof which have been adopted and used by RECEIVING AGENCY to identify goods and/or services and distinguish them from those of others; and any other creative works if they may be protected by a patent, copyright, trademark, service mark, collective mark, or certification mark or other evidence of protection or exclusivity whether or not protection or exclusivity has been applied for or received. "Mark," for purposes of trademark and service mark, includes a word, name, symbol, device, slogan or any combination thereof which has been adopted and used by RECEIVING AGENCY to identify goods and/or services and distinguish them from those of others. Federal trademark law also provides for collective marks and certification marks. "Patent" protects any new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement. "Work made for hire," a concept under copyright law, is a work prepared by an employee within the scope of his or her employment; or a work specially ordered or commissioned for use as a contribution to a collective work, as a part of a motion picture or other audiovisual work, as a translation, as a supplementary work, as a compilation, as an instructional text, as a test, as answer material for a test, or as an atlas, and the parties expressly agree in a written instrument signed by them that the work shall be considered a work made for hire. The term "works," for purposes of federal copyright law, includes software; literary works; musical works with any accompanying words; dramatic works with any accompanying music; pantomimes and choreographic works; pictorial, graphic, and sculptural works; motion pictures and other audiovisual works, sound recordings and architectural works. All work performed that results in the production of original books, manuals, films, or other original material is the exclusive property of RECEIVING AGENCY. All right, title, and interest in and to said property shall vest in RECEIVING AGENCY upon creation. All work performed shall be deemed to be a "work made for hire" for copyright purposes and made in the course of the services rendered pursuant to this contract. To the extent that title to any such work may not, by operation of law, vest in RECEIVING AGENCY or such work may not be considered a work made for hire, all rights, title and interest therein are hereby irrevocably assigned to RECEIVING AGENCY. RECEIVING AGENCY shall have the right to obtain and to hold in its own name any and all patents, copyrights, trademarks, service marks, certification marks, collective marks, registrations, or such other protection as may be appropriate to the subject matter, and any extensions and renewals thereof. PERFORMING AGENCY shall ensure all rights, titles, and interest in and to the intellectual property are secured to RECEIVING AGENCY from PERFORMING AGENCY and its subrecipients. PERFORMING AGENCY agrees to give RECEIVING AGENCY and agrees to require its subrecipients to give RECEIVING AGENCY, or any person designated by RECEIVING AGENCY, all assistance required to perfect the rights defined in this Article, without any charge or expense beyond those amounts payable to PERFORMING AGENCY for the services rendered under the contract. If federal funds are used to finance activities supported by the contract Attachment(s) that result in the production of original books, manuals, films, or other original material, the federal awarding agency reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government purposes (1) the copyright in any work developed under a grant, subgrant, or contract under a grant or subgrant; and (2) any rights of copyright to which a PERFORMING AGENCY or its subrecipient purchases ownership with grant support. PERFORMING AGENCY shall place an acknowledgment of federal awarding agency grant support and a disclaimer, as appropriate, on any publication written or published with such support and, if feasible, on any publication reporting the results of or describing a grant -supported activity. An acknowledgment shall be to the effect that "This publication was made possible by grant number from (federal awarding agency)" or "The project described was supported by grant number from (federal awarding agency)" and "Its contents are solely the responsibility of the authors and do not necessarily represent the official views of the (federal awarding agency)." (Fee for -Service) 2002 GENERAL PROVISIONS Page 7 04/01 In the event the terms of a federal grant award the copyright to PERFORMING AGENCY, RECEIVING AGENCY reserves a royalty -free, nonexclusive, worldwide and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for RECEIPTING AGENCY, public health, and state governmental noncommercial purposes (1) the copyright, trade mark, service mark, and/or patent on an invention, discovery, or improvement to any process, machine, manufacture, or composition of matter; products; technology; scientific information; trade secrets; and computer software, in any work developed under a grant, subgrant, or contract under a grant or subgrant; and (2) any rights of copyright, service or trade marks or patents to which a grantee, subgrantee or a contractor purchases ownership with grant support. RECEIVING AGENCY may waive ownership of a copyright, mark, or patent to a university or college with statutory authority to hold a copyright, mark, or patent or to a subcontractor of the college or university that would have the right of ownership under rules or policies of the college or university as part of the consideration for a contract. If RECEIVING AGENCY waives ownership, RECEIVING AGENCY reserves a royalty -free, nonexclusive, worldwide and irrevocable license to reproduce, publish or otherwise use, and to authorize other to use, for RECEIVING AGENCY and state governmental non-commercial and public health purposes: (1) the copyright, trade mark, service mark, and patent in any intellectual property developed under a contract, grant, subgrant, or contract under a grant or subgrant; and (2) any rights of copyright, trade mark, service mark, and patent in any inteIIectual property for which a grantee, subgrantee or a contractor purchases ownership with grant support or with other funds from RECEIVING AGENCY. RECEIVING AGENCY may waive ownership of the copyright to accomplish the contract objectives dealing with public health through a qualified state college or university and enhance the recruiting benefits and prestige of the college or university. PERFORMING AGENCY may publish the results of the contract performance if those results are subject to copyright law at its expense with prior RECEIVING AGENCY review and approval. RECEIVING AGENCY will not withhold the approval unreasonably. If RECEIVING AGENCY withholds approval, PERFORMING AGENCY may still publish the results of the contract performance but shall not reference the Texas Department of Health in any manner. If RECEIVING AGENCY approves and owns the copyright, any publication should include "C (the year of publication), Texas Department of Health, All Rights Reserved:" If PERFORMING AGENCY is the copyright holder, any publication shall include acknowledgment of the support received from RECEIVING AGENCY. At least six copies of any such publication must be provided to RECEIVING AGENCY. RECEIVING AGENCY reserves the right to require additional copies before or after the initial review. PERFORMING AGENCY and any subrecipient, as appropriate, must comply with the standard patent rights clauses in 37 Code of Federal Regulations §401.14 or Federal Acquisition Regulations 52.227.11. ARTICLE 10. Historically Underutilized Businesses RECEIVING AGENCY shall comply with Texas Government Code, Chapter 2161, and 1 TAC §§111.11- 111.24 et seq., whereby state agencies are required to make a good faith effort to assist historically underutilized businesses (HUBS) in receiving contract awards issued by the state to purchase "goods," which are defined as "supplies, materials, or equipment," services, or public works. If PERFORMING AGENCY subcontracts a portion of this contract, PERFORMING AGENCY agrees to make a good faith effort to subcontract with HUBS during the performance of its contract Attachment(s) with RECEIVING AGENCY and will report HUB subcontract activity on a quarterly basis to RECEIVING AGENCY. ARTICLE 11. Conflict of Interest PERFORMING AGENCY does not have nor shall it knowingly acquire any interest that would conflict in any manner with the performance of its obligations under this contract. Potential conflicts of interest include an (Fee -for -Service) 2002 GENERAL PROVISIONS Page 8 04/01 existing business or personal relationship between PERFORMING AGENCY, its principal, or any affiliate or subrecipient with RECEIVING AGENCY, its board members, officers or employees, or any other entity or person involved in any way in any project that is the subject of this contract. ARTICLE 12. Certification of Software, Hardware, Firmware and Micro Code Products PERFORMING AGENCY certifies that any supplied or supported software, hardware, firmware, and micro code products used individually or together as a system to comply with RECEIVING AGENCY contract requirements will operate "accurately" in the manner in which they were intended when given a "valid date" containing century, year, month, and day. For purposes of this Article, "supplied or supported software, hardware, firmware, and micro code products" does not include software supported by RECEIVING AGENCY or an agency of the federal government. PERFORMING AGENCY is responsible for installing and implementing any versions of any software provided by RECEIVING AGENCY or an agency of the federal government which is used in performance of this contract. For purposes of this Article, a) "accurately" is defined to include the following: 1) calculations must be correctly performed using four -digit year processing; 2) functionality -on-line, batch including entry, inquiry, maintenance and updates must support four -digit year processing; 3) interfaces and reports must support four -digit year processing; 4) processing with a four -digit year must occur without human intervention; 5) correct results in forward and backward date calculation spanning century boundaries must be provided; 6) correct leap year calculations must be performed; and 7) processing correct results in forward and backward date calculation spanning century boundaries must occur; b) "date integrity" shall mean all manipulations of time -related data (dates, durations, days of week, etc.) will produce desired results for all valid date values within the application domain; c) "explicit century" shall mean date elements in interfaces and data storage permit specifying century to eliminate date ambiguity; d) "extraordinary actions" shall be defined to mean any action outside the normal documented processing steps identified in the product's reference documentation; e) "general integrity" shall mean no value for current date will cause interruptions in desired operation; f) "implicit century" shall mean for any data element without century, the correct century is unambiguous for all manipulations involving that document; g) "product" or "products" shall be defined to include, but is not limited to, any supplied or supported hardware, software, firmware and/or micro code; h) "valid date" shall contain a two -digit month, a two -digit day and a four -digit year. (Fee -for -Service) 2002 GENERAL PROVISIONS Page 9 04/01 PERFORMING AGENCY and its subrecipient(s) must obtain a warranty from any vendor/licensor from which it obtains product(s) that product(s) delivered and installed under the contract/license shall be able to accurately process valid date data when used in accordance with the product documentation provided by the contractor/ licensor and require no extraordinary actions on the part of PERFORMING AGENCY, its personnel, or its subrecipient(s). Products under the contract/license shall possess general integrity, date integrity, explicit and implicit century capabilities. If the contract/license requires that specific products must perform as a system in accordance with the foregoing warranty, then the warranty shall apply to those listed products as a system. The duration of this warranty and the remedies available to PERFORMING AGENCY or its subrecipient(s) for breach of the warranty shall be defined in, and subject to, the terms and conditions of the contractor's standard commercial warranty or warranties contained in the contract/license; provided, that. notwithstanding any provision to the contrary in such commercial warranty or warranties, the remedies available to PERFORMING AGENCY or its subrecipient(s) shall include repair or replacement of any supplied product if its noncompliance is discovered and made known to the contractor/licensor in writing within ninety (90) days after final acceptance. Nothing in the warranty shall be considered to limit any rights or remedies PERFORMING AGENCY or its subrecipient(s) may otherwise have under the contract/Iicense. RECEIVING AGENCY will not hold PERFORMING AGENCY responsible if the information coming to PERFORMING AGENCY'S product/software from RECEIVING AGENCY is inaccurate or corrupt. ARTICLE 13. Standards for Financial and Programmatic Management PERFORMING AGENCY must bill all third party payers for services provided under the Attachment(s) before submitting any request for payment to RECEIVING AGENCY. A third party payer is any person or entity who has the legal responsibility for paying all or part of the services provided, including, commercial health or liability insurance carriers, Medicaid, or other federal, state, local and private funding sources. Third party billing functions will be provided by PERFORMING AGENCY at no cost to the client. PERFORMING AGENCY or its subrecipient must become a Medicaid provider if performing approved Texas Medicaid services authorized by the Attachment(s). PERFORMING AGENCY, if designated a 501(c)(3) organization as defined in the Internal Revenue Service Code or a for-profit organization, and its governing board, shall bear full responsibility for the integrity of the fiscal and programmatic management of the organization. Such responsibility shall include: accountability for all funds and materials received from RECEIVING AGENCY; compliance with RECEIVING AGENCY rules, policies, procedures, and applicable federal and state laws and regulations; and correction of fiscal and program deficiencies identified through self-evaluation and RECEIVING AGENCY'S monitoring processes. Further, PERFORMING AGENCY'S governing board shall ensure separation of powers, duties, and functions of board members and staff. Ignorance of any contract provisions or other requirements contained or referenced in this contract shall not constitute a defense or basis for waiving or appealing such provisions or requirements. ARTICLE 14. Bonding and Liability Insurance PERFORMING AGENCY is required to carry a fidelity bond or insurance coverage equal to the amount of funding provided under the contract Attachment(s) up to $100,000 that covers each employee of PERFORMING AGENCY handling funds under this contract, including person(s) authorizing payment of such funds. The fidelity bond or insurance will provide for indemnification of losses occasioned by: 1) any fraudulent or dishonest act or acts committed by any of PERFORMING AGENCY'S employees, either individually or in concert with others, and/or 2) failure of PERFORMING AGENCY or any of its employees to perform faithfully his/her duties or to account properly for all monies and property received by virtue of his/her position or employment. PERFORMING AGENCY shall also maintain liability insurance coverage, referred to in Texas Government Code, Section 2259.102, as "director and officer liability coverage," where PERFORMING AGENCY is a legal (Fee for -Service) 2002 GENERAL PROVISIONS Page 10 04/01 entity that is required to have directors and/or officers. This provision applies to entities that are organized as non-profit corporations under the Texas Non -Profit Corporation Act; for-profit corporations organized under the Texas Business Corporations Act; and any other legal entity that is required under Texas law to have directors and/or officers. PERFORMING AGENCY shall maintain liability insurance coverage in an amount not less than the value of this contract Attachment and that is sufficient to protect the interests of RECEIVING AGENCY in the event an actionable act or omission by a director or officer of PERFORMING AGENCY damages RECEIVING AGENCY'S interests. ARTICLE 15. Terms and Conditions of Payment For services satisfactorily performed pursuant to this contract, RECEIVING AGENCY will pay PERFORMING AGENCY for allowable costs. Payments are contingent on a signed contract and will not exceed the total of each Attachment(s). PERFORMING AGENCY is entitled to payment only if the service, work, and/or product has been satisfactorily performed and authorized in accordance with this contract. PERFORMING AGENCY must submit requests for payment on a State of Texas Purchase Voucher (TDH Form B-13) or any other form designated by RECEIVING AGENCY. PERFORMING AGENCY shall submit vouchers for payment monthly within 30 days following the end of the month covered by the bill. PERFORMING AGENCY shall submit a payment request as a final close-out bill not later than 90 days following the end of the applicable Attachment term(s). Requests submitted and postmarked more than 90 days following the end of the applicable Attachment term may not be paid, at the discretion of RECEIVING AGENCY. PERFORMING AGENCY shall disburse program income, rebates, refunds, contract settlements, audit recoveries and interest earned on such funds before requesting cash payments including advance payments from RECEIVING AGENCY. Funding from this contract may not be used to supplant (i.e., use in place of funds dedicated, appropriated or expended for activities funded through the Attachment(s)] state or local funds, but PERFORMING AGENCY shall use the funds from this contract to increase state or local funds currently available for a particular activity. PERFORMING AGENCY shall . make a good faith effort to maintain its current level of support. PERFORMING AGENCY may be required to submit documentation substantiating that a reduction in local funding, if any, resulted for reasons other than receipt or expected receipt of funding under this Attachment. RECEIVING AGENCY shall determine whether costs submitted by PERFORMING AGENCY are allowable and payable. If RECEIVING AGENCY has paid funds to PERFORMING AGENCY for unallowable or ineligible costs, PERFORMING AGENCY shall return the funds to RECEIVING AGENCY within 30 days of written notice. RECEIVING AGENCY may withhold all or part of any payments to PERFORMING AGENCY to offset payment for any ineligible expenditures that PERFORMING AGENCY has not paid to RECEIVING AGENCY, or if financial status report(s) required under the Reports Article are not submitted by the date(s) due. RECEIVING AGENCY may take repayment from funds available under any contract Attachment, active or expired, in amounts necessary to fulfill PERFORMING AGENCY repayment obligations. ARTICLE 16. Program Income PERFORMING AGENCY may, or if PERFORMING AGENCY is a local health department shall, develop a fee-for-service system and a schedule of fees for personal health services in accordance with the provisions of Health and Safety Code, § 12.031; the Texas Board of Health rules covering Fees for Clinical Health Services, 25 TAC § 1.91; and other applicable laws. No patient may be denied a service due to inability to pay. (Fee -for -Service) 2002 GENERAL PROVISIONS Page 11 04/01 All revenues directly generated by an Attachment(s) supported activity or earned only as a result of the Attachment(s) during the term of the Attachment(s) are considered program income. PERFORMING AGENCY shall identify and report this income utilizing the forms and frequencies specified in the Reports Article of these provisions, and in the Special Provisions of the Attachment(s). PERFORMING AGENCY shall use program income to provide additional client services. Any program income not used to provide additional client services shall be deducted from PERFORMING AGENCY'S total final billing to RECEIVING AGENCY at the end of the Attachment(s) term(s). RECEIVING AGENCY may base future funding Ievels, in part, upon PERFORMING AGENCY'S proficiency in identifying, billing, collecting, and reporting program income, and in utilizing it for the purposes and conditions of the applicable Attachment(s). ARTICLE 17. Contracts with Subrecipients PERFORMING AGENCY may enter into contracts with subrecipients unless restricted or otherwise prohibited in specific Attachment(s). Prior to entering into an agreement equaling $25,000 or 25% of an Attachment, whichever is greater, PERFORMING AGENCY shall obtain written approval from RECEIVING AGENCY. Contracts with subrecipients shall be in writing and must include the following: • name and address of all parties; • a detailed description of the services to be provided; • measurable method and rate of payment and total amount of the contract; • clearly defined and executable termination clause; • beginning and ending dates which coincide with the dates of the applicable contract Attachment(s) or cover a term within the beginning and ending dates of the applicable contract Attachment(s); • records retention requirements consistent with UGMS; • access to inspect the work and the premises on which any of the work is performed, in accordance with the Inspections Article contained in this contract; and • all clauses required by state/federal statutes, executive orders, and their implementing regulations. PERFORMING AGENCY is responsible to RECEIVING AGENCY for the performance of any subrecipient. PERFORMING AGENCY. will monitor both financial and programmatic performance and maintain pertinent records that will be available for inspection by RECEIVING AGENCY. PERFORMING AGENCY shall ensure that: • subrecipients are fully aware of the requirements imposed upon them by state/federal statutes and regulations; • subrecipients comply with all financial management requirements as defined by RECEIVING AGENCY, UGMS and the applicable OMB circulars; • subrecipients complete required audits; • an adequate tracking system is maintained to ensure timely receipt of any subrecipient's required audit reports and the resolution of any findings and questioned costs cited by these reports; and, that • RECEIVING AGENCY is immediately notified in writing of alleged or actual misuse or misappropriation of contract funds by subrecipients. (Fee for -Service) 2002 GENERAL PROVISIONS Page 12 04/01 ARTICLE 18. Contracts for Procurement PERFORMING AGENCY may enter into contracts tot prod idiiient unless restricted or otherwise prohibited in specific Attachment(s). PERFORMING AGENCY agrees that it shall be responsible to RECEIVING AGENCY for the performance of any subcontracted activity. Contracts for procurement shall be in writing and must contain the following provisions: • Administrative, contractual, or legal remedies in instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as may be appropriate (contracts other than small purchases). • Termination for cause and for convenience by PERFORMING AGENCY including the manner by which it will be effected and the basis for settlement (all contracts in excess of $ I 0,000). • Compliance with the Copeland "Anti -Kickback" Act (18 USC §874) as supplemented in Department of Labor regulations (29 CFR Part 3) (all contracts and subgrants for construction or repair). • Compliance with §§ 103 and 107 of the Contract Work Hours and Safety Standards Act (40 USC §§327- 330) as supplemented by Department of Labor regulations (29 CFR Part 5) (construction contracts awarded by grantees and subgrantees in excess of $2,000, and in excess of $2,500 for other contracts which involve the employment of mechanics or laborers). • Notice of RECEIVING AGENCY requirements and regulations pertaining to reporting. • Notice of RECEIVING AGENCY requirements and regulations pertaining to trademarks, service marks, copyrights, and patent rights with respect to any discovery or invention which arises or is developed in the course of or under such contract. • RECEIVING AGENCY requirements and regulations pertaining to copyrights and rights in data. • Access by RECEIVING AGENCY, the federal