HomeMy WebLinkAboutResolution - 2013-R0300 - Agreement - DSHS - Grant Funding, Public Health - 09/26/2013Resolution No. 2013—RO300
September 26, 2013
Item No. 5.1.4
RESOLUTION
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK:
THAT the City Manager of the City of Lubbock is hereby authorized and directed
to execute for and on behalf of the City of Lubbock, an agreement with the State of
Texas' Department of State Health Services (DSHS) to obtain grant funding for services
or goods to improve or strengthen the local public health capacity to respond to both
emerging and continuing public health threats.
This contract includes the following grants:
(1) IMM/LOCALS Immunization Branch -Locals, Contract No. 2014-001290-00;
(2) CPS/HAZARDS Public Health Emergency Preparedness (PREP), Contract No.
2014-001284-00;
(3) RLSSiLPHS RLSS. Local Public Health System - PnP, Contract No. 2014-
001286-00; and
(4) STD/HIV STD/HIV prevention services, Contract No. 2014-0012351-00.
Said agreement is attached hereto and incorporated in this Resolution as if fully set forth
herein and shall be included in the minutes of the Council.
Passed by the City Council this _*%pJ_ -;:- �� 2013.
G ROBERTSON, MAYOR
ATTEST:
e cca arza, City ecre r ry
APPROVED AS TO CONTENT (1 of 2)
(regarding (2) CPS/HAZARDS Public Health Emergency Preparedness (PREP), Contract
No. 2014-001284-00, only):
Mike Kemp, Fire Chief
APPROVED AS TO CONTENT (2 of 2)
(regarding (1) IMM/LOCALS Immunization Branch -Locals, Contract No. 2014-001290-
00; (3) RLSS/LPHS RLSSiLocal Public Health System - PnP, Contract No. 2014-
001286-00; and (4) STD/HIV STD/HIV prevention services, Contract No. 2014-
0012351-00, only):
Scott Snider, Assistant City Manager, Health Services
APPROVED AS TO F
9.1.2013. doc
Resolution N0. 2013—R0300
Administrative Information:
City Assigned Grant Number:
Grant Name:
Grant Effective Date:
Grant Provider/Agency:
Grant Award Amount:
Amount City Grant Match:
Funding Source of Grant Match:
City of Lubbock, TX
Grant Award
New Grant - Budget Detail
August 19, 2013
Personnel Information:
Number of full-time positions funded w/grant
Title of Position
Public Health Emergency Preparedness Coordinator $
Public Health Emergency Preparedness Nurse
Strategic National Stockpile Specialist _
Total $ 132,618 68,113 200,731 -
81096
Public Health Emergency Preparedness
9/1/2013 - 8/31/2014
Texas Department of State Health Services
$ 250,632
25,063
In-kind match
3
Annual Annual General
Salary Benefits Grant Fund
47,305
24,296
71,601
52,029
26,722
78,751
33,284
17,095
50,379
Budget Information:
Grant Appropriation Detail
Full-time Salary
Benefits
Travel (quarterly grant meetings, emergency management conf., mileage, etc)
Supplies
Office supplies
Training supplies
Medical supplies
Equipment
Other
Advertisement to promote awareness
Sponsored trainings
Misc (printing, vehicle maintenance, postage, cable, radio charges, etc.)
Cost
$ 132,618
68,113
6,653
4,750
6,363
9,595
5,250
7,750
9,540
Total Appropriation $ 250,632
Resolution No. 2013-RO300
DEPARTMENT OF STATE HEALTH SERVICES
CONTRACT 2014-001284-00
This Contract is entered into by and between the Department of State Health Services (DSHS or
the Department), an agency of the State of Texas, and City of Lubbock (Contractor), a
Governmental, (collectively, the Parties) entity.
1. Purpose of the Contract: DSHS agrees to purchase, and Contractor agrees to provide,
services or goods to the eligible populations.
2. Total Amount: The total amount of this Contract is $250,632.00.
3. Funding Obligation: This Contract is contingent upon the continued availability of funding. If
funds become unavailable through lack of appropriations, budget cuts, transfer of funds between
programs or health and human services agencies, amendment to the Appropriations Act, health
and human services agency consolidation, or any other disruptions of current appropriated funding
for this Contract, DSHS may restrict, reduce, or terminate funding under this Contract.
4. Term of the Contract: This Contract begins on 09/01/2013 and ends on 08/31/2014. DSHS
has the option, in its sole discretion, to renew the Contract. DSHS is not responsible for payment
under this Contract before both parties have signed the Contract or before the start date of the
Contract, whichever is later.
5. Authority: DSHS enters into this Contract under the authority of Health and Safety Code,
Chapter 1001.
6. Program Name: CPS/HAZARDS Public Health Emergency Preparedness (PNEP)
7. Statement of Work:
Contractor shall perform activities in support of the Public Health Emergency Preparedness Cooperative
Agreement (Funding Opportunity Number CDC-RFA-TP1 2-120102CONT1 3) from the Centers for Disease
Control and Prevention (CDC). CDC's five-year Public Health Emergency Preparedness (PNEP) —
Hospital Preparedness Program (HPP) Cooperative Agreement seeks to align PHEP and HPP programs
and advance public health and healthcare preparedness.
Contractor shall perform the activities required under this Program Attachment in the Service Area
designated in the most recent version of Section 8. "Service Area" of this contract.
Contractor shall address the following CDC PHEP Capabilities by prioritizing the order of the fifteen (15)
public health preparedness capabilities in which the Contractor intends to invest based upon:
A. A jurisdictional risk assessment using the Texas Public Health Jurisdictional Risk Assessment Tool
(TxPHRAT);
B. The assessment of current capabilities and gaps (using the TxPHRAT);
Capability 1 — Community Preparedness:
Definition: Community Preparedness is the ability of communities to prepare for, withstand, and recover —
in both the short and long terms — from public health incidents.
Capability 2 — Community Recovery:
Definition: Community Recovery is the ability to collaborate with community partners, e.g., healthcare
organizations, business, education, and emergency management) to plan and advocate for the rebuilding
of public health, medical, and mental/behavioral health systems to at least a level of functioning comparable
to pre -incident levels and improved levels where possible.
Capability 3 — Emergency Operations Center Coordination:
Definition: Emergency Operations coordination is the ability to direct and support an event or incident with
public health or medical implications by establishing a standardized, scalable system of oversight,
organization, and supervision consistent with jurisdictional standards and practices with the National
Incident Management System.
Capability 4 — Emergency Public Information and Warning:
Definition: Emergency public information and warning is the ability to develop, coordinate, and disseminate
information, alerts, warnings, and notifications to the public and incident management responders.
Capability 5 — Fatality Management:
Definition: Fatality management is the ability to coordinate with other organizations (e.g., law enforcement,
healthcare, emergency management, and medical examiner/coroner) to ensure the proper recovery,
handling, identification, transportation, tracking, storage, and disposal of human remains and personal
effects; certify cause of death, and facilitate access to mental/behavioral health services to the family
members, responders, and survivors of an incident.
Capability 6 — Information Sharing:
Definition: Information sharing is the ability to conduct multijurisdictional, multidisciplinary exchange of
health-related information and situational awareness data among federal, state, local, territorial, and tribal
levels of government, and the private sector. This capability includes the routine sharing of information as
well as issuing of public health alerts to federal, state, local, territorial, and tribal levels of government and
the private sector in preparation for and in response to events or incidents of public health significance.
Capability 7 — Mass Care:
Definition: Mass Care is the ability to coordinate with partner agencies to address the public health,
medical, and mental/behavioral health needs of those impacted by an incident at a congregate location.
This capability includes the coordination of ongoing surveillance and assessment to ensure that local health
needs to continue to me met as the incident evolves.
Capability 8 — Medical Countermeasure Dispensing:
Definition: Medical countermeasure dispensing is the ability to provide medical countermeasures
(including vaccines, antiviral drugs, antibiotics, antitoxin, etc.) in support of treatment or prophylaxis (oral or
vaccination) to the identified population in accordance with public health guidelines and/or
recommendations.
Capability 9 — Medical Material Management and Distribution:
Definition: Medical material management and distribution is the ability to acquire, maintain (e.g., cold chain
storage or other storage protocol), transport distribute, and track medical material (e.g., pharmaceuticals,
gloves, masks, and ventilators) during an incident and to recover and account for unused medical material,
as necessary, after an incident.
Capability 10 — Medical Surge:
Definition: Medical surge is the ability to provide adequate medical evaluation and care during events that
exceed the limits of the normal medical infrastructure of an affected community. It encompasses the ability
of the healthcare system to survive a hazard impact and maintain or rapidly recover operations that were
compromised.
Capability 11 — Non -Pharmaceutical Interventions:
Definition: Non -pharmaceutical interventions are the ability to recommend to the applicable lead agency (if
not public health) and implement, if applicable, strategies for disease, injury, and exposure control.
Strategies include the following: isolation and quarantine; restrictions on movement and travel
advisory/warnings; social distancing; external decontamination; hygiene; and precautionary behaviors.
Capability 12 — Public Health Laboratory Testing:
Definition: Public health laboratory testing is the ability to conduct rapid and conventional detection,
characterization, confirmatory testing, data reporting, investigative support, and laboratory networking to
address actual or potential exposure to all -hazards. Hazards include chemical, radiological, and biological,
and biological agents in multiple matrices that may include clinical samples, food, and environmental
samples (e.g., water, air, and soil). This capability supports routine surveillance, including pre -event
incident and post -exposure activities.
Capability 13 — Public Health Surveillance and Epidemiological Investigations:
Definition: Public health surveillance and epidemiological investigation is the ability to create, maintain,
support, and strengthen routine surveillance and detection systems and epidemiological investigation
processes, as well as to expand these systems and processes in response to incidents of public health
significance.
Capability 14 — Responder Safety and Health:
Definition: The responder safety and health capability describes the ability to protect public health agency
staff responding to an incident and the ability to support the health and safety needs of hospital and medical
facility personnel, if requested.
Capability 15 — Volunteer Management:
Definition: Volunteer management is the ability to coordinate the identification, recruitment, registration,
credential verification, training, and engagement of volunteers to support the jurisdictional public health
agency's response to incidents of public health significance.
DSHS encourages partnership and collaboration within, between, and among public health and medical
care partners in jurisdictions across the State of Texas in preparedness activities. Partnership
opportunities may include, but are not limited to, plan development or updating, exercises, training, and
responding to incidents, events, or emergencies.
Contractor shall comply with all applicable federal and state laws, rules, and regulations including, but not
limited to, the following:
• Public Law 107-188, Public Health Security and Bioterrorism Preparedness and Response Act of 2002;
• Public Law 109-417, Pandemic and All Hazards Preparedness Act of 2006; and
• Chapter 81, Texas Health and Safety Code.
Contractor shall comply with all applicable regulations, standards and guidelines in effect on the beginning
date of this Program Attachment. This is an inter -local agreement under Chapter 791 of the Government
Code.
Through this Program Attachment DSHS and Contractor are furnishing a service related to homeland
security and under the authority of Texas Government Code § 421.062, neither agency is responsible for
any civil liability that may arise from furnishing any service under this Program Attachment.
The following documents and resources are incorporated by reference and made a part of this Program
Attachment:
• Department of Health and Human Services, Centers for Disease Control and Prevention (CDC), Public
Health Emergency Preparedness Cooperative Agreement, Funding Opportunity Number:
CDC-RFA-TP1 2-1202CONT1 3
• Public Health Preparedness Capabilities: National Standards for State and Local Planning, March
2011:http://www.cdc.gov/phpr/capabilities/DSLR—capabilities—July.pdf.
• Presidential Policy Directive 8/PPD-8, March 30, 2011:
http://www. hlswatch.com/wp-contenVu ploads/2011 /04/PPD-8-Preparedness. pdf;
• Budget Period 2 Public Health Emergency Preparedness Work Plan for Local Health Departments,
attached as Exhibit A;
• Budget Period 2 Public Health Emergency Preparedness Work Plan for Local Health Departments,
attached as Exhibit B;
• Contractor's FY14 Applicant Information and Budget Detail for FY14 base cooperative agreement;
• DSHS Exercise Program Templates & Guidance located at;
http://www.dshs.state.tx.us/commprep/exercises.aspx
• Homeland Security Exercise and Evaluation Plan (HSEEP) Documents:
https://hseep.dhs.gov/pages/1001_HSEEP7.aspx;
• Ready or Not? Have a Plan; Surviving Disaster: How Texans Prepare (videos):
http://www.texasprepares.org/survivingdisaster.htm; and
• Preparedness Program Guidance(s) as provided by DSHS and CDC
Pandemic and All -Hazards Preparedness Reauthorization Act of 2013
http://www.govtrack.us/congress/bills/113/hr307
• Contractors Financial Procedures Manual dated September 1, 2012 or latest version located at:
http://www.dshs.state.tx.us/contracts/cfpm.shtm.
The CDC PHEP Budget Period 2 funds awarded herewith must be matched by costs or third party
contributions that are not paid by the Federal Government under another award, except where authorized
by Federal statute to be used for cost sharing or matching. The non-federal contributions (match) may be
provided directly or through donations from public or private entities and may be in cash or in-kind
donations, fairly evaluated, including plant, equipment, or services. The costs that the Contractor incurs in
fulfilling the matching or cost-sharing requirement are subject to the same requirements, including the cost
principles, that are applicable to the use of Federal funds, including prior approval requirements and other
rules for allowable costs as described in 45 CFR 74.23 and 45 CFR 92.24.
The Contractor is required to provide matching funds for PHEP Budget Period 2 of the Funding Opportunity
Number CDC-RFA-TP1 2-120102CONT1 3 not less than 10% of total costs. Refer to the DSHS
Contractor's Financial Procedures Manual, Chapter 9 (http://www.dshs.state.tx.us/contracts/cfpm.shtm) for
additional guidance on match requirements, including descriptions of acceptable match resources.
Documentation of match, including methods and sources, must be included in the Contractor's contract
budget, and Contractor must follow procedures for generally accepted accounting practices as well as
meet audit requirements.
Contractor shall coordinate activities and response plans within the jurisdiction, with state, regional, other
local jurisdictions, and tribal entities (where appropriate), and with local agencies, hospitals, health care
systems, jurisdictional Metropolitan Medical Response Systems, and Councils of Government.
If Contractor agrees to perform public health preparedness services for another county in exchange for all
or a portion of the other county's funding allocation, Contractor shall submit to DSHS a signed
Memorandum of Agreement (MOA) between Contractor and the other county. The MOA shall outline
services, timelines, deliverables and the amount of funds agreed upon by both parties.
Contractor shall notify DSHS in advance of Contractor's plans to participate in or conduct local exercises,
in a format specified by DSHS. Contractor shall participate in statewide or sub -state regional exercises as
required to assess the capacity of Contractor to respond to bioterrorism, outbreaks of infectious disease,
and other public health threats and emergencies. Contractor shall prepare and submit to DSHS
After -Action Reports (AARs), documenting and correcting any identified gaps or weaknesses in
preparedness plans identified during exercises in a format specified by DSHS and in compliance with
Homeland Security Exercise and Evaluation Plan (HSEEP) standards.
Contractor shall cooperate with DSHS to coordinate all planning, training and exercises performed under
this Program Attachment with local emergency management and the Texas Division of Emergency
Management (TDEM) District Coordinators assigned to the contractor's sub -state region, to ensure
consistency and coordination of requirements at the local level and eliminate duplication of effort between
the various domestic preparedness funding sources in the state.
Contractor shall participate in the Texas Disease Reporting Program described in Chapter 81, Texas
Health and Safety Code by:
A. Educating, training and providing technical assistance to local providers and hospitals on Texas
reportable disease requirements;
B. Monitoring participation by local providers and hospitals in appropriately reporting notifiable conditions;
C. Conducting disease surveillance and reporting notifiable conditions to the appropriate DSHS regional
office;
D. Coordinating with DSHS regional Epidemiology Response Team members to build an effective
statewide system for rapid detection of unusual outbreaks of illness through notifiable disease and
syndromic or other enhanced surveillance; and
E. Reporting immediately all illnesses resulting from bioterrorism, chemical emergencies, radiological
emergencies, or other unusual events and data aberrations as compared to background surveillance data
to the jurisdiction's respective DSHS Health Service Region (HSR) regional office or to DSHS.
Contractor shall coordinate all risk communication activities with the DSHS Communications Unit by using
DSHS's core messages posted on the DSHS website, and submitting copies of draft risk communication
materials to DSHS for coordination prior to dissemination.
In the event of a public health emergency involving a portion of the state, Contractor shall mobilize and
dispatch staff or equipment purchased with funds from the previous PHEP cooperative agreement and that
are not performing critical duties in the jurisdiction served to the affected area of the state upon receipt of a
written request from DSHS.
Contractor shall inform DSHS in writing if Contractor shall not continue performance under this Program
Attachment within thirty (30) days of receipt of an amended standard(s) or guideline(s). DSHS may
terminate the Program Attachment immediately or within a reasonable period of time as determined by
DSHS.
Contractor shall develop, implement, and maintain a timekeeping system for accurately documenting staff
time and salary expenditures for all staff funded through this Program Attachment, including partial FTEs
and temporary staff.
DSHS reserves the right, where allowed by legal authority, to redirect funds in the event of financial
shortfalls. DSHS will monitor Contractor's expenditures on a quarterly basis. If expenditures are below that
projected in Contractor's total Contract amount, Contractor's budget may be subject to a decrease for the
remainder of the Contract term. Vacant positions existing after ninety (90) days may result in a decrease in
funds.
PERFORMANCE MEASURES:
Contractor must complete PHEP Evidence -Based Benchmarks as outlined in the attached Exhibit A,
Public Health Emergency Preparedness Work Plan for Local Health Departments Exhibit A and B, and as
noted below:
1. Demonstrated adherence to PHEP reporting deadlines; and
2. Demonstrated capability to receive, stage, store, distribute, and dispense materiel
during a public health emergency.
Failure to meet these deliverables may result in withholding a portion of the fiscal year 2014 PHEP base
award.
Contractor shall document the following PHEP Evidence -based Benchmarks:
1. Demonstrated adherence to PHEP reporting deadlines.
A PHEP Budget Period 2 mid -year progress report is due to DSHS December 20, 2013. The report will
include a status update on CDC -defined performance measures as well as an update on current
preparedness status and self -identified gaps based on the public health emergency preparedness
capabilities as they relate to overall jurisdictional needs, and interim financial reports.
An Annual PHEP Budget Period 2 progress report is due to DSHS July 31, 2014. The report will include an
update on work plan activities, budget expenditure reports, CDC -defined performance measurement
activities and data, and preparedness accomplishments, success stories, and program impact statements.
2. Demonstrated capability to receive, stage, store, distribute, and dispense materiel during a public health
emergency.
As part of a response to public health emergencies, Contractor must be able to provide countermeasures
to 100% of the identified population within 48 hours after the formal federal request. To achieve this
standard, Contractor must maintain the capability to plan and execute the receipt, staging, storage,
distribution, and dispensing of material during a public health emergency.
a. Complete self -assessments using the Technical Assistance Review (TAR) tool due 2 weeks before the
documentation review with Central Office. The benchmark score is a 69.
b. Perform and submit metrics on three (3) Strategic National Stockpile (SNS) operational drills to
SharePoint and submit After Action Reviews / Improvements Plans for these drills to the exercise team.
Both are due no later than April 1, 2014.
c. Demonstrate compliance with current programmatic medical countermeasure guidance through
submission of point of dispensing (POD) standards data by loading POD standards document to
SharePoint no later than April 1, 2014.
d. Contractors within the three identified CRI/MSA Planning Areas must participate in one joint full-scale
distribution/dispensing exercise that include all pertinent jurisdictional leadership and emergency
management support function leads, planning and operational staff, and all applicable personnel in the
Metropolitan Statistical Area or Health Service Region within the 2011 to 2016 performance period.
BILLING INSTRUCTIONS:
Contractor shall request payment electronically through the Contract Management and Procurement
System (CMPS) with acceptable supporting documentation for reimbursement of the required
services/deliverables. Billing will be performed according to CMPS instructions found at the following link
http://www.dshs.state.tx.us/cmps/. For assistance with CMPS, please email CMPS@dshs.state.tx.us or
call 1-855-312-8474.
8. Service Area
Lubbock County County
This section intentionally left blank.
10. Procurement method:
Non -Competitive
GST -2012 -Solicitation -00043
11. Renewals:
Number of Renewals Remaining: 3
12. Payment Method:
Cost Reimbursement
13. Source of Funds:
93.069, 93.069, 93.069, 93.069
14. DUNS Number:
058213893
Interagency/Interlocal
RLHS GOLIVE HAZARDS PROPOSAL
Date Renewals Expire: 08/31/2017
This section intentionally left blank.
16. Special Provisions
General Provisions, Compliance and Reporting Article I, is revised to include:
Contractor shall submit programmatic reports as directed by DSHS in a format specified by DSHS.
Contractor shall provide DSHS other reports, including financial reports, and any other reports that DSHS
determines necessary to accomplish the objectives of this contract and to monitor compliance. If
Contractor is legally prohibited from providing such reports, Contractor shall immediately notify DSHS in
writing.
Contractor shall provide reports as requested by DSHS to satisfy information -sharing Requirements set
forth in Texas Government Code, Sections 421.071 and 421.072 (b) and (c).
The email address for submitting mid -year reports, annual reports, and any additional programmatic
reports is PHEP@dshs.state.tx.us
General Provisions, Services Article II, Disaster Services, Section 2.02 is amended to include the
following:
In the event of a local, state, or federal emergency the Contractor has the authority to utilize approximately
5% of staffs time supporting this Program Attachment for response efforts. DSHS shall reimburse
Contractor up to 5% of this Program Attachments funded by Center for Disease Control and Prevention
(CDC) for personnel costs responding to an emergency event. Contractor shall maintain records to
document the time spent on response efforts for auditing purposes. Allowable activities also include
participation of drills and exercises in the pre -event time period.
Contractor shall notify the Assigned Contract Manager in writing when this provision is implemented.
General Provisions, Payment Methods and Restrictions Article IV, Billing Submission Section 4.02, is
amended to include the following:
Contractor shall submit requests for reimbursement or payment, or revisions to previous reimbursement
request(s), no later than August 14, 2014 for costs incurred between the services dates of September 1,
2013 and June 30, 2014.
General Provisions, Terms and Conditions of Payment Article IV, is revised to include:
DSHS will monitor Contractor's billing activity and expenditure reporting on a quarterly basis. Based on
these reviews, DSHS may reallocate funding between contracts to maximize use of available funding.
General Provisions, Allowable Costs and Audit Requirements Article VI, is amended to include the
following:
For the purposes of this Program Attachment, funds may not be used for: fundraising activities, lobbying,
research; construction, major renovations, reimbursement of pre -award costs; clinical care; the purchase of
vehicles, funding an award to another parry or provider who is ineligible, or backfilling costs for staff new
construction, or the purchase of incentive items.
General Provisions, Access and Inspection Article IX, Access Section 9.01 is hereby revised to include the
following:
In addition to the site visits authorized by this Article of the General Provisions, Contractor shall allow DSHS
to conduct on-site quality assurance reviews of Contractor. Contractor shall comply with all DSHS
documentation requests and on-site visits. Contractor shall make available for review all documents related
to the Statement of Work and Exhibit A, upon request by the DSHS Program staff.
General Provisions, General Business Operations of Contractor Article XII, Equipment Purchases
(Including Controlled Assets), Section 12.20, is revised as follows:
Contractor is required to initiate the purchase of approved equipment no later than August 31, 2014 as
documented by issue of a purchase order or written order confirmation from the vendor on or before August
31, 2014. In addition, all equipment must be received no later than 60 calendar days following the end of
the Program Attachment term.
General Provisions, General Terms Article VIII, Amendment Section 13.15, is amended to include the
following:
Contractor must submit all amendment and revision requests in writing to the Division Contract
Management Unit at least 90 days prior to the end of the term of this Program Attachment.
17. Documents Forming Contract. The Contract consists of the following:
a. Contract (this document) 2014-001284-00
b. General Provisions Subrecipient General Provisions
c. Attachments Budgets
d. Declarations Certification Regarding Lobbying, Fiscal
Federal Funding Accountability and
Transparency Act (FFATA) Certification
e. Exhibits HAZARDS Exhibit A
Any changes made to the Contract, whether by edit or attachment, do not form part of the Contract
unless expressly agreed to in writing by DSHS and Contractor and incorporated herein.
18. Conflicting Terms. In the event of conflicting terms among the documents forming this Contract, the
order of control is first the Contract, then the General Provisions, then the Solicitation Document, if any, and
then Contractor's response to the Solicitation Document, if any.
19. Payee. The Parties agree that the following payee is entitled to receive payment for services rendered
by Contractor or goods received under this Contract:
Name: City of Lubbock
Vendor Identification Number: 17560005906
20. Entire Agreement. The Parties acknowledge that this Contract is the entire agreement of the Parties
and that there are no agreements or understandings, written or oral, between them with respect to the
subject matter of this Contract, other than as set forth in this Contract.
I certify that I am authorized to sign this document and I have read and agree to all parts of the contract,
including any attachments and addendums.
Department of State Health Services
By:
Signature of Authorized Official
Date
Name and Title
1100 West 49th Street
Address
Austin, TX 787-4204
City, State, Zip
Telephone Number
E-mail Address
City of Lubboc
By:
Sign A KrizedOfficial
Sep mber :6,
Date
Glen C. Robertson, Mayor
Name and Title
1625 13th Street
Address
Lubbock, TX 79401
City, State, Zip
(806) 775-2003
Telephone Number
grobertson@mylubbock.us
E-mail Address
ao
Attest edAttestGarza C ty re ry
AWPnVED AS TO COdTW-
EXHIBIT A
Public Health Emergency Preparedness Work Plan
for Local Health Departments
PPCPS/HAZARDS
Budget Period 2
Introduction
DSHS developed this work plan in support of the Public Health Emergency Preparedness Cooperative Agreement
(Funding Opportunity Number CDC-RFA-TP1 2-120102-CONT1 3) from the Centers for Disease Control and Prevention
(CDC). The funding opportunity announcement addresses alignment of the Public Health Emergency Preparedness
(PNEP) Program and the Hospital Preparedness Program (HPP) through a five-year project period from FY 2012 to
2017.
DSHS also developed this work plan in the spirit of flexibility and continuous quality improvement providing local health
departments the ability to accomplish the intent of the PHEP - HPP Cooperative Agreement with as much latitude as
possible while adhering to the guidance of the funding opportunity announcement.
The work plan consists of the following sections that describe the activities and deliverables for PHEP Budget Period 2:
I. Public Health Preparedness Capabilities
II. Annual Requirements
III. CDC -Defined Performance Measures
IV. PHEP Evidence -based Benchmarks
Public Health Emergency Preparedness (PNEP) Capabilities
Public health departments continue to face multiple challenges, including an ever -evolving list of public health
threats. The Centers for Disease Control and Prevention (CDC) developed fifteen (15) capabilities to assist health
departments with assessing preparedness capacity as well as developing strategic plans. The CDC's Public Health
Preparedness Capabilities: National Standards for State and Local Planning is a published document found at the
following link: http://www.cdc.gov/phpr/capabilities/DSLR_capabilities_July.pdf).
The activities associated with this work plan link directly to the capability standards briefly outlined in Section I
Statement of Work of the Program Attachment and found in full detail in the pdf document referenced above.
During this project period, Texas Department of State Health Services (DSHS), with consultation from the CDC, intends
to foster closer alignment between the PHEP Program and Hospital Preparedness Program (HPP). Grant alignment is
a long-term initiative that will continue to evolve throughout the project period as PHEP and HPP seek additional
opportunities to improve administrative and programmatic collaboration. DSHS recognizes the capabilities required to
fulfill HPP and PHEP programmatic goals differ but increased collaboration will serve to strengthen both programs.
When appropriate, PHEP funding should support collaborative work with HPP toward capability capacity.
In 2011, CDC released a Public Health Capabilities Planning Model
(hftp://www.cdc.gov/phpr/capabilities/DSLR_capabilities_July.pdf (pg 6-9) that describes a high-level planning process
public health departments may wish to follow as they address the 15 public health capabilities. The planning model
allows local health departments to use the public health preparedness capabilities to a) determine preparedness
priorities, b) plan appropriate preparedness activities, and c) demonstrate and evaluate achievement of capabilities
through exercises, planned events, and real incidents. Contractors are encouraged to use routine activities and real
incidents to demonstrate and evaluate the public health preparedness capabilities.
DSHS with consultation from the CDC strongly recommends that local health departments utilize a prioritization
strategy to determine their work and the resulting investments regarding the 15 public health preparedness capabilities
across the five-year project period based upon:
A. The assessment of current capabilities and gaps (using the TxPHRAT);
B. A jurisdictional risk assessment (using the TxPHRAT);
Activity 1 for Section I, PHEP Capabilities:
Using the CDC Capabilities Planning Guide, Contractors should conduct strategic mapping of their work plan for the
remaining project period (through FY 2017) to include capability prioritization.
Deliverable 1 for Activity 2 for Section I, PHEP Capabilities
Contractors should submit a strategic map to DSHS by October 31, 2013 on a template provided by DSHS.
Activity 2 for Section I, PHEP Capabilities: Update Texas Public Health Jurisdictional Risk Assessment tool
(TxPHRAT) with new Capabilities Planning Guide (CPG) data
Deliverable 1 for Activity 2 for Section I, PHEP Capabilities
Using new CPG data, Contractor will update the Texas Public Health Jurisdictional Risk Assessment Tool
(TxPHRAT). An updated tool must be completed and uploaded to the Texas Public Health Information Network
(TxPHIN) by June 30, 2014. The TXPHIN tool is available
at: http://www.dshs.state.tx.us/layouts/contentpage.aspx?pageid=8589954779&id=8589957698&terms=PHEP
II. Annual Requirements
Contractors are required to submit plans, program data, progress reports, and financial data outlining progress in
addressing annual requirements including evidence -based benchmarks, objective standards, and performance
measures data. Reports will also include information on outcomes of preparedness exercises regarding strengths,
weaknesses, and associated corrective actions; accomplishments highlighting the impact and value of the PHEP
program in local jurisdictions to include enhanced capacity from previous budget years; and descriptions of incidents
requiring activations of emergency operations centers. Reports must describe preparedness activities conducted with
PHEP funds, the purposes for which PHEP funds were spent, and the extent to which Contractors met stated goals
and objectives. To assist Contactors, DSHS will provide a reporting template consistent with information required by
CDC to meet the following annual planning/reporting requirements for 2013 to 2014.
1) HPP and PHEP Program Alignment
Contractors must demonstrate progress in coordinating public health and healthcare preparedness program activities
and leveraging funding to support those activities as well as tracking accomplishments highlighting the impact of the
HPP and PHEP programs in contractors' jurisdictions.
2) Exercise Planning and Implementation
Contractors must revise current multi-year training and exercise plans or develop a new multi-year training and
exercise plan for conducting training and exercises to develop and test public health and healthcare preparedness
capabilities.. Training and exercise plans must demonstrate coordination with relevant entities and include methods to
leverage resources to the maximum extent possible. Updated multi-year training and exercise plans must be submitted
to DSHS annually. Plans must include training and exercise schedules and describe exercise goals and objectives,
identified capabilities to be tested, inclusion of at -risk individuals, participating partner organizations, and previously
identified improvement plan items from real incidents or previous exercises.
One Annual Preparedness Exercise
Contractors will conduct at least one (1) preparedness exercise annually according to the Contractor's exercise plan
and developed in accordance with Homeland Security Exercise and Evaluation Program (HSEEP)
standards. Contractor will submit to DSHS an exercise notification following the Concept and Objectives meeting but,
no later than 90 days prior to the exercise and a final After Action Review/Improvement Plan within 60 days of the
exercise.
These exercises can include a tabletop exercise, a functional exercise, or a full-scale exercise to test preparedness
and response capabilities. Following such exercises, Contractors will report identified strengths, weaknesses, and
corrective actions taken to address material weaknesses. See the DSHS Exercise Program Guidance document for
detailed exercise requirements.
Contractors must conduct one, joint full-scale exercise within the five-year project period. Joint full-scale exercises
should meet multiple program requirements including PHEP, HPP and Strategic National Stockpile requirements where
possible to minimize the burden on exercise planners and participants.
3) Volunteer Recruitment and Management (Capability 15, Volunteer Management) If Contractors are using
volunteers, such as Medical Reserve Corps or Strategic National Stockpile (SNS) point of dispensing volunteers), then
Contractors must enter volunteers into the Texas Disaster Volunteer Registry, the Texas Emergency System for
Advance Registration of Volunteer Health Professionals (ESAR-VHP) system and utilize this system as their primary
volunteer management tool. Data should be updated into the Texas Disaster Volunteer Registry by November 30,
2013 (mid -year) and July 31, 2014 (end -of -year).
4) Coordination among cross -cutting public health preparedness programs PHEP program components as a whole
should complement and be coordinated with other public health and healthcare programs as applicable. For example,
some functions within the Public Health Laboratory, Public Health Surveillance and Epidemiological Investigation and
Information Sharing capabilities may mutually support activities as described in CDC's Epidemiology and Laboratory
Capacity (ELC) for Infectious Diseases cooperative agreement. Contractors should work with immunization programs
and partners on syndromic surveillance and other activities to assure preparedness for vaccine -preventable diseases,
influenza pandemics, and other events requiring a response.
5) Stakeholder Engagement (Capability 1, Community Preparedness, Function 2 and Capability 2, Community
Recovery, Function 1)
Contractors should identify the appropriate jurisdictional partner to address the emergency preparedness, response,
and recovery needs of older adults regarding public health, medical and mental health behavioral needs and address
processes and accomplishments to meet the needs of older adults.
6) Public Comment Solicitation on Emergency Preparedness Plans (Capability 1, Community Preparedness, Function
2)
Contractors should describe processes for solicitation of public comment on emergency preparedness plans and their
implementation such as the establishment of an advisory committee or similar mechanism to ensure ongoing public
comment on emergency preparedness and response plans.
7) National Incident Management System (NIMS) Compliance (Capability 3, Emergency Operations Coordination,
Function 1)
Contractors should have plans, processes, and training in place to meet NIMS compliance requirements by June 30,
2014.
8) Public Health, Mental/Behavioral Health, and Medical Needs of At -risk Individuals (Capability 1, Community
Preparedness; Capability 2, Community Recovery; Capability 4, Emergency Public Information and Warning; Capability
7, Mass Care; Capability 10, Medical Surge; and Capability 13, Public Health Surveillance and Epidemiological
Investigation)
Strategic maps should describe plans to address the public health, mental/behavioral health, and medical needs of at -
risk individuals in the event of a public health emergency.
The definition of at -risk individuals is available at:
http://www.phe.gov/Preparedness/plan ning/abc/Documents/at-risk-individuals.pdf
9) Situational Awareness
Contactors will provide DSHS with situational awareness data generated through interoperable networks of electronic
data systems. (Capability 6, Information Sharing)
10) Fiscal and Programmatic Systems
Contractors will have in place fiscal and programmatic systems to document accountability and improvement.
11) One Annual Preparedness Exercise
One Annual Preparedness Exercise — due April 1, 2014
Contractors will conduct at least one (1) preparedness exercise annually according to the Contractor's exercise plan
and developed in accordance with Homeland Security Exercise and Evaluation Program (HSEEP)
standards. Contractor will submit to DSHS an exercise notification following the Concept and Objectives meeting but,
no later than 90 days prior to the exercise and a final After Action Review/Improvement Plan within 60 days of the
exercise.
The exercise can be a tabletop exercise, a functional exercise, or a full-scale exercise to test preparedness and
response capabilities. Following such exercises, Contractors will report identified strengths, weaknesses, and
corrective actions taken to address material weaknesses. See the DSHS Exercise Program Guidance document for
detailed exercise requirements.
Activities for Section II, Annual Requirements
Local health departments have the flexibility to determine capability prioritization and jurisdiction -specific activities for
annual requirements.
Deliverables for Section II, Annual Requirements 1 through 11
Progress reports, program data, plans, and financial data from local health departments are deliverables for annual
requirements 1 through 11. DSHS will provide templates for reports that are consistent with information requests from
CDC in order to meet reporting requirements within a timeframe necessary to complete consolidation of statewide
reporting to CDC.
Deliverable 1 for Section II, Annual Requirement 3
(Exercise Planning and Implementation)
Contractors must submit a current Multi -Year Training & Exercise Plan (with 5 -year exercise schedule) to DSHS by July
31, 2013.
Deliverable 1 for Section II, Annual Requirement 12
(One Annual Preparedness Exercise)
Submit a Notification of Exercise to DSHS following the Concept & Objectives meeting (HSEEP) or as soon as
possible but no later than 90 days prior to the conduct of the exercise.