grantor agency, the Comptroller General of the United States, the State of Texas or any of their duly authorized representatives to any books, documents, papers, and records of the contractor which are directly pertinent to that specific contract for the purpose of making audit, examination, excerpts, and transcriptions. • Retention of all required records for the required retention period after RECEIVING AGENCY makes final payments and all other pending matters are closed. • CompIiance with all applicable standards, orders, or requirements issued under §306 of the Clean Air Act (42 USC §1857(h)), §508 of the Clean Water Act (33 USC §1368), Executive Order 11738, and Environmental Protection Agency regulations (40 CFR Part 15) (contracts, subcontracts, and subgrants of amounts in excess of $100,000). • Mandatory standards and policies relating to efficiency which are contained in the state energy plan issued in compliance with the Energy Policy and Conservation Act (P. L. 94-163), 42 USC §6201 et seq., as amended. ARTICLE 19. Reports PERFORMING AGENCY shall submit the financial, program, and progress reports required by RECEIVING AGENCY in the format agreed to by the parties. PERFORMING AGENCY shall provide RECEIVING AGENCY other reports RECEIVING AGENCY determines to be necessary to accomplish the objectives of this contract and to monitor compliance. If PERFORMING AGENCY is legally prohibited from providing such reports, it shall immediately notify RECEIVING AGENCY. ARTICLE 20. Inspections RECEIVING AGENCY and, when federal funds are involved, any authorized representative(s) of the federal government have the right, at all reasonable times, to inspect or otherwise evaluate the work (including reviews of client or patient records and discussions with staff) performed by PERFORMING AGENCY and its (Fee -for -Service) 2002 GENERAL PROVISIONS Page 13 04/01 subrecipient(s), if any, and the premises on which the work is being performed. PERFORMING AGENCY and its subrecipient(s) shall participate in inspections and provide reasonable access, facilities, and assistance to the representatives. All inspections and evaluations will be conducted in such a manner as will not unduly interfere with the work. PERFORMING AGENCY (and any parent, affiliate or subsidiary organization, if such a relationship exists) and its subrecipient(s), if any, shall give RECEIVING AGENCY, the federal government, and the Texas State Auditor, or any of their duly authorized representatives, access to any pertinent books, documents, papers, and client or patient records, if any, for the purpose of making audit, examination, excerpts, and transcripts of transactions related to contract Attachment(s). RECEIVING AGENCY will have the right to audit billings both before and after payment. Payment under Attachment(s) will not foreclose the right of RECEIVING AGENCY to recover excessive or illegal payments. Any deficiencies identified by RECEIVING AGENCY upon examination of PERFORMING AGENCY'S records will be conveyed in writing to PERFORMING AGENCY. PERFORMING AGENCY'S resolution of findings will also be conveyed in writing to RECEIVING AGENCY within 30 days of receipt of RECEIVING AGENCY'S findings. A RECEIVING AGENCY determination of either an inadequate or inappropriate resolution of the findings may result in sanctions which will remain in effect until RECEIVING AGENCY determines the deficiencies are properly remedied. ARTICLE 21. Records Retention PERFORMING AGENCY shall retain and preserve all records relating to this contract generated or collected by PERFORMING AGENCY or subgrantee thereof according to Texas Government Code §441.006, 13 TAC §6.10, RECEIVING AGENCY'S certified records retention schedule, and UGMS, Part III, "State Uniform Administrative Requirements for Grants and Cooperative Agreements," Subpart C - Post -Award Requirements, item .42. Any record held by PERFORMING AGENCY which is not identified in the referenced retention schedules will be retained by PERFORMING AGENCY for a period of three years from the date of the last expenditure report submitted under contract Attachment(s) or until all audit questions are resolved, or until any court order(s) requiring record retention are dissolved, whichever time period is longer. PERFORMING AGENCY shall retain medical records in accordance with the governing rules or regulations which may be applicable. The retention schedules referenced in this Article are incorporated by reference and made a part of this contract. PERFORMING AGENCY may obtain a copy of the record retention schedules or the Texas Department of Health Records Handbook by contacting RECEIVING AGENCY'S Records Coordinator. Legal requirements for PERFORMING AGENCY_ may extend beyond the retention schedules established herein. ARTICLE 22. Patient or Client Records Notwithstanding any other provision herein, if requested by RECEIVING AGENCY, PERFORMING AGENCY shall share all patient or client information with RECEIVING AGENCY when the contract involves patient or client care by PERFORMING AGENCY. RECEIVING AGENCY may require PERFORMING AGENCY, or any subrecipient, to transfer a client or patient record to another agency or to RECEIVING AGENCY if the transfer is necessary to protect either the confidentiality of the record or the health and welfare of the client or patient. (Fee -for -Service) 2002 GENERAL PROVISIONS Page 14 04/01 In the event of termination, RECEIVING AGENCY may require the transfer of client or patient records as authorized by law upon written notice to PERFORMING AGENCY, either to another entity that agrees to continue the service or to RECEIVING AGENCY. At the end of the Attachment term, PERFORMING AGENCY shall give RECEIVING AGENCY access to the records or provide copies for audit, examination, evaluation, inspection, litigation, or other circumstances that may arise, to the extent authorized by law. PERFORMING AGENCY, or any subrecipient, shall not otherwise transfer an identifiable client record, including a patient record, to another entity or person without written consent from the client or patient, or someone authorized to act on his or her behalf. Written consent must be given on a form provided by RECEIVING AGENCY or as otherwise authorized by law, including the Texas Occupations Code, Chapter 159, as amended. ARTICLE 23. Confidentiality PERFORMING AGENCY shall have a system in effect to protect client or patient records and all other documents deemed confidential by law which are maintained in connection with the activities funded under this contract. PERFORMING AGENCY shall not disclose or transfer confidential client or patient information, including information required by the Reports Article, except in accordance with applicable law. If providing direct client care, services, or programs, PERFORMING AGENCY shall implement RECEIVING AGENCY'S policies based on the model HIV/AIDS (human immunodeficiency virus/acquired immunodeficiency syndrome) workplace guidelines, and PERFORMING AGENCY shall educate employees and clients concerning HIV and its related conditions, including AIDS, in accordance with the Health and Safety Code, §§85.112-114. ARTICLE 24. Hold Harmless PERFORMING AGENCY, as an independent contractor, agrees to hold RECEIVING AGENCY and/or the federal government harmless and to indemnify them from any and all liability, suits, claims, losses, damages and judgments, and to pay all costs, fees, and damages to the extent that such costs, fees, and damages arise from performance or nonperformance of PERFORMING AGENCY under this contract. ARTICLE 25. Sanctions RECEIVING AGENCY may impose sanctions for any breach of contract, and will monitor PERFORMING AGENCY for both programmatic and financial compliance. RECEIVING AGENCY may, at its own discretion, impose one or more sanctions for each item of noncompliance and will determine sanctions on a case-by-case basis. A state or federal statute, rule, regulation, or federal guideline will prevail over the provisions of this Article unless the statute, rule, regulation, or guideline can be read together with the provision(s) of this Article to give effect to both. RECEIVING AGENCY may: A. terminate all or a part of the contract. Termination is the permanent withdrawal of PERFORMING AGENCY'S authority to obligate previously awarded funds before that authority would otherwise expire or the voluntary relinquishment by PERFORMING AGENCY of the authority to obligate previously awarded funds. PERFORMING AGENCY costs resulting from obligations incurred by PERFORMING AGENCY after termination of an award are not allowable unless expressly authorized by the notice of termination. Termination does not include: (1) withdrawal of funds awarded on the basis of PERFORMING AGENCY'S underestimate of the (Fee -for -Service) 2002 GENERAL PROVISIONS Page 15 04/01 unobligated balance in a prior period; (2) withdrawal of the unobligated balance as of the expiration of a contract; (3) refusal to extend a contract or award additional funds, to make a competing or noncompeting continuation, renewal, extension, or supplemental award; or (4) voiding of a contract upon determination that the award was obtained fraudulently, or was otherwise illegal or invalid from inception; B. suspend all or part of the contract. Suspension is, depending on the context, either (1) the temporary withdrawal of PERFORMING AGENCY'S authority to obligate funds pending corrective action by PERFORMING AGENCY or its subrecipient(s) or pending a decision to terminate or amend the contract, or (2) an action taken by a suspending official in accordance with agency regulations implementing Executive Order 12549 to immediately exclude a person from participating in contract transactions for a period, pending completion of an investigation and such legal or debarment proceedings as may ensue. PERFORMING AGENCY costs resulting from obligations incurred by PERFORMING AGENCY during a suspension are not allowable unless expressly authorized by the notice of suspension; C. disallow (deny both use of funds and matching credit for) all or part of the activities or action not in compliance; D. temporarily withhold cash payments. Temporarily withholding cash payments means the temporary withholding of advances or reimbursements to PERFORMING AGENCY or its subrecipient(s) for proper charges or obligations incurred, pending resolution of issues of noncompliance with contract conditions or indebtedness to the United States or to the State of Texas; E. permanently withhold cash payments. Permanent withholding of cash payment means that RECEIVING AGENCY retains funds billed by PERFORMING AGENCY or its subrecipient(s) for a) unallowable, undocumented, disputed, inaccurate, improper, or erroneous billings; b) failure to comply with contract provisions; or c) indebtedness to the United States or to the State of Texas; F. deny contract renewal or future contract awards to a PERFORMING AGENCY; G. delay contract execution with PERFORMING AGENCY while other imposed or proposed sanctions are pending resolution; H. place PERFORMING AGENCY on probation. Probation means that PERFORMING AGENCY will be placed on accelerated monitoring for a period not to exceed six months at which time items of noncompliance must be resolved or substantial improvement shown by PERFORMING AGENCY; conduct accelerated monitoring of PERFORMING AGENCY. Accelerated monitoring means more frequent or more extensive monitoring will be performed by RECEIVING AGENCY than would routinely be accomplished; J. require PERFORMING AGENCY to obtain technical or managerial assistance; K. disallow requests for payments by disapproving costs or fees submitted for payment or reimbursement by PERFORMING AGENCY; L. establish additional prior approvals for expenditure of funds by PERFORMING AGENCY; (Fee for -Service) 2002 GENERAL PROVISIONS Page 16 04/01 M. require additional, more detailed, financial and/or programmatic reports to be submitted by PERFORMING AGENCY; N. demand repayment from PERFORMING AGENCY; O. reduce the contract funding amount for failure to achieve or maintain the proposed Ievel of service, to expend funds appropriately and at a rate which will make full use of the award, or to provide services as set out in the contract; and P. impose other remedies provided by law. RECEIVING AGENCY will formally notify PERFORMING AGENCY in writing when a sanction is imposed (with the exception of accelerated monitoring, which may be unannounced), stating the nature of the sanction(s), the reasons for imposing them, the corrective actions which must be taken before they will be removed and the time allowed for completing the corrective actions, and the method, if any, of requesting reconsideration of the sanctions imposed. PERFORMING AGENCY is required to file, within 15 days of receipt of notice, a written response to RECEIVING AGENCY'S program/division that sent the notice, acknowledging receipt of such notice and stating how PERFORMING AGENCY will correct the noncompliance or demonstrating in writing that the findings on which the sanctions are based are either invalid or do not warrant the sanction(s). If RECEIVING AGENCY determines that a sanction is warranted, and unless the sanction is subject to review (see Sanction Review Article), RECEIVING AGENCY'S decision is final and PERFORMING AGENCY must take corrective action. In an emergency, RECEIVING AGENCY may immediately terminate or suspend all or part of the contract, temporarily or permanently withhold cash payments, deny contract renewal or future contract awards, or delay contract execution by delivering written notice to PERFORMING AGENCY, by any verifiable method, stating the reason for the emergency action. An "emergency" is defined as the following: • PERFORMING AGENCY is noncompliant and the noncompliance has a direct adverse impact on the public or client health or safety. The direct adverse impact may be programmatic or financial, impacting health or safety by failing to provide services, providing inadequate services, providing unnecessary services, or utilizing resources so that the public or clients do not receive the benefits contemplated by the contract scope of work or performance measures; • PERFORMING AGENCY fails to achieve a performance measure; • PERFORMING AGENCY is paid or requesting payment for expenditures which are not in accordance with applicable federal or state laws and regulations or the provisions of the contract; or • PERFORMING AGENCY is expending funds inappropriately. Whether PERFORMING AGENCY'S conduct or inaction is an emergency shall be determined by RECEIVING AGENCY on a case-by-case basis and shall be based upon the egregious nature of the noncompliance or conduct. ARTICLE 26. Sanction Review PERFORMING AGENCY may request a review of the imposition of the following sanctions: termination of all or part of the contract, suspension of all or part of the contract, permanent withholding of cash payments, reduction of contract funding or other contract amendment resulting from noncompliance, and denial of contract renewal or future contract awards. (Fee -for -Service) 2002 GENERAL PROVISIONS Page 17 04/01 PERFORMING AGENCY must make the request for review in writing to RECEIVING AGENCY within fifteen (15) days from the date of notification by providing written notice of the dispute to the person who signed the notification. PERFORMING AGENCY'S notice shall contain the following: (1) a copy of the letter from RECEIVING AGENCY notifying PERFORMING AGENCY of the sanction; (2) a specific description of each act that is the basis for the dispute; (3) the grounds upon which PERFORMING AGENCY bases the complaint; (4) an identification of the issue or issues to be resolved; (5) a precise statement of the relevant facts; (6) any documentation in support of PERFORMING AGENCY'S position; and (7) a statement and authorities in support of PERFORMING AGENCY'S position. Evidence that PERFORMING AGENCY properly notified RECEIVING AGENCY consists of any of the following documents: (1) signature on delivery card; (2) confirmation of a facsimile to the correct telephone number; or (3) signed acknowledgment of delivery. RECEIVING AGENCY'S representative will schedule a meeting or a conference call to attempt to resolve the issues in dispute. If the dispute is resolved, any resolution will be in writing and will be signed by all parties. If the dispute is not resolved, RECEIVING AGENCY'S representative will notify PERFORMING AGENCY in writing. RECEIVING AGENCY will appoint a reviewer(s), who will review the information, who may permit or require additional information and who may grant, deny, or modify all relief requested in the written notice of dispute. The reviewer(s)'s decision will be in writing and will contain a discussion of the reason for the decision and the remedial action, if any. The reviewer(s) will send copies of the decision to all parties by any verifiable means. The decision of the reviewer(s) is final and is the final action of RECEIVING AGENCY for purposes of further proceedings. A state statute or rule or a federal statute, regulation or guideline will prevail over the provisions of this Article unless the statute, rule, regulation or guideline can be read together with the provision or provisions of this Article to give effect to both. ARTICLE 27. Dispute Resolution for Breach of Contract The dispute resolution process provided for in Chapter 2260 of Texas Government Code shall be used, as further described herein, by RECEIVING AGENCY and PERFORMING AGENCY to attempt to resolve any claim for breach of contract made by PERFORMING AGENCY. (This process is not applicable for governmental entities.) A. PERFORMING AGENCY'S claims for breach of this contract that the parties can not resolve in the ordinary course of business shall be submitted to the negotiation process provided in Chapter 2260, subchapter B, Texas Government Code. To initiate the process, PERFORMING AGENCY shall submit written notice, as required by suchapter B, to Susan K. Steeg, General Counsel. Said notice shall specifically state that the provisions of Chapter 2260, subchapter B, are being invoked. A copy of the notice shall also be given to all other representatives of RECEIVING AGENCY and PERFORMING AGENCY otherwise entitled to notice under the parties' contract. Compliance by PERFORMING AGENCY with subchapter B is a condition precedent to the filing of a contested case proceeding under Chapter 2260, subchapter C, Texas Government Code. B. The contested case process provided in Chapter 2260, subchapter C, Texas Government Code is PERFORMING AGENCY'S sole and exclusive process for seeking a remedy for any and all alleged breaches of contract by RECEIVING AGENCY if the parties are unable to resolve their disputes under subparagraph (A) of this paragraph. (Fee -for -Service) 2002 GENERAL PROVISIONS Page 18 04/01 C. Compliance with the contested case process provided in subchapter C is a condition precedent to seeking consent to sue from the Legislature under Chapter 107 of the Civil Practices and Remedies Code. Neither the execution of this contract by RECEIVING AGENCY nor any other conduct of any representative of RECEIVING AGENCY relating to the contract shall be considered a waiver of sovereign immunity to suit. The submission, processing and resolution of PERFORMING AGENCY'S claim is to be governed by the published rules adopted by RECEIVING AGENCY pursuant to Chapter 2260, as currently effective, hereafter enacted or subsequently amended. These rules are to be found at 25 TAC Chapter 1, when available. Neither the occurrence of an event nor the pendency of a claim constitute grounds for the suspension of performance by PERFORMING AGENCY, in whole or in part. ARTICLE 28. Termination Each Attachment shall terminate upon the expiration date of the Attachment unless extended by written amendment in accordance with the Amendments Article. Prior to completion of the contract term, all or a part of this contract may be terminated with or without cause as set out below. A. Termination without cause. (1) Either party may terminate this contract with at least 90 days prior written notice to the other party. (2) The parties may terminate this contract by mutual agreement. (3) Either party may terminate this contract with at least 30 days prior written notice to the other party in the event state and/or federal funding for this contract is terminated, limited, suspended, or withdrawn. (4) RECEIVING AGENCY may terminate this contract when, in the sole determination of RECEIVING AGENCY, termination is in the best interest of the State of Texas. B. Termination for cause. (1) Either party may terminate for material breach of contract with at least 30 days written notice to the other party. (2) RECEIVING AGENCY may terminate this contract, in whole or in part, for breach of contract or for any other conduct that jeopardizes the contract objectives, by giving at least 30 days written notice to PERFORMING AGENCY. Such conduct may include one or more of the following: (a) A court of competent jurisdiction finds that PERFORMING AGENCY has failed to adhere to any laws, ordinances, rules, regulations or orders of any public authority having jurisdiction; (b) PERFORMING AGENCY fails to communicate with RECEIVING AGENCY or fails to allow its employees or those of its subrecipients to communicate with RECEIVING AGENCY as necessary to the performance of the contract; (c) PERFORMING AGENCY breaches a standard of confidentiality with respect to the services provided under this contract; (d) RECEIVING AGENCY determines that PERFORMING AGENCY is without the personnel or resources to perform under the contract; (e) RECEIVING AGENCY determines that PERFORMING AGENCY, its agent or another representative offered or gave a gratuity (e.g., an entertainment or gift) to an (Fee for -Service) 2002 GENERAL PROVISIONS Page 19 04/01 official or employee of RECEIVING AGENCY for the purpose of obtaining a contract or favorable treatment; (f) PERFORMING AGENCY'S management system does not meet the UGMS management standards; or (g) PERFORMING AGENCY appears to be financially unstable. Indicators of financial instability may include one or more of the following: (i) PERFORMING AGENCY fails to make payments; (ii) PERFORMING AGENCY makes an assignment for the benefit of its creditors; (iii) PERFORMING AGENCY admits in writing its inability to pay its debts generally as they become due; (iv) If judgment for the payment of money in excess of $50,000 (which is not covered by insurance) is rendered by any court or governmental body against PERFORMING AGENCY, and PERFORMING AGENCY does not (a) discharge the judgment or (b) provide for its discharge in accordance with its terms, or (c) procure a stay of execution within 30 days from the date of entry thereof, and within the 30 -day period or a Ionger period during which execution of the judgment shall have been stayed, appeal therefrom and cause the execution thereof to be stayed during such appeal while providing such reserves therefore as may be required under generally accepted accounting principles; (v) A writ or warrant of attachment or any similar process shall be issued by any court against all or any material portion of the property of PERFORMING AGENCY, and such writ or warrant of attachment or any similar process is not released or bonded within 30 days after its entry; (vi) PERFORMING AGENCY is adjudicated bankrupt or insolvent; (vii) PERFORMING AGENCY files a case under the Federal Bankruptcy Code or is seeking relief under any provision of any bankruptcy, reorganization, arrangement, insolvency, readjustment of debt, dissolution, receivership or liquidation law of any jurisdiction, whether now or hereafter in effect, or consents to the filing of any case or petition against it under any such law; (viii) Any property or portion of the property of PERFORMING AGENCY is sequestered by court order and the order remains in effect for more than 30 days after PERFORMING AGENCY obtains knowledge thereof; (ix) A petition is filed against PERFORMING AGENCY under any state reorganization, arrangement, insolvency, readjustment of debt, dissolution, liquidation, or receivership law of any jurisdiction, whether now or hereafter in effect, and such petition is not dismissed within 30 days; or (x) PERFORMING AGENCY consents to the appointment of a receiver, trustee, or liquidator of PERFORMING AGENCY or of all or any part of its property. C. Emergency termination. In emergency circumstances, RECEIVING AGENCY may terminate the contract immediately upon notice to PERFORMING AGENCY by any verifiable means. "Emergency" is defined in the Sanctions Article. Either party may deliver written notice of intent to terminate by any verifiable method. If either party gives notice of its intent to terminate all or a part of this contract, RECEIVING AGENCY and PERFORMING AGENCY will try to resolve any issues related to the anticipated termination in good faith during the notice period. Upon termination of all or part of this contract, RECEIVING AGENCY and PERFORMING AGENCY will be discharged from any further obligation created under the applicable terms of this contract except for the equitable settlement of the respective accrued interests or obligations incurred prior to termination. Termination does not, however, constitute a waiver of any remedies for breach of this contract. In addition, the obligations (Fee -for -Service) 2002 GENERAL PROVISIONS Page 20 04/01 of PERFORMING AGENCY to retain records and maintain confidentiality of information shall survive this contract. ARTICLE 29. Void Contract RECEIVING AGENCY may hold a contract void upon determination that the contract award was obtained fraudulently or was otherwise illegal or invalid from its inception. ARTICLE 30. Severability If any provision of this contract is construed to be illegal or invalid, the illegal or invalid provision will be deemed stricken and deleted to the same extent and effect as if never incorporated, but all other provisions will continue. ARTICLE 31. Survival of Terms Termination or expiration of this contract for any reason shall not release either party from any liabilities or obligations set forth in this contract that (a) the parties have expressly agreed shall survive any such termination or expiration, or (b) remain to be performed or by their nature would be intended to be applicable following any such termination or expiration. ARTICLE 32. Construction of Ambiguities The parties expressly agree that they have each independently read and understood this contract. Any ambiguities in this contract will not be construed against the drafters. - ARTICLE 33. No Waiver of Sovereign Immunity THE PARTIES EXPRESSLY AGREE THAT NO PROVISION OF THIS CONTRACT IS IN ANY WAY INTENDED TO CONSTITUTE A WAIVER BY RECEIVING AGENCY OR THE STATE OF TEXAS OF ANY IlVIMUNITIES FROM SUIT OR FROM LIABILITY THAT RECEIVING AGENCY OR THE STATE OF TEXAS MAY HAVE BY OPERATION OF LAW. (Fee -for -Service) 2002 GENERAL PROVISIONS Page 21 04/01 Resolution No. 2001-RO316 DOCUMENT NO. 7560005906A-2002 ATTACHMENT NO. 01 PERFORMING AGENCY: LUBBOCK CITY HEALTH DEPARTMENT RECEIVING AGENCY PROGRAM: MILK AND DAIRY PRODUCTS DIVISION TERM: September 01, 2001 THRU: August 31, 2002 SECTION I. SCOPE OF WORK: PERFORMING AGENCY shall provide analyses of milk samples. Analyses shall meet laboratory proficiency standards as set by the National Conference of Interstate Milk Shipments and the 1999 U.S. Public Health Service Grade "A" Pasteurized Milk Ordinance, 25 TAC Chapter 217. PERFORMING AGENCY shall: 1. PERFORMING AGENCY shall only perform the tests requested by RECEIVING AGENCY for each sample and mail results to RECEIVING AGENCY within 48 hours from the date of sample submission to PERFORMING AGENCY laboratory. RECEIVING AGENCY will provide mailers. 