Deliverable 2 for Section II, Annual Requirement 12
(One Annual Preparedness Exercise)
Submit an HSEEP-compliant After Action Review/Improvement Plan to DSHS within 60 days of the exercise.
III. CDC -Defined Performance Measures
Performance measures are key tools to determine program effectiveness and may focus on any level of public health
service delivery including local health departments, public health laboratories, healthcare coalitions, and healthcare
organizations. DSHS with consultation from the CDC has determined the benefit of Contractors reporting on these
capability -based performance measures. While Contractors may not have to report on all performance measures every
year, Contractors will be required to collect and report select performance measure data for Budget Period 2 (2013 to
2014) based on guidance to be provided by the Centers for Disease Control and Prevention (CDC) at a later date.
CDC's PHEP Budget Period 1 Performance Measure Specifications and Implementation Guidance is available at:
http://www.cdc.gov/phpr/documents/PHEP+BP1 +PM+Specifications+and+Implementation+Gu idance_v1-1.pdf.
IV. Evidence -based Benchmarks and Pandemic Influenza Plans
(PAHPA Benchmarks)
CDC identifies select program requirements as benchmarks as mandated by Section 319C-1 and 319C-2 of the PHS
Act as amended by the Pandemic and All Hazards Preparedness Act (PAHPA). To substantially meet a benchmark,
Contractors must provide complete and accurate information describing how the benchmark was met. DSHS and the
CDC expect Contractors to achieve, maintain, and report on benchmarks throughout the five-year project period. CDC
and DSHS reserve the right to modify benchmarks annually as needed and in accordance with CDC goals, objectives,
and directives. Contractors shall maintain all documentation that substantiates achievement of benchmarks and make
those documents available to DSHS staff as requested during site visits or through other requests.
DSHS has identified the following CDC benchmarks for BP 2.
1. Adherence to PHEP Reporting Deadlines
Deliverable 1 — Contractors will prepare and submit a PHEP Budget Period 2 mid -year progress report to DSHS using
a template provided by DSHS that captures reporting information and data required by CDC. The report is due to
DSHS December 20, 2013. More information on the report is found in the Work Plan Table attachment.
2. Receiving, Staging, Storing, Distributing, and Dispensing Medical Countermeasures:
As part of a response to public health emergencies, Contractor must be able to provide countermeasures to 100%
of the identified population within 48 hours after the formal federal request. To achieve this standard, Contractor must
maintain the capability to plan and execute the receipt, staging, storage, distribution, and dispensing of material during
a public health emergency.
a. Complete self -assessments using the Technical Assistance Review (TAR) tool due 2 weeks before the
documentation review with Central Office. The benchmark score is a 69.
b. Perform and submit metrics on three (3) Strategic National Stockpile (SNS) operational drills to SharePoint and
submit After Action Reviews / Improvements Plans to the exercise team. Both are due no later than April 1, 2014.
c. Demonstrate compliance with current programmatic medical countermeasure guidance through submission of point
of dispensing (POD) standards data by loading POD standards document to SharePoint no later than April 1, 2014.
d. Contractors within the three designated CRI/MSA Planning Areas must conduct one joint full-scale
distribution/dispensing exercise that includes all pertinent jurisdictional leadership and emergency management
support function leads, planning and operational staff, and all applicable personnel in the Metropolitan Statistical Area
or Health Service Region within the 2011 to 2016 performance period.
Through these activities, contractors will meet the performance measures noted in Section II: Statement of Work
Performance Measures of the Program Attachment associated with medical countermeasures.
Appendix 1
Definitions for the Public Health Capability Model
The Capability Definition defines the capability as it applies to state, local, tribal, and territorial public health.
The Function describes the critical elements that need to occur to achieve the capability.
The Performance Measure(s) section lists the CDC -defined performance measures, if any, associated with a function.
The Tasks section describes the steps that need to occur to complete the functions.
The Resource Elements section lists resources, including priority items and other considerations, needed to build and
maintain the ability to perform the function and its associated tasks. These resource elements are organized as follows:
1) Planning: standard operating procedures or emergency operations guidance, including considerations for legal
authorities and at -risk populations, for a Contractor's plans for delivering the capability.
2) Skills and Training: baseline competencies and skills personnel and teams should possess or have access to when
delivering a capability.
3) Equipment and Technology: equipment Contractors should have or have access to in jurisdictionally defined
quantities sufficient to achieve the capability.
4) Note: Certain resource elements have been identified as priority resource elements. Contractors may not require all
resource elements to fully achieve all of the functions within a capability, but they must have or have access to the
priority resource elements. Remaining resource elements are recommended for consideration by Contractors.
Appendix 2
The public health preparedness capabilities are listed below in their corresponding domains. These domains are
intended to convey the significant dependencies between certain capabilities:
Biosurveillance
- Public Health Laboratory Testing
- Public Health Surveillance/Epidemiological Investigation
Community Resilience
- Community Preparedness
- Community Recovery
Countermeasures and Mitigation
- Medical Countermeasure Dispensing
- Medical Material Management and Distribution
- Non -pharmaceutical Interventions
- Responder Safety and Health
Incident Management
- Emergency Operations Coordination
Information Management
- Emergency Public Information and Warning
- Information Sharing
Surge Management
- Fatality Management
- Mass Care
- Medical Surge
- Volunteer Management
Public Health Emergency Preparedness Requirements for Local Health Departments
PPCPS/HAZARDS
Exhibit B
Funding Opportunity Number CDC-RFA-TP1 2-120102CONT1 3
Time Period Covered
State of Texas Fiscal Year 2014 September 1, 2013 to August 31, 2014
Requirement: Strategic Map
Process: Using the CDC Capabilities Planning Guide, Contractors should prepare a work plan for the remaining four
years of the project period (through FY 2017) to include capability prioritization for each year.
Due Date: October 31, 2013 - Submitted on a template provided by DSHS
Requirement: Mid -Year Progress Report including evidenced -based benchmarks
Process: Work plan updates, status updates on applicable Pandemic and All -Hazards Act (PAHPA) benchmarks,
applicable performance measure data, and technical assistance plans.
Due Date: December 20, 2013
Requirement: Performance Measures
Process: Criteria for Performance Measures not yet established by the CDC
Due Date: To be determined following release by CDC
Requirement: Year -End Progress Report.
Process: Updates on work plan activities including local contracts and progress on implementation of technical
assistance plans; PAHPA benchmark data, performance measure data and supporting information, training updates,
preparedness accomplishments, success stories, and program impact statements.
Due Date: July 31, 2014
Requirement: Conduct One Preparedness Exercise annually to test preparedness and response capabilities. An
HSEEP AAR must be completed within 60 days of the exercise.
Process: The exercise may be a tabletop exercise, a functional exercise, or a full-scale exercise to test preparedness
and response capabilities. This cannot be an SNS drill conducted in support of the Medical Countermeasures
Technical Assistance Review. Contractors are to submit a completed AAR/IP to DSHS for all exercises conducted to
fulfill PHEP exercise requirements Exercise Notification no later than 90 days prior to the exercise.
AAR submitted within 60 days of exercise completion.
Due Date: Exercise completed by April 1, 2014.
Requirement: Jurisdictional Risk Assessments
Process: Update TxPHRAT with new CPG data and upload to PHIN
Due Date: June 30, 2014
Requirement: Conduct or participate in an annual Training & Exercise Plan Workshop
Process: Contractors must participate in a Training & Exercise Plan workshop to revise current multi-year training and
exercise plans or develop a new plan for conducting exercises to test public health and healthcare preparedness
capabilities.
Due Date: July 1, 2014
Requirement: Submit an updated Multi -Year Training and Exercise Plan
Process: Contractors must submit a current, updated Multi -Year Training & Exercise Plan (with 5 -year exercise
schedule)
Due Date: July 31, 2014
Requirement: NIMS Training Compliance
Process: Contractor must complete all required NIMS training.
Due Date: June 30, 2014
Requirement: Joint Training Report
Process: Report on preparedness training conducted and describe the impact the training had on the jurisdiction.
Due Date: Sept 1, 2014
Requirement: ESAR-VHP registry use
Process: If using local volunteers, such as MRCs, SNS, etc. contractors must use the Texas Disaster Volunteer
Registry System (ESAR-VHP) and enter volunteer data into ESAR-VHP registry
Due Date: November 30, 2013 and July 31, 2014.
Requirement: Strategic National Stockpile (SNS) operational drills
Process: Perform and submit metrics on three (3) Strategic National Stockpile (SNS) operational drills to SharePoint
and submit After Action Reviews / Improvements Plans for these drills to the exercise team. Both are due no later than
April 1, 2014.
Due Date: April 1, 2014
Requirement: CRI/MSAs - Conduct one Medical Countermeasure Dispensing and Medical Material Management and
Distribution Full-scale Exercise
Process: Conduct one, joint full-scale distribution and dispensing exercise within the 5 -year project
period. Participation in this CRI exercise fulfills the requirement for a full-scale exercise under PHEP for all local
planning jurisdictions within the MSA Planning Area.
Due Date: May 1, 2016
Requirement: Participate in one regional joint, full-scale exercise within the five year project period.
Process: This joint full-scale exercise should meet multiple program requirements including PREP, HPP and Strategic
National Stockpile requirements where possible to minimize the burden on exercise planners and participants.
Due Date: May 1, 2016
Resolution No. 2013-RO300
Fiscal Year 2014 Department of State Health Services Contract
General Provisions
(Core/Subrecipient)
ARTICLE 1 COMPLIANCE AND REPORTING...............................................................................................5
Section1.01
Compliance with Statutes and Rules.......................................................................................... 5
Section 1.02
Compliance with Requirements of Solicitation Document...................................................... 5
Section1.03
Reporting......................................................................................................................................5
Section1.04
Client Financial Eligibility.......................................................................................................... 5
Section 1.0.5
Applicable Contracts Lav and Venue for Disputes...................................................................5
Section 1.06
Applicable Laws and Regulations Regarding Funding Sources..............................................5
Section 1.07
Statutes and Standards of General Applicability..................................................................... 6
Section 1.08
Applicability of General Provisions to Interagency and Interlocal Contracts ......................... 7
Section 1.09
Civil Rights Policies and Complaints.........................................................................................8
Section 1.10
Licenses, Certifications, Permits, Registrations and Approvals . ............................................. 8
Section1.11
Funding Obligation..................................................................................................................... 9
ARTICLEIf
SERVICES..........................................................................................................................................9
Section 2.01
Education to Persons in Residential Facilities.......................................................................... 9
Section2.02
Disaster Services.......................................................................................................................... 9
Section 2.03
Consent to Medical Care of a Minor.......................................................................................... 9
Section2.04
Telemedicine Medical Services................................................................................................... 9
Section2.05
Fees for Personal Health Services.............................................................................................. 10
Section 2.06
Cost Effective Purchasing of Medications............................................................................... 10
Section 2.07
Services and Information for Persons with Limited English Proficiency ............................... 10
1RTICLEIII FUNDING........................................................................................................................................ in
Section3.01
Debt to State and Corporate Status......................................................................................... 10
Section3.02
Application of Payment Due..................................................................................................... 10
Section3.03
Use of Funds............................................................................................................................... 10
Section3.04
Use for Match Prohibited.......................................................................................................... 1
Section3.05
Program Income........................................................................................................................ 11
Section3.06
Nonsupplanting.......................................................................................................................... 11
ARTICLE IV PAYMENT METHODS AND RESTRICTIONS .....................................
1<
Section4.01 Payment Methods...................................................................................................................... 11
Section4.02 Billing Submission..................................................................................................................... 11
Section4.03 Final Billing Submission........................................................................................................... 1
Section4.04 Working Capital Advance........................................................................................................ 12
Section4.0.5
Third Party Payors....................................................................................................................
12
ARTICLE V
TERMS AND CONDITIONS OF PAYMENT..............................................................................
12
Section5.01
Prompt Payment........................................................................................................................
12
Section5.02
Withholding Payments..............................................................................................................
12
Section 5.03
Condition Precedent to Requesting Payment..........................................................................
12
Section5.04
Acceptance as Payment in Full.................................................................................................
13
ARTICLE VI
ALLOWABLE COSTS AND AUDIT REQUIREMENTS...........................................................
13
Section6.01
Allowable Costs..........................................................................................................................
13
Section 6.02
Independent Single or Program -Specific Audit......................................................................
14
Section6.03
Submission of Audit.................................................................................................................
14
ARTICLE VII
CONFIDENTIALITY.................................................................................................................
14
Section 7.01
Maintenance of Confidentiality................................................................................................
14
Section 7.02
Department Access to PFII and Other Confidential Information..................................15
General Provisions (Core Subrecipient) 2014 (July 15. 2013)
Fiscal Year 2014 Department of State Health Services Contract
General Provisions
(Core/Subrecipient)
Section 7.03 Exchange of Client -Identifying Information............................................................................. 15
Section 7.04 Security of Patient or Client Records...................................................................................... 15
Section 7.05 HIV/AIDS Model Workplace Guidelines................................................................................ 15
ARTICLE VI11 RECORDS RETENTION........................................................................................................... 15
Section8.01 Retention.................................................................................................................................... 15
ARTICLE IX ACCESS AND INSPECTION......................................................................................................... 16
Section9.01
Access..........................................................................................................................................
16
Section9.02
State Auditor's Office................................................................................................................
16
Section9.03
Responding to Deficiencies.......................................................................................................
16
ARTICLE X
NOTICE REQUIREMENTS..........................................................................................................
17
Section10.01
Chill Abuse Reporting Requirement......................................................................................
17
Section10.02
Significant Incidents..................................................................................................................
17
Section10.03
Litigation....................................................................................................................................17
Section 10.04
Action Against the Contractor.................................................................................................17
Section10.05
Insolvency...................................................................................................................................
17
Section 10.06
Misuse of Funds and Performance Malfeasance.....................................................................
17
Section 10.07
Criminal Activity and Disciplinary Action..............................................................................
18
Section10.08
Retaliation Prohibited...............................................................................................................
18
Section10.09
Documentation...........................................................................................................................
18
ARTICLE XI
ASSURANCES AND CERTIFICATIONS....................................................................................
18
Section11.01
Certification...............................................................................................................................
18
Section11.02
Child Support Delinquencies....................................................................................................
19
Section11.03
Authorization.............................................................................................................................
19
Section 11.04
Gifts and Benefits Prohibited. in connection with this Contract ............................................
19
Section 11.05
Ineligibility to Receive the Contract........................................................................................
19
Section11.06
Antitrust.....................................................................................................................................20
Section 11.07
Initiation and Completion of Work..........................................................................................20
ARTICLE X11
GENERAL BUSINESS OPERATIONS OF CONTRACTOR................................................20
Section 12.01
Responsibilities and Restrictions Concerning Governing Body, Officers and Employees. .20
Section12.02
Management and Control Systems..........................................................................................
20
Section12.03
Insurance....................................................................................................................................21
Section12.04
Fidelity Bond..............................................................................................................................21
Section12.05
Liability Coverage.....................................................................................................................
21
Section12.06
Overtime Compensation...........................................................................................................
21
Section12.07
Program Site..............................................................................................................................
22
Section 12.08
Cost Allocation Plan..................................................................................................................
22
Section12.09
No Endorsement..........................................................................................................................22
Section 12.10
Historically Underutilized Businesses(HUBs)..........................................................................22
Section12.11
Buy Texas...................................................................................................................................
22
Section 12.12
Contracts with Subrecipient and Vendor Subcontractors.....................................................
22
Section12.13
Status of Subcontractors...........................................................................................................
24
Section 12.14
Incorporation of Terms in Subrecipient Subcontracts...........................................................24
Section12.15
Independent Contractor............................................................................................................24
Section12.16
Authority to Bind.......................................................................................................................
24
Section12.17
Tax Liability...............................................................................................................................24
Section12.18
Notice of Organizational Change.............................................................................................
24
Section12.19
Quality Management.................................................................................................................
25
Section 12.20
Equipment (Including Controlled Assets)...............................................................................
25
Section12.21
Supplies.......................................................................................................................................25
General Provisions (Core Subrecipient) 2014 (July 15, 2013)
Fiscal Year 2014 Department of State Health Services Contract
General Provisions
(Core/Subrecipient)
Section12.22
Changes to Equipment List...................................................................................................... 26
Section 12.23
Property Inventory and Protection of Assets.......................................................................... 26
Section12.24
Bankruptcy.................................................................................................................................26
Section12.2.5
Title to Property........................................................................................................................ 26
Section12.26
Property Acquisitions................................................................................................................ 26
Section12.27
Disposition of Property............................................................................................................. 26
Section12.28
Closeout of Equipment.............................................................................................................. 27
Section 12.29
Assets as Collateral Prohibited................................................................................................. 27
ARTICLEXIII
GENERAL TERMS.................................................................................................................... 27
Section13.01
Assignment...................................................................................................................................27
Section13.02
Lobbying.....................................................................................................................................27
Section13.03
Conflict of Interest..................................................................................................................... 27
Section 13.04
Transactions Between Related Parties.....................................................................................28
Section13.05
Intellectual Property..................................................................................................................28
Section13.06
Other Intangible Property........................................................................................................ 29
Section 13.07
Severability and Ambiguity...................................................................................................... 29
Section13.08
Legal Notice................................................................................................................................29
Section13.09
Successors...................................................................................................................................29
Section13.10
Headings.....................................................................................................................................29
Section13.11
Parties.........................................................................................................................................29
Section13.12
Survivability of Terms............................................................................................................... 29
Section13.13
Direct Operation........................................................................................................................30
Section13.14
Customer Service Information.................................................................................................30
Section13.15
Amendment................................................................................................................................30
Section 13.16
Contractor's Notification of Change to Certain Contract Provisions . .................................. 30
Section 13.17
Contractor's Request for Revision of Certain Contract Provisions . ..................................... 30
Section13.18
Immunity Not Waived...............................................................................................................31
Section13.19
Hold Harmless and Indemnification........................................................................................31
Section13.20
Waiver........................................................................................................................................31
Section 13.21
Electronic and Information Resources Accessibility and Security Standards . ...................31
Section13.22
Force Majeure............................................................................................................................32
Section13.23
Interim Contracts......................................................................................................................32
Section13.24
Cooperation and Communication............................................................................................32
ARTICLE XIV
BREACH OF CONTRACT AND REMEDIES FOR NON-COMPLIANCE ........................32
Section14.01
Actions Constituting Breach of Contract................................................................................ 32
Section14.02
General Remedies and Sanctions............................................................................................. 33
Section14.03
Notice of Remedies or Sanctions.............................................................................................. 34
Section14.04
Emergency Action..................................................................................................................... 35
ARTICLE XV
CLAIMS AGAINST THE DEPARTMENT.............................................................................35
Section15.01
Breach of Contract Claim......................................................................................................... 3.5
Section15.02
Notice..........................................................................................................................................35
Section15.03
Sole Remedy...............................................................................................................................35
Section15.04
Condition Precedent to Suit...................................................................................................... 35
Section15.05
Performance Not Suspended.................................................................................................... 35
ARTICLE XVI
TERMINATION AND TEMPORARY SUSPENSION...........................................................35
Section 16.01
Expiration of Contract or Program Attachment(s)................................................................ 36
Section16.02
Effect of Termination. Contract.............................................................................................. 36
Section16.03
Acts Not Constituting Termination.......................................................................................... 36
Section16.04
Termination or Temporary Suspension Without Cause..........................................................36
Section16.05
Termination For Cause............................................................................................................. 36
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 3
Fiscal Year 2014 Department of State Health Services Contract
General Provisions
(Core/Subrecipient)
Section16.06 Notice of Termination............................................................................................................... 39
ARTICLE XVII
VOID, SUSPENDED, AND TERMINA'T'ED CONTRACTS..................................................39
Section17.01
Void Contracts...........................................................................................................................39
Section 17.02
Effect of Void, Suspended, or Involuntarily Terminated Contract.......................................39
Section17.03
Appeals Rights...........................................................................................................................39
ARTICLE XVIII
CLOSEOUT...............................................................................................................................39
Section 18.01
Cessation of Services At Closeout............................................................................................
39
Section18.02
Administrative Offset................................................................................................................39
Section 18.03
Deadline for Closeout................................................................................................................
39
Section18.04
Payment of Refunds..................................................................................................................
39
Section18.05
Disallowances and Adjustments...............................................................................................
40
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 4
ARTICLE I COMPLIANCE AND REPORTING
Section 1.01 Compliance with Statutes and Rules. Contractor shall comply, and shall require its
subcontractor(s) to comply, with the requirements of the Department's rules of general applicability and other
applicable state and federal statutes. regulations, rules, and executive orders, as such statutes, regulations,
rules, and executive orders currently exist and as they may be lawfully amended. The Department rules are
located in the Texas Administrative Code, Title 25 (Rules). To the extent this Contract imposes a higher
standard, or additional requirements beyond those required by applicable statutes, regulations, rules or
executive orders, the terms of this Contract will control. Contractor further agrees that, upon notification from
DSHS, Contractor shall comply with the terms of any contract provisions DSHS is required to include in its
contracts under legislation effective at the time of the effective date of this Contract or during the term of this
Contract.
Section 1.02 Compliance with Requirements of Solicitation Document. Except as specified in these
General Provisions or the Program Attachment(s), Contractor shall comply with the requirements, eligibility
conditions, assurances, certifications and program requirements of the Solicitation Document, if any,
(including any revised or additional terms agreed to in writing by Contractor and DSHS prior to execution of
this Contract) for the duration of this Contract or any subsequent renewals. The Parties agree that the
Department has relied upon Contractor's response to the Solicitation Document. The Parties agree that any
misrepresentation contained in Contractor's response to the Solicitation Document constitutes a breach of this
Contract.
Section 1.03 Reporting. Contractor shall submit reports in accordance with the reporting requirements
established by the Department and shall provide any other information requested by the Department in the
format required by DSHS. Failure to submit any required report or additional requested information by the due
date specified in the Program Attachment(s) or upon request constitutes a breach of contract, may result in
delayed payment and/or the imposition of sanctions and remedies, and, if appropriate, emergency action; and
may adversely affect evaluation of Contractor's future contracting opportunities with the Department.
Section 1.04 Client Financial Eligibility. Where applicable, Contractor shall use financial eligibility
criteria, financial assessment procedures and standards developed by the Department to determine client
eligibility.
Section 1.05 Applicable Contracts Law and Venue for Disputes. Regarding all issues related to contract
formation, performance, interpretation, and any issues that may arise in any dispute between the Parties, this
Contract will be governed by, and construed in accordance with, the laws of the State of Texas. In the event of
a dispute between the Parties, venue for any suit will be Travis County, Texas.
Section 1.06 Applicable Laws and Regulations Regarding Funding Sources. Where applicable, federal
statutes and regulations, including federal grant requirements applicable to funding sources, will apply to this
Contract. Contractor agrees to comply with applicable laws, executive orders, regulations and policies, as well
as Office of Management and Budget (01/113) Circulars (as codified in Title 2 of the Code of Federal
Regulations), the Uniform Grant and Contract Management Act of 1981 (UGMA), Tex. Gov. Code Chapter
783, and Uniform Grant Management Standards (UGMS), as revised by federal circulars and incorporated in
UGMS by the Comptroller of Public Accounts, Texas Procurement and Support Services Division. UGMA
and UGMS can be located through web links on the DSHS website at
http://www.dslis.state.tx.us/contracts/iinks.shtm. Contractor also shall comply with all applicable federal and
state assurances contained in UGMS, Part III, State Uniform Administrative Requirements for Grants and
Cooperative Agreements §_.14. if applicable, Contractor shall comply with the Federal awarding agency's
Common Rule, and the U.S. Health and Human Services Grants Policy Statement, both of which may be
General Provisions (Core Subrecipient) 2014 (July 15, 2013)
located through web links on the DSHS website at http://wvNw.dshs.state.tX.us/contracts/links.slitin. For
contracts fimded by block grants, Contractor shall comply with Tex. Gov. Code Chapter 2105.
Section 1.07 Statutes and Standards of General Applicability. Contractor is responsible for reviewing
and complying with all applicable statutes, rules, regulations, executive orders and policies. To the extent
applicable to Contractor. Contractor shall comply with the following:
a) the following statutes, rules, regulations, and DSHS policy (and any of their subsequent amendments)
that collectively prohibit discrimination, exclusion from or limitation of participation in
programs, benefits or activities or denial of any aid, care, service or other benefit on the basis
of race, color, national origin, limited English proficiency, sex, sexual orientation (where applicable).
disabilities, age, substance abuse, political belief or religion: 1) Title V1 of the Civil Rights Act of
1964, 42 USC §§ 2000d et seq.; 2) Title 1X of the Education Amendments of 1972, 20 USC §§ 1681-
1683, and 1685-1686: 3) Section 504 of the Rehabilitation Act of 1973, 29 USC § 794(a); 4) the
Americans with Disabilities Act of 1990, 42 USC §§ 12101 et seq.; 5) Age Discrimination Act of
1975, 42 USC §§ 6101-6107; 6) Comprehensive Alcohol Abuse and Alcoholism Prevention,
Treatment and Rehabilitation Act of 1970, 42 USC § 290dd (b)(1); 7) 45 CFR Parts 80, 84, 86 and 91;
8) U.S. Department of Labor, Equal Employment Opportunity E.O. 11246; 9) Tex. Lab. Code Chapter
21; 10) Food Stamp Act of 1977 (7 USC § 200 et seq.; 11) Executive Order 13279, 45 CFR Part 87 or
7 CFR Part 16 regarding equal treatment and opportunity for religious organizations; 12) Drug Abuse
Office and Treatment Act of 1972, 21 USC §§ 1 101 et seq., relating to drug abuse; 1 ) Public Health
Service Act of 1912, §§ 523 and 527, 42 USC § 290dd-2`and 42 CFR Part 2, relating to
confidentiality of alcohol and drug abuse patient records; 14) Title VII I of the Civil Rights Act of
1968, 42 USC §§ 3601 et seq., relating to nondiscrimination in housing; and 15) DSHS Policy AA -
5018, Non-discrimination Policy for DSIAS Programs;
b) Immigration Reform and Control Act of 1986, 8 USC § 1324a, and Immigration Act of 1990, 8 USC
1 101 et seq., regarding employment verification; and Illegal Immigration Reform and Immigrant
Responsibility Act of 1996;
c) Pro -Children Act of 1994, 20 USC §§ 6081-6084, and the Pro -Children Act of 2001, 20 USC § 7183,
regarding the non-use of all tobacco products;
d) National Research Service Award Act of 1971, 42 USC §§ 289a-1 et seq., and 6601 (PL 93-348 and
PL 103-43), regarding human subjects involved in research;
e) Hatch Political Activity Act, 5 USC §§ 1501-1508 and 7324-28, which limits the political activity of
employees whose employment is funded with federal funds;
1) Fair Labor Standards Act, 29 USC §§ 201 et seq., and the Intergovernmental Personnel Act of 1970,
42 USC §§ 4701 et seq., as applicable, concerning minimum wage and maximum hours;
g) Tex. Gov. Code Chapter 469, pertaining to eliminating architectural barriers for persons with
disabilities;
h) "Texas Workers' Compensation Act,'I-ex. Lab. Code Chapters 401406 and 28 Tex. Admin. Code Part
2, regarding compensation for employees' injuries;
i) The Clinical Laboratory Improvement Amendments of 1988, 42 USC § 263a, regarding the regulation
and certification of clinical laboratories;
j) The Occupational Safety and Health Administration Regulations on Blood Borne Pathogens, 29 CFR
§ 1910. 103 or Title 25 Tex. Admin. Code Chapter 96 regarding safety standards for handling blood
borne pathogens:
k) Laboratory Animal Welfare Act of 1966, 7 USC §§ 2131 et seq., pertaining to the treatment of
laboratory animals;
1) environmental standards pursuant to the following: 1) Institution of environmental quality control
measures under the National Environmental Policv Act of 1969, 42 USC §§ 4321-4347 and Executive
Order 11514 (35 Fed. Reg. 4247). *"Protection and Enhancement of Environmental Quality;" 2)
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Notification of violating facilities pursuant to Executive Order 11738 (40 CFR Part 32), "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, 42
Fed. Reg. 26961; 4) Evaluation of flood hazards in floodplains in accordance with Executive Order
11988, 42 Fed. Reg. 26951 and, if applicable, flood insurance purchase requirements of Section 102(a)
of the Flood Disaster Protection Act of 1973 (PL 93-234), 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.; 6) Federal Water Pollution Control Act, 33 USC § 1251 et seq.; 7) Protection
of underground sources of drinking water under the Safe Drinking Water Act of 1974, 42 USC §§
300f -300j; 8) Protection of endangered species under the Endangered Species Act of 1973, 16 USC §§
1531 et seq.; 9) Conformity of federal actions to state clean air implementation plans under the Clean
Air Act of 1955, 42 USC §§7401 et seq.; 10) Wild and Scenic Rivers Act of 1968 (16 USC §§ 1271 et
seq.) related to protecting certain rivers system; and 11) Lead -Based Paint Poisoning Prevention Act
(42 USC §§ 4801 et seq.) prohibiting the use of lead-based paint in residential construction or
rehabilitation;
m) Intergovernmental Personnel Act of 1970 (42 USC §§4278-4763) regarding personnel merit systems
for programs specified in Appendix A of the federal Office of Program Management's Standards for a
Merit System of Personnel Administration (5 CFR Part 900, Subpart F);
n) Titles 11 and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of
1970 (PL 91-646), relating to fair treatment of persons displaced or whose property is acquired as a
result of Federal or federally -assisted programs;
o) Davis -Bacon Act (40 USC §§ 276a to 276a-7), the Copeland Act (40 U.S.C. § 276c and 18 USC §
874), and the Contract Work Hours and Safety Standards Act (40 USC §§ 327-333), regarding labor
standards for federally -assisted construction subagreements;
p) National Historic Preservation Act of 1966, § 106 (16 USC § 470), Executive Order 11593, and the
Archaeological and Historic Preservation Act of 1974 (16 USC §§ 469a-1 et seq.) regarding historic
property to the extent necessary to assist DSHS in complying with the Acts;
q) financial and compliance audits in accordance with Single Audit Act Amendments of 1996 and OMB
Circular No. A-133, "Audits of States, Local Governments, and Non -Profit Organizations;"
r) Trafficking Victims Protection Act of 2000, Section 106(8) (22 USC § 7104);
s) Executive Order, Federal Leadership on Reducing Text Messaging While Driving, October 1, 2009, if
required by a federal funding source of the Contract; and
t) requirements of any other applicable state and federal statutes, executive orders, regulations, rules and
policies.
If this Contract is funded by a federal grant or cooperative agreement, additional state or federal requirements
found in the Notice of Grant Award are imposed on Contractor and incorporated herein by reference.
Contractor may obtain a copy of any applicable Notice of Grant Award from the contract manager assigned to
the Program Attachment.
Section 1.08 Applicability of General Provisions to Interagency and Interlocal Contracts. Certain
sections or portions of sections of these General Provisions will not apply to Contractors that are State
agencies or units of local government; and certain additional provisions will apply to such Contractors.
a) The following sections or portions of sections of these General Provisions will not apply to
interagency or interlocal contracts:
1) Hold Harmless and Indemnification, Section 13.19;
2) Independent Contractor, Section 12.15 (delete the third sentence in its entirety; delete the word
"employees" in the fourth sentence; the remainder of the section applies);
3) Insurance, Section 12.03;
4) Liability Coverage, Section 12.05;
5) Fidelity Bond, Section 12.04;
General Provisions (Core Subrecipient) 2014 (July 15, 2013)
6) Historically Underutilized Businesses, Section 12.10 (Contractor, however, shall comply �,Nith
HUB requirements of other statutes and rules specifically applicable to that entity);
7) Debt to State and Corporate Status, Section 3.01;
8) Application of Payment Due, Section 3.02; and
9) Article XV Claims against the Department (This Article is inapplicable to interagency contracts
only).
b) The following additional provisions will apply to interagency contracts:
1) This Contract is entered into pursuant to the authority granted and in compliance with the
provisions of the Interagency Cooperation Act, Tex. Gov. Code Chapter 771;
2) Tile Parties hereby certify that (1) the services specified are necessary and essential for the
activities that are properly within the statutory functions and programs of the affected agencies of
State government; (2) the proposed arrangements serve the interest of efficient and economical
administration of the State government; and (3) the services, supplies or materials contracted for
are not required by Section 21 of Article 16 of the Constitution of the State of Texas to be supplied
under contract given to the lowest responsible bidder; and
3) DSHS certifies that it has the authority to enter into this Contract granted in Tex. Health & Safety
Code Chapter 1001, and Contractor certifies that it has specific statutory authority to enter into
and perform this Contract.
c) The following additional provisions will apply to interlocal contracts:
1) This Contract is entered into pursuant to the authority granted and in compliance with the
provisions of the Interlocal Cooperation Act, Tex. Gov. Code Chapter 791;
2) Payments made by DSHS to Contractor will be from current revenues available to DSHS; and
3) Each Party represents that it has been authorized to enter into this Contract.
d) Contractor agrees that Contract Revision Requests (pursuant to the Contractor's Request for Revision
to Certain Contract Provisions section), when signed by a duly authorized representative of
Contractor, will be effective as of the effective date specified by the Department, whether that date is
prior to or after the date of any ratification by Contractor's governing body.
Section 1.09 Civil Rights Policies and Complaints. Upon request, Contactor shall provide the Health and
Human Services Commission (HHSC) Civil Rights Office with copies of all Contractor's civil rights policies
and procedures. Contractor shall notify HHSC's Office of Civil Rights of any civil rights complaints received
relating to performance under this Contract no more than ten (10) calendar days after Contractor's receipt of
the claim. Notice must be directed to —
Civil Rights Office
Health and Human Services Commission
701 W. 51 st St., Mail Code W206
Austin, Texas 78751
(888) 388-6332 or (512) 438-4313
TTY Toll-free (877) 432-7232
1- HSCiviIRightsOftice@hhsc.state.tx.us
Section 1.10 Licenses, Certifications, Permits, Registrations and Approvals. Contractor shall obtain
and maintain all applicable licenses, certifications, permits, registrations and approvals to conduct its business
and to perform the services under this Contract. Failure to obtain or any revocation, surrender, expiration,
non -renewal, inactivation or suspension of any such license, certification, permit, registration or approval
constitutes grounds for termination of this Contract or other remedies the Department deems appropriate.
Contractor shall ensure that all its employees, staff and volunteers obtain and maintain in active status all
licenses, certifications, permits, registrations and approvals required to perform their duties under this Contract
General Provisions (Core Subrecipient) 2014 (July 15, 2013)
and shall prohibit any person who does not hold a current, active required license, certification, permit,
registration or approval from performing services under this Contract.
Section 1.11 Funding Obligation. This Contract is contingent upon the availability of funding. if funds
become unavailable through lack of appropriations, budget cuts, transfer of funds between programs or health
and human services agencies, amendment of the Appropriations Act, health and human services agency
consolidation, or any other disruptions of current appropriated funding for this Contract, DSHS may restrict,
reduce or terminate funding under this Contract. Notice of any restriction or reduction will include
instructions and detailed information on how DSHS will tiind the services and/or goods to be procured with
the restricted or reduced funds.
ARTICLE 11 SERVICES
Section 2.01 Education to Persons in Residential Facilities. if applicable. Contractor shall ensure that all
persons, who are housed in Department -licensed and/or -funded residential facilities and who are twenty-two
(22) years of age or younger, have access to educational services as required by Tex. Educ. Code § 29.012.
Contractor shall notify the local education agency or local early intervention program as prescribed by Tex.
Educ. Code § 29.012 not later than the third calendar day after the date a person who is twenty-two (22) years
of age or younger is placed in Contractor's residential facility.
Section 2.02 Disaster Services. In the event of a local, state, or federal emergency, including natural, man-
made, criminal, terrorist, and/or bioterrorism events, declared as a state disaster by the Governor, or as a
federal disaster by the appropriate federal official, Contractor may be called upon to assist DSHS in providing
services, as appropriate, in the following areas: community evacuation; health and medical assistance;
assessment of health and medical needs; health surveillance; medical care personnel; health and medical
equipment and supplies; patient evacuation; in-hospital care and hospital facility status; food, drug, and
medical device safety; worker health and safety; mental health and substance abuse; public health information;
vector control and veterinary services; and victim identification and mortuary services. Contractor shall carry
out disaster services in the manner most responsive to the needs of the emergency, be cost-effective, and be
least intrusive on Contractor's primary services.
Section 2.03 Consent to Medical Care of a Minor. If Contractor provides medical, dental, psychological
or surgical treatment to a minor under this Contract, either directly or through contracts with subcontractors,
Contractor shall not provide treatment of a minor unless informed consent to treatment is obtained pursuant to
Tex. Fain. Code Chapter 32, relating to consent to treatment of a child by a non -parent or child or pursuant to
other state law. If requirements of federal law relating to consent directly conflict with Tex. Fain. Code
Chapter 32, federal law supersedes state law.