2. Send original copy of laboratory results forms to RECEIVING AGENCY, Milk and Dairy Products Division, 1100 West 49th Street, Austin, Texas 78756 to be microfilmed and returned to PERFORMING AGENCY. 3. Submit monthly vouchers, which include total number and type of tests performed to RECEIVING AGENCY, Milk and Dairy Products Division. PERFORMING AGENCY shall comply with Chapter 435, Health and Safety Code, Dairy Products. PERFORMING AGENCY shall provide an estimated 2,124 analyses of milk samples in the service area defined as: Lubbock. SECTION II. SPECIAL PROVISIONS: None. SECTION III. BUDGET: Laboratory analyses shall be performed at a rate per test not to exceed the following schedule: ATTACHMENT — Page 1 Standard Plate Count Direct Microscopic Somatic Cell Count Electronic Somatic Cell Count Added Water Antibiotics Inhibitor (Disk Assay) Antibiotics Confirmation Raid Test AFlatoxin Phosphatase Coliform Water Supply Cooling Water SPC $ 6.00 DMSCC $ 8.00 ESCC $ 8.00 Cryoscope $ 2.00 Disc $ 4.50 Charm I, II, SNAP, etc. $24.00 AFlatoxin $12.50 Fluorophos $ 7.50 Coli $ 5.50 Water $15.00 Glycol -Sweet Water $15.00 ATTACHMENT — Page 2 P V� R t m � a TEXAS DEPARTMENT OF HEALTH 1100 WEST 49TH STREET AUSTIN, TEXAS 78756-3199 STATE OF TEXAS COUNTY OF TRAVIS Resolution No. 2001—R TDH Document No. 7560005906 2002 Contract Change Notice No. 01 The Texas Department of Health, hereinafter referred to as RECEIVING AGENCY, did heretofore enter into a contract in writing with LUBBOCK CITY HEALTH DEPARTMENT hereinafter referred to as PERFORMING AGENCY. The parties thereto now desire to amend sucn contract attacnment(s) as tonows: SUMMARY OF TRANSACTION: ATT NO. 02 TB - PREVENTION AND CONTROL ATT NO. 03 HIV - HEPATITIS C VIRUS ATT NO. 04 REGIONAL/LOCAL HEALTH OPERATIONS ATT NO. 05 INFECT DISEASE EPIDEMIOLOGY & SURV. ATT NO. 06 IMMUNIZATION DIVISION - LOCALS ATT NO. 07 HIV - SURVEILLANCE All terms and conditions not hereby amended remain in full force and effect. EXECUTED IN DUPLICATE ORIGINALS ON THE DATES SHOWN. CITY OF LUBBOCK HEALTH DEPARTMENT Authorized Contracting Entity (type above if different from PERFORMING AGENCY) for and in behalf of: PERFORMING AGENCY: .�.�niz to T&i y Sitton, niyor (Name and Title) Date: August 30, 2001 RECOMMENDED: By: (PERFORMING CY Director, if different from person authorized to sign contract TaW Catnkn, Health Director RECEIVING AGENCY: TEXAS DEPARTMENT OF HEALTH �n BY � f �X (Signa r o erson authorized to sign) Melanie A. Doyle, Director Grants Management Division (Name and Title) Date: d r (ok / Rev. 12/06 AT3t�s'a''�IID AZTEST: over Page 1-- _ Dam1d G. %mliver, Firs istant City PnG-:Tw, City Secr'etaiy Q, DETAILS OF - ATTACHMENTS Att/ Amd No. TDH Program ID Term Financial Assistance Direct Assistance Total Amount (TDH Share) Begin End Source of Amount Funds* 01 HIV/PREY 01/01/01 12/31/01 93.940 46,350.00 0.00 46,350.00 02 TB/PC 09/01/01 08/31/02 State 19,998.00 0.00 19,998.00 03 HIV/HEP 09/01/01 02/28/02 State 6,000.00 0.00 6,000.00 04 BRLHO 09/01/01 08/31/02 State 93.991 94,118.00 25,392.00 119,510.00 05 IDEAS 09/01/01 08/31/02 93.283 15,441.00 0.00 15,441.00 06 IMM/LOCALS 09/01/01 08/31/02 State 93.268 109,783.00 0.00 109,783.00 07 HIV/SURV 1 09/01/01 08/31/02 State 50,251.00 0.00 50,251.00 TDH Document No.7560005906 2002 Totals $341,941.00 Change No. 01 $ 25,392.00 $367,333.00 11 *Federal funds are indicated by a number from the Catalog of Federal Domestic Assistance (CFDA), if applicable. REFER TO BUDGET SECTION OF ANY ZERO AMOUNT ATTACHMENT FOR DETAILS. Cover Page 2 y GENERAL PROVISIONS FOR TEXAS DEPARTMENT OF HEALTH GRANT CONTRACTS (LGS) 2002 GENERAL PROVISIONS 04/01 TABLE OF CONTENTS ARTICLE 1 - PREAMBLE 2 - TERM 3.: - FUNDING 4::::, AMENDMENTS 5 - APPLICABLE LAWS AND STANDARDS 6 - DEBARMENT AND SUSPENSIONS 7 ASSURANCES 8 - CHILD ABUSE REPORTING REQUIREMENTS 9 - INTELLECTUAL PROPERTY 10 - HISTORICALLY UNDERUTILIZED BUSINESSES 11 - CONFLICT OF INTEREST 12 `` - CERTIFICATION OF SOFTWARE, HARDWARE, FIRMWARE, AND MICRO CODE PRODUCTS 13 - STANDARDS FORjFINANCIAL AND PROGRAMMATIC MANAGEMENT 14 - BONDING 15- FUNDING PARTICIPATION REQUIREMENT 16 - ALLOWABLE COSTS AND AUDIT REQUIREMENTS 17 - TERMS AND COITIONS OF PAYMENT ND 1$ - ADVANCE PAYMENTS 19 - PROGRAM INCOME 20 OVER COMPENSATION 21 - EQUIPMENT AN SUPPLIES 22 CONTRACTS WITH SUBRECIPIENTS 23- CONTRACTS FOR;I'ROWRMENT 24 REPORTS 25 - INSPECTIONS 26 - RECORDS RETENTION' 27 - PATIENT OR CLIENT RECORDS 28 - CONFIDENTIALITY SANCTIONS 30 - SANCTION REVIEW 31 - BREACH OF CONTRACT 32 - TERMINATION 33 - VOID CONTRACT' 34 - SEVERABILITY 35 ' LOCAL HEALTH DEPARTMENT PERSONNEL 36 '` - SURVIVAL OF TERMS 37 - CONSTRUCTION OF AMBIGUITIES 38 - NO WAVER OF SOVEREIGN IMMUNITY 39 - CERTIFICATIONS' (LGS) 2002 GENERAL PROVISIONS 04/01 Any alteration to this document constitutes a counter-offer and must be approved in writing by the Texas Department of Health. GENERAL PROVISIONS FOR TEXAS DEPARTMENT OF HEALTH GRANT CONTRACTS ARTICLE 1. Preamble PERFORMING AGENCY and RECEIVING AGENCY (the parties) agree to make and enter into this grant contract (contract), to faithfully perform the duties prescribed by this contract and to uphold and abide by its terms and provisions. This contract consists of RECEIVING and PERFORMING AGENCY identifying data, Details of Attachment(s), authorized signatures, General Provisions, and Attachment(s) with detailed Scope(s) of Work, Special Provisions, budget(s), and exhibit(s) as applicable. This contract represents the complete and entire understanding and agreement of the parties. No prior agreement or understanding, oral or otherwise, of the parties or their agents will be valid or enforceable unless embodied in this contract. The person or persons signing and executing this contract on behalf of PERFORMING AGENCY, or representing themselves as signing and executing this contract on behalf of PERFORMING AGENCY, warrant and guarantee that he, she, or they have been duly authorized by PERFORMING AGENCY to execute this contract on behalf of PERFORMING AGENCY and to validly and legally bind PERFORMING AGENCY to all of its terms, performances, and provisions. PERFORMING AGENCY assures compliance with this contract, including these General Provisions unless otherwise specified in any Special Provisions of the Attachment(s) to this document. If these General Provisions are revised or replaced during the term of this contract and PERFORMING AGENCY does not consent to comply with the modified General Provisions, PERFORMING AGENCY may exercise its termination options in accordance with the General Provisions, Termination Article. ARTICLE 2. Term The time period of this contract shall be governed by the term(s) of the Attachment(s). No commitment of contract funds is permitted prior to the first day or subsequent to the last day of the term. The term may be extended or shortened by amendment(s). ARTICLE 3. Funding This contract is contingent upon the availability of funding for each Attachment for the term of the Attachment. PERFORMING AGENCY shall have no right of action against the State of Texas or RECEIVING AGENCY in the event that RECEIVING AGENCY is unable to fulfill its obligations under this contract as a result of lack of sufficient funding of RECEIVING AGENCY for any Attachment(s) to this contract. If funds become unavailable, provisions of the Termination Article will apply. ARTICLE 4. Amendments This contract may be amended only if the amendment is in writing and signed by individuals with authority to bind all parties. (LGS) 2002 GENERAL PROVISIONS Page 1 04/01 PERFORMING AGENCY shall not perform and RECEIVING AGENCY shall not pay for the performance of different or additional services, work, or products except pursuant to an amendment of this contract that is executed in compliance with this Article. RECEIVING AGENCY may not waive any term, covenant, or condition of this contract unless by amendment executed in compliance with this Article. PERFORMING AGENCY shall plan expenditures so that any necessary budget revisions or amendments are executed no later than 90 days prior to the expiration of the Attachment term. PERFORMING, AGENCY shall provide a written justification for any budget revisions and/or amendments. If a budget revision or amendment is requested during the last quarter of the Attachment term, the written justification must include a reason for the delay. Revision or amendment requests may be granted at the discretion of RECEIVING AGENCY. ARTICLE 5. Applicable Laws and Standards This contract shall be interpreted under and in accordance with the laws of the State of Texas and enabling state rules. Where applicable, federal statutes and regulations, including federal grant requirements applicable to funding sources, will apply to this contract. The Uniform Grant Management Act (UGMA), Texas Government Code, Chapter 783, as amended, and the Uniform Grant Management Standards (UGMS) as amended by revised federal circulars and incorporated in UGMS by the Governor's Budget and Planning Office, apply as terms and conditions of this contract and are adopted by reference in their entirety. If a conflict arises between the provisions of this contract and the provisions of UGMA and UGMS, the provisions of UGMA and UGMS will prevail unless expressly stated otherwise. RECEIVING AGENCY must give prior approval for changes to contract Attachment(s) as specified by UGMS in Part III, QState Uniform Administrative Requirements for Grants and Cooperative Agreements," Subpart C -Post - Award Requirements, item _.30 -Changes, and applicable federal Office of Management and Budget (OMB) circulars. RECEIVING AGENCY will provide copies of applicable OMB circulars, Code of Federal Regulations, and UGMS to PERFORMING AGENCY upon request. These documents are incorporated by reference as a condition of this contract. PERFORMING AGENCY may not use funds granted under this contract to pay any person for influencing or attempting to influence an officer or employee of any agency, federal or state, 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 contract or grant or the extension, continuation, renewal, amendment, or modification of any contract or grant (31 USC § 1352, as amended, and UGMS). If at any time this contract exceeds $100,000, regardless of funding source, PERFORMING AGENCY shall file with RECEIVING AGENCY a declaration containing the name of any registrant under the Lobbying Disclosure Act of 1995 who has made lobbying contacts on behalf of PERFORMING AGENCY in connection with that contract or grant, a certification that none of the funds provided by RECEIVING AGENCY have been or will be used for payment to lobbyists, and disclosure of the names of any and all registered lobbyists with whom PERFORMING AGENCY has an agreement. PERFORMING AGENCY shall require any person who requests or receives a subgrant or subcontract to file the same declaration, certification and disclosure with RECEIVING AGENCY. PERFORMING AGENCY shall file the declaration, certification, and disclosure at the time of application for the contract or grant; upon execution of a contract or grant unless PERFORMING AGENCY previously filed a declaration, certification or disclosure form in connection with the award; and at the end of each calendar quarter in which there occurs any event that materially affects the accuracy of the information contained in any declaration, certification or disclosure previously filed. RECEIVING AGENCY will supply the certification form to PERFORMING AGENCY upon request. (LGS) 2002 GENERAL PROVISIONS Page 2 04/01 ARTICLE 6. Debarment and Suspension PERFORMING AGENCY certifies by execution of this contract to the following: ► it is not ineligible for participation in federal or state assistance programs under Executive Order 12549, Debarment and Suspension, Feb. 18, 1986, 51 Fed. Reg. 6370; ► neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department or agency; ► it has not knowingly failed to pay a single substantial debt or a number of outstanding debts to a federal or state agency; and, ► it is not subject to an outstanding judgment in a suit against PERFORMING AGENCY for collection of the balance of a debt. Where PERFORMING AGENCY is unable to certify to any of the statements in this Article, PERFORMING AGENCY shall attach an explanation. PERFORMING AGENCY shall not contract with a subrecipient nor procure goods or services from a subcontractor, at any tier, which is debarred or suspended or is otherwise excluded from or ineligible for participation in federal assistance programs under Executive Order 12549. ARTICLE 7. Assurances PERFORMING AGENCY shall establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest or personal gain. To the extent such provisions are applicable to PERFORMING AGENCY, PERFORMING AGENCY agrees to fully comply with the following: ► Title VI of the Civil Rights Act of 1964,42 USC §§2000d et seq., as amended (P.L. 88-352), which prohibits discrimination on the basis of race, color or national origin, and includes the provision for effective communication and equal access to programs, services and activities to persons with Limited English Proficiency (LEP); ► Title IX of the Education Amendments of 1972,20 USC §§ 1681-1683, and 1685-1686, as amended, which prohibits discrimination on the basis of sex; ► Section 504 of the Rehabilitation Act of 1973, 29 USC §794(a), which prohibits discrimination on the basis of disabilities and the Americans with Disabilities Act of 1990, 42 USC §§ 12101 etseq., including the provision for effective communication and equal access to programs, services and activities to persons with sensory and speech impairments; ► The Age Discrimination Act of 1975, 42 USC §§6101-6107, as amended, which prohibits discrimination on the basis of age; ► The Drug Abuse Office and Treatment Act of 1972, 21 USC § 1101 et seq., as amended, relating to nondiscrimination on the basis of drug abuse; ► The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970, 42 USC §290dd (b)(1), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (LGS) 2002 GENERAL PROVISIONS Page 3 04/01 ► Public Health Service Act of 1912, §§523 and 527, 42 USC §290dd-2, as amended, relating to confidentiality of alcohol and drug abuse patient records; ► Title VIII of the Civil Rights Act of 1968, 42 USC §§3601 et seq., as amended, relating to nondiscrimination in the sale, rental or financing of housing; and, ► The requirements of any other nondiscrimination statute(s). Collectively, such requirements obligate RECEIVING AGENCY to provide services without discrimination on the basis of race, color, national origin, age, sex, or disability. PERFORMING AGENCY shall carry out the terms of this contract in a manner which will assist RECEIVING AGENCY in complying with such obligations to the fullest extent of PERFORMING AGENCY'S ability. PERFORMING AGENCY agrees to comply with all or part of the following, as applicable: A. Texas Labor Code, Chapter 21, which requires that certain employers not discriminate on the basis of race, color, disability, religion, sex, national origin, or age. B. Immigration Reform and Control Act of 1986, 8 USC §1324a, as amended, regarding employment verification and retention of verification forms for any individual(s) hired on or after November 6, 1986, who will perform any labor or services under this contract. C. Pro -Children Act of 1994, 20 USC §§6081-6084, regarding the provision of a smoke-free workplace and promoting the non-use of all tobacco products. D. The National Research Service Award Act of 1971, 42 USC §§289a-1 et seq., as amended, and 6601 (P.L. 93-348 and P.L. 103-43), as amended, regarding the protection of human subjects involved in research, development, and related activities supported by any applicable award of federal assistance, as implemented by 45 CFR Part 46, Protection of Human Subjects. E. The Clinical Laboratory Improvement Amendments of 1988, 42 USC §263a, as amended, which establish federal requirements for the regulation and certification of clinical laboratories. F. The Occupational Safety and Health Administration Regulations on Blood Borne Pathogens, 29 CFR §1910.1030, which set safety standards for those workers and facilities in the private sector who may handle blood borne pathogens, or Title 25 Texas Administrative Code, Chapter 96, which affects facilities in the public sector. G. Laboratory Animal Welfare Act of 1966, 7 USC §§2131 etseq. (P.L. 89-544), as amended, pertaining to the care, handling, and treatment of warm-blooded animals held for research, teaching, or other activities supported by this award of assistance. H. Article 9102, Texas Revised Civil Statutes, as amended, pertaining to standards which eliminate architectural barriers for persons with disabilities. Health and Safety Code § 165.004, relating to the promotion of breast-feeding by providing information that encourages breast-feeding to program participants who are pregnant women or mothers with infants. Promotional material may be requested from RECEIVING AGENCY by calling (512) 406-0744. (LGS) 2002 GENERAL PROVISIONS Page 4 04/01 J. Environmental standards pursuant to the following: (1) Institution of environmentalquality control measures under the National Environmental Policy Act of 1969, 42 USC §§4321-4347 and Executive Order 11514, "Protection and Enhancement of Environmental Quality." (2) Notification of violating facilities pursuant to Executive Order 11738, "Providing for Administration of the Clean Air Act and the Federal Water Pollution Control Act with Respect to Federal Contracts, Grants, or Loans." (3) Protection of wetlands pursuant to Executive Order 11990. (4) Evaluation of flood hazards in floodplains in accordance with Executive Order 11988. (5) Assurance of project consistency with the approved State Management program developed under the Coastal Zone Management Act of 1972, 16 USC § § 1451 et seq., as amended. (6) Conformity of federal actions to state clean air implementation plans under the Clean Air Act of 1955, as amended, 42 USC §§7401 et seq. (7) Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, 42 USC §§300f -300j, as amended. (8) Protection of endangered species under the Endangered Species Act of 1973, 16 USC § 1531 et seq., as amended. K. The Hatch Political Activity Act, 5 USC §§7321-26, which limits the political activity of employees whose principal employment activities are funded in whole or in part with federal funds. L. The Federal Fair Labor Standards Act and the Intergovernmental Personnel Act of 1970, as applicable, concerning minimum wage and maximum hours. M. General Appropriations Act, Regular Session, 76th Legislature, 1999, Article §9-6.13, pp. IX -39&40, "Limitation on Grants to Units of Local Government." For the purpose of §9-6.13, "unit of local government" shall mean a council of governments, a regional planning commission, or a similar regional planning agency created under Chapter 391, Local Government Code; a Local Workforce Development Board; or an MHMR community center. N. Texas Government Code, Chapter 573, relating to nepotism. O. Texas Government Code, Chapter 552, relating to open records and public information. P. Texas Government Code, Chapter 551, relating to open meetings. Q. Texas Occupations Code, Chapter 1701, as amended, and all rules adopted by the Texas Commission on Law Enforcement Officer Standards and Education pursuant to Chapter 1701, as amended, relating to regulated law enforcement agencies. PERFORMING AGENCY shall ensure that the facilities under its ownership, lease or supervision which will be utilized in the accomplishment of the project are not listed on the Environmental Protection Agency's (EPA) list of Violating Facilities and shall notify the Federal grantor agency,of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under consideration for listing by the EPA (Executive Order 11738). (LGS) 2002 GENERAL PROVISIONS Page 5 04/01 PERFORMING AGENCY shall comply with the flood insurance purchase requirements of 102(a) of the Flood Disaster Protection Act of 1973, 42 USC §§4001-4003, as amended. Section 102(a) requires the purchase of flood insurance in communities where the insurance is available as a condition for the receipt of any federal financial assistance for construction or acquisition proposed for use in any area that has been identified by the Secretary of the U. S. Department of Housing and Urban Development as an area having special flood hazards. If PERFORMING AGENCY provides medical, dental, psychological or surgical treatment to a minor under this contract, either directly or through contracts with subrecipients, the treatment of a minor shall be provided only if consent to treatment is obtained pursuant to Chapter 32 of the Texas Family Code relating to consent to treatment of a child by a non -parent or child. If requirements of federal law relating to consent directly conflict with Chapter 32 of the Family Code, federal law shall supersede state law. PERFORMING AGENCY shall comply with the requirements of the Texas Workers' Compensation Act, Labor Code, Chapters 401-406, and rules promulgated thereunder found at 28 Texas Administrative Code (TAC), Part 2, which cover compensation for employees' injuries. When incorporated into a contract, standard assurances contained in the application package, if any, become terms or conditions for receipt of RECEIVING AGENCY funds. PERFORMING AGENCY and its subrecipients shall maintain an appropriate contract administration system to ensure that all terms, conditions, and specifications are met. PERFORMING AGENCY shall comply with all federal tax laws and is solely responsible for filing all required state and federal tax forms. PERFORMING AGENCY shall comply with all applicable requirements of federal and state laws, executive orders, regulations and policies governing the activity described in the Attachment(s), and with the applicable standard conditions or assurances prescribed by UGMS in Part III, OState Uniform Administrative Requirements for Grants and Cooperative Agreements," Subpart B -Pre -Award Requirements, item _. 14 -State Assurances. PERFORMING AGENCY assures it shall not transfer, assign or sell its interest in this contract, or in any equipment purchased with funds from this contract, without the written consent of RECEIVING AGENCY. ARTICLE 8. Child Abuse Reporting Requirements [PERFORMING AGENCY is required to comply with this article only as related to services provided under the following Attachments: Human Immunodeficiency Virus and Sexually Transmitted Diseases (all Attachments), Title X and Title XX (Family Planning), Community Oriented Public Health/Primary Health Care, Title V Maternal and Child Health (Fee-for-service), and Bureau of Nutrition Services/Cards (WIC).] PERFORMING AGENCY and each of its subrecipients shall make a good faith effort to comply with child abuse reporting guidelines and requirements in Chapter 261 of the Texas Family Code relating to investigations of reports of child abuse and neglect. PERFORMING AGENCY and each of its subrecipients shall develop, implement and enforce a written policy that includes at a minimum the RECEIVING AGENCY'S Child Abuse Screening, Documenting, and Reporting Policy for Grant Services Contractors and train all. staff on reporting requirements. PERFORMING AGENCY and its subrecipients shall use the Checklist for TDH Monitoring as required by RECEIVING AGENCY. (The policy and checklist are available at each of the above -referenced programs' websites.) (LGS) 2002 GENERAL PROVISIONS Page 6 04/01 ARTICLE 9. Intellectual Prover Texas Health and Safety Code § 12.020(a), as amended, authorizes RECEIVING AGENCY to apply for, register, secure, hold, and protect a patent, copyright, trademark or other evidence of protection or exclusivity issued in or for intellectual property. "Intellectual property" consists of inventions; discoveries; improvements to any process, machine, manufacture, or composition of matter; products; technology; scientific information; trade secrets; computer software; literary works; musical works with any accompanying words; dramatic works with any accompanying music; pantomimes and choreographic works; pictorial, graphic, and sculptural works; motion pictures and other audiovisual works; sound recordings; architectural works; words, names, symbols, devices, slogans or any combination thereof which have been adopted and used by RECEIVING AGENCY to identify goods and/or services and distinguish them from those of others; and any other creative works if they may be protected by a patent, copyright, trademark, service mark, collective mark, or certification mark or other evidence of protection or exclusivity whether or not protection or exclusivity has been applied for or received. "Mark," for purposes of trademark and service mark, includes a word, name, symbol, device, slogan or any combination thereof which has been adopted and used by RECEIVING AGENCY to identify goods and/or services and distinguish them from those of others. Federal trademark law also provides for collective marks and certification marks. "Patent" protects any new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement. "Work made for hire," a concept under copyright law, is a work prepared by an employee within the scope of his or her employment; or a work specially ordered or commissioned for use as a contribution to a collective work, as a part of a motion picture or other audiovisual work, as a translation, as a supplementary work, as a compilation, as an instructional text, as a test, as answer material for a test, or as an atlas, and the parties expressly agree in a written instrument signed by them that the work shall be considered a work made for hire. The term "works," for purposes of federal copyright law, includes software; literary works; musical works with any accompanying words; dramatic works with any accompanying music; pantomimes and choreographic works; pictorial, graphic, and sculptural works; motion pictures and other audiovisual works, sound recordings and architectural works. All work performed that results in the production of original books, manuals, films, or other original material is the exclusive property of RECEIVING AGENCY. All right, title, and interest in and to said property shall vest in RECEIVING AGENCY upon creation. All work performed shall be deemed to be a "work made for hire" for copyright purposes and made in the course of the services rendered pursuant to this contract. To the extent that title to any such work may not, by operation of law, vest in RECEIVING AGENCY or such work may not be considered a work made for hire, all rights, title and interest therein are hereby irrevocably assigned to RECEIVING AGENCY. RECEIVING AGENCY shall have the right to obtain and to hold in its own name any and all patents, copyrights, trademarks, service marks, certification marks, collective marks, registrations, or such other protection as may be appropriate to the subject matter, and any extensions and renewals thereof. PERFORMING AGENCY shall ensure all rights, titles, and interest in and to the intellectual property are secured to RECEIVING AGENCY from PERFORMING AGENCY and its subrecipients. PERFORMING AGENCY agrees to give RECEIVING AGENCY and agrees to require its subrecipients to give RECEIVING AGENCY, or any person designated by (LGS) 2002 GENERAL PROVISIONS Page 7 04/01 RECEIVING AGENCY, all assistance required to perfect the rights defined in this Article, without any charge or expense beyond those amounts payable to PERFORMING AGENCY for the services rendered under the contract. If federal funds are used to finance activities supported by the contract Attachment(s) that result in the production of original books, manuals, films, or other original material, the federal awarding agency reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government purposes (1) the copyright in any work developed under a grant, subgrant, or contract under a grant or subgrant; and (2) any rights of copyright to which a PERFORMING AGENCY or its subrecipient purchases ownership with grant support. PERFORMING AGENCY shall place an acknowledgment of federal awarding agency grant support and a disclaimer, as appropriate, on any publication written or published with such support and, if feasible, on any publication reporting the results of or describing a grant -supported activity. An acknowledgment shall be to the effect that "This publication was made possible by grant number from (federal awarding agency)" or "The project described was supported by grant number from (federal awarding agency)" and "Its contents are solely the responsibility of the authors and do not necessarily represent the official views of the (federal awarding agency)." In the event the terms of a federal grant award the copyright to PERFORMING AGENCY, RECEIVING AGENCY reserves a royalty -free, nonexclusive, worldwide and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for RECEIVING AGENCY, public health, and state governmental noncommercial purposes (1) the copyright, trademark, service mark, and/or patent on an invention, discovery, or improvement to any process, machine, manufacture, or composition of matter; products; technology; scientific information; trade secrets; and computer software, in any work developed under a grant, subgrant, or contract under a grant or subgrant; and (2) any rights of copyright, service or trade marks or patents to which a grantee, subgrantee or a contractor purchases ownership with grant support. PERFORMING AGENCY may publish the results of the contract performance, if those results are subject to copyright law, at its expense with prior RECEIVING AGENCY review and approval. RECEIVING AGENCY will not withhold the approval unreasonably. If RECEIVING AGENCY withholds approval, PERFORMING AGENCY may still publish the results of the contract performance but shall not reference the Texas Department of Health in any manner. If RECEIVING AGENCY approves and owns the copyright, any publication should include "© (the year of publication), Texas Department of Health, All Rights Reserved." If PERFORMING AGENCY is the copyright holder, any publication shall include acknowledgment of the support received from RECEIVING AGENCY. At least six copies of any such publication must be provided to RECEIVING AGENCY. RECEIVING AGENCY reserves the right to require additional copies before or after the initial review. PERFORMING AGENCY and any subrecipient, as appropriate, must comply with the standard patent rights clauses in 37 Code of Federal Regulations §401.14 or Federal Acquisition Regulations 52.227.11. ARTICLE 10. Historically Underutilized Businesses RECEIVING AGENCY shall comply with Texas Government Code, Chapter 2161, and 1 TAC §§ 111.11-111.24 et seq., whereby state agencies are required to make a good faith effort to assist historically underutilized businesses (HUBS) in receiving contract awards issued by the state to purchase "goods", which are defined as "supplies, materials, or equipment", services, or public works. (LGS) 2002 GENERAL PROVISIONS Page 8 04/01 If PERFORMING AGENCY subcontracts a portion of this contract, PERFORMING AGENCY agrees to make a good faith effort to subcontract with HUBs during the performance of its contract Attachment(s) with RECEIVING AGENCY and will report HUB subcontract activity on a quarterly basis to RECEIVING AGENCY. ARTICLE 11. Conflict of Interest PERFORMING AGENCY does not have nor shall it knowingly acquire any interest that would conflict in any manner with the performance of its obligations under this contract. Potential conflicts of interest include an existing business or personal relationship between PERFORMING AGENCY, its principal, or any affiliate or subrecipient with RECEIVING AGENCY, its board members, officers or employees, or any other entity or person involved in any way in any project that is the subject of this contract. ARTICLE 12. Certification of Software, Hardware, Firmware and Micro Code Products PERFORMING AGENCY certifies that any supplied or supported software, hardware, firmware, and micro code products used individually or together as a system to comply with RECEIVING AGENCY contract requirements will operate "accurately" in the manner in which they were intended when given a "valid date" containing century, year, month, and day. For purposes of this Article, "supplied or supported software, hardware, firmware, and micro code products" does not include software supported by RECEIVING AGENCY or an agency of the federal government. PERFORMING AGENCY is responsible for installing and implementing any versions of any software provided by RECEIVING AGENCY or an agency of the federal government which is used in performance of this contract. For purposes of this Article, a) "accurately" is defined to include the following: 1) calculations must be correctly performed using four -digit year processing; 2) functionality -on-line, batch including entry, inquiry, maintenance and updates must support four -digit year processing; 3) interfaces and reports must support four -digit year processing; 4) processing with a four -digit year must occur without human intervention; 5) correct results in forward and backward date calculation spanning century boundaries must be provided; 6) correct leap year calculations must be performed; and, 7) processing correct results in forward and backward date calculation spanning century boundaries must occur; b) "date integrity" shall mean all manipulations of time -related data (dates, durations, days of week, etc.) will produce desired results for all valid date values within the application domain; c) "explicit century" shall mean date elements in interfaces and data storage permit specifying century to eliminate date ambiguity; d) "extraordinary actions" shall be defined to mean any action outside the normal documented processing steps identified in the product's reference documentation; (LGS) 2002 GENERAL PROVISIONS Page 9 04/01 e) "general integrity" shall mean no value for current date will cause interruptions in desired operation; f) "implicit century" shall mean for any data element without century, the correct century is unambiguous for all manipulations involving that document; g) "product" or "products" shall be defined to include, but is not limited to, any supplied or supported hardware, software, firmware and/or micro code; h) "valid date" shall contain a two -digit month, a two -digit day and a four -digit year. PERFORMING AGENCY and its subrecipient(s) must obtain a warranty from any vendor/licensor from which it obtains product(s), that product(s) delivered and installed under the contract/license shall be able to accurately process valid date data when used in accordance with the product documentation provided by the contractor/ licensor and require no extraordinary actions on the part of PERFORMING AGENCY, its personnel, or its subrecipient(s). Products under the contract/license shall possess general integrity, date integrity, explicit and implicit century capabilities. If the contract/license requires that specific products must perform as a system in accordance with the foregoing warranty, then the warranty shall apply to those listed products as a system. The duration of this warranty and the remedies available to PERFORMING AGENCY or its subrecipient(s) for breach of the warranty shall be defined in, and subject to, the terms and conditions of the contractor0s standard commercial warranty or warranties contained in the contract/license; provided, that notwithstanding any provision to the contrary in such commercial warranty or warranties, the remedies available to PERFORMING AGENCY or its subrecipient(s) shall include repair or replacement of any supplied product if its noncompliance is discovered and made known to the contractor/licensor in writing within ninety (90) days after final acceptance. Nothing in the warranty shall be considered to limit any rights or remedies PERFORMING AGENCY or its subrecipient(s) may otherwise have under the contract/license. RECEIVING AGENCY will not hold PERFORMING AGENCY responsible if the information coming to PERFORMING AGENCY'S product/software from RECEIVING AGENCY is inaccurate or corrupt. ARTICLE 13. Standards for Financial and Programmatic Management PERFORMING AGENCY shall develop, implement, and maintain financial management and control systems that meet or exceed the requirements of UGMS as detailed in RECEIVING AGENCY'S Financial Administrative Procedures Manual. Those requirements shall include at a minimum: A. Financial planning, including the development of budgets that adequately reflect all functions and resources necessary to carry out authorized activities and the adequate determination of costs; B. Financial management systems including accurate, correct, and complete accounting records, that identify the source and application of funds provided under each Attachment, and that support the information contained in required financial reports; cost source documentation; effective internal and budgetary controls; determination of reasonableness, allowableness, and allocability of costs; and timely and appropriate audits and resolution of any findings; and, C. Billing and collection policies, including a fee schedule, a system for discounting or adjusting charges based on a person's income and family size, and a mechanism capable of billing and making reasonable efforts to collect from patients and third parties. (LGS) 2002 GENERAL PROVISIONS Page 10 04/01 PERFORMING AGENCY must bill all third party payers for services provided under the Attachment(s) before submitting any request for reimbursement to RECEIVING AGENCY. A third party payer is any person or entity who has the legal responsibility for paying all or part of the services provided, including commercial health or liability insurance carriers, Medicaid, or other federal, state, local and private funding sources. Third party billing functions will be provided by PERFORMING AGENCY at no cost to the client. PERFORMING AGENCY or its subrecipient must become a Medicaid provider if performing approved Texas Medicaid services authorized by the Attachment(s). PERFORMING AGENCY and its governing body shall bear full responsibility for the integrity of the fiscal and programmatic management. Such responsibility shall include: accountability for all funds and materials received from RECEIVING AGENCY; compliance with RECEIVING AGENCY rules, policies, procedures, and applicable federal and state laws and regulations; and correction of fiscal and program deficiencies identified through self- evaluation and RECEIVING AGENCY'S monitoring processes. Ignorance of any contract provisions or other requirements contained or referenced in this contract shall not constitute a defense or basis for waiving or appealing such provisions or requirements. ARTICLE 14. Bonding PERFORMING AGENCY is required to carry a fidelity bond, insurance coverage or self-insurance equal to the amount of funding provided under the contract Attachment(s) up to $100,000 that covers each employee of PERFORMING AGENCY handling funds under this contract, including person(s) authorizing payment of such funds. The fidelity bond, insurance, or self-insurance will provide for indemnification of losses occasioned by: 1) any fraudulent or dishonest act or acts committed by any of PERFORMING AGENCY'S employees, either individually or in concert with others, and/or 2) failure of PERFORMING AGENCY or any of its employees to perform faithfully his/her duties or to account properly for all monies and property received by virtue of his/her position or employment. ARTICLE 15. Funding Participation Requirement PERFORMING AGENCY agrees funds provided through this contract will not be used for matching purposes in securing other funding unless directed or approved by RECEIVING AGENCY. ARTICLE 16. Allowable Costs and Audit Requirements Only those costs allowable under UGMS and any revisions thereto plus any applicable federal cost principles are eligible for reimbursement under this contract. Applicable cost principles, audit requirements, and administrative requirements are as follows: Applicable Cost Principles*I Audit Requirements* I Administrative Requirements* OMB Circular A-87, State,( OMB Circular A-133 and UGMS I UGMS rnments Local and Tribal Gove * OMB Circulars shall be applied with the modifications prescribed by UGMS. (LGS) 2002 GENERAL PROVISIONS Page I 1 04/01 PERFORMING AGENCY or the AUTHORIZED CONTRACTING ENTITY shall arrange for a financial and compliance audit (Single Audit) if required by OMB Circular A-133 and/or UGMS, Part IV, "State of Texas Single Audit Circular." The audit shall be of PERFORMING AGENCY'S or the AUTHORIZED CONTRACTING ENTITY'S fiscal year. The audit must be conducted by an independent certified public accountant and in accordance with applicable OMB Circulars, Government Auditing Standards, and UGMS. PERFORMING AGENCY shall procure audit services in compliance with state procurement procedures, as well as with the provisions of UGMS. If PERFORMING AGENCY is not required to have a Single Audit, a limited scope audit may be required. RECEIVING AGENCY will provide PERFORMING AGENCY with written audit requirements if a limited scope audit is required. Within 30 days of receipt of the audit reports required by this section, PERFORMING AGENCY/AUTHORIZED CONTRACTING ENTITY shall submit a copy to RECEIVING AGENCY'S Internal Audit Division. ARTICLE 17. Terms and Conditions of Payment For services satisfactorily performed pursuant to this contract, RECEIVING AGENCY will reimburse PERFORMING AGENCY for allowable costs. Reimbursements are contingent on a signed contract and will not exceed the total of each Attachment(s). PERFORMING AGENCY is entitled to payment only if the service, work, and/or product has been satisfactorily performed and authorized in accordance with this contract. PERFORMING AGENCY must have incurred a cost within the applicable Attachment term to be eligible for reimbursement under this contract and prior to claiming reimbursement. PERFORMING AGENCY must submit requests for reimbursement on a State of Texas Purchase Voucher (TDH Form B-13) or any other form designated by RECEIVING AGENCY monthly within 30 days following the end of the month covered by the bill. PERFORMING AGENCY shall submit a reimbursement request as a final close-out bill not later than 90 days following the end of the applicable Attachment term(s) for costs encumbered on or before the last day of the Attachment term. Reimbursement requests submitted and postmarked more than 90 days following the end of the applicable Attachment term may not be paid, at the discretion of RECEIVING AGENCY. PERFORMING AGENCY shall disburse program income, rebates, refunds, contract settlements, audit recoveries, and interest earned on such funds before requesting cash payments including advance payments from RECEIVING AGENCY. Funding from this contract may not be used to supplant [i.e., use in place of funds dedicated, appropriated or expended for activities funded through the Attachment(s)] state or local funds, but PERFORMING AGENCY shall use the funds from this contract to increase state or local funds currently available for a particular activity. PERFORMING AGENCY shall make a good faith effort to maintain its current level of support. PERFORMING AGENCY may be required to submit documentation substantiating that a reduction in local funding, if any, resulted for reasons other than receipt or expected receipt of funding under any Attachment. RECEIVING AGENCY shall determine whether costs submitted by PERFORMING AGENCY are allowable and reimbursable. If RECEIVING AGENCY has paid funds to PERFORMING AGENCY for unallowable or ineligible costs, PERFORMING AGENCY shall return the funds to RECEIVING AGENCY within 30 days of written notice. (LGS) 2002 GENERAL PROVISIONS Page 12 04/01 RECEIVING AGENCY may withhold all or part of any payments to PERFORMING AGENCY to offset reimbursement for any ineligible expenditures that PERFORMING AGENCY has not refunded to RECEIVING AGENCY, or if financial status report(s) required under the Reports Article are not submitted by the date(s) due. RECEIVING AGENCY may take repayment from funds available under any contract Attachment, active or expired, in amounts necessary to fulfill PERFORMING AGENCY repayment obligations. ARTICLE 18. Advance Payments PERFORMING AGENCY may request a one-time advance for each Attachment only to meet immediate need for cash disbursement. PERFORMING AGENCY must make the request on State of Texas Purchase Voucher, accompanied by written justification and supporting documentation as specified in RECEIVING AGENCY'S Financial Administrative Procedures Manual. The advance shall be requested at the beginning of the applicable Attachment period or at a later time in the applicable Attachment period if circumstances so warrant. Approval of the request for advance will be at the discretion of RECEIVING AGENCY. If the request is approved, the voucher will be processed; if disapproved, RECEIVING AGENCY will provide written notification to PERFORMING AGENCY. RECEIVING AGENCY will determine the amount of the advance, if any, by the amount and term of the applicable Attachment(s). For each Attachment, the amount of the advance shall not exceed the amount of the Attachment divided by the number of months covered by the Attachment multiplied by two (2). Advance funds will be expended during the applicable Attachment term so that, after the final monthly billing, PERFORMING AGENCY will not have advance funds on hand. If the Attachment is amended to increase or decrease the total amount of funding, RECEIVING AGENCY may adjust the amount of allowable advance in accordance with the above formula. If PERFORMING AGENCY is requesting an upward adjustment, PERFORMING AGENCY must submit a written justification and State of Texas Purchase Voucher in the amount necessary to correct the ratio. If the adjustment is downward, RECEIVING AGENCY will determine the amount of adjustment to the advance and the method of repayment. ARTICLE 19. Program Income PERFORMING AGENCY may, but if a local health department shall, develop a fee-for-service system and a schedule of fees for personal health services in accordance with the provisions of Health and Safety Code § 12.031; the Texas Board of Health rules covering Fees for Clinical Health Services, 25 TAC § 1.91; and other applicable laws. No patient may be denied a service due to inability to pay. All revenues directly generated by an Attachment(s) supported activity or earned only as a result of the Attachment(s) during the term of the Attachment(s) are considered program income. Program income will be used by PERFORMING AGENCY to further the program objectives of the state/federal statute under which the Attachment(s) was/were made, and it shall be spent on the same project in which it was generated. PERFORMING AGENCY shall identify and report this income utilizing the forms and time frames specified in the Reports Article of these provisions. PERFORMING AGENCY shall utilize one of the following methods for applying program income: A. Additive method - add the program income to the funds already committed to the project by both parties. (LGS) 2002 GENERAL PROVISIONS Page 13 04/01 B. Deductive method - deduct the program income from the total allowable costs to determine the net allowable costs. PERFORMING AGENCY must expend program income during the Attachment term in which it is earned, and may not carry forward to the succeeding term. Program income not expended in the term in which it is earned shall be refunded to RECEIVING AGENCY. RECEIVING AGENCY may base future funding levels, in part, upon PERFORMING AGENCY'S proficiency in identifying, billing, collecting, and reporting program income, and in utilizing it for the purposes and conditions of the applicable Attachment(s). ARTICLE 20. Overtime Compensation PERFORMING AGENCY shall not use any of the funds provided by the Attachment(s) hereto to pay the premium portion of overtime. PERFORMING AGENCY shall be responsible for any obligations of premium overtime pay due employees. Premium overtime pay is defined as any compensation paid to an individual in addition to the normal rate of pay for hours worked in excess of normal working hours. ARTICLE 21. Equipment and Supplies In accordance with Health and Safety Code, § 12.053, title to all equipment and supplies purchased from funds from this contract will be in the name of PERFORMING AGENCY throughout the Attachment(s) term(s) or until the Attachment is terminated. Equipment is defined as tangible nonexpendable personal property with an acquisition cost of more than $1,000 and a useful life of more than one year, with the following exceptions: fax machines, stereo systems, cameras, video recorder/players, microcomputers, software, printers, microscopes, oscilloscopes, centrifuges, balances, and incubators. If the unit cost of these exception items is more than $500, they will be considered equipment, must be approved for purchase by RECEIVING AGENCY, and are considered capital assets for inventory purposes. The acquisition cost is the net invoice unit price of an item of equipment, including the cost of any necessary modifications, attachments, accessories or auxiliary apparatus necessary to make the property usable for the purpose for which it was acquired. Supplies are defined as consumable items necessary to carry out the contract including medical supplies, drugs, janitorial supplies, office supplies, patient educational supplies, software, and any items of tangible personal property other than those defined as equipment above. All items of equipment purchased with Attachment funds must be itemized in the contract budget. Any changes to the equipment list contained in the budget must be approved in writing by RECEIVING AGENCY. PERFORMING AGENCY will submit a written description including complete product specifications and need justification prior to purchasing any item of unapproved equipment. If approved, RECEIVING AGENCY will notify PERFORMING AGENCY by means of a written budget modification. PERFORMING AGENCY shall maintain a nonexpendable personal property (equipment) inventory and submit an annual cumulative report (TDH Form GC -11) to RECEIVING AGENCY no later than October 15th of each year. PERFORMING AGENCY shall administer a program of maintenance, repair, and protection of assets under this contract so as to assure their full availability and usefulness. In the event PERFORMING AGENCY is indemnified, reimbursed, or otherwise compensated for any loss of, destruction of, or damage to the assets provided under this contract, it shall use the proceeds to repair or replace said assets. If any item of equipment is (LGS) 2002 GENERAL PROVISIONS Page 14 04/01 no longer needed to perform services under the contract or becomes inoperable, PERFORMING AGENCY shall request disposition instructions in writing from RECEIVING AGENCY. Upon termination or expiration of applicable Attachment(s) that are not renewed, title to any remaining equipment and supplies purchased from funds under this contract reverts to RECEIVING AGENCY. Title may be transferred to any other party designated by RECEIVING AGENCY. RECEIVING AGENCY may, at its option and to the extent allowed by law, transfer the reversionary interest to such property to PERFORMING AGENCY. ARTICLE 22. Contracts with Subrecipients PERFORMING AGENCY may enter into contracts with subrecipients unless restricted or otherwise prohibited in specific Attachment(s). Prior to entering into an agreement equaling $25,000 or 25% of an Attachment, whichever is greater, PERFORMING AGENCY shall obtain written approval from RECEIVING AGENCY. Contracts with subrecipients shall be in writing and must include the following: • name and address of all parties; • a detailed description of the services to be provided; • measurable method and rate of payment and total amount of the contract; • clearly defined and executable termination clause; • beginning and ending dates which coincide with the dates of the applicable contract Attachment(s) or cover a term within the beginning and ending dates of the applicable contract Attachment(s); • records retention requirements consistent with UGMS; • access to inspect the work and the premises on which any of the work is performed, in accordance with the Inspections Article contained in this contract; and, • all clauses required by state/federal statutes, executive orders, and their implementing regulations. PERFORMING AGENCY agrees that all contracts with subrecipients containing a categorical budget shall include audit requirements referenced in the Allowable Costs and Audit Requirements Article of this contract, as appropriate. PERFORMING AGENCY is responsible to RECEIVING AGENCY for the performance of any subrecipient. PERFORMING AGENCY will monitor both financial and programmatic performance and maintain pertinent records that will be available for inspection by RECEIVING AGENCY. PERFORMING AGENCY shall ensure that: • subrecipients are fully aware of the requirements imposed upon them by state/federal statutes and regulations; • subrecipients comply with all financial management requirements as defined by RECEIVING AGENCY, UGMS and the applicable OMB circulars; • subrecipients complete required audits; • an adequate tracking system is maintained to ensure timely receipt of any subrecipient's required audit reports and the resolution of any findings and questioned costs cited by these reports; and, that • RECEIVING AGENCY is immediately notified in writing of alleged or actual misuse or misappropriation of contract funds by subrecipients. (LGS) 2002 GENERAL PROVISIONS Page 15 04/01 ARTICLE 23. Contracts for Procurement PERFORMING AGENCY may enter into contracts for procurement unless restricted or otherwise prohibited in specific Attachment(s). PERFORMING AGENCY agrees that it shall be responsible to RECEIVING AGENCY for the performance of any subcontracted activity. Contracts for procurement shall_ be in writing and must contain the following provisions: • Administrative, contractual, or legal remedies in instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as may be appropriate (contracts other than small purchases). • Termination for cause and for convenience by PERFORMING AGENCY including the manner by which it will be effected and the basis for settlement (all contracts in excess of $10,000). • Compliance with the Copeland "Anti -Kickback" Act (18 USC §874) as supplemented in Department of Labor regulations (29 CFR Part 3) (all contracts and subgrants for construction or repair). • Compliance with. 103 and 107 of the Contract Work Hours and Safety Standards Act (40 USC §§327-330) as supplemented by Department of Labor regulations (29 CFR Part 5) (construction contracts awarded by grantees and subgrantees in excess of $2,000, and in excess of $2,500 for other contracts which involve the employment of mechanics or laborers). • Notice of RECEIVING AGENCY requirements and regulations pertaining to reporting. • Notice of RECEIVING AGENCY requirements and regulations pertaining to trademarks, service marks, copyrights, and patent rights with respect to any discovery or invention which arises or is developed in the course of or under such contract. • RECEIVING AGENCY requirements and regulations pertaining to copyrights and rights in data. • Access by RECEIVING AGENCY, the federal grantor agency, the Comptroller General of the United States, the State of Texas or any of their duly authorized representatives to any books, documents, papers, and records of the contractor which are directly pertinent to that specific contract for the purpose of making audit, examination, excerpts, and transcriptions. • Retention of all required records for the required retention period after RECEIVING AGENCY makes final payments and all other pending matters are closed. • Compliance with all applicable standards, orders, or requirements issued under 306 of the Clean Air Act (42 USC § 1857(h)), §508 of the Clean Water Act (33 USC § 1368), Executive Order 11738, and Environmental Protection Agency regulations (40 CFR Part 15) (contracts, subcontracts, and subgrants of amounts in excess of $100,000). • Mandatory standards and policies relating to efficiency which are contained in the state energy plan issued in compliance with the Energy Policy and Conservation Act (P. L. 94-163), 42 USC §§6201, et seq., as amended. ARTICLE 24. Reports Financial reports are required as provided in UGMS, and PERFORMING AGENCY shall file them regardless of whether expenses have been incurred. For each Attachment, PERFORMING AGENCY shall submit a Financial Status Report, State of Texas Supplemental Form 269a (TDH Form GC -4a) within 30 days following the end of each of the first three quarters. PERFORMING AGENCY shall submit a final financial report on State of Texas Supplemental Form 269a (TDH (LGS) 2002 GENERAL PROVISIONS Page 16 04/01 Form GC -4a), not later than 90 days following the end of the Attachment term(s). PERFORMING AGENCY shall submit a State of Texas Purchase Voucher with the final financial report if all costs have not been recovered, or PERFORMING AGENCY shall refund excess monies if costs incurred were less than funds received. PERFORMING AGENCY shall submit program and progress reports required by RECEIVING AGENCY in the format agreed to by the parties. PERFORMING AGENCY shall provide RECEIVING AGENCY other reports including financial reports RECEIVING AGENCY determines necessary to accomplish the objectives of this contract and to monitor compliance. If PERFORMING AGENCY is legally prohibited from providing such reports, it shall immediately notify RECEIVING AGENCY. ARTICLE 25. Inspections RECEIVING AGENCY and, when federal funds are involved, any authorized representative(s) of the federal government have the right, at all reasonable times, to inspect or otherwise evaluate the work (including reviews of client or patient records and discussions with staff) performed by PERFORMING AGENCY and its subrecipient(s), if any, and the premises on which the work is being performed. PERFORMING AGENCY and its subrecipient(s) shall participate in inspections and provide reasonable access, facilities, and assistance to the representatives. All inspections and evaluations will be conducted in such a manner as will not unduly interfere with the work. PERFORMING AGENCY and its subrecipient(s), if any, shall give RECEIVING AGENCY, the federal government, and the Texas State Auditor, or any of their duly authorized representatives, access to any pertinent books, documents, papers, and client or patient records, if any, for the purpose of making audit, examination, excerpts, and transcripts of transactions related to contract Attachment(s). RECEIVING AGENCY will have the right to audit billings both before and after payment. Payment under Attachment(s) will not foreclose the right of RECEIVING AGENCY to recover excessive or illegal payments. Any deficiencies identified by RECEIVING AGENCY upon examination of PERFORMING AGENCY'S records will be conveyed in writing to PERFORMING AGENCY. PERFORMING AGENCY'S resolution of findings will also be conveyed in writing to RECEIVING AGENCY within 30 days of receipt of RECEIVING AGENCY'S findings. A RECEIVING AGENCY determination of either an inadequate or inappropriate resolution of the findings may result in sanctions which will remain in effect until RECEIVING AGENCY determines the deficiencies are properly remedied. ARTICLE 26. Records Retention PERFORMING AGENCY shall retain and preserve all records relating to this contract generated or collected by PERFORMING AGENCY or subgrantee thereof according to Texas Government Code §441.006,13 TAC §6.10, RECEIVING AGENCY'S certified records retention schedule, and UGMS, Part III, "State Uniform Administrative Requirements for Grants and Cooperative Agreements," Subpart C - Post -Award Requirements, item _.42. Any record held by PERFORMING AGENCY which is not identified in the referenced retention schedules will be retained by PERFORMING AGENCY for a period of three years from the date of the last expenditure report submitted under contract Attachment(s) or until all audit questions are resolved, or until any court order(s) requiring record retention are dissolved, whichever time period is longer. PERFORMING AGENCY shall retain medical records in accordance with the governing rules or regulations which may be applicable. (LGS) 2002 GENERAL PROVISIONS Page 17 04/01 The retention schedules referenced in this Article are incorporated by reference and made a part of this contract. PERFORMING AGENCY may obtain a copy of the record retention schedules or the Texas Department of Health Records Handbook by contacting RECEIVING AGENCY'S Records Coordinator. Legal requirements for PERFORMING AGENCY may extend beyond the retention schedules established herein. ARTICLE 27. Patient or Client Records Notwithstanding any other provision herein, if requested by RECEIVING AGENCY, PERFORMING AGENCY shall share all patient or client information with RECEIVING AGENCY when the contract involves patient or client care by the PERFORMING AGENCY. RECEIVING AGENCY may require PERFORMING AGENCY, or any subrecipient, to transfer a client or patient record to another agency or to RECEIVING AGENCY if the transfer is necessary to protect either the confidentiality of the record or the health and welfare of the client or patient. In the event of termination, RECEIVING AGENCY may require the transfer of client or patient records as authorized by law upon written notice to PERFORMING AGENCY, either to another entity that agrees to continue the service or to RECEIVING AGENCY. At the end of the Attachment term, PERFORMING AGENCY shall give RECEIVING AGENCY access to the records or provide copies for audit, examination, evaluation, inspection, litigation, or other circumstances that may arise, to the extent authorized by law. PERFORMING AGENCY, or any subrecipient, shall not otherwise transfer an identifiable client record, including a patient record, to another entity or person without written consent from the client or patient, or someone authorized to act on his or her behalf. Written consent must be given on a form provided by RECEIVING AGENCY or as otherwise authorized by law, including the Texas Occupations Code, Chapter 159, as amended. ARTICLE 28. Confidentiality PERFORMING AGENCY shall have a system in effect to protect client or patient records and all other documents deemed confidential by law which are maintained in connection with the activities funded under this contract. PERFORMING AGENCY shall not disclose or transfer confidential client or patient information, including information required by the Reports Article, except in accordance with applicable law. If providing direct client care, services, or programs, PERFORMING AGENCY shall implement RECEIVING AGENCY'S policies based on the model HIV/AIDS (human immunodeficiency virus/acquired immunodeficiency syndrome) workplace guidelines, and PERFORMING AGENCY shall educate employees and clients concerning HIV and its related conditions, including AIDS, in accordance with the Health and Safety Code §§85.112-114. ARTICLE 29. Sanctions RECEIVING AGENCY may impose sanctions for any breach of contract, and will monitor PERFORMING AGENCY for both programmatic and financial compliance. RECEIVING AGENCY may, at its own discretion, impose one or more sanctions for each item of noncompliance and will determine sanctions on a case-by-case basis. A state or federal statute, rule, regulation, or federal guideline will prevail over the provisions of this Article unless (LGS) 2002 GENERAL PROVISIONS Page 18 04/01 the statute, rule, regulation, or guideline can be read together with the provision(s) of this Article to give effect to both. RECEIVING AGENCY may: A. terminate all or a part of the contract. Termination is the permanent withdrawal of PERFORMING AGENCY'S authority to obligate previously awarded funds before that authority would otherwise expire or the voluntary relinquishment by PERFORMING AGENCY of the authority to obligate previously awarded funds. PERFORMING AGENCY costs resulting from obligations incurred by PERFORMING AGENCY after termination of an award are not allowable unless expressly authorized by the notice of termination. Termination does not include: (1) withdrawal of funds awarded on the basis of PERFORMING AGENCY'S underestimate of the unobligated balance in a prior period; (2) withdrawal of the unobligated balance as of the expiration of a contract; (3) refusal to extend a contract or award additional funds, to make a competing or noncompeting continuation, renewal, extension, or supplemental award; or (4) voiding of a contract upon determination that the award was obtained fraudulently, or was otherwise illegal or invalid from inception; B. suspend all or part of the contract. Suspension is, depending on the context, either (1) the temporary withdrawal of PERFORMING AGENCY'S authority to obligate funds pending corrective action by PERFORMING AGENCY or its subrecipient(s) or pending a decision to terminate or amend the contract, or (2) an action taken by a suspending official in accordance with agency regulations implementing Executive Order 12549 to immediately exclude a person from participating in contract transactions for a period, pending completion of an investigation and such legal or debarment proceedings as may ensue. PERFORMING AGENCY costs resulting from obligations incurred by PERFORMING AGENCY during a suspension are not allowable unless expressly authorized by the notice of suspension; C. disallow (deny both use of funds and matching credit for) all or part of the activities or action not in compliance; D. temporarily withhold cash payments. Temporarily withholding cash payments means the temporary withholding of advances or reimbursements to PERFORMING AGENCY or its subrecipient(s) for proper charges or obligations incurred, pending resolution of issues of noncompliance with contract conditions or indebtedness to the United States or to the State of Texas; E. permanently withhold cash payments. Permanent withholding of cash payment means that RECEIVING AGENCY retains funds billed by PERFORMING AGENCY or its subrecipient(s) for a) unallowable, undocumented, disputed, inaccurate, improper, or erroneous billings; b) failure to comply with contract provisions; or c) indebtedness to the United States or to the State of Texas; F. deny contract renewal or future contract awards to a PERFORMING AGENCY; G. delay contract execution with PERFORMING AGENCY while other imposed or proposed sanctions are pending resolution; H. place PERFORMING AGENCY on probation. Probation means that PERFORMING AGENCY will be placed on accelerated monitoring for a period not to exceed six months at which time items of noncompliance must be resolved or substantial improvement shown by PERFORMING AGENCY; (LGS) 2002 GENERAL PROVISIONS Page 19 04/01 I. conduct accelerated monitoring of PERFORMING AGENCY. Accelerated monitoring means more frequent or more extensive monitoring will be performed by RECEIVING AGENCY than would routinely be accomplished; J. require PERFORMING AGENCY to obtain technical or managerial assistance; K. disallow requests for reimbursement by disapproving costs or fees submitted for payment or reimbursement by PERFORMING AGENCY; L. establish additional prior approvals for expenditure of funds by PERFORMING AGENCY; M. require additional, more detailed, financial and/or programmatic reports to be submitted by PERFORMING AGENCY; N. demand repayment from PERFORMING AGENCY; O. reduce the contract funding amount for failure to achieve or maintain the proposed level of service, to expend funds appropriately and at a rate which will make full use of the award, or to provide services as set out in the contract; and, P. impose other remedies provided by law. RECEIVING AGENCY will formally notify PERFORMING AGENCY in writing when a sanction is imposed (with the exception of accelerated monitoring, which may be unannounced), stating the nature of the sanction(s), the reasons for imposing them, the corrective actions which must be taken before they will be removed and the time allowed for completing the corrective actions, and the method, if any, of requesting reconsideration of the sanctions imposed. PERFORMING AGENCY is required to file, within 15 days of receipt of notice, a written response to RECEIVING AGENCY'S program/division that sent the notice, acknowledging receipt of such notice and stating how PERFORMING AGENCY will correct the noncompliance or demonstrating in writing that the findings on which the sanctions are based are either invalid or do not warrant the sanction(s). If RECEIVING AGENCY determines that a sanction is warranted, and unless the sanction is subject to review (see Sanction Review Article), RECEIVING AGENCY'S decision is final and PERFORMING AGENCY must take corrective action. In an emergency, RECEIVING AGENCY may immediately terminate or suspend all or part of the contract, temporarily or permanently withhold cash payments, deny contract renewal or future contract awards, or delay contract execution by delivering written notice to PERFORMING AGENCY, by any verifiable method, stating the reason for the emergency action. An "emergency" is defined as the following: PERFORMING AGENCY is noncompliant and the noncompliance has a direct adverse impact on the public or client health or safety. The direct adverse impact may be programmatic or financial, impacting health or safety by failing to provide services, providing inadequate services, providing unnecessary services, or utilizing resources so that the public or clients do not receive the benefits contemplated by the contract scope of work or performance measures; PERFORMING AGENCY fails to achieve a performance measure; (LGS) 2002 GENERAL PROVISIONS Page 20 04/01 PERFORMING AGENCY is reimbursed or requesting reimbursement for expenditures which are not in accordance with applicable federal or state laws and regulations or the provisions of the contract; or PERFORMING AGENCY is expending funds inappropriately. Whether PERFORMING AGENCY'S conduct or inaction is an emergency shall be determined by RECEIVING AGENCY on a case-by-case basis and shall be based upon the egregious nature of the noncompliance or conduct. ARTICLE 30. Sanction Review PERFORMING AGENCY may request a review of the imposition of the following sanctions: termination of all or part of the contract, suspension of all or part of the contract, permanent withholding of cash payments, reduction of contract funding or other contract amendment resulting from noncompliance, and denial of contract renewal or future contract awards. PERFORMING AGENCY must make the request for review in writing to RECEIVING AGENCY within fifteen (15) days from the date of notification by providing written notice of the dispute to the person who signed the notification. PERFORMING AGENCY'S notice shall contain the following: (1) a copy of the letter from RECEIVING AGENCY notifying PERFORMING AGENCY of the sanction; (2) a specific description of each act that is the basis for the dispute; (3) the grounds upon which PERFORMING AGENCY bases the complaint; (4) an identification of the issue or issues to be resolved; (5) a precise statement of the relevant facts; (6) any documentation in support of PERFORMING AGENCY'S position; and (7) a statement and authorities in support of PERFORMING AGENCY'S position. Evidence that PERFORMING AGENCY properly notified RECEIVING AGENCY consists of any of the following documents: (1) signature on delivery card; (2) confirmation of a facsimile to the correct telephone number; or (3) signed acknowledgment of delivery. RECEIVING AGENCY'S representative will schedule a meeting or a conference call to attempt to resolve the issues in dispute. If the dispute is resolved, any resolution will be in writing and will be signed by all parties. Ifthe dispute is not resolved, RECEIVING AGENCY'S representative will notify PERFORMING AGENCY in writing. RECEIVING AGENCY will appoint a reviewer(s), who will review the information, who may permit or require additional information and who may grant, deny, or modify all relief requested in the written notice of dispute. The reviewer(s)'s decision will be in writing and will contain a discussion of the reason for the decision and the remedial action, if any. The reviewer(s) will send copies of the decision to all parties by any verifiable means. The decision of the reviewer(s) is final and is the final action of RECEIVING AGENCY for purposes of further proceedings. A state statute or rule or a federal statute, regulation or guideline will prevail over the provisions of this Article unless the statute, rule, regulation or guideline can be read together with the provision or provisions of this Article to give effect to both. ARTICLE 31. Breach of Contract Any remedies set out in this contract are in addition to rights and remedies for breach of contract provided by law. (LGS) 2002 GENERAL PROVISIONS Page 21 04/01 ARTICLE 32. Termination Each Attachment shall terminate upon the expiration date of the Attachment unless extended by written amendment in accordance with the Amendments Article. Prior to completion of the contract term, all or a part of this contract may be terminated with or without cause as set out below. A. Termination without cause. (1) Either party may terminate this contract with at least 90 days prior written notice to the other party. (2) The parties may terminate this contract by mutual agreement. (3) Either party may terminate this contract with at least 30 days prior written notice to the other party in the event state and/or federal funding for this contract is terminated, limited, suspended, or withdrawn. (4) RECEIVING AGENCY may terminate this contract when, in the sole determination of RECEIVING AGENCY, termination is in the best interest of the State of Texas. B. Termination for cause. (1) Either parry may terminate for material breach of contract with at least 30 days written notice to the other parry. (2) RECEIVING AGENCY may terminate this contract, in whole or in part, for breach of contract or for any other conduct that jeopardizes the contract objectives, by giving at least 30 days written notice to PERFORMING AGENCY. Such conduct may include one or more of the following: (a) A court of competent jurisdiction finds that PERFORMING AGENCY has failed to adhere to any laws, ordinances, rules, regulations or orders of any public authority having jurisdiction; (b) PERFORMING AGENCY fails to communicate with RECEIVING AGENCY or fails to allow its employees or those of its subrecipients to communicate with RECEIVING AGENCY as necessary to the performance of the contract; (c) PERFORMING AGENCY breaches a standard of confidentiality with respect to the services provided under this contract; (d) RECEIVING AGENCY determines that PERFORMING AGENCY is without the personnel or resources to perform under the contract; (e) RECEIVING AGENCY determines that PERFORMING AGENCY, its agent or another representative offered or gave a gratuity (e.g., an entertainment or gift) to an official or employee of RECEIVING AGENCY for the purpose of obtaining a contract or favorable treatment; (f) PERFORMING AGENCY'S management system does not meet the UGMS management standards; or (g) PERFORMING AGENCY appears to be financially unstable. Indicators of financial instability may include one or more of the following: (i) PERFORMING AGENCY fails to make payments; (ii) PERFORMING AGENCY makes an assignment for the benefit of its creditors; (LGS) 2002 GENERAL PROVISIONS Page 22 04/01 (iii) PERFORMING AGENCY admits in writing its inability to pay its debts generally as they become due; or (iv) If judgment for the payment of money in excess of $50,000 (which is not covered by insurance) is rendered by any court or governmental body against PERFORMING AGENCY, and PERFORMING AGENCY does not (a) discharge the judgment or (b) provide for its discharge in accordance with its terms, or (c) procure a stay of execution within 30 days from the date of entry thereof, and within the 30 -day period or a longer period during which execution of the judgment shall have been stayed, appeal therefrom and cause the execution thereof to be stayed during such appeal while providing such reserves therefore as may be required under generally accepted accounting principles. C. Emergency termination. In emergency circumstances, RECEIVING AGENCY may terminate the contract immediately upon notice to PERFORMING AGENCY by any verifiable means. "Emergency" is defined in the Sanctions Article. Either party may deliver written notice of intent to terminate by any verifiable method. If either party gives notice of its intent to terminate all or a part of this contract, RECEIVING AGENCY and PERFORMING AGENCY will try to resolve any issues related to the anticipated termination in good faith during the notice period. Upon termination of all or part of this contract, RECEIVING AGENCY and PERFORMING AGENCY will be discharged from any further obligation created under the applicable terms of this contract except for the equitable settlement of the respective accrued interests or obligations incurred prior to termination. Termination does not, however, constitute a waiver of any remedies for breach of this contract. In addition, the obligations of PERFORMING AGENCY to retain records and maintain confidentiality of information shall survive this contract. ARTICLE 33. Void Contract RECEIVING AGENCY may hold a contract void upon its determination that the contract award was obtained fraudulently or was otherwise illegal or invalid from its inception. ARTICLE 34. Severability If any provision of this contract is construed to be illegal or invalid, the illegal or invalid provision will be deemed stricken and deleted to the same extent and effect as if never incorporated, but all other provisions will continue. ARTICLE 35. Local Health Department Personnel All local health department personnel funded by Attachment(s) to this contract are employees of PERFORMING AGENCY which will be responsible for their direction and control and liable for any of their acts or omissions. PERFORMING AGENCY will have in place legally sufficient due process hearing procedures for all of its employees filling state -budgeted positions. PERFORMING AGENCY will have full authority to employ, promote, suspend, demote, discharge, and transfer within its organization any and all state -budgeted personnel funded by Attachment(s) to this contract provided, however, that any demotion, suspension, or discharge of such state -budgeted employees will be in accordance with the due process hearing procedures as set out above. The only distinction between state -budgeted and local paid (LGS) 2002 GENERAL PROVISIONS Page 23 04/01 employees is that employees on state budgeted positions receive state benefits and are subject to certain duties, obligations, and restrictions as state employees as contained in state law. One such restriction, as contained in the State Appropriations Act, is that no employee paid on a state -budgeted position may receive a salary supplement from any source unless specifically authorized in the Appropriations Act or other state law. This prohibition includes the payment to such employee of a so-called "flat rate" car allowance or travel allowance. Any travel or per diem allowance to these employees must be on a reimbursement basis, supported by appropriate records, and may not exceed the reimbursement for mileage and/or per diem allowed under the Appropriations Act and current state travel regulations. This restriction will apply whether travel funds are provided in Attachment(s) under this contract or from any other source. PERFORMING AGENCY will utilize RECEIVING AGENCY'S policies and procedures for hiring and promoting individuals into state -budgeted positions funded by this contract. Qualifications of any individuals filling these positions will be subject to approval of RECEIVING AGENCY'S Bureau of Human Resources. The purpose of the approval is to ensure that individuals occupying these positions meet minimum educational and experience requirements. PERFORMING AGENCY will maintain required records and submit documents necessary to process personnel, payroll, leave and time records, and travel costs on state -budgeted positions. RECEIVING AGENCY will furnish documentation regarding salary compensation or travel reimbursement for employees on state -budgeted positions. An independent audit is not required as a condition of this contract if the Attachment provides assistance through assignment of state -budgeted positions and no funds are budgeted for local costs. PERFORMING AGENCY may be reimbursed for local personnel costs or other categories of expense used to fulfill the scope of work of applicable Attachment(s) in lieu of being furnished state payroll warrants after a state - budgeted position becomes vacant. Reimbursement will not exceed the balance of funds on the state -budgeted position after all benefits, obligations, and/or other entitlements are met. PERFORMING AGENCY'S Director, or other person(s) authorized elsewhere in this contract, may submit a request for conversion. RECEIVING AGENCY will transmit formal approval and a revised budget to PERFORMING AGENCY to complete the conversion if the request is granted. ARTICLE 36. Survival of Terms Termination or expiration of this contract for any reason shall not release either party from any liabilities or obligations set forth in this contract that (a) the parties have expressly agreed shall survive any such termination or expiration, or (b) remain to be performed or by their nature would be intended to be applicable following any such termination or expiration. ARTICLE 37. Construction of Ambiguities The parties expressly agree that they have each independently read and understood this contract. Any ambiguities in this contract will not be construed against the drafters. ARTICLE 38. No Waiver of Sovereign Immunity (LGS) 2002 GENERAL PROVISIONS Page 24 04/01 v THE PARTIES EXPRESSLY AGREE THAT NO PROVISION OF THIS CONTRACT IS IN ANY WAY INTENDED TO CONSTITUTE A WAIVER OF ANY IMMUNITIES FROM SUIT OR FROM LIABILITY THAT THE PARTIES OR THE STATE OF TEXAS MAY HAVE BY OPERATION OF LAW. ARTICLE 39. Certifications The governing body of each party has authorized this contract. RECEIVING AGENCY is paying for the performance of governmental functions and services from current revenues available to RECEIVING AGENCY. The payment is in an amount that fairly compensates PERFORMING AGENCY for the services or functions performed under the contract. (LGS) 2002 GENERAL PROVISIONS Page 25 04/01 Resolution No. 2001 RO316 DOCUMENT NO. 7560005906-2002 ATTACHMENT NO. 02 PERFORMING AGENCY: LUBBOCK CITY HEALTH DEPARTMENT RECEIVING AGENCY PROGRAM: TUBERCULOSIS ELIMINATION DIVISION TERM: September 01, 2001 THRU: August 31, 2002 SECTION I. SCOPE OF WORK: PERFORMING AGENCY shall develop and provide: (1) basic services for tuberculosis (TB) prevention and control and (2) expanded outreach services to individuals of identified sub -groups who have TB or who are at high risk of developing TB throughout PERFORMING AGENCY'S defined service area. PERFORMING AGENCY shall comply with all applicable federal and state laws, rules, regulations, standards, and guidelines in effect on the beginning date of this contract Attachment unless amended. All documents referenced herein are incorporated by reference and made a part of this contract Attachment. PERFORMING AGENCY shall perform the following activities: Provide basic and expanded outreach services in compliance with RECEIVING AGENCY'S Standard of Performance (Fourth Edition, December, 2000) and the following series of American Thoracic Society (ATS) and Centers for Disease Control and Prevention (CDC) "Joint Statements" on diagnosis, treatment and control of TB: • Treatment of Tuberculosis and Tuberculosis Infection in Adults and Children (American Journal Respiratory Critical Care Medicine, Vol. 149, pp 1359-1374, 1994); • Control of Tuberculosis (American Review Respiratory Disease, Vol. 146, pp. 1623- 33, 1992): • Diagnostic Standards and Classification of Tuberculosis in Adults and Children, (American Review Respiratory Disease, Vol. 161, pp. 1376-1395, 2000); • Centers for Disease Control and Prevention Screening for Tuberculosis and Tuberculosis in High Risk Populations (Morbidity and Mortality Weekly Report [MMWR], September 8, 1995, Vol. 44, No. RR -11); • Targeted Tuberculin Testing and Critical Care Medicine, Vol. 161, pp. S221 -S247, 2000); • Management of Persons Exposed to Multidrug -Resistant Tuberculosis (MMWR, June 19, 1992, Vol. 41, RR -11); • Multidrug -Resistant Tuberculosis (Simone, P.M. & Dooley, S.W., CDC, Publication 00-6529, 1994); and, ATTACHMENT — Page 1 • Recommendations for Prevention and Control of Tuberculosis Among Foreign -Born Persons (MMWR, Sept. 18, 1998, Vol. 47, RR -16). PERFORMING AGENCY shall comply with the following: • Texas Tuberculosis Code, Health and Safety Code, Chapter 13, subchapter B; • Communicable Disease Prevention and Control Act, Health and Safety Code, Chapter 81; • Communicable Diseases 25 TAC, Chapter 97; and • RECEIVING AGENCY'S Quality Care: Client Services Standards for Public Health and Community Clinics, revised June 1997. Within thirty (30) days of receipt of an amended standard(s) or guideline(s), PERFORMING AGENCY shall inform RECEIVING AGENCY Program, in writing, if it will not continue performance under this contract Attachment in compliance with the amended standard(s) or guideline(s). RECEIVING AGENCY may terminate the contract Attachment immediately or within a reasonable period of time as determined by RECEIVING AGENCY. PERFORMING AGENCY'S approved service delivery plan shall meet or exceed RECEIVING AGENCY'S Standard of Performance in the following areas: • Management of TB Cases and Suspects; • Management of Contacts and Positive Reactors; • Surveillance/Reporting; • Infection Control; • Targeted Testing of High Risk Groups; • Professional Education; and • Patient and Provider Communication. PERFORMING AGENCY shall provide a narrative report on their performance goals and objectives screening activities semi-annually in the standard format provided by RECEIVING AGENCY Program. PERFORMING AGENCY shall maintain the documentation used to calculate key outcome performance measures. The reporting dates and applicable periods are as follows: PERIOD COVERED DUE DATE September - February March 30, 2002 March — August September 30, 2002 RECEIVING AGENCY program will provide administrative and technical assistance for the implementation and operation of the service delivery plan. PERFORMANCE MEASURES ATTACHMENT — Page 2 The following key outcome performance measures will be used to assess, in part, PERFORMING AGENCY'S effectiveness in providing the services described in this contract Attachment, without waiving the enforceability of any of the other terms of the contract. 990% of Cases/Suspects on Directly Observed Therapy (DOT) •95% of Cases completing Therapy •95% of patients on Physician Ordered Directly Observed Preventative Therapy (DOPT) 995% of patients Completing Prescribed Preventive Therapy 995% of contacts Initially Evaluated • 0% of contacts Receiving 2nd purified Protein Derivative (PPD) Test PERFORMING AGENCY shall report on these measures monthly in the format provided by RECEIVING AGENCY Program. In addition, PERFORMING AGENCY shall maintain documentation and report monthly on the support measures defined in the reporting format, which are used to calculate key outcome performance measures. Reports are due the 30th day of the month following the report period. PERFORMING AGENCY shall mail reports to their respective Regional TB Program Manager with copies mailed to: Texas Department of Health, Tuberculosis Elimination Division, Attn: Financial Services Director, 1100 West 49th Street, Austin, TX. 78756-3199. SECTION II. SPECIAL PROVISIONS: General Provisions, Reports Article, is revised to include the following: PERFORMING AGENCY shall develop and submit a service delivery plan and detailed budget justification for continuation of this contract Attachment during the next fiscal year. The plan and budget shall be prepared in the format approved by RECEIVING AGENCY program; one (1) copy shall be submitted to RECEIVING AGENCY Program and one (1) copy shall be submitted to the Regional Director, no later than 120 days prior to the end of this contract Attachment term. The plan shall describe PERFORMING AGENCY'S service delivery and activities toward meeting the objectives outlined in SECTION I. SCOPE OF WORK above, including updated key outcome performance measure targets and a detailed line -item budget justification. PERFORMING AGENCY shall mail all initial reports of confirmed TB cases and suspected TB cases to RECEIVING AGENCY program within five (5) working days of identification or notification. Any updates to initial RECEIVING AGENCY'S Report of Cases and Patient Services Form (TB400) (e.g., diagnosis, medication changes, x-rays, and bacteriology) and case closures shall be mailed to RECEIVING AGENCY Program. PERFORMING AGENCY shall mail reports of contacts on all class 3 TB cases and smear positive class 5 TB suspects within thirty (30) days of identification using RECEIVING AGENCY'S Report of Contacts Form (TB340). All subsequent contacts shall be mailed as ATTACHMENT — Page 3 contacts are identified. Refer to the latest edition of Standard of Performance for scheduling of reporting dates. General Provisions, Terms and Conditions of Payment Article, is revised to include the following: Funding from this Attachment shall not be used to supplant (i.e., used in place of funds dedicated, appropriated or expended for activities funded through this contract Attachment) state or local funds, but PERFORMING AGENCY shall use such funds to increase state or local funds currently available for a particular activity. PERFORMING AGENCY shall maintain local funding at a sufficient rate to support the local program. If the total costs of the project are greater than RECEIVING AGENCY share set out in SECTION III. BUDGET, PERFORMING AGENCY shall obtain funds for the remaining costs in order to accomplish the objectives set forth in this contract Attachment. General Provisions, Program Income Article, is revised to include the following: All revenue directly generated by this contract Attachment or earned as a result of this contract Attachment during the term of this contract Attachment is considered program income, including income generated through Medicaid billings for TB -related clinic services. PERFORMING AGENCY may use the program income, excluding program income earned from Medicaid billings for TB drugs, to further the scope of work detailed in this Attachment. This program income may not be used to take the place of existing local, state or federal program funds. Program income earned from Medicaid billings for TB drugs, which have been provided by RECEIVING AGENCY Program to PERFORMING AGENCY, shall be reported and reimbursed to RECEIVING AGENCY Program on a quarterly basis as follows: PERIOD COVERED DUE DATE September, October, November December 30, 2001 December, January, February March 30, 2002 March, April, May June 30, 2002 June, July August September 30, 2002 RECEIVING AGENCY Program has provided PERFORMING AGENCY with the format to be used for reporting. All reimbursements from PERFORMING AGENCY shall be mailed to: Texas Department of Health, Attention: Tuberculosis Elimination Division, 1100 West 49th Street, Austin, Texas 78756-3199 RECEIVING AGENCY Program will verify reimbursements received from PERFORMING AGENCY with the amounts paid by its Medicaid Contractor to PERFORMING AGENCY. Below are the codes to be utilized during the term of this contract Attachment. PERFORMING AGENCY'S obligation is to reimburse 60.17% ATTACHMENT — Page 4 federal matching share of the fees. Rate Medicaid Billing Code $168.45 1-8137X, 1-8237X, 1-8437X, and 1-8432X $ 1.67 1-8118X, 1-8218X, 1-8413X, and 1-8418X $ 32.05 1-8439X and 1-8434X $702.83 1-8450X and 1-8435X A final settlement of the reimbursements to RECEIVING AGENCY for TB drugs will be completed no later than ninety (90) days after the contract Attachment term. RECEIVING AGENCY Program will distribute funds in a way that will maximize the delivery of authorized services to eligible clients. RECEIVING AGENCY Program will monitor PERFORMING AGENCY'S expenditures on a quarterly basis. If expenditures are below that projected in PERFORMING AGENCY'S total contract amount as shown in SECTION III. BUDGET, PERFORMING AGENCY'S budget may be subject to a decrease for the remainder of the Attachment term. Vacant positions existing after ninety (90) days may result in a decrease in funds. ATTACHMENT — Page 5 SECTION III. BUDGET: PERSONNEL $16,582.00 FRINGE BENEFITS 0.00 TRAVEL 1,152.00 EQUIPMENT 0.00 SUPPLIES 403.00 CONTRACTUAL 0.00 OTHER 1,032.00 TOTAL DIRECT CHARGES $19,169.00 INDIRECT CHARGES $829.00 TOTAL $19,998.00 Total reimbursements will not exceed $ 19,998-00. Financial status reports are due the 30th of December, 30th of March, 30th of June, and the 30th of November. The negotiated indirect cost amount shown above is less than the maximum allowed by UGMS. Indirect charges to this contract may not exceed the amount shown above, except by prior written approval of RECEIVING AGENCY. ATTACHMENT — Page 6 Resolution No. 2001-R0316 DOCUMENT NO. 7560005906-2002 ATTACHMENT NO. 03 PERFORMING AGENCY: LUBBOCK CITY HEALTH DEPARTMENT RECEIVING AGENCY PROGRAM: BUREAU OF HIV AND STD PREVENTION TERM: September 01, 2001 THRU: February 28, 2002 SECTION I. SCOPE OF WORK: PERFORMING AGENCY shall conduct prevention activities to help prevent infection and reduce the transmission of the Hepatitis C Virus (HCV) and other blood borne pathogens. Project activities and materials shall be appropriate to the target populations identified in PERFORMING AGENCY'S objectives described below. Strategies to accomplish the projects shall demonstrate cost-effectiveness, innovation, coordination, and collaboration with other community efforts. PERFORMING AGENCY shall comply with all applicable federal and state laws, rules, regulations, standards, and guidelines in effect on the beginning date of this contract Attachment unless amended. The following documents are incorporated by reference and made a part of this contract Attachment. These include: • RECEIVING AGENCY'S HIV/STD Guidelines, January 1998, and any revisions; • Chapters 81 and 85 of the Health and Safety Code; 25 TAC Chapter 97 and 98, Subchapter B; • Chapter 93 Health and Safety Code (relating to Education and Prevention Programs for Hepatitis C); • RECEIVING AGENCY'S Quality Care: Client Services Standards for Public Health and Community Clinics revised June 1997; and, • Morbidity and Mortality Weekly Report: "Recommendations for Prevention and Control of Hepatitis C Virus (HCV) Infection and HCV -Related Disease", Centers for Disease Control and Prevention, October 16, 1998. Within thirty (30) days of receipt of an amended standard(s) or guideline(s), PERFORMING AGENCY shall inform RECEIVING AGENCY Program, in writing, if it will not continue performance under this contract Attachment in compliance with the amended standard(s) or guideline(s). RECEIVING AGENCY may terminate the contract Attachment immediately or within a reasonable period of time as determined by RECEIVING AGENCY. PERFORMING AGENCY shall immediately comply with all applicable policies adopted by RECEIVING AGENCY Program. ATTACHMENT — Page 1 All information and educational materials developed and provided by PERFORMING AGENCY shall be accurate, comprehensive, and culturally sensitive for the targeted population. PERFORMING AGENCY shall perform all activities in accordance with RECEIVING AGENCY Program's Continuation Request for Proposal (RFP) dated March 12, 2001, and PERFORMING AGENCY'S objectives, work plan, and detailed budget as approved by RECEIVING AGENCY Program. Prevention activities under this Scope of Work include quality assurance activities, referral activities, and Prevention Counseling (PC) activities. QUALITY ASSURANCE ACTIVITIES: PERFORMING AGENCY shall ensure that the delivery of high-quality prevention activities is consistent, and ensure that interventions are delivered in accordance with established requirements and standards in order to maintain high performance expectations of prevention staff and promote consistent and accurate data collection processes for use in program evaluation. PERFORMING AGENCY shall comply with the following quality assurance guidelines: 1. Develop an orientation plan for new prevention staff, 2. Develop staff development plans for new and current staff; 3. Ensure documented monitoring and evaluation of staff performance: a. Monthly for new staff members; b. Bi -monthly for staff employed over six (6) months; and, c. Quarterly for staff employed over one (1) year. PERFORMING AGENCY shall keep written records of staff monitoring and evaluations on file. RECEIVING AGENCY Program may specify forms or models for staff monitoring and evaluation. Information related to quality assurance activities will be reviewed by RECEIVING AGENCY Program as needed during program reviews; 4. Solicit client feedback (e.g., client surveys) and provide a summary of the client feedback for each intervention at least once a year; 5. Designate staff to be responsible for quality assurance activities, including ensuring accurate and consistent data collection and reporting; and, 6. Facilitate RECEIVING AGENCY Program review of all prevention activities provided by PERFORMING AGENCY. REFERRAL ACTIVITIES: ATTACHMENT — Page 2 PERFORMING AGENCY shall: Develop information regarding available referral sources for persons at high-risk for HCV infection and persons with HCV infection, including substance abuse treatment, medical care, mental health services, support groups, and other relevant services; and, • Provide key referral linkages and document and track referrals. PREVENTION COUNSELING (PC) ACTIVITIES: PERFORMING AGENCY shall: • Provide an individual -level intervention of counseling programs for persons at risk of HIV/STD/Viral Hepatitis infection due to individual sexual behavior, drug use, or other risk behaviors. PERFORMING AGENCY shall establish and maintain a confidential HCV testing program with referrals to other testing and treatment services as appropriate. Testing for HCV will be provided only to persons recognized by RECEIVING AGENCY as high-risk for HCV infection as referenced in RECEIVING AGENCY Program's HIV/STD Guidelines, January 1998 or any revisions; Maintain client counseling records that include all issues discussed in counseling which are relevant to HCV risk and prevention. Documentation shall show that relevant counseling standards were met, or will explain why they were not met. All counseling records shall be confidentially secured and maintained in accordance with RECEIVING AGENCY Program's HIV/STD Guidelines, January 1998 and any revisions; Use RECEIVING AGENCY Program's HIV Counseling and Testing Report Form and the Hepatitis C Supplemental Form to collect demographic information and unlinked test result data; and, • Utilize RECEIVING AGENCY'S laboratory for testing of all specimens. PERFORMING AGENCY shall authorize their staff to attend training, conferences, and meetings for which funds were budgeted and approved by RECEIVING AGENCY Program. PERFORMANCE MEASURES The following performance measures will be used to assess, in part, PERFORMING AGENCY'S effectiveness in providing the services described in this contract Attachment, without waiving the enforceability of any of the other terms of the contract. PERFORMING AGENCY shall provide prevention contacts that involve one-on-one interaction between a counselor and client as reflected in PERFORMING AGENCY'S ATTACHMENT — Page 3 objectives and work plan and in accordance with RECEIVING AGENCY Program's HIV/STD Guidelines, January 1998, and any revisions. PERFORMING AGENCY shall provide outreach services to clients who live or receive services in the county(ies)/area defined as: Lubbock. High-risk individuals seeking HCV prevention counseling shall be served regardless of residency. REPORTING REQUIREMENTS: PERFORMING AGENCY shall provide quarterly activity reports of the number of contacts with clients at high risk for HCV infection, due within twenty (20) calendar days after the end of each quarter. Such reports shall be submitted in the standard format provided by RECEIVING AGENCY Program. PERFORMING AGENCY shall also submit HIV Counseling and Testing Report Form and Hepatitis C Supplemental Form on each client receiving a PC session, due no later than thirty (30) calendar days after initial PC session has been conducted in order to aid RECEIVING AGENCY Program in tracking the number of PC sessions provided statewide. The reports and data shall be completed to the satisfaction of RECEIVING AGENCY Program for reimbursement vouchers to be processed. If the reports and data do not meet these conditions, RECEIVING AGENCY Program may impose sanctions as described in the General Provisions, Sanctions Article. TRAINING REQUIREMENTS COURSE TITLE PARTICIPANTS PRE -REQUISITE REQUIREMENTS Prevention PC staff Successful completion Successful completion of Counseling and of self -study PCPE RECEIVING Partner pre -course and a score AGENCY'S recognized Elicitation of 80% or greater on course within six (6) training the Comprehensive months of employment. (PCPE) Course PCPE Pre -Course Test PCPE Supervisors of HCV Complete PCPE Supervisors shall attend Supervisor's prevention counselors training this course within one (1) Course year of becoming a supervisor STD Facts and PERFORMING N/A Encouraged to attend and Fallacies AGENCY Program complete training staff HCV PC Staff Complete PCPE Encouraged to attend and Professional training complete training Didactic ATTACHMENT — Page 4 SECTION II. SPECIAL PROVISIONS: General Provisions, Assurances Article, is revised to include the following: PERFORMING AGENCY shall comply with all federal and state non-discrimination statutes, regulations, and guidelines. PERFORMING AGENCY shall provide services without discrimination on the basis of race, color, national origin, age, disability, ethnicity, gender, religion, or sexual orientation. General Provisions, Records Retention Article, is revised to include the following: All records pertaining to this contract Attachment shall be retained by PERFORMING AGENCY and made available to RECEIVING AGENCY, the Comptroller General of the United States, the Texas State Auditor, or any of their representatives, and in accordance with RECEIVING AGENCY'S General Provisions. General Provisions, Patient or Client Records Article, is revised to include the following: Neither PERFORMING AGENCY, nor any subrecipient, shall transfer a client or patient record through any means, including electronically, to another entity or person, or subrecipient without written consent from the client or patient, or someone authorized to act on his or her behalf. RECEIVING AGENCY will have access to client or patient records in the possession of PERFORMING AGENCY, or any subrecipient, under authority of the Health and Safety Code, Chapters 81 and 85, and the Medical Practice Act, Texas Occupations Code, Chapter 159. In such cases, RECEIVING AGENCY shall keep confidential any information obtained from the client or patient record, as required by the Health and Safety Code, Chapter 81, and Texas Occupations Code, Chapter 159. Due to the sensitive and highly personal nature of HCV information, strict adherence to the General Provisions, Confidentiality Article is required. In addition to these conditions, PERFORMING AGENCY will comply with RECEIVING AGENCY Program's HIV/STD Guidelines, January 1998. All of the above -referenced documents are incorporated herein and made a part of this contract Attachment as though written herein verbatim. PERFORMING AGENCY shall maintain current formal written agreements with other RECEIVING AGENCY contractors within each jurisdiction as directed by RECEIVING AGENCY to ensure effective coordinated partner services. ATTACHMENT — Page 5 PERFORMING AGENCY shall comply with the Health and Safety Code, §85.085, Physician Supervision of Medical Care, to ensure a licensed physician shall supervise any medical care or procedure provided under a testing program. ATTACHMENT — Page 6 SECTION III. BUDGET: PERSONNEL FRINGE BENEFITS TRAVEL EQUIPMENT SUPPLIES CONTRACTUAL OTHER TOTAL DIRECT CHARGES INDIRECT CHARGES TOTAL Total reimbursements will not exceed $ 6,000.00. Financial status reports are due the 30th of December, and the 30th of May. ATTACHMENT — Page 7 $0.00 0.00 1,250.00 0.00 3,500.00 0.00 1,250.00 $6,000.00 $0.00 $6,000.00 Resolution No. 2001-80316 DOCUMENT NO. 7560005906-2002 ATTACHMENT NO. 04 PERFORMING AGENCY: LUBBOCK CITY HEALTH DEPARTMENT RECEIVING AGENCY PROGRAM: BUREAU OF REGIONAL/LOCAL HEALTH OPERATIONS TERM: September 01, 2001 THRU: August 31, 2002 SECTION I. SCOPE OF WORK: ESSENTIAL PUBLIC HEALTH SERVICES PERFORMING AGENCY shall use direct assistance and/or financial assistance, as specified in SECTION III., BUDGET, from RECEIVING AGENCY to deliver one or more of the following essential public health services as specified in PERFORMING AGENCY'S FY 02 Service Delivery Plan which is adopted by reference: • Monitor the health status of individuals in the community to identify community health problems; • Diagnose and investigate community health problems and community health hazards; • Inform, educate, and empower the community with respect to health issues; • Mobilize community partnerships to identify and solve community health problems; • Develop policies and plans that support individual and community efforts to improve health; • Enforce laws and rules that protect the public that protect health and ensure safety in accordance with those laws and rules; • Link individuals who have a need for community and personal health services to appropriate community and private providers; • Ensure a competent workforce for the provision of essential public health services; • Research for new insights and innovative solutions to community health problems; and • Evaluate the effectiveness, accessibility and quality of personal and population based health services in a community. Two types of support are available under this program: (1) direct assistance in the form of state - paid positions and/or (2) financial assistance from General Revenue funds and the Preventive Health and Health Services Block Grant. DIRECT ASSISTANCE ATTACHMENT — Page 1 State -paid positions under this contract Attachment shall perform activities as specified in PERFORMING AGENCY'S FY 02 Service Delivery Plan. Activities shall be specific to one or more of the ten essential public health services or cardiovascular and cancer activities. FINANCIAL ASSISTANCE PERFORMING AGENCY shall direct General Revenue or 73.5% of the funds toward the delivery of a broad range of essential public health services and the Preventive Health and Health Services Block Grant or 26.5% of the funds for activities designed to reduce the incidence of cancer and cardiovascular disease. PERFORMANCE MEASURES The following performance measures(s) will be used to assess, in part, PERFORMING AGENCY'S effectiveness in providing the services described in this contract Attachment, without waiving the enforceability of any of the other terms of the contract. For the General Revenue funds the PERFORMING AGENCY shall submit quarterly progress reports which describe accomplishments, challenges, barriers, impact and progress toward achieving the work plan goals and objectives contained in PERFORMING AGENCY'S FY 02 Service Delivery Plan. These reports shall include the progress and activities of the employees in state -paid positions under the "000" budget. For the Preventive Health and Health Services Block funds the PERFORMING AGENCY shall complete activities in the approved service delivery plan no later than August 31, 2002 to reduce cardiovascular disease and cancer in your community. One report is required. SECTION II. SPECIAL PROVISIONS General Provisions, Reports Article, is revised to include the following paragraph: PERFORMING AGENCY shall submit quarterly reports to the appropriate RECEIVING AGENCY Regional Director in the format specified by RECEIVING AGENCY Program within thirty (30) days following the end of each quarter. PERFORMING AGENCY shall submit an Annual Expenditures Report to RECEIVING AGENCY Program within sixty (60) days following the end of PERFORMING AGENCY'S fiscal year. General Provisions, Allowable Costs and Audit Requirements Article, is revised to include the following: RECEIVING AGENCY'S appropriate Public Health Region will provide staff to assess PERFORMING AGENCY with an annual Quality Assurance Audit. ATTACHMENT — Page 2 SECTION III. BUDGET: DIRECT ASSISTANCE Direct assistance involves the assignment of state funded positions in lieu of cash. State salary warrants for net earnings will be issued in accordance with state regulations. PERSONNEL $25,392.00 TRAVEL 0.00 LABORATORY SUPPORT 0.00 OTHER 0.00 TOTAL $25,392.00 Financial status reports (FSRs) are not required on direct assistance. Program income generated from activities supported with direct assistance will be reported on FSRs required for financial assistance provided through this Attachment, if applicable, or through other program Attachments(s) benefitting from this assistance. RECEIVING AGENCY direct assistance will not exceed $ 25,392.00. ATTACHMENT — Page 3 FINANCIAL ASSISTANCE Financial assistance involves payment of funds to Performing Agency for costs incurred in carrying out approved activities. PERSONNEL 63,787.00 FRINGE BENEFITS 30,331.00 TRAVEL 0.00 EQUIPMENT 0.00 SUPPLIES 0.00 CONTRACTUAL 0.00 OTHER 0.00 TOTAL $94,118.00 RECEIVING AGENCY financial assistance will not exceed $ 94,118.00. TOTAL RECEIVING AGENCY assistance will not exceed $ 119,510.00. Financial status reports are due the 30th of December, 30th of March, 30th of June, and the 30th of November. ATTACHMENT — Page 4 CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS GRANTS LOANS AND COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief that: (1) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or an employee of any agency, a member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. (2) If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, 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 undersigned shall complete and submit Standard Form -111, "Disclosure Form to Report Lobbying," in accordance with it's instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. TmW Cance Print Name of Authorized Individual 7560005906 2002-04 Application or Cohtract Number LUBBOCK CITY HEALTH DEPARTMENT Organization IName and Address 1902 TEXAS AVENUE LUBBOCK, TX 79457-0000 g-:4® -e / Date Resolution No. 2001-RO316 DOCUMENT NO. 7560005906-2002 ATTACHMENT NO. 05 PERFORMING AGENCY: LUBBOCK CITY HEALTH DEPARTMENT RECEIVING AGENCY PROGRAM: INFECTIOUS DISEASE EPIDEMIOLOGY AND SURVEILLANCE TERM: September 01, 2001 THRU: August 31, 2002 SECTION I. SCOPE OF WORK: PERFORMING AGENCY shall maintain an advanced capacity laboratory to enhance their ability to perform rapid non -culture techniques and confirmatory techniques. PERFORMING AGENCY'S laboratory division shall: • Maintain a level B capacity laboratory; • Maintain extensive collaboration with all hospitals located in their service area to plan for response activities for bioterroristic threats; • Maintain a system for safe specimen transport from local laboratories when necessary; and • Explore the capabilities and needs of local laboratories. PERFORMING AGENCY'S laboratory division's microbiologist shall be responsible for training others, setting up and performing all procedures, monitoring and evaluations, communicating with all other laboratories, and interacting with RECEIVING AGENCY and the Centers for Disease Control and Prevention. SECTION II. SPECIAL PROVISIONS None ATTACHMENT — Page 1 SECTION III. BUDGET: PERSONNEL $0.00 FRINGE BENEFITS 0.00 TRAVEL 1,011.00 EQUIPMENT* 4,000.00 SUPPLIES 2,430.00 CONTRACTUAL 0.00 OTHER 8,000.00 TOTAL $15,441.00 Total reimbursements will not exceed $15,441.00. Financial status reports are due the 30th of December, 30th of March, 30th of June, and the 30th of November. * Equipment list attached. ATTACHMENT — Page 2 PERFORMING AGENCY: LUBBOCK CITY HEALTH DEPARTMENT RECEIVING AGENCY PROGRAM: INFECTIOUS DISEASE EPIDEMIOLOGY AND SURVEILLANCE TDH DOC. NO: 7560005906 02 ATTACHMENT NO: 05 Change No. 01 EQUIPMENT LIST ITEM DESCRIPTION NO. OF UNIT EXTENSION UNITS COST 001 Thermo Forma's 3110 Series II Universal Water Jacketed CO2 Incubator with 1 4,000.00 $ 4,000.00 the following: * incubator is water jacketed for added temperataure stability; * capacity 6.5 cu.ft.; * 100% HEPA filtered airflow for control of airborne contamination; * heated dual pane inner door for guicker recovery to uniform temperature after door openings; * removable and replaceable inner door gasket for easy cleaning; * 100% covered corners to eliminate cracks for contamination growth; * polished stainless steel interior, providing a smooth surface for cleaning; * microbiological filters on all gass inlets and outlets and sample ports; * microprocessor control/monitoring system including displays for temperature, CO2 and message display; * thermal conductivity CO2 sensor; * programmable tracking alarms for temperature and CO2; * independent over -temperature safety; * all probes and sensors located inside cabinet for faster recovery; * field reversible inner and outer doors; * directed air -flow for quicker temperature recovery and better uniformity; * includes five (5) heavy gauge square perforated stainless steel shelves; * incubators are stackable w/brackets included; * incubator is UL, CSA, CE Marked, Year 2000 compliant and ISO 9001; * warranty includs one (1) year parts and labor w/a five (5) year TC sensor parts warranty and lifetime warranty on water jacket. TOTALS $ 4,000.00 Items may be brand name, if specified, or equivalent. Equipment List Page 1 Resolution No. 2001-RO316 DOCUMENT NO. 7560005906-2002 ATTACHMENT NO. 06 PERFORMING AGENCY: LUBBOCK CITY HEALTH DEPARTMENT RECEIVING AGENCY PROGRAM: IMMUNIZATION DIVISION TERM: September 01, 2001 THRU: August 31, 2002 SECTION I. SCOPE OF WORK: The goal of RECEIVING AGENCY Program is to prevent, control, and eliminate vaccine - preventable diseases by providing and administering biologicals, promoting immunizations, conducting vaccine -preventable disease surveillance, assessing vaccine coverage levels, and applying principles of epidemiology and outbreak control measures within budgetary constraints. PERFORMING AGENCY shall implement an immunization program for children, adolescents, and adults, with special emphasis on accelerating interventions to improve the immunization coverage of children two years of age or younger (less than 36 months of age). PERFORMING AGENCY shall incorporate traditional and non-traditional, systematic approaches designed to eliminate barriers, expand immunization delivery, and establish uniform policies. PERFORMING AGENCY shall provide services as outlined in PERFORMING AGENCY'S Fiscal Year (FY) 2002 Contract Renewal Application and Work Plan and revisions, if any, as agreed to and approved by RECEIVING AGENCY Program. These documents are adopted by reference and made a part of this contract Attachment. Any revisions to these documents shall be approved by RECEIVING AGENCY Program and transmitted in writing to PERFORMING AGENCY. PERFORMING AGENCY shall report all reportable conditions as specified in 25 TAC §§97.61- 97.77 and 97.101-97.102. PERFORMING AGENCY shall report all vaccine adverse event occurrences in accordance with the National Childhood Vaccine Injury Act of 1986. PERFORMING AGENCY shall inform and educate the public about vaccines and vaccine - preventable diseases. PERFORMING AGENCY shall develop policies and plans that support individual and community-based immunization strategies and evaluate effectiveness, accessibility, and quality of personal and population -based immunization services and program activities. ATTACHMENT — Page 1 PERFORMING AGENCY shall ensure a health care workforce that is knowledgeable about vaccines, vaccine -preventable diseases, and delivery of vaccination services. PERFORMING AGENCY shall assist in distributing state -supplied vaccines to Texas Health Steps providers, Medicaid providers, physicians, and other providers and organizations within PERFORMING AGENCY'S local area. PERFORMING AGENCY shall not deny vaccinations to recipients because they do not reside within PERFORMING AGENCY'S jurisdiction. PERFORMING AGENCY shall maintain an accurate, up-to-date list of clinics and sites where public sector (free or low cost) immunization services are offered in PERFORMING AGENCY'S local area. No fee may be charged for vaccines provided by RECEIVING AGENCY Program. All vaccines obtained from RECEIVING AGENCY Program shall be used solely for purposes of this contract Attachment and shall not be sold to agencies or individuals. PERFORMING AGENCY shall not collect vaccine administration fees from Medicaid recipients. Vaccine administration fees collected from non -Medicaid patients shall be kept within guidelines established by RECEIVING AGENCY. In accordance with 25 TAC §1.91, no one shall be denied immunization services in public clinics because of inability to pay the administration fee. Fee schedules shall not be based on vaccine type, formulation, or dose in series. A copy of PERFORMING AGENCY'S fee schedule shall be submitted to RECEIVING AGENCY Program with the submission of the FY 2002 Contract Renewal Application and Work Plan. All equipment and vaccine used by PERFORMING AGENCY which are provided by RECEIVING AGENCY Program, shall be accounted for as public property. RECEIVING AGENCY Program will investigate equipment or vaccine loss, destruction, spoilage, or other waste and may require PERFORMING AGENCY to replace or reimburse RECEIVING AGENCY Program. PERFORMING AGENCY shall provide the parent, managing conservator, or guardian of each patient with a form that is approved by RECEIVING AGENCY Program in compliance with 25 TAC, Chapter 100 to authorize participation in the statewide immunization registry (ImmTrac). PERFORMING AGENCY shall provide RECEIVING AGENCY Program weekly data transfers of all vaccines administered in a format that is compatible for inclusion in the statewide immunization registry (ImmTrac). PERFORMING AGENCY shall comply with all applicable federal and state laws, rules, regulations, standards, and guidelines in effect on the beginning date of this contract Attachment ATTACHMENT — Page 2 unless amended. The following documents are incorporated by reference and made a part of this contract Attachment. • PERFORMING AGENCY'S FY 2002 Contract Renewal Application, and any revisions; • Human Resources Code §42.043, VTCA; • Education Code §§38.001-38.002, VTCA; • Health and Safety Code §§81.023 and 161.001-161.009, VTCA; • 25 TAC §§97.61-97.77 and 97.101-97.102; • 25 TAC, Chapter 96; • 25 TAC, Chapter 100; • 42 USC §§247b and 300 as -25; • Omnibus Budget Reconciliation Act of 1993, 26 USC §498013; • RECEIVING AGENCY'S Client Services Standards for Public Health and Community Clinics, revised June 1997; • RECEIVING AGENCY'S Vaccine -Preventable Disease Surveillance guidelines, http://www.tdh.state.tx.us/immunize/docs/guide.htm; • RECEIVING AGENCY'S Pharmacy guidelines; • Centers for Disease Control and Prevention's Advisory Committee on Immunization Practices (ACIP) guidelines, including the statement: "Immunization of Health -Care Workers"; and • Standards for Pediatric Immunization Practices, February 1996, recommended by the National Vaccine Advisory Committee, approved by the United States Public Health Service, and endorsed by the American Academy of Pediatrics. Within thirty (30) days of receipt of an amended standard(s) or guideline(s), PERFORMING AGENCY shall inform RECEIVING AGENCY Program, in writing, if it will not continue performance under this Attachment in compliance with the amended standard(s) or guideline(s). RECEIVING AGENCY may terminate the Attachment immediately or within a reasonable period of time as determined by RECEIVING AGENCY. PERFORMANCE MEASURES The following performance measure(s) will be used, in part, to assess PERFORMING AGENCY'S effectiveness in providing the services described in this contract Attachment to the service area, without waiving the enforceability of any of the terms of the contract. PERFORMING AGENCY shall investigate 100% of all reported vaccine -preventable diseases in accordance with RECEIVING AGENCY'S Vaccine -Preventable Disease Surveillance Guidelines. PERFORMING AGENCY shall investigate 100% of suspected hepatitis B infections in pregnant women to assure appropriate treatment and follow-up as directed by Health and ATTACHMENT — Page 3 Safety Code §81.090 and RECEIVING AGENCY'S Vaccine -Preventable Disease Surveillance Guidelines. PERFORMING AGENCY shall provide RECEIVING AGENCY Program monthly reports of doses administered submitted by the fifteenth calendar day of each month for the previous calendar month, in formats approved by RECEIVING AGENCY Program. PERFORMING AGENCY shall implement an immunization reminder and/or recall system to notify parents or guardians of children less than 36 months of age when immunizations are due. The notifications may be automated or manual and may consist of mail or telephone contacts. PERFORMING AGENCY shall conduct immunization audits in 100% of assigned childcare facilities and registered family homes. PERFORMING AGENCY shall conduct annual assessments in 100% of local health department sites, sub -contracted entities, and WIC clinics using the Assessment Feedback Initiative eXchange (AFIX) methodology. PERFORMING AGENCY shall submit assessment results to RECEIVING AGENCY Program within two (2) weeks after completion. PERFORMING AGENCY shall offer to conduct annual assessments in 100% of Texas Vaccines for Children (TVFC)-enrolled private provider sites using the Assessment Feedback Initiative Exchange (AFIX) methodology. PERFORMING AGENCY shall conduct monitoring visits in 25% of Texas Vaccines for Children Program (TVFC)-enrolled provider sites using the RECEIVING AGENCY'S monitoring tool and methodology. PERFORMING AGENCY shall submit monitoring report to RECEIVING AGENCY Program within two (2) weeks after completion of visit. PERFORMING AGENCY shall recruit and enroll providers into the TVFC program. SECTION II. SPECIAL PROVISIONS General Provisions, Reports Article, is revised to include the following: PERFORMING AGENCY shall submit quarterly program reports to RECEIVING AGENCY Program according to the following timelines and in the formats provided by RECEIVING AGENCY Program. ATTACHMENT — Page 4 NAME OF REPORT APPLICABLE QUARTERS DUE DATES Immunization Program - September, October, November December 30 Performance Measure December, January, February March 30 Quarterly Report March, April, May June 30 June, July, August September 30 Immunization Program - September, October, November December 30 Recruitment Quarterly Report December, January, February March 30 March, April, May June 30 June, July, August September 30 For immunization activities performed under this contract Attachment, General Provisions, Overtime Compensation Article is not applicable. In addition, PERFORMING AGENCY shall comply with the following paragraphs: PERFORMING AGENCY is authorized to pay employees who are not exempt under the Fair Labor Standards Act (FLSA), 29 USC, Chapter 8, §201 et seq., for overtime or compensatory time at the rate of time and one-half per FLSA. PERFORMING AGENCY is authorized to pay employees who are exempt under FLSA on a straight time basis for work performed on a holiday or for regular compensatory time hours when the taking of regular compensatory time off would be disruptive to normal business operations. Authorization for payment under this provision is limited to work directly related to immunization activities and shall be in accordance with the amount budgeted in this contract Attachment. PERFORMING AGENCY shall document proper authorization or approval for any work performed by exempt or non-exempt employees in excess of forty (40) hours per work week. ATTACHMENT — Page 5 SECTION III. BUDGET: PERSONNEL FRINGE BENEFITS TRAVEL EQUIPMENT SUPPLIES CONTRACTUAL OTHER TOTAL DIRECT CHARGES INDIRECT CHARGES TOTAL Total reimbursements will not exceed $109,783.00. $77,705.00 32,078.00 0.00 0.00 0.00 0.00 0.00 $109,783.00 $0.00 $109,783.00 Financial status reports are due the 30th of December, 30th of March, 30th of June, and the 30th of November. ATTACHMENT Page 6 CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS GRANTS LOANS AND COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief that: (1) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or an employee of any agency, a member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. (2) If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, 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 undersigned shall complete and submit Standard Form -111, "Disclosure Form to Report Lobbying," in accordance with it's instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Si44� gnature TaW Cmden Print Name of Authorized Individual 7560005906 2002-06 Application or Cobtract Number LUBBOCK CITY HEALTH DEPARTMENT Organization Name and Address 1902 TEXAS AVENUE LUBBOCK, TX 79457-0000 Date Resolution No. 2001-RO316 DOCUMENT NO. 7560005906-2002 ATTACHMENT NO. 07 PERFORMING AGENCY: LUBBOCK CITY HEALTH DEPARTMENT RECEIVING AGENCY PROGRAM: BUREAU OF HIV AND STD PREVENTION TERM: September 01, 2001 THRU: August 31, 2002 SECTION I. SCOPE OF WORK: PERFORMING AGENCY shall conduct active surveillance and reporting activities for human immunodeficiency virus/acquired immunodeficiency syndrome (HIV/AIDS). PERFORMING AGENCY shall comply with all applicable federal and state laws, rules, regulations, standards, and guidelines in effect on the beginning date of this contract Attachment unless amended. The following documents are incorporated by reference and made a part of this contract Attachment. These include: • Chapters 81 and 85 of the Health and Safety Code; • Relevant portions of Chapter 6A (Public Health Service) of Title 42 (The Public Health and Welfare) of the United States Code, as amended; • 25 TAC Chapter 97; and • RECEIVING AGENCY'S Quality Care: Client Services Standards for Public Health and Community Clinics, revised June 1997. PERFORMING AGENCY shall perform all activities in accordance with PERFORMING AGENCY'S application, activities work plan and any revisions, and detailed budget as approved by RECEIVING AGENCY Program. All of the above-named documents are incorporated herein by reference and made a part of this contract Attachment. All revisions to these documents shall be approved by RECEIVING AGENCY Program and transmitted in writing to PERFORMING AGENCY. The activities required to carry out these projects are outlined in the Centers for Disease Control and Prevention (CDC) Guidelines for HIV/AIDS Surveillance, April 1996, and RECEIVING AGENCY Program's grant applications and awards by CDC, which are the basis for this contract Attachment. Copies have been provided to RECEIVING AGENCY Program. Within thirty (30) days of receipt of an amended standard(s) or guideline(s), PERFORMING AGENCY shall inform RECEIVING AGENCY Program, in writing, if it will not continue performance under this Attachment in compliance with the amended standard(s) or ATTACHMENT — Page 1 guideline(s). RECEIVING AGENCY may terminate the contract Attachment immediately or within a reasonable period of time as determined by RECEIVING AGENCY. PERFORMING AGENCY shall immediately comply with all applicable policies adopted by RECEIVING AGENCY Program. PERFORMING AGENCY shall be responsible to RECEIVING AGENCY Program for the design, maintenance and evaluation of an active surveillance system for AIDS cases. For the purpose of this contract Attachment, HIV infection and AIDS are as defined by the Centers for Disease Control and Prevention of the United States Public Health Service in accordance with the Health and Safety Code §81.101. The publication designating the most current definition may be requested from RECEIVING AGENCY. PERFORMING AGENCY shall perform the following: 1. REPORTING a. Establish and maintain communications with key community and medical groups, individuals, and laboratories within PERFORMING AGENCY'S geographic jurisdiction. b. Collect reports of HIV infections and AIDS cases diagnosed and/or treated within PERFORMING AGENCY'S geographic jurisdiction. C. Report cases to RECEIVING AGENCY Program on a weekly basis. 2. REGISTRY MAINTENANCE a. Maintain a case file on all confirmed and suspected cases of HIV infections and AIDS diagnosed and/or treated within PERFORMING AGENCY'S geographic jurisdiction. b. Maintain a current list of key reporting sources. 3. SYSTEM EVALUATION a. Review and provide thorough follow-up on a minimum of eighty percent (80%) of suspected cases identified by RECEIVING AGENCY Program's alternate record review systems in order to enhance case ascertainment and validate the effectiveness of local surveillance efforts. b. Track reporting by local sources in order to monitor the level of compliance to reporting laws and level of case ascertainment. ATTACHMENT Page 2 Q 5. EPIDEMIOLOGIC INVESTIGATIONS a. Initiate epidemiologic investigations on newly reported No Identified Risk (NIR) cases within five (5) days of receipt of case report through contact with appropriate health care provider or the review of medical records. b. Assist RECEIVING AGENCY Program with other epidemiologic investigations as deemed necessary by RECEIVING AGENCY Program or CDC. CK9INOWMIN ", Aflm a. Store all case files and computer diskettes containing patient information in a locked file cabinet when not in use. The locked file cabinet and surveillance computer shall be kept in a locked room with limited, controlled access. b. Utilize passwords to access computer databases containing HIV/AIDS case data. Passwords shall be changed monthly and known only to surveillance personnel. C. Limit the number of persons who have keys to registry files to persons directly involved in case reporting. d. Require a statement of confidentiality to be signed by all personnel having access to HIV/AIDS case files and computer diskettes and kept on file by PERFORMING AGENCY. e. PERFORMING AGENCY may release demographic analysis of local data as public information as long as it cannot lead to the identity of an individual. RECEIVING AGENCY Program will monitor PERFORMING AGENCY'S expenditures on a quarterly basis. If expenditures are above or below those projected in SECTION III: BUDGET, PERFORMING AGENCY'S contract Attachment amount may be subject to increase or decrease for the remainder of the contract Attachment period. PERFORMING AGENCY shall authorize its staff to attend training, conferences, and meetings for which funds are budgeted and approved by RECEIVING AGENCY Program. PERFORMANCE MEASURES The following performance measure(s) will be used to assess, in part, PERFORMING AGENCY'S effectiveness in providing the services described in this contract Attachment, without waiving the enforceability of any of the other terms of the contract. ATTACHMENT — Page 3 0 1. PERFORMING AGENCY shall collect case information for an estimate 50 cases and information shall be entered into the computerized HIV/AIDS Reporting System (HARS). PERFORMING AGENCY shall transfer the collected information on a weekly basis to RECEIVING AGENCY Program. PERFORMING AGENCY may request RECEIVING AGENCY Program to extend the timetable for transferring data to monthly. Any agreement shall be in writing and signed by both parties. 2. RECEIVING AGENCY Program will provide HIV/AIDS case reporting activities for cases diagnosed in the following geographic area(s): Lubbock. 3. PERFORMING AGENCY shall complete and submit semi-annual activity reports demonstrating PERFORMING AGENCY'S conduct of HIV/AIDS case - finding activities. These reports shall be submitted to RECEIVING AGENCY Program on the 20th day of July and January in a format provided by RECEIVING AGENCY Program. SECTION II. SPECIAL PROVISIONS: General Provisions, Assurances Article, is revised to include the following: PERFORMING AGENCY shall comply with all federal and state non-discrimination statutes, regulations, and guidelines. PERFORMING AGENCY shall provide services without discrimination on the basis of race, color, national origin, age, disability, ethnicity, gender, religion, or sexual orientation. General Provisions, Records Retention Article, is revised to include the following: All records pertaining to this contract Attachment shall be retained by PERFORMING AGENCY and made available to RECEIVING AGENCY, the Comptroller General of the United States, the Texas State Auditor, or any of their authorized representatives, and in accordance with RECEIVING AGENCY'S General Provisions. General Provisions, Patient or Client Records Article, is revised to include the following: Neither PERFORMING AGENCY nor any subrecipient shall transfer a client or patient record through any means, including electronically, to another entity, or person, or subrecipient without written consent from the client or patient, or someone authorized to act on his or her behalf. RECEIVING AGENCY shall have access to a client record (including a patient record) in the possession of PERFORMING AGENCY, or any subrecipient, under authority of the Health and Safety Code, Chapters 81 and 85, and the Medical Practice Act, Texas ATTACHMENT — Page 4 Occupations Code, Chapters 159. In such cases, RECEIVING AGENCY will keep confidential any information obtained from the client or patient record, as required by the Health and Safety Code, Chapter 81, and Texas Occupations Code, Chapters 159. Due to the sensitive and highly personal nature of HIV/AIDS-related information, PERFORMING AGENCY shall require its personnel to adhere strictly to the General Provisions, Confidentiality Article.. ATTACHMENT — Page 5 4 ► SECTION III. BUDGET: PERSONNEL $31,844.00 FRINGE BENEFITS 11,973.00 TRAVEL 2,500.00 EQUIPMENT 0.00 SUPPLIES 750.00 CONTRACTUAL 0.00 OTHER 0.00 TOTAL DIRECT CHARGES $47,067.00 INDIRECT CHARGES $3,184.00 TOTAL $50,251.00 Total reimbursements will not exceed $50,251.00. Financial status reports are due the 30th of December, 30th of March, 30th of June, and the 30th of November. Based on UGMS, indirect cost may be recovered up to 10% of the direct salary and wage costs of providing the service (excluding overtime, shift premiums, and fringe benefits). ATTACHMENT — Page 6 x, a TEXAS DEPARTMENT OF HEALTH 1100 WEST 49TH STREET AUSTIN, TEXAS 78756-3199 STATE OF TEXAS COUNTY OF TRAVIS Resolution No. 2001—RO316 TDH Document No. 7560005906 2002 Contract Change Notice No. 02 The Texas Department of Health, hereinafter referred to as RECEIVING AGENCY, did heretofore enter into a contract in writing with LUBBOCK CITY HEALTH DEPARTMENT hereinafter referred to as PERFORMING AGENCY. The parties thereto now desire to amend such contract attachment(s) as tollows: SUMMARY OF TRANSACTION: ATT NO. 08 : AC FAMILY HEALTH - POPULATION BASED 6 All terms and conditions not hereby amended remain in full force and effect. 8 EXECUTED IN DUPLICATE ORIGINALS ON THE DATES SHOWN. CITY OF LUBBOCK HEALTH DEPARTMENT Authorized Contracting Entity (type above if different from PERFORMING AGENCY) for and in behalf of: PERFORMING AGENCY: LU%&,u ITY ALTH E ENT 111B gof perin alWrized to sign) Wh* Sittcn, Mayor (Name and Title) Date: August 30, 2001 . RECOMMEND By: r KCIZ94," (PERFORMING A CY Director, if different from person authorized to sign contract TaW Cmdm, Health Director RECEIVING AGENCY: TEXAS DEPARTMENT OF HEALTH By: (Signatur of person authorized to sig Melanie A. Doyle, Director Grants Management Division (Name and Title) Date: ° /(C-4 r Cover Page 1 cam, City to 7D GMD - Rev. 12/00 Att/ Amd No. 01 02 03 04 05 06 07 08 TDH DETAILS OF ATTACHMENTS TDH Program ID Term Financial Assistance Direct Assistance Total Amount (TDH Share) Begin End Source of Amount Funds* HIV/PREV 01/01/01 12/31/01, 93.940 46,350.00 0.00 46,350.00 TB/PC 09/01/01 08/31/02 State 19,998.00 0.00 19,998.00 HIV/HEP 09/01/01 02/28/02 State 6,000.00 0.00 6,000.00 BRLHO 09/01/01 08/31/02 State 93.991 94,118.00 25,392.00 119,510.00 IDEAS 09/01/01 08/31/02 93.283 15,441.00 0.00 15,441.00 IMM/LOCALS 09/01/01 08/31/02 State 93.268 109,783.00 0.00 109,783.00 HIV/SURV 09/01/01 08/31/02 State 50,251.00 0.00 50,251.00 ACFH/POP 09/01/01 08/31/02 State 51,181.00 0.00 51,181.00 )ocument No.7560005906 2002 Totals $393,122.00 e No. 02 $ 25,392.00 $418,514.00 *Federal funds are indicated by a number from the Catalog of Federal Domestic Assistance (CFDA), if applicable. REFER TO BUDGET SECTION OF ANY ZERO AMOUNT ATTACHMENT FOR DETAILS. Cover Page 2 Resolution No. 2001-RO316 DOCUMENT NO. 7560005906-2002 ATTACHMENT NO. 08 PERFORMING AGENCY: LUBBOCK CITY HEALTH DEPARTMENT RECEIVING AGENCY PROGRAM: ASSOCIATE COMMISSIONER FOR FAMILY HEALTH TERM: September 01, 2001 THRU: August 31, 2002 SECTION I. SCOPE OF WORK: PERFORMING AGENCY shall perform public health preventive services related to women, children, and their families in order to address local health needs; to build the local public health infrastructure; and to improve the health status of women, children, and families. PERFORMING AGENCY shall comply with all applicable federal and state laws, rules, regulations, standards, and guidelines in effect on the beginning date of this contract Attachment unless amended. The following documents are incorporated by reference and made part of this contract Attachment: • RECEIVING AGENCY Family & Community Health Services Grants Fiscal Year 02 Competitive Request for Proposal (RFP) for Title V Population -Based projects; • PERFORMING AGENCY FY 02 Component II, Attachment B Application, and any revisions; • Client Services Standards for Public Health and Community Clinics, revised June, 1997; • RECEIVING AGENCY'S Quality Assurance (QA) Title V - Population Based On -Site Evaluation Report (designed to be used with QA Core Tool), which requires monthly time sheets to document staff time on work plan activities, invoices of all expenditures, logs of dated activities with sign -in sheets for public presentations; and • Title V Policy and Procedures Manual revised for FY 02. Within thirty (30) days of receipt of an amended standard(s) or guideline(s), PERFORMING AGENCY shall inform RECEIVING AGENCY Program, in writing, if it will not continue performance under this Attachment in compliance with the amended standard(s) or guideline(s). RECEIVING AGENCY may terminate the Attachment immediately or within a reasonable period of time as determined by RECEIVING AGENCY. PERFORMING AGENCY shall implement its approved work plan in consultation with RECEIVING AGENCY'S Public Health Region (PHR) Title V Manager and Central Office Coordinator for public health preventive services. ATTACHMENT — Page 1 RECEIVING AGENCY'S PHR Director, as coordinator of regional services, will assist RECEIVING AGENCY staff in providing direction to PERFORMING AGENCY. RECEIVING AGENCY personnel will provide technical assistance and training to PERFORMING AGENCY, as needed. PERFORMING AGENCY shall cooperate with RECEIVING AGENCY staff to attain the goals of unified community health assessment, policy development, coordinated services, and quality assurance and to prevent unnecessary duplication of services. PERFORMANCE MEASURES The following performance measures will be used to assess, in part, PERFORMING AGENCY'S effectiveness in providing the services described in this contract Attachment, without waiving the enforceability of any of the other terms of this contract. • PERFORMING AGENCY shall submit quarterly reports on project activities to RECEIVING AGENCY'S PHR Title V Manager for review, assessment, and transmission to Central Office Coordinator within thirty (30) days of the end of each quarter. Quarterly reports shall describe accomplishments, challenges, barriers, impact, and progress in achieving the goals and objectives contained in PERFORMING AGENCY'S FY 02 Title V Application work plan, and any revisions. • The quarterly progress report shall be in the format specified by RECEIVING AGENCY in the Title V Policy and Procedures Manual and through any amended guidelines. • PERFORMING AGENCY shall provide public health preventative services to women, children, and their families who live or receive services in the following counties/area: Lubbock. • PERFORMING AGENCY shall submit a comprehensive final report on FY 02 work plan activities on or before September 30, 2002. This final report shall include the findings of an evaluation to determine the effectiveness of project activities in addressing local health needs, in building the local public health infrastructure, and in improving public health status. SECTION II. SPECIAL PROVISIONS: General Provisions, Reports Article, is revised to include the following: PERFORMING AGENCY shall submit quarterly and year-end financial reports, in the format specified by RECEIVING AGENCY Program, within thirty (30) days of the end of each quarter and within ninety (90) days of the end of the contract Attachment term detailing the activities performed and the objectives achieved with the funding provided under this contract Attachment. PERFORMING AGENCY shall submit other reports as deemed necessary by RECEIVING AGENCY Program. ATTACHMENT - Page 2 General Provisions, Inspections Article, is revised to include the following: In addition to the site visits authorized by the Inspections Article of the General Provisions, PERFORMING AGENCY shall allow RECEIVING AGENCY to conduct on-site quality assurance reviews as deemed necessary by RECEIVING AGENCY. Unsatisfactory review findings may result in implementation of General Provisions, Sanctions Article. PERFORMING AGENCY shall notify RECEIVING AGENCY Program immediately in the event of any significant change affecting PERFORMING AGENCY'S identity, ownership or control, name, governing board membership, vendor identification, medical or program director, or address. Failure to disclose the required information or inaccurate disclosure by PERFORMING AGENCY may be treated as a material breach of this contract Attachment and may be grounds for termination. ATTACHMENT — Page 3 SECTION III. BUDGET: PERSONNEL FRINGE BENEFITS TRAVEL EQUIPMENT SUPPLIES CONTRACTUAL OTHER TOTAL DIRECT CHARGES INDIRECT CHARGES TOTAL Total reimbursements will not exceed $51,181.00 . $31,304.00 11,269.00 2,318.00 0.00 6,290.00 0.00 0.00 $51,181.00 $0.00 $51,181.00 Financial status reports are due the 30th of December, 30th of March, 30th of June, and the 30th of November. ATTACHMENT — Page 4