Section 2.04 Telemedicine Medical Services. Contractor shall ensure that if Contractor or its
subcontractor uses telemedicine/telepsychiatry that the set -vices are implemented in accordance with written
procedures and using a protocol approved by Contractor's medical director and using equipment that complies
with the equipment standards as required by the Department. Procedures for providing telemedicine service
Hurst include the following requirements:
a) clinical oversight by Contractor's medical director or designated physician responsible for medical
leadership;
b) contraindication considerations for telemedicine use;
c) qualified staff members to ensure the safety of the individual being served by telemedicine at the
rernote site;
d) safeguards to ensure confidentiality and privacy in accordance with state and federal laws:
e) use by credentialed licensed providers providing clinical care within the scope of their licenses;
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 9
f) demonstrated competency in the operations of the system by all staff members who are involved in the
operation of the system and provision of the services prior to initiating the protocol;
g) priority in scheduling the system for clinical care of individuals;
h) quality oversight and monitoring of satisfaction of the individuals served; and
i) management of information and documentation for telemedicine services that ensures timely access to
accurate information between the two sites.
Telemedicine Medical Services does not include chemical dependency treatment services provided by
electronic means under Rule § 448.911.
Section 2.05 Fees for Personal Health Services. Contractor may develop a system and schedule of fees
for personal health services in accordance with the provisions of Tex. Health & Safety Code § 12.032. DSHS
Rule § 1.91 covering Fees for Personal Health Services, and other applicable laws or grant requirements. The
amount of a fee must not exceed the actual cost of providing the services. No client may be denied a service
due to inability to pay. Any charges assessed to individuals for screenings must be accounted for as Program
Income in accordance with the DSHS Contractor's Financial Procedure Manual.
Section 2.06 Cost .Effective Purchasing of Medications. If medications are funded under this Contract,
Contractor shall make needed medications available to clients at the lowest possible prices and use the most
cost effective medications purchasing arrangement possible.
Section 2.07 Services and Information for Persons with Limited English Proficiency. Contractor shall
take reasonable steps to provide services and information, both orally and in writing, in appropriate languages
other than English, to ensure that persons with limited English proficiency are effectively informed and can
have meaningful access to programs, benefits. and activities. Contractor shall identify and document on the
client records the primary language/dialect of a client who has limited English proficiency and the need for
translation or interpretation services and shall not require a client to provide or pay for the services of a
translator or interpreter. Contractor shall make every effort to avoid use of any persons under the age of
eighteen (18) or any family member or friend of the client as an interpreter for essential communications with
a client with limited English proficiency, unless the client has requested that person and using the person
would not compromise the effectiveness of services or violate the client's confidentiality and the client is
advised that a free interpreter is available.
ARTICLE III FUNDING
Section 3.01 Debt to State and Corporate Status. Pursuant to Tex. Gov. Code § 403.055, the Department
will not approve and the State Comptroller will not issue payment to Contractor if Contractor is indebted to the
State for any reason, including a tax delinquency. Contractor, 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 (Tex. Tax Code §§ 171.001 et seq.). Contractor.
if a corporation, further certifies that it is and will remain in good standing with the Secretary of State's office.
A false statement regarding franchise tax or corporate status is a material breach of this Contract. If franchise
tax payments become delinquent during the Contract term, all or part of the payments under this Contract may
be withheld until Contractor's delinquent franchise tax is paid in full.
Section 3.02 Application of Payment Due. Contractor agrees that any payments due under this Contract
will be applied towards any debt of Contractor, including but not limited to delinquent taxes and child support
that is owed to the State of Texas.
Section 3.03 Use of Funds. Contractor shall expend Department funds only for the provision of approved
services and for reasonable and allowable expenses directly related to those services.
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 10
Section 3.04 Use for Match Prohibited. Contractor shall not use funds provided through this Contract for
matching purposes in securing other funding unless directed or approved by the Department in writing.
Section 3.05 Program Income. Gross income directly generated from Department fiends through a project
or activity performed under a Program Attachment and/or earned only as a result of a Program Attachment
during the term of the Program Attachment are considered program income. Unless otherwise required under
the terms of the grant funding this Contract, Contractor shall use the addition alternative, as provided in
UGMS § _.25(g)(2), for the use of program income to further the program objectives of the state or federal
statute under which the Program Attachment was made, and Contractor shall spend the program income on the
same Program Attachment project in which it was generated. Contractor shall identify and report this income
in accordance with the Compliance and Reporting Article of these General Provisions, the Contractor's
Financial Procedures Manual located at http://www.dslis.state.tx.us/contracts/cfpm.slitm and the provisions of
the Program Attachment(s). Contractor shall expend program income during the Program Attachment term
and may not cavy forward to any succeeding term. Contractor shall refund program income not expended in
the term in which it is earned to DSHS. DSHS may base future funding levels, in part, upon Contractor's
proficiency in identifying, billing, collecting, and reporting program income, and in using it for the purposes
and under the conditions specified in this Contract.
Section 3.06 Nonsupplanting. Contractor shall not supplant (i.e., use funds from this Contract to replace
or substitute existing funding from other sources that also supports the activities that are the subject of this
Contract) but rather shall use ftmds from this Contract to supplement existing state or local funds currently
available for a particular activity. Contractor shall make a good faith effort to maintain its current level of
support. Contractor may be required to submit documentation substantiating that a reduction in state or local
funding, if any, resulted for reasons other than receipt or expected receipt of funding under this Contract.
ARTICLE IV PAYMENT METHODS AND RESTRICTIONS
Section 4.01 Payment Methods. Except as otherwise provided by the provisions of the Program
Attachment(s), the payment method for each Program Attachment will be one of the following methods:
a) cost reimbursement. This payment method is based on an approved budget in the Program
Attachment(s) and acceptable submission of a request for reimbursement; or
b) unit rate/fee-for-service. This payment method is based on a fixed price or a specified rate(s) or fee(s)
for delivery of a specified unit(s) of service, as stated in the Program Attachments) and acceptable
submission of all required documentation, forms and/or reports.
Section 4.02 Billing Submission. Contractors shall bill the Department in accordance with the Program
Attachment(s) in the form and format prescribed by DSHS. Unless otherwise specified in the Program
Attachment(s) or permitted under the Third Party Payors section of this Article, Contractor shall submit
requests for reimbursement or payment monthly by the last business day of the month following the end of the
month covered by the bill. Contractor shall maintain all documentation that substantiates billing submissions
and make the documentation available to DSHS upon request.
Section 4.03 Final Billing Submission. Unless otherwise provided by the Department, Contractor shall
submit a reimbursement or payment request as a final close-out bill not later than sixty (60) calendar days
following the end of the tern of the Program Attachment for goods received and services rendered during the
term. If necessary to meet this deadline, Contractor may submit reimbursement or payment requests by
facsimile transmission. Reimbursement or payment requests received in DSHS's offices more than sixty (60)
calendar days following the end of the applicable term will not be paid. Consideration of requests for an
exception will be made on a case-by-case basis, subject to the availability of funding, and only for an
extenuating circumstance, such as a catastrophic event, natural disaster, or criminal activity that substantially
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 11
interferes with normal business operations or causes damage or destruction of a place of business and/or
records. A written statement describing the extenuating circumstance and the last request for reimbursement
must be submitted for review and approval to the DSHS Accounting Section.
Section 4.04 Working Capital Advance. If allowed under this Contract, a single one-time working capital
advance per term of the Program Attachment may be granted at the Department's discretion. Contractor must
submit documentation to the contract manager assigned to the Program Attachment to justify the need for a
working capital advance. Contractor shall liquidate the working capital advance as directed by the
Department. The requirements for the documentation justifying the need for an advance and the directions for
liquidating the advance are found in the Contractor's Financial Procedures Manual located at
http://www.dslis.state.tX.LIS/Conti-acts/cfpiii.shtin.
Section 4.05 Third Party Payors. A third party payor is any person or entity who has the legal
responsibility for paying for all or part of the services provided. Third party payors include, but are not limited
to, commercial health or liability insurance carriers, Medicaid, or other federal, state, local, and private
funding sources. Except as provided in this Contract, Contractor shall screen all clients and shall not bill the
Department for services eligible for reimbursement from third party payors. Contractor shall (a) enroll as a
provider in Children's Health Insurance Program and Medicaid if providing approved services authorized
under this Contract that may be covered by those programs, and bill those programs for the covered services;
(b) provide assistance to individuals to enroll in such programs when the screening process indicates possible
eligibility for such programs; (c) allow clients who are otherwise eligible for Department services, but cannot
pay a deductible required by a third party payor, to receive services up to the amount of the deductible and to
bill the Department for the deductible; (d) not bill the Department for any services eligible for third party
reimbursement until all appeals to third party payors have been exhausted, in which case the thirty (30) -day
requirement in the Billing Submission section will be extended until all such appeals have been exhausted; (e)
maintain appropriate documentation from the third party payor reflecting attempts to obtain reimbursement; (f)
bill all third party payors for services provided under this Contract before submitting any request for
reimbursement to Department; and (g) provide third party billing functions at no cost to the client.
ARTICLE V TERMS AND CONDITIONS OF PAYMENT
Section 5.01 Prompt Payment. Upon receipt of a timely, undisputed invoice pursuant to this Contract,
Department will pay Contractor. Payments and reimbursements are contingent upon a signed Contract and
will not exceed the total amount of authorized funds under this Contract. Contractor is entitled to payment or
reimbursement only if the service, work, and/or product has been authorized by the Department and performed
or provided pursuant to this Contract. If those conditions are met. Department will make payment in
accordance with the Texas prompt payment law (Tex. Gov. Code Chapter 2251). Contractor shall comply
with Tex. Gov. Code Chapter 2251 regarding its prompt payment obligations to subcontractors. Payment of
invoices by the Department will not constitute acceptance or approval of Contractor's perfonnance, and all
invoices and Contractor's performance are subject to audit or review by the Department.
Section 5.02 Withholding Payments. Department may withhold all or part of any payments to Contractor
25
to offset reimbursement for any ineligible expenditures, disallowed costs, or overpayments that Contractor has
not refunded to Department, or if financial status report(s) required by the Department are not submitted by the
date(s) due. Department may take repayment (recoup) from funds available under this Contract in amounts
necessary to fulfill Contractor's repayment obligations.
Section 5.03 Condition Precedent to Requesting Payment. Contractor shall disburse program income,
rebates, refunds, contract settlements, audit recoveries, and interest earned on such funds before requesting
cash payments including any advance payments from Department.
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 12
Section 5.04 Acceptance as Payment in Full. Except as permitted in the Fees for Personal Health
Services section of the Services Article of these General Provisions or under 25 Tex. Admin. Code § 444.413,
Contractor shall accept reimbursement or payment from DSHS as payment in full for services or goods
provided to clients or participants. and Contractor shall not seek additional reimbursement or payment for
services or goods from clients or participants or charge a fee or make a profit with respect to the Contract. A
fee or profit is considered to be an amount in excess of actual allowable costs that are incurred in conducting
an assistance program.
ARTICLE VI ALLOWABLE COSTS AND AUDIT REQUIREMENTS
Section 6.01 Allowable Costs. For services satisfactorily performed, and sufficiently documented,
pursuant to this Contract, DSHS will reimburse Contractor for allowable costs. Contractor must have incurred
a cost prior to claiming reimbursement and within the applicable tern to be eligible for reimbursement under
this Contract. DSHS will determine whether costs submitted by Contractor are allowable and eligible for
reimbursement. If DSHS has paid funds to Contractor for unallowable or ineligible costs, DSHS will notify
Contractor in writing, and Contractor shall return the funds to DSHS within thirty (30) calendar days of the
date of this written notice. DSHS may withhold all or part of any payments to Contractor to offset
reimbursement for any unallowable or ineligible expenditures that Contractor has not refunded to DSHS, or if
financial status report(s) required under the Financial Status Reports section are not submitted by the due
date(s). DSHS may take repayment (recoup) from funds available under this Contract in amounts necessary to
fulfill Contractor's repayment obligations. Applicable cost principles, audit requirements, and administrative
requirements include -
Applicable Entity
Applicable Cost
Audit Requirements
Administrative
Principles
Requirements
State, Local and Tribal
OMB Circular A-87
OMB Circular
UGMS, OMB Circular
Governments
(2 CFR, Part 225)
A-133 and UGMS
A-102, and applicable
Federal awarding
agency common rule
Educational Institutions
OMB Circular A-21
OMB Circular
OMB Circular A-1 10 (2
(2 CFR, Part 220)
A-133
CFR, Part 215) and
applicable Federal
awarding agency
common rule; and
UGMS, as applicable
Non -Profit
OMB Circular
OMB Circular
UGMS; OMB Circular
Organizations
A-122 (2 CFR, Part
A-133 and UGMS
A-110 (2 CFR, Part
230)
215) and applicable
Federal awarding
agency common rule
For-profit Organization
48 CFR Part 3 I.
OMB Circular A-
UGMS and applicable
other than a hospital and
Contract Cost
133 and UGMS
Federal awarding
an organization named
Principles
agency common rule
in OMB Circular A-122
Procedures, or
(2 CFR Part, 230) as not
uniform cost
subject to that circular.
accounting standards
that comply with
cost principles
acceptable to the
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 13
A chart of applicable Federal awarding agency common rules is located through a weblink on the DSHS
website at http://,,Nww.dshs.state.tx.us/contracts/Iiiiks.shtm. OMB Circulars will be applied with the
modifications prescribed by UGMS with effect given to whichever provision imposes the more stringent
requirement in the event of a conflict.
Section 6.02 Independent Single or Program -Specific Audit. if Contractor within Contractor's fiscal
year expends a total amount of at least $500,000 in federal funds awarded, Contractor shall have a single audit
or program -specific audit in accordance with the Office of Management and Budget (OMB) Circ. No. A-133,
the Single Audit Act of 1984, P L 98-502, 98 Stat. 2327, and the Single Audit Act Amendments of 1996, P L
104-156, 110 Stat. 1396. The $500,000 federal threshold amount includes federal fiends passed through by
way of state agency awards. If Contractor within Contractor's fiscal year expends a total amount of at least
$500,000 in state funds awarded, Contractor must have a single audit or program -specific audit in accordance
with UGMS, State of Texas Single Audit Circular. For-profit Contractors whose expenditures meet or exceed
the federal and/or state expenditure thresholds stated above shall follow the guidelines in OMB Circular A-133
or UGMS, as applicable, for their program -specific audits. The HHSC Office of Inspector General (OIG) will
notify Contractor to complete the Single Audit Status Registration Form. If Contractor fails to complete the
Single Audit Status Form within thirty (30) calendar days after notification by OIG to do so. Contractor shall
be subject to DSHS sanctions and remedies for non-compliance with this Contract. The audit must be
conducted by an independent certified public accountant and in accordance with applicable OMB Circulars,
Government Auditing Standards, and UGMS, which is accessible through a web link on the DSHS website at
http://w\vw.dslis.state.tx.us/contracts/iiiiks.slitm. Contractor shall procure audit services in compliance with
this section, state procurement procedures, as well as with the provisions of UGMS. Contractor, unless
Contractor is a state governmental entity, shall competitively re -procure independent single audit services at
least every six (6) years.
Section 6.03 Submission of Audit. Within thirty (30) calendar days of receipt of the audit reports
required by the Independent Single or Program -Specific Audit section, Contractor shall submit one copy to the
Department's Contract Oversight and Support Section, and one copy to the OIG, at the following addresses:
Department of State Health Set -vices
Contract Oversight and Support, Mail Code 1326
P.O. Box 149347
Austin, Texas 78714-9347
Health and Human Services Commission
Office of Inspector General
Compliance/Audit, Mail Code 1326
P.O. Box 85200
Austin, Texas 78708-5200
If Contractor fails to submit the audit report as required by the Independent Single or Program -Specific Audit
section within thirty (30) calendar days of receipt by Contractor of an audit report, Contractor shall be subject
to DSHS sanctions and remedies for non-compliance with this Contract.
ARTICLE VII CONFIDENTIALITY
Section 7.01 Maintenance of Confidentiality. Contractor must maintain the privacy and confidentiality of
information and records received during or related to the performance of this Contract, including patient and
client records that contain protected health information (PHI), and any other information that discloses
confidential personal information or identities any client served by DSHS, in accordance with applicable
federal and state laws, rules and regulations, including but not limited to 7 CFR Part 246; 42 CFR Part 2; 45
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 14
federal or state
awarding agency
A chart of applicable Federal awarding agency common rules is located through a weblink on the DSHS
website at http://,,Nww.dshs.state.tx.us/contracts/Iiiiks.shtm. OMB Circulars will be applied with the
modifications prescribed by UGMS with effect given to whichever provision imposes the more stringent
requirement in the event of a conflict.
Section 6.02 Independent Single or Program -Specific Audit. if Contractor within Contractor's fiscal
year expends a total amount of at least $500,000 in federal funds awarded, Contractor shall have a single audit
or program -specific audit in accordance with the Office of Management and Budget (OMB) Circ. No. A-133,
the Single Audit Act of 1984, P L 98-502, 98 Stat. 2327, and the Single Audit Act Amendments of 1996, P L
104-156, 110 Stat. 1396. The $500,000 federal threshold amount includes federal fiends passed through by
way of state agency awards. If Contractor within Contractor's fiscal year expends a total amount of at least
$500,000 in state funds awarded, Contractor must have a single audit or program -specific audit in accordance
with UGMS, State of Texas Single Audit Circular. For-profit Contractors whose expenditures meet or exceed
the federal and/or state expenditure thresholds stated above shall follow the guidelines in OMB Circular A-133
or UGMS, as applicable, for their program -specific audits. The HHSC Office of Inspector General (OIG) will
notify Contractor to complete the Single Audit Status Registration Form. If Contractor fails to complete the
Single Audit Status Form within thirty (30) calendar days after notification by OIG to do so. Contractor shall
be subject to DSHS sanctions and remedies for non-compliance with this Contract. The audit must be
conducted by an independent certified public accountant and in accordance with applicable OMB Circulars,
Government Auditing Standards, and UGMS, which is accessible through a web link on the DSHS website at
http://w\vw.dslis.state.tx.us/contracts/iiiiks.slitm. Contractor shall procure audit services in compliance with
this section, state procurement procedures, as well as with the provisions of UGMS. Contractor, unless
Contractor is a state governmental entity, shall competitively re -procure independent single audit services at
least every six (6) years.
Section 6.03 Submission of Audit. Within thirty (30) calendar days of receipt of the audit reports
required by the Independent Single or Program -Specific Audit section, Contractor shall submit one copy to the
Department's Contract Oversight and Support Section, and one copy to the OIG, at the following addresses:
Department of State Health Set -vices
Contract Oversight and Support, Mail Code 1326
P.O. Box 149347
Austin, Texas 78714-9347
Health and Human Services Commission
Office of Inspector General
Compliance/Audit, Mail Code 1326
P.O. Box 85200
Austin, Texas 78708-5200
If Contractor fails to submit the audit report as required by the Independent Single or Program -Specific Audit
section within thirty (30) calendar days of receipt by Contractor of an audit report, Contractor shall be subject
to DSHS sanctions and remedies for non-compliance with this Contract.
ARTICLE VII CONFIDENTIALITY
Section 7.01 Maintenance of Confidentiality. Contractor must maintain the privacy and confidentiality of
information and records received during or related to the performance of this Contract, including patient and
client records that contain protected health information (PHI), and any other information that discloses
confidential personal information or identities any client served by DSHS, in accordance with applicable
federal and state laws, rules and regulations, including but not limited to 7 CFR Part 246; 42 CFR Part 2; 45
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 14
CFR Parts 160 and 164 (Health Insurance Portability and Accountability Act [HIPAA]); Tex. Health & Safety
Code Chapters 12, 47. 81, 82, 85, 88, 92, 161, 181, 241, 245, 251, 534, 576, 577, 596, 611, and 773; and Tex.
Occ. Code Chapters 56 and 159 and all applicable rules and regulations.
Section 7.02 Department Access to PHI and Other Confidential Information. Contractor shall
cooperate with Department to allow Department to request, collect and receive PHI and other confidential
information under this Contract, without the consent of the individual to whom the PHI relates, for funding,
payment and administration of the grant program, and for purposes permitted under applicable state and
federal confidentiality and privacy laws.
Section 7.03 Exchange of Client -Identifying Information. Except as prohibited by other law, Contractor
and DSHS shall exchange PHI without the consent of clients in accordance with 45 CFR §
164.504(e)(3)(i)(B), Tex. Health & Safety Code § 533.009 and Rule Chapter 414, Subchapter A or other
applicable laws or rules. Contractor shall disclose information described in Tex. Health & Safety Code §
614.017(a)(2) relating to special needs offenders, to an agency described in Ter. Health & Safety Code §
614.017(c) upon request of that agency, unless Contractor documents that the information is not allowed to be
disclosed under 45 CFR Part 164 or other applicable law.
Section 7.04 Security of Patient or Client Records. Contractor shall maintain patient and client records
in compliance with state and federal law relating to security and retention of medical or mental health and
substance abuse patient and client records. Department may require Contractor to transfer original or copies of
patient and client records to Department, without the consent or authorization of the patient or client, upon
termination of this Contract or a Program Attachment to this Contract, as applicable, or if the care and
treatment of the individual patient or client is transferred to another entity. Prior to providing services funded
under this Contract to a patient or client, Contractor shall attempt to obtain consent from the patient or client to
transfer copies of patient or client records to another entity funded by DSHS upon termination of this Contract
or a Program Attachment to this Contract, as applicable, or if care or treatment is transferred to another DSHS-
funded contractor.
Section 7.05 HIV/AIDS Model Workplace Guidelines. If providing direct client care, services, or
programs, Contractor shall implement Department's policies based on the HIV/AIDS (human
immunodeficiency virus/acquired immunodeficiency syndrome) Model Workplace Guidelines for Businesses,
State Agencies, and State Contractors, Policy No. 090.021, and Contractor shall educate employees and clients
concerning HIV and its related conditions, including AIDS, in accordance with the Tex. Health & Safety Code
§ 85.112-114. A link to the Model Workplace Guidelines can be found at
http://www.dslis.state.tx.iis/Iiivstd/policy/policies.slitm.
ARTICLE VIII RECORDS RETENTION
Section 8.01 Retention. Contractor shall retain records in accordance with applicable state and federal
statutes, rules and regulations. At a minimum, Contractor shall retain and preserve all other records, including
financial records that are generated or collected by Contractor under the provisions of this Contract, for a
period of four (4) years after the termination of this Contract. If services are funded through Medicaid, the
federal retention period, if more than four (4) years, will apply. Contractor shall retain all records pertaining to
this Contract that are the subject of litigation or an audit until the litigation has ended or all questions
pertaining to the audit are resolved. Legal requirements for Contractor may extend beyond the retention
schedules established in this section. Contractor shall retain medical records in accordance with Tex. Admin.
Code Title 22, Part 9, § 165.1(b) and (c) or other applicable statutes, rules and regulations governing medical
information. Contractor shall include this provision concerning records retention in any subcontract it awards.
If Contractor ceases business operations, it shall ensure that records relating to this Contract are securely
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 15
stored and are accessible by the Department upon Department's request for at least four (4) years from the date
Contractor ceases business or from the date this Contract terminates, whichever is sooner. Contractor shall
provide, and update as necessary, the name and address of the party responsible for storage of records to the
contract manager assigned to the Program Attachment.
ARTICLE IX ACCESS AND INSPECTION
Section 9.01 Access. In addition to any right of access arising by operation of law, Contractor, and any of
Contractor's affiliate or subsidiary organizations or subcontractors shall permit the Department or any of its
duly authorized representatives, as well as duly authorized federal, state or local authorities, including the
Comptroller General of the United States, OIG, and the State Auditor's Office (SAO), unrestricted access to
and the right to examine any site where business is conducted or client services are performed, and all records
(including financial records, client and patient records, if any, and Contractor's personnel records and
governing body personnel records), books, papers or documents related to this Contract: and the right to
interview members of Contractor's governing body, staff, volunteers, participants and clients concerning the
Contract, Contractor's business and client services. If deemed necessary by the Department or the OIG, for
the purpose of investigation or hearing, Contractor shall produce original documents related to this Contract.
The Department and HHSC will have the right to audit billings both before and after payment, and all
documentation that substantiates the billings. Payments will not foreclose the right of Department and HFISC
to recover excessive or illegal payments. Contractor shall make available to the Department information
collected, assembled or maintained by Contractor relative to this Contract for the Department to respond to
requests that it receives under the Public Information Act. Contractor shall include this provision concerning
the right of access to, and examination of sites and information related to this Contract in any subcontract it
awards.
Section 9.02 State Auditor's Office. Contractor shall, upon request, make all records, books, papers,
documents, or recordings related to this Contract available for inspection, audit, or reproduction during normal
business hours to any authorized representative of the SAO. Contractor understands that the acceptance of
funds under this Contract acts as acceptance of the authority of the SAO, or any successor agency, to conduct
an audit or investigation in connection with those funds. Contractor shall cooperate fully with the SAO or its
successor in the conduct of the audit or investigation, including providing all records requested, and providing
access to any information the SAO considers relevant to the investigation or audit. The SAO's authority to
audit funds will apply to Contract funds disbursed by Contractor to its subcontractors, and Contractor shall
include this provision concerning the SAO's authority to audit and the requirement to cooperate, in any
subcontract Contractor awards.
Section 9.03 Responding to Deficiencies. Any deficiencies identified by DSHS or HHSC upon
examination of Contractor's records or during an inspection of Contractor's site(s) will be conveyed in writing
to Contractor. Contractor shall submit, by the date prescribed by DSHS, a resolution to the deficiency
identified in a site inspection, program or management review or financial audit to the satisfaction of DSHS
or, if directed by DSFIS, a corrective action plan to resolve the deficiency. A DSFIS or HHSC determination
of either an inadequate or inappropriate resolution of the findings may result in contract remedies or sanctions
under the Breach of Contract and Remedies for Non -Compliance Article of these General Provisions.
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 16
ARTICLE X NOTICE REQUIREMENTS
Section 10.01 Child Abuse Reporting Requirement. This section applies to mental health and substance
abuse contractors and contractors for the following public health programs: Human Immunodeficiency
Virus/Sexually Transmitted Diseases (HIV/STD); Family Planning (Titles V, X and XX); Primary Health
Care; Maternal and Child Health; and Women, Infants and Children (WIC) Nutrition Services. Contractor
shall make a good faith effort to comply with child abuse reporting guidelines and requirements in Tex. Fam.
Code Chapter 261 relating to investigations of reports of child abuse and neglect. Contractor shall develop,
implement and enforce a written policy that includes at a minimum the Department's Child Abuse Screening,
Documenting, and Reporting Policy for Contractors/Providers and train all staff on reporting requirements.
Contractor shall use the DSHS Child Abuse Reporting Form as required by the Department located at
www.dshs.state.tx.uS/chiIdabusereporting. Contractor shall retain reporting documentation on site and make it
available for inspection by DSHS.
Section 10.02 Significant Incidents. In addition to notifying the appropriate authorities, Contractor shall
report to the contract manager assigned to the Program Attachment significant incidents involving substantial
disruption of Contractor's program operation, or affecting or potentially affecting the health, safety or welfare
of Department -funded clients or participants within seventy-two (72) hours of discovery.
Section 10.03 Litigation. Contractor shall notify the contract manager assigned to the Program Attachment
of litigation related to or affecting this Contract and to which Contractor is a party within seven (7) calendar
days of becoming aware of such a proceeding. This includes, but is not limited to an action, suit or proceeding
before any court or governmental body, including environmental and civil rights matters, professional liability,
and employee litigation. Notification must include the names of the parties, nature of the litigation and
remedy sought, including amount of damages, if any.
Section 10.04 Action Against the Contractor. Contractor shall notify the contract manager assigned to the
Program Attachment if Contractor has had a contract suspended or terminated for cause by any local, state or
federal department or agency or nonprofit entity within three (3) working days of the suspension or
termination. Such notification must include the reason for such action; the name and contact information of
the local, state or federal department or agency or entity; the date of the contract; and the contract or case
reference number. if Contractor, as an organization, has surrendered its license or has had its license
suspended or revoked by any local, state or federal department or agency or non-profit entity, it shall disclose
this information within three (3) working days of the surrender, suspension or revocation to the contract
manager assigned to the Program Attachment by submitting a one-page description that includes the reason(s)
for such action; the name and contact information of the local, state or federal department or agency or entity;
the date of the license action; and a license or case reference number.
Section 10.05 Insolvency. Contractor shall notify in writing the contract manager assigned to the Program
Attachment of Contractor's insolvency, incapacity, or outstanding unpaid obligations to the Internal Revenue
Service (IRS) or Texas Workforce Commission (TWC) within three (3) working days of the date of
determination that Contractor is insolvent or incapacitated, or the date Contractor discovered an unpaid
obligation to the IRS or TWC. Contractor shall notify in writing the contract manager assigned to the Program
Attachment of its plan to seek bankruptcy protection within three (3) working days of such action by
Contractor's governing body.
Section 10.06 Misuse of Funds and Performance Malfeasance. Contractor shall report to the contract
manager assigned to the Program Attachment, any knowledge of debarment, suspected fraud, program abuse,
possible illegal expenditures, unlawful activity, or violation of financial laws, rules, policies, and procedures
related to performance under this Contract. Contractor shall make such report no later than three (3) working
days from the date that Contractor has knowledge or reason to believe such activity has taken place.
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 17
Additionally, if this Contract is federally fimded by the Department of Health and Human Services (HHS),
Contractor shall report any credible evidence that a principal, employee, subcontractor or agent of Contractor.
or any other person, has submitted a false claim under the False Claims Act or has committed a criminal or
civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, or similar misconduct
involving those funds. Contractor shall make this report to the SAO at http:Hsao.fraud. state. tx.LIS, and to the
FIFIS Office of Inspector General at http://www.oig.hils.s;ov/fraud/hotline/ no later than three (3) working days
from the date that Contractor has knowledge or reason to believe such activity has taken place.
Section 10.07 Criminal Activity and Disciplinary Action. Contractor affirms that no person who has an
ownership or controlling interest in the organization or who is an agent or managing employee of the
organization has been placed on community supervision, received deferred adjudication, is presently indicted
for or has been convicted of a criminal offense related to any financial matter, federal or state program or
felony sex crime. Contractor shall notify in writing the contract manager assigned to the Program Attachment
if it has reason to believe Contractor, or a person with ownership or controlling interest in the organization or
who is an agent or managing employee of the organization, an employee or volunteer of Contractor, or a
subcontractor providing services under this Contract has engaged in any activity that would constitute a
criminal offense equal to or greater than a Class A misdemeanor or if such activity would reasonably
constitute grounds for disciplinary action by a state or federal regulatory authority, or has been placed on
community supervision, received deferred adjudication, or been indicted for or convicted of a criminal offense
relating to involvement in any financial matter, federal or state program or felony sex crime. Contractor shall
make the reports required by this section no later than three (3) working days from the date that Contractor has
knowledge or reason to believe such activity has taken place. Contractor shall not permit any person who
engaged, or was alleged to have engaged, in an activity subject to reporting under this section to perform direct
client services or have direct contact with clients, unless otherwise directed by DSHS.
Section 10.08 Retaliation Prohibited. Contractor shall not retaliate against any person who reports a
violation of, or cooperates with an investigation regarding, any applicable law, rule, regulation or standard to
the Department, another state agency, or any federal, state or local law enforcement official.
Section 10.09 Documentation. Contractor shall maintain appropriate documentation of all notices required
under these General Provisions.
ARTICLE XI ASSURANCES AND CERTIFICATIONS
Section 11.01 Certification. Contractor certifies by execution of this Contract to the following:
a) it is not disqualified under 2 CFR §376.935 or ineligible for participation in federal or state assistance
programs;
b) 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 or state
department or agency in accordance with 2 CFR Parts 376 and 180 (parts A-1), 45 CFR Part 76 (or
comparable federal regulations);
c) it has not knowingly failed to pay a single substantial debt or a number of outstanding debts to a
federal or state agency;
d) it is not subject to an outstanding judgment in a suit against Contractor for collection of the balance of
a debt;
e) it is in good standing with all state and/or federal agencies that have a contracting or regulatory
relationship with Contractor;
f) that no person who has an ownership or controlling interest in Contractor or who is an agent or
managing employee of Contractor has been convicted of a criminal offense related to involvement in
any program established under Medicare, Medicaid, or a federal block grant;
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 18
g) neither it, nor its principals have within the three(3)-year period preceding this Contract, has been
convicted of or had a civil judgment rendered against them for commission of fraud or a criminal
offense in connection with obtaining, attempting to obtain, or performing a private or public (federal,
state or local) transaction or contract under a private or public transaction, violation of federal or state
antitrust statutes (including those proscribing price-fixing between competitors, allocation of
customers between competitors and bid -rigging), or commission of embezzlement, theft, forgery,
bribery, falsification or destruction of records, making false statements or false claims, tax evasion,
obstruction of justice, receiving stolen property or any other offense indicating a lack of business
integrity or business honesty that seriously and directly affects the present responsibility of Contactor
or its principals;
h) neither it, nor its principals is presently indicted or otherwise criminally or civilly charged by a
governmental entity (federal, state or local) with the commission of any of the offenses enumerated in
subsection g) of this section; and
i) neither it, nor its principals within a threeO)-year period preceding this Contract has had one or more
public transaction (federal, state or local) terminated for cause or default.
Contractor shall include the certifications in this Article, without modification (except as required to make
applicable to the subcontractor), in all subcontracts and solicitations for subcontracts. Where Contractor is
unable to certify to any of the statements in this Article, Contractor shall submit an explanation to the contract
manager assigned to the Program Attachment. if Contractor's status with respect to the items certified in this
Article changes during the term of this Contract, Contractor shall immediately notify the contract manager
assigned to the Program Attachment.
Section 11.02 Child Support Delinquencies. As required by Tex. Fam. Code § 231.006, a child support
obligor who is more than thirty (30) calendar 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
twenty-five percent (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, Contractor shall maintain
its eligibility to receive payments under this Contract, 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.
Section 11.03 Authorization. Contractor certifies that it possesses legal authority to contract for the
services described in this Contract and that a resolution, motion or similar action has been duly adopted or
passed as an official act of Contractor's governing body, authorizing the binding of the organization under this
Contract including all understandings and assurances contained in this Contract, and directing and authorizing
the person identified as the authorized representative of Contractor to act in connection with this Contract and
to provide such additional information as may be required.
Section 11.04 Gifts and Benefits Prohibited. Contractor certifies that it has not given, offered to give, nor
intends to give at any time hereafter, any economic opportunity, present or future employment, gift, loan,
gratuity, special discount, trip, favor, service or anything of monetary value to a DSHS or FIHSC official or
employee in connection with this Contract.
Section 11.05 Ineligibility to Receive the Contract. (a) Pursuant to Tex. Gov. Code § 2155.004 and federal
law, Contractor is ineligible to receive this Contract if this Contract includes financial participation by a person
who received compensation from DSHS to participate in developing, drafting or preparing the specifications,
requirements, statement(s) of work or Solicitation Document on which this Contract is based. Contractor
certifies that neither Contractor, nor its employees, nor anyone acting for Contractor has received
compensation from DSHS for participation in the development, drafting or preparation of specifications,
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 19
requirements or statement(s) of work for this Contract or in the Solicitation Document on which this Contract
is based; (b) pursuant to Tex. Gov. Code §§ 2155.006 and 2261.053, Contractor is ineligible to receive this
Contract, if Contractor or any person who would have financial participation in this Contract has been
convicted of violating federal law, or been assessed a federal civil or administrative penalty, in connection
with a contract awarded by the federal government for relief, recovery or reconstruction efforts as a result of
Hurricanes Rita or Katrina or any other disaster occurring after September 24, 2005; (c) Contractor certifies
that the individual or business entity named in this Contract is not ineligible to receive the specified Contract
under Tex. Gov. Code §§ 2155.004, 2155.006 or 2261.053, and acknowledges that this Contract may be
terminated and payment withheld if these certifications are inaccurate.
Section 11.06 Antitrust. Pursuant to 15 USC § 1, et seq. and Tex. Bus. & Comm. Code § 15.01, et seq.
Contractor certifies that neither Contractor, nor anyone acting for Contractor has violated the antitrust laws of
this state or federal antitrust laws, nor communicated directly or indirectly regarding a bid with any competitor
or any other person engaged in Contractor's line of business for the purpose of substantially lessening
competition in such line of business.
Section 11.07 Initiation and Completion of Work. Contractor certifies that it shall initiate and complete
the work under this Contract within the applicable time frame prescribed in this Contract.
ARTICLE XII GENERAL BUSINESS OPERATIONS OF CONTRACTOR
Section 12.01 Responsibilities and Restrictions Concerning Governing Body, Officers and Employees.
Contractor and its governing body shall bear frill responsibility for the integrity of the fiscal and programmatic
management of the organization. This provision applies to all organizations, including Section 501(c)(3)
organizations as defined in the Internal Revenue Service Code as not-for-profit organizations. Each member
of Contractor's governing body shall be accountable for all funds and materials received from Department.
The responsibility of Contractor's governing body shall also include accountability for compliance with
Department Rules, policies, procedures, and applicable federal and state laws and regulations; and correction
of fiscal and program deficiencies identified through self-evaluation and Department's monitoring processes.
Further, Contractor's governing body shall ensure separation of powers, duties, and functions of governing
body members and staff. Staff members, including the executive director, shall not serve as voting members
of Contractor's governing body. No member of Contractor's governing body, or officer or employee of
Contractor shall vote for, confirm or act to influence the employment, compensation or change in status of any
person related within the second degree of affinity or the third degree of consanguinity (as defined in Tex.
Gov. Code Chapter 573) to the member of the governing body or the officer or any employee authorized to
employ or supervise such person. This prohibition does not prohibit the continued employment of a person
who has been continuously employed for a period of two (2) years prior to the election, appointment or
employment of the officer, employee, or governing body member related to such person in the prohibited
degree. These restrictions also apply to the governing body, officers and employees of Contractor's
subcontractors. Ignorance of any Contract provisions or other requirements contained or referred to in this
Contract will not constitute a defense or basis for waiving or appealing such provisions or requirements.
Section 12.02 Management and Control Systems. Contractor shall comply with all the requirements of the
Department's Contractor's Financial Procedures Manual, and any of its subsequent amendments, which is
available at the Department's web site: littp:H%vww.dshs.state.tx.us/contracts/cfpm.slitm. Contractor shall
maintain an appropriate contract administration system to ensure that all terms, conditions, and specifications
are met during the term of the contract through the completion of the closeout procedures. Contractor shall
develop, implement, and maintain financial management and control systems that meet or exceed the
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 20
requirements of UGMS and adhere to procedures detailed in Department's Contractor's Financial Procedures
Manual. Those requirements and procedures include, at a minimum, the following:
a) financial planning, including the development of budgets that adequately reflect all functions and
resources necessary to cavy out authorized activities and the adequate determination of costs;
b) financial management systems that include accurate accounting records that are accessible and identify
the source and application of funds provided under each Program Attachment of this Contract, and
original source documentation substantiating that costs are specifically and solely allocable to the
Program Attachment and are traceable from the transaction to the general ledger; and
c) effective internal and budgetary controls; comparison of actual costs to budget; detennination of
reasonableness, allowableness, and allocability of costs; timely and appropriate audits and resolution
of any findings; billing and collection policies; and a mechanism capable of billing and making
reasonable efforts to collect from clients and third parties.
Section 12.03 Insurance. Contractor shall maintain insurance or other means of repairing or replacing
assets purchased with Department funds. Contractor shall repair or replace with comparable equipment any
such equipment not covered by insurance that is lost, stolen, damaged or destroyed. If any insured equipment
purchased with DSHS funds is lost, stolen, darnaged or destroyed, Contractor shall notify the contract manager
assigned to the Program Attachment to obtain instructions whether to submit and pursue an insurance claim.
Contractor shall use any insurance proceeds to repair the equipment or replace the equipment with comparable
equipment or remit the insurance proceeds to DSHS.
Section 12.04 Fidelity Bond. For the benefit of DSHS, Contractor is required to carry a fidelity bond or
insurance coverage equal to the amount of funding provided under this Contract up to $100,000 that covers
each employee of Contractor handling funds under this Contract, including person(s) authorizing payment of
such funds. The fidelity bond or insurance must provide for indemnification of losses occasioned by (1) any
fraudulent or dishonest act or acts committed by any of Contractor's employees, either individually or in
concert with others, and/or (2) failure of Contractor or any of its employees to perform faithfirliy his/her duties
or to account properly for all monies and property received by virtue of his/her position or employment. The
bond or insurance acquired Linder this section must include coverage for third party property. Contractor shall
notify, and obtain prior approval from, the DSHS Contract Oversight and Support Section before settling a
claim on the fidelity bond or insurance.
Section 12.05 Liability Coverage. For the benefit of DSHS, Contractor shall at all times maintain liability
insurance coverage, referred to in Tex. Gov. Code § 2261.102, as "director and officer liability coverage" or
similar coverage for all persons in management or governing positions within Contractor's organization or
with management or governing authority over Contractor's organization (collectively "responsible persons").
Contractor shall maintain copies of liability policies on site for inspection by DSHS and shall submit copies of
policies to DSHS upon request. This section 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. Contractor shall maintain liability insurance coverage in an
amount not less than the total value of this Contract and that is sufficient to protect the interests of Department
in the event an actionable act or omission by a responsible person damages Department's interests. Contractor
shall notify, and obtain prior approval from, the DSHS Contract Oversight and Support Section before settling
a claim on the insurance.
Section 12.06 Overtime Compensation. Except as provided in this section, Contractor 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 employee's nornal rate of pay for hours worked in
excess of normal working hours. Funds provided under this Contract may be used to pay the premium portion
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 21
of overtime only under the following conditions: 1) with the prior written approval of DSHS: 2) temporarily,
in the case of an emergency or an occasional operational bottleneck, 3) when employees are performing
indirect functions, such as administration, maintenance, or accounting; 4) in performance of tests, laboratory
procedures, or similar operations that are continuous in nature and cannot reasonably be interrupted or
otherwise completed; or 5) when lower overall cost to DSHS will result.
Section 12.07 Program Site. Contractor shall provide set -vices only in locations that are in compliance with
all applicable local, state and federal zoning, building, health, fire, and safety standards.
Section 12.08 Cost Allocation Plan. Contractor shall submit a Cost Allocation Plan in the format provided
in the Department's Contractor's Financial Procedures Manual to the Department's Contract Oversight and
Support Section, at Mail Code 1326, P.O. Box 149347, Austin, Texas 78714-9347, or by email to
mai Ito: coscaP�dslis.state. tx.us no later than the 60`r' calendar day after the effective date of the Contract,
except when a Contractor has a current Cost Allocation Plan on file with the Department. Contractor shall
implement and follow the applicable Cost Allocation Plan. if Contractor's plan is the same as the plan
previously submitted to DSHS, by signing this Contract. Contractor certifies that its current Cost Allocation
Plan for the current year is the same as the plan previously submitted. if the Cost Allocation Plan changes
during the Contract term, Contractor steal I submit a new Cost Allocation Plan to the Contract Oversight and
Support Section within thirty (30) calendar days after the etTective date of the change. Cost Allocation Plans
must comply with the guidelines provided in the Department's Contractor's Financial Procedures Manual
located at Iittp:/hvww.dshs.state.b:.us/contracts/cfpm.shtm.
Section 12.09 No Endorsement. Other than stating the fact that Contractor has a contract with DSHS,
Contractor and its subcontractors are prohibited from publicizing the contractual relationship between
Contractor and DSHS, and from using the Department's name, logo or website link in any manner that is
intended, or that could be perceived, as an endorsement or sponsorship by DSHS or the State of Texas of
Contractor's organization, program, services or product, without the express written consent of DSHS.
Section 12.10 Historically Underutilized Businesses (HUBS). if Contractor was not required to submit a
HUB subcontracting plan and if subcontracting is permitted under this Program Attachment, Contractor is
encouraged to make a good faith effort to consider subcontracting with HUBS in accordance with Tex. Gov.
Code Chapter 2161 and 34 Tex. Admin. Code § 20. 10 et seq. Contractors may obtain a list of HUBS at
http://www.window.state.tx.Lis/procurement/proL,/Iiub. if Contractor has filed a HUB subcontracting plan, the
plan is incorporated by reference in this Contract. If Contractor desires to make a change in the plan,
Contractor must obtain prior approval from the Department's HUB Coordinator of the revised plan before
proposed changes will be effective under this Contract. Contractor shall make a good faith effort to
subcontract with HUBs during the performance of this Contract and shall report HUB subcontract activity to
the Department's HUB Coordinator by the 15th day of each month for the prior month's activity, if there was
any such activity, in accordance with 34 Tex. Admin. Code § 20.16(b).
Section 12.11 Buy Texas. Contractor shall purchase products and materials produced in Texas when the
products and materials are available at a price and time comparable to products and materials produced outside
of Texas as required by Tex. Gov. Code § 2155.4441.
Section 12.12 Contracts with Subrecipient and Vendor Subcontractors. Contractor may enter into
contracts with Subrecipient subcontractors unless restricted or otherwise prohibited in a specific Program
Attachment(s). Prior to entering into a Subrecipient agreement equaling or exceeding $100,000, Contractor
shall obtain written approval from DSHS. Contractor shall establish written policies and procedures for
competitive procurement and monitoring of subcontracts and shall produce a subcontracting monitoring plan.
Contractor shall monitor Subrecipient subcontractors for both financial and programmatic performance and
shall maintain pertinent records that must be available for inspection by DSHS. Contractor shall ensure that
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 22
subcontractors are fully aware of the requirements placed upon them by state/federal statutes, rules, and
regulations and by the provisions of this Contract.
Contracts with all subcontractors, whether vendor or subrecipient, must be in writing and include the
following:
a) name and address of all parties and the subcontractor's Vendor Identification Number (VIN) or
Employee Identification Number (EIN);
b) a detailed description of the services to be provided;
c) measurable method and rate of payment and total not -to -exceed amount of the contract;
d) clearly defined and executable termination clause; and
e) beginning and ending dates that coincide with the dates of the applicable Program Attachment(s) or
that cover a term within the beginning and ending dates of the applicable Program Attachment(s).
Contractor is responsible to DSHS for the performance of any subcontractor. Contractor shall not contract
with a subcontractor, at any tier, that is debarred, suspended, or excluded from or ineligible for participation in
federal assistance programs; or if the subcontractor would be ineligible under the following sections of these
General Provisions: ineligibility to Receive the Contract section (Assurances and Certifications Article): or the
Conflict of Interest or Transactions Between Related Parties sections (General Terms Article).
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 23
Section 12.13 Status of Subcontractors. Contractor shall require all subcontractors to certify that they are
not delinquent on any repayment agreements; have not had a required license or certification revoked; and
have not had a contract tenninated by the Department. Contractors shall further require that subcontractors
certify that they have not voluntarily surrendered within the past three (3) years any license issued by the
Department.
Section 12.14 Incorporation of Terms in Subrecipient Subcontracts. Contractor shall include in all its
contracts with Subrecipient subcontractors and solicitations for subrecipient subcontracts, without modification
(except as required to make applicable to the subcontractor), (1) the certifications stated in the Assurances and
Certifications Article; (2) the requirements in the Conflicts of Interest section and the Transaction Between
Related Parties section of the General Terms Article; and (3) a provision granting to DSHS, SAO, OIG, and
the Comptroller General of the United States, and any of their representatives, the right of access to inspect
the work and the premises on which any work is performed, and the right to audit the subcontractor in
accordance with the Access and Inspection Article in these General Provisions. Each subrecipient subcontract
contract must also include a copy of these General Provisions and a copy of the Statement of Work and any
other provisions in the Program Attachment(s) applicable to the subcontract. Contractor shall ensure that all
written agreements with subrecipient subcontractors incorporate the terms of this Contract so that all terms,
conditions, provisions, requirements, duties and liabilities under this Contract applicable to the services
provided or activities conducted by a subcontractor are passed down to that subcontractor. No provision of this
Contract creates privity of contract between DSHS and any subcontractor of Contractor. If a subcontractor is
unable to certify to any of the statements in Section 12.13 or any of the certifications stated in the Assurances
and Certifications Article, Contractor shall submit an explanation to the contract manager assigned to the
Program Attachment. If the subcontractor's status with respect to the items certified in Section 12.13 or the
assurances stated in the Assurances and Certifications Article changes during the term of this Contract,
Contractor shall immediately notify the contract manager assigned to the Program Attachment.
Section 12.15 Independent Contractor. Contractor is an independent contractor. Contractor shall direct
and be responsible for the performance of its employees. subcontractors, joint venture participants or agents.
Contractor is not an agent or employee of the Department or the State of Texas for any purpose whatsoever.
For purposes of this Contract, Contractor acknowledges that its employees, subcontractors, joint venture
participants or agents will not be eligible for unemployment compensation from the Department or the State of
Texas.
Section 12.16 Authority to Bind. The person or persons signing this Contract on behalf of Contractor, or
representing themselves as signing this Contract on behalf of Contractor, warrant and guarantee that they have
been duly authorized by Contractor to execute this Contract for Contractor and to validly and legally bind
Contractor to all of its terms.
Section 12.17 Tax Liability. Contractor shall comply with all state and federal tax laws and is solely
responsible for tiling all required state and federal tax forms and making all tax payments. if the Department
discovers that Contractor has failed to remain current on a liability to the IRS, this Contract will be subject to
remedies and sanctions under this Contract, including immediate termination at the Department's discretion.
If the Contract is terminated under this section, the Department will not enter into a contract with Contractor
for three (3) years from the date of termination.
Section 12.18 Notice of Organizational Change. Contractor shall submit written notice to the contract
manager assigned to the Program Attachment within ten (10) business days of any change to the Contractor's
name; contact information; key personnel, officer, director or partner; organizational structure, such as merger,
acquisition or change in form of business; legal standing; or authority to do business in Texas. A change in
Contractor's name and certain changes in organizational structure require an amendment to this Contract in
accordance with the Amendments section of these General Provisions.
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 24
Section 12.19 Quality Management. Contractor shall comply with quality management requirements as
directed by the Department.
Section 12.20 Equipment. Equipment means an article of nonexpendable, tangible personal property
having a useful lifetime of more than one year and an acquisition cost of $5,000 or more. Contractors shall
inventory all equipment, and report the inventory on the Contractors Property Inventory Form or Form GC -I 1
as required under Section 12.23Contractor shall initiate the purchase of all equipment approved in writing by
DSHS, in the first quarter of the Contract or Program Attachment term, as applicable. Failure to timely initiate
the purchase of equipment may result in the loss of availability of funds for the purchase of equipment.
Requests to purchase previously approved equipment after the first quarter of the Program Attachment must be
submitted to the contract manager assigned to the Program Attachment.
Section 12.21 Supplies. Supplies are defined as consumable items necessary to carry out the services under
this 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.
Tangible personal property includes controlled assets, including firearms, regardless of the acquisition cost,
and the following assets with an acquisition cost of $500 or more, but less than $5,000: desktop and laptop
computers (including notebooks, tablets and similar devices), non-portable printers and copiers, emergency
management equipment, communication devices and systems, medical and laboratory equipment, and media
equipment are also considered Supplies. Prior approval by DSHS of the purchase of controlled assets is not
required, but such purchases must be reported on the Contractors Property Inventory Form or Form GC -1 1 as
detailed under Section 12.23.
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 25
Section 12.22 Changes to Equipment List. All items of equipment to be purchased with funds under this
Contract must be itemized in Contractor's equipment list as finally approved by the Department in the
executed Contract. Any changes to the approved equipment list in the executed Contract must be approved in
writing by Department prior to the purchase of equipment. Contractor shall submit to the contract manager
assigned to the Program Attachment, a written description including complete product specifications and need
justification prior to purchasing any item of unapproved equipment. If approved, Department will
acknowledge its approval by means of a written amendment or by written acceptance of Contractor's Contract
Revision Request, as appropriate; or, in the case of minor changes to Contractor's approved equipment list, by
email in accordance with the Contractor's Financial Procedures Manual.
Section 12.23 Property Inventory and Protection of Assets. Contractor shall maintain an inventory of
equipment,supplies defined as controlled assets, and property described in the Other Intangible Property
section of Article X111 and submit an annual cumulative report of the equipment and other property on Form
GC -11 (Contractor's Property Inventory Report) to the Department's Contract Oversight and Support Section,
Mail Code 1326, P.O. Box 149347, Austin, Texas 78714-9347, no later than October 15`h of each year. The
report is located on the DSHS website at http://www.dshs.state.tx.us/contracts/forms.slitm. Contractor shall
maintain, repair, and protect assets under this Contract to assure their full availability and usefulness. If
Contractor is indemnified, reimbursed, or otherwise compensated for any loss of, destruction of, or damage to
the assets provided or obtained under this Contract, Contractor shall use the proceeds to repair or replace those
assets.
Section 12.24 Bankruptcy. In the event of bankruptcy. Contractor shall sever Department property,
equipment, and supplies in possession of Contractor from the bankruptcy, and title must revert to Department.
If directed by DSHS, Contractor shall return all such property, equipment and supplies to DSHS. Contractor
shall ensure that its subcontracts, if any, contain a specific provision requiring that in the event the
subcontractor's bankruptcy, the subcontractor must sever Department property, equipment, and supplies in
possession of the subcontractor from the bankruptcy, and title must revert to Department, who may require that
the property, equipment and supplies be returned to DSHS.
Section 12.25 Title to Property. At the conclusion of the contractual relationship between the Department
and Contractor, for any reason, title to any remaining equipment and supplies purchased with funds under this
Contract reverts to Department. Title may be transferred to any other party designated by Department. The
Department may, at its option and to the extent allowed by law, transfer the reversionary interest to such
property to Contractor.
Section 12.26 Property Acquisitions. Department funds must not be used to purchase buildings or real
property. Any costs related to the initial acquisition of the buildings or real property are not allowable.
Section 12.27 Disposition of Property. Contractor shall follow the procedures in the American Hospital
Association's (AHA's) "Estimated Useful Lives of Depreciable Hospital Assets" in disposing, at any time
during or after the Contract term, of equipment purchased with the Department funds, except when federal or
state statutory requirements supersede or when the equipment requires licensure or registration by the state, or
when the acquisition price of the equipment is equal to or greater than $5,000. All other equipment not listed
in the AHA reference (other than equipment that requires licensure or registration or that has an acquisition
cost equal to or greater than $5,000) will be controlled by the requirements of UGMS. If, prior to the end of
the useful life, any item of equipment is no longer needed to perform services under this Contract, or becomes
inoperable, or if the equipment requires licensure or registration or had an acquisition price equal to or greater
than $5,000, Contractor shall request disposition approval and instructions in writing from the contract
manager assigned to the Program Attachment. After an item reaches the end of its useful life, Contractor shall
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 26
ensure that disposition of any equipment is in accordance with Generally Accepted Accounting Principles, and
any applicable federal guidance.
Section 12.28 Closeout of Equipment. At the end of the tern of a Program Attachment that has no
additional renewals or that will not be renewed (Closeout) or when a Program Attachment is otherwise
terminated, Contractor shall submit to the contract manager assigned to the Program Attachment, an inventory
of equipment purchased with Department funds and request disposition instructions for such equipment. All
equipment purchased with Department funds must be secured by Contractor at the time of Closeout or
termination of the Program Attachment and must be disposed of according to the Department's disposition
instructions, which may include return of the equipment to DSHS or transfer of possession to another DSHS
contractor, at Contractor's expense.
Section 12.29 Assets as Collateral Prohibited. Contractors on a cost reimbursement payment method shall
not encumber equipment purchased with Department funds without prior written approval from the
Department.
ARTICLE XIII GENERAL TERMS
Section 13.01 Assignment. Contractor shall not transfer, assign, or sell its interest, in whole or in part, in
this Contract, or in any equipment purchased with funds from this Contract, without the prior written consent
of the Department.
Section 13.02 Lobbying. Contractor shall comply with Tex. Gov. Code § 556.0055, which prohibits
contractors who receive state funds from using those fiords to pay lobbying expenses. Further, Contractor
shall not use funds paid under this Contract, either directly or indirectly, to support the enactment, repeal,
modification, or adoption of any law, regulation or policy at any level of government, or to pay the salary or
expenses of any person related to any activity designed to influence legislation, regulation, policy or
appropriations pending before Congress or the state legislature, or for influencing or attempting to influence an
officer or employee of any federal or state agency, a member of Congress, an officer or employee of Congress,
or an employee of a member of Congress in connection with the awarding of any contract or the extension,
continuation, renewal, amendment, or modification of any contract (31 USC § 1352 and UGMS). if at any
time this Contract exceeds $100,000 of federal funds, Contractor shall file with the contract manager assigned
to the Program Attachment a declaration containing the name of any registrant under the Lobbying Disclosure
Act of 1995 who has made lobbying contacts on behalf of Contractor in connection with this Contract, a
certification that none of the fiends provided by Department have been or will be used for payment to
lobbyists, and disclosure of the names of any and all registered lobbyists with whom Contractor has an
agreement. Contractor shall file the declaration, certification, and disclosure at the time of application for this
Contract; upon execution of this Contract unless Contractor previously filed a declaration, certification, or
disclosure form in connection with the award, and at the end of each calendar quarter in which any event
occurs that materially affects the accuracy of the information contained in any declaration, certification, or
disclosure previously tiled. Contractor shall require any person who requests or receives a subcontract to file
the same declaration, certification, and disclosure with the contract manager assigned to the Program
Attachment. Contractor shall also comply, as applicable, with the lobbying restrictions and requirements in 2
CFR Part 230 (OMB Circulars A-122), Appendix B paragraph 25; 2 CFR Part 225 (A-87) Appendix B section
24; 2 CFR §215.27 (A-1 10) and 2 CFR Part 220 (A-21) Appendix A, subsection J.17 and J.28. Contractor
shall include this provision in any subcontracts.
Section 13.03 Conflict of Interest. Contractor represents to the Department that it and its -subcontractors, if
any, do not have nor shall Contractor or its subcontractors knowingly acquire or retain, any financial or other
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 27
interest that would conflict in any manner with the performance of their obligations under this Contract.
Potential conflicts of interest include, but are not limited to, an existing or potential business or personal
relationship between Contractor (or subcontractor), its principal (or a member of the principal's immediate
family), or any affiliate or subcontractor and the Department or HHSC, their commissioners or employees, or
any other entity or person involved in any way in any project that is the subject of this Contract. Contractor
shall establish safeguards to prohibit employees and subcontractors and their employees from using their
positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of
interest or personal gain. If, at any time during the term of this Contract, Contractor or any of its
subcontractors has a conflict of interest or potential conflict of interest. Contractor shall disclose the actual or
potential conflict of interest to the contract manager assigned to the Program Attachment within ten (10) days
of when Contractor becomes aware of the existence of the actual or potential conflict of interest. Contractor
shall require each of its subcontractors to report to Contractor any conflict of interest or potential conflict of
interest the subcontractor has or may have within ten (10) days of when the subcontractor becornes aware of
the actual or potential conflict of interest.
Section 13.04 Transactions Behveen Related Parties. Contractor shall identify and report to DSHS any
transactions between Contractor and a related party that is part of the work that the Department is purchasing
under this Contract before entering into the transaction or immediately upon discovery. Contractor shall
submit to the contract manager assigned to the Program Attachment the name, address and telephone number
of the related party, how the party is related to Contractor and the work the related party will perform under
this Contract. A related party is a person or entity related to Contractor by blood or marriage, common
ownership or any association that permits either to significantly influence or direct the actions or policies of
the other. Contractor, for purposes of reporting transactions between related parties, includes the entity
contracting with the Department under this Contract as well as the chief executive officer, chief financial
officer and program director of Contractor. Contractor shall comply with Tex. Gov. Code Chapter 573.
Contractor shall maintain records and supply any additional information requested by the Department,
regarding a transaction between related parties, needed to enable the Department to determine the
appropriateness of the transaction pursuant to applicable state or federal law, regulations or circulars, which
may include 45 CFR part 74, OMB Circ. No. A-110, 2 CFR § 215.42, and UGMS.
Section 13.05 Intellectual Property. Tex. Health & Safety Code § 12.020 authorizes DSHS to protect
intellectual property developed as a result of this Contract.
a) "Intellectual property" means created property that may be protected under copyright, patent, or
trademark/service mark law.
b) For purposes of this Contract intellectual property prepared for DSHS use, or a work specially ordered
or commissioned through a contract for DSHS use is "work made for hire." DSHS owns works made
for hire unless it agrees otherwise by contract. To the extent that title and interest to any such work
may not, by operation of law, vest in DSHS, or such work may not be considered a work made for
hire, Contractor irrevocably assigns the rights, title and interest therein to DSHS. DSHS has the right
to obtain and hold in its name any and all patents, copyrights, registrations or other such protections as
may be appropriate to the subject matter, and any extensions and renewals thereof. Contractor shall
give DSHS and the State of Texas, as well as any person designated by DSHS and the State of Texas,
all assistance required to perfect the rights defined herein without charge or expense beyond those
amounts payable to Contractor for goods provided or services rendered under this Contract.
c) if federal funds are used to finance activities supported by this Contract that result in the production of
intellectual property, 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 (I) the copyright in any intellectual property developed under this Contract,
including any subcontract; and (2) any rights of copyright to which a Contractor purchases ownership
with contract funds. Contractor shall place an acknowledgment of federal awarding agency grant
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 28
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 must 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)."
d) If the terms of a federal grant award the copyright to Contractor, DSHS reserves a royalty -free,
nonexclusive, worldwide and irrevocable license to reproduce, publish or otherwise use, and to
authorize others to use, for DSHS, 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 contract funds.
e) if the results of the contract performance are subject to copyright law, Contractor cannot publish those
results without prior review and approval of DSHS. Contractor sliall submit requests for review and
approval to the contract manager assigned to the Program Attachment.
Section 13.06 Other Intangible Property. At the conclusion of the contractual relationship between
Department and Contractor, for any reason, Department shall have the sole ownership rights and interest in all
non -copyrightable intangible property that was developed, produced or obtained by Contractor as a specific
requirement under this Contract or under any grant that funds this Contract, such as domain names, URLs,
software licenses with a value of $500 or more, etc. Contractor shall inventory all such non -copyrightable
intangible property. Contractor sliall cooperate with Department and perform all actions necessary to transfer
ownership of such property to the Department or its designee, or otherwise affirm Department's ownership
rights and interest in such property. This provision will survive the termination or expiration of this Contract.
Section 13.07 Severability and Ambiguity. 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. The Parties represent and agree that the language
contained in this Contract is to be construed as jointly drafted, proposed and accepted.
Section 13.08 Legal Notice. Any notice required or permitted to be given by the provisions of this Conti -act
will be deemed to have been received by a Party on the third business day after the date on which it was
mailed to the Party at the address specified by the Party to the other Party in writing or, if sent by certified
mail, on the date of receipt.
Section 13.09 Successors. This Contract will be binding upon the Parties and their successors and
assignees, except as expressly provided in this Contract.
Section 13.10 Headings. The articles and section headings used in this Contract are for convenience of
reference only and will not be construed in any way to define, limit or describe the scope or intent of any
provisions.
Section 13.11 Parties. The Parties represent to each other that they are entities fully familiar with
transactions of the kind reflected by the contract documents, and are capable of understanding the terminology
and meaning of their terms and conditions and of obtaining independent legal advice pertaining to this
Contract.
Section 13.12 Survivability of Terms. Termination or expiration of this Contract or a Program Attachment
for any reason will not release either Party from any liabilities or obligations in this Contract that (a) the
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 29
Parties have expressly agreed will survive any such termination or expiration, or (b) remain to be performed or
(c) by their nature would be intended to be applicable following any such termination or expiration.
Section 13.13 Direct Operation. At the Department's discretion, the Department may temporarily assume
operations of a Contractor's program or programs funded under this Contract when the continued operation of
the program by Contractor puts at risk the health or safety of clients and/or participants served by Contractor.
Section 13.14 Customer Service Information. If requested, Contractor shall supply such information as
required by the Department to comply with the provisions of Tex. Gov. Code Chapter 2114 regarding
Customer Service surveys.
Section 13.15 Amendment. The Parties agree that the Department may unilaterally reduce funds pursuant
to the terms of this Contract without the written agreement of Contractor. All other amendments to this
Contract must be in writing and agreed to by both Parties, except as otherwise specified in the Contractor's
Notification of Change to Certain Contract Provisions section or the Contractor's Request for Revision to
Certain Contract Provisions section of this Article. Contractor's request for certain budget revisions or other
amendments must be submitted in writing, including a justification for the request, to the contract manager
assigned to the Program Attachment; and if a budget revision or amendment is requested during the last
quarter of the Contract or Program Attachment term, as applicable, Contractor's written justification must
include a reason for the delay in making the request. Revision or other amendment requests may be granted at
the discretion of DSHS. Except as otherwise provided in this Article, Contractor shall not perform or produce,
and DSHS will not pay for the performance or production of, different or additional goods, services, work or
products except pursuant to an amendment of this Contract that is executed in compliance with this section;
and DSHS will not waive any term, covenant, or condition of this Contract unless by amendment or otherwise
in compliance with this Article.
Section 13.16 Contractor's Notification of Change to Certain Contract Provisions. The following
changes may be made to this Contract without a written amendment or the Department's prior approval:
a) contractor's contact person and contact information;
b) contact information for key personnel, as stated in Contractor's response to the Solicitation Document,
if any;
c) cumulative budget transfers that exceed 25% among direct cost categories, other than the equipment
category, of cost reimbursement contract Program Attachments of less than $100,000, provided that
the total budget amount is unchanged (This subsection does not apply to contracts funded by funding
sources that have different percentage requirements);
d) minor corrections or clarifications to the Contract language that in no way alter the scope of work,
objectives or performance measures; and
e) a change in Contractor's share of the budget concerning non-DSHS finding other than program
income and match, regardless of tile amount of the change, provided that in changing the budget,
Contractor is not supplanting DSHS funds.
Contractor within ten (10) calendar days shall notify in writing the contract manager assigned to the Program
Attachment of any change enumerated in this section, but the contract will not be amended. The notification
may be by letter, fax or email. Except for contracts funded by funding sources that have different percentage
requirements, cumulative budget line item transfers of 25% or less among direct cost categories, other than
equipment, of cost reimbursement contracts of any amount do not require written amendment or prior approval
or notification.
Section 13.17 Contractor's Request for Revision of Certain Contract Provisions. A Contractor's
Revision Request is an alternative method for amending certain specified provisions of this Contract that is
initiated by Contractor, but must be approved by DSHS. The following amendments to this Contract may be
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 30
made through a Contractor's Revision Request, rather than through the amendment process described in the
Amendment section of this Article:
a) cumulative budget transfers among direct cost categories, other than the equipment category, that
exceed 25% of Program Attachments of $100.000 or more, provided that the total budget amount is
unchanged (This subsection does not apply to contracts funded by funding sources that have different
percentage requirements);
b) budget transfer to other categories of funds for direct payment to trainees for training allowances;
c) change in clinic hours or location;
d) change in the equipment list substituting an item of equipment equivalent to an item of equipment on
the approved budget;
e) changes in the equipment category of a previously approved equipment budget;
f) changes specified in applicable OMB Circular cost principles as requiring prior approval, regardless of
dollar threshold (e.g., foreign travel expenses, overtime premiums, membership fees; and
g) cumulative budget transfers into or out of the equipment category that do not exceed 10% of any
Program Attachment, provided that the total budget amount is unchanged (cumulative transfers from
or to the equipment category that equal or exceed 10% of any Program Attachment require an
amendment to this Contract as described in the Amendment section of this Article).
In order to request a revision of any of the enumerated provisions, Contractor shall request the change in
writing from their assigned contract manager. A separate Contractor Revision Request is required for each
Program Attachment to be revised. Circumstances of a requested contract revision may indicate the need for
an amendment described in the Amendment section of this Article rather than a contract revision amendment
under this section.
Section 13.18 Immunity Not Waived. THE PARTIES EXPRESSLY AGREE THAT NO
PROVISION OF TI IIS CONTRACT IS IN ANY WAY INTENDED TO CONSTITUTE A
WAIVER BY DEPARTMENT OR THE STATE OF TEXAS OF ANY IMMUNITIES FROM SUIT
OR FROM LIABILITY THAT DEPARTMENT OR THE STATE OF TEXAS MAY HAVE BY
OPERATION OF LAW.
Section 13.19 Hold Harmless and Indemnification. Contractor, as an independent contractor, agrees to
hold Department, the State of Texas, individual state employees and officers, and 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 Contractor, its employees, subcontractors, joint venture participants or agents under this
Contract.
Section 13.20 Waiver. Acceptance by either Party of partial performance or failure to complain of any
action, non -action or default under this Contract will not constitute a waiver of either Party's rights under this
Contract.
Section 13.21 Electronic and Information Resources Accessibility and Security Standards. As required
by 1 Tex. Admin. Code Chapters 213 and 206, as a state agency, DSHS must procure products that comply
with the State of Texas Accessibility requirements for Electronic and Information Resources specified in 1
Tex. Admin. Code Chapter 213 and Website Accessibility Standards/Specifications specified in 1 Tex. Admin.
Code Chapter 206 (collectively EIR Standards) when such products are available in the commercial
marketplace or when such products are developed in response to a procurement solicitation. If performance
under this Contract includes the development, modification or maintenance of a website or other electronic and
information resources for DSHS or for the public on behalf of DSHS, Contractor certifies that the website or
other electronic and information resources comply with the EIR Standards. Contractor further certifies that any
network hardware or software purchased or provided under this Contract has undergone independent
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 31
certification testing for known and relevant vulnerabilities, in accordance with rules adopted by Department of
Information Resources.
Section 13.22 Force Majeure. Neither Party will be liable for any failure or delay in performing all or some
of its obligations, as applicable, under this Contract if such failure or delay is due to any cause beyond the
reasonable control of such Party, including, but not limited to, extraordinarily severe weather, strikes, natural
disasters, fire, civil disturbance, epidemic, war, court order, or acts of God. The existence of any such cause of
delay or failure will extend the period of performance in the exercise of reasonable diligence until after the
cause of the delay or failure no longer exists and, if applicable, for any reasonable period of time thereafter
required to resume perforniance. A Party, within a period of time reasonable under the circumstances, must
inform the other by any reasonable method (phone, email, etc.) and, as soon as practicable, must submit
written notice with proof of receipt, of the existence of a force majeure event or otherwise waive the right as a
defense to non-performance.
Section 13.23 Interim Contracts. The Parties agree that the Contract and/or any of its Program
Attachments will automatically continue as an "Interim Contract" beyond the expiration date of the term of the
Contract or Program Attachment(s), as applicable, under the following circumstances: (1) on or shortly prior to
the expiration date of the Contract or Program Attachment, there is a state of disaster declared by the Governor
that affects the ability or resources of the DSHS contract or program staff managing the Contract to complete
in a timely manner the extension, renewal, or other standard contract process for the Contract or Program
Attachment; and (2) DSHS makes the determination in its sole discretion that an Interim Contract is
appropriate under the circumstances. DSHS will notify Contractor promptly in writing if such a determination
is made. The notice will specify whether DSHS is extending the Contract or Program Attachment for
additional time for Contractor to perform or complete the previously contracted goods and services (with no
new or additional funding) or is purchasing additional goods and services as described in the Program
Attachment for the term of the Interim Contract, or both. The notice will include billing instructions and
detailed information on how DSHS will fund the goods or services to be procured during the Interim Contract
term. The Interim Contract will terminate thirty (30) days after the disaster declaration is terminated unless the
Parties agree to a shorter period of time.
Section 13.24 Cooperation and; Communication. Contractor shall cooperate with Department staff and, as
applicable, other DSHS contractors, and shall promptly comply with requests from DSHS for information or
responses to DSHS inquiries concerning Contractor's duties or responsibilities under this Contract.
ARTICLE XIV BREACH OF CONTRACT AND REMEDIES FOR NON-COMPLIANCE
Section 14.01 Actions Constituting Breach of Contract. Actions or inactions that constitute breach of
contract include, but are not limited to, the following:
a) failure to properly provide the services and/or goods purchased under this Contract;
b) failure to comply with any provision of this Contract, including failure to comply with all applicable
statutes, rules or regulations;
c) failure to pay refunds or penalties owed to the Department;
d) failure to comply with a repayment agreement with the DSHS or agreed order issued by DSHS;
e) failure by Contractor to provide a full accounting of funds expended under this Contract;
f) discovery of a material misrepresentation in any aspect of Contractor's application or response to the
Solicitation Document;
g) any misrepresentation in the assurances and certifications in Contractor's application or response to
the Solicitation Document or in this Contract; or
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 32
11) Contractor is on or is added to the Excluded Parties List System (EPLS).
Section 14.02 General Remedies and Sanctions. The Department will monitor Contractor for both
programmatic and financial compliance. The remedies and sanctions in this section are available to the
Department against Contractor and any entity that subcontracts with Contractor for provision of services or
goods. FIHSC 010 may investigate, audit and impose or recommend imposition of remedies or sanctions to
Department for any breach of this Contract and may monitor Contractor for financial compliance. The
Department may impose one or more remedies or sanctions for each item of noncompliance and will
determine remedies or sanctions on a case-by-case basis. Contractor is responsible for complying with all of
the terms of this Contract. The listing of or use of one or more of the remedies or sanctions in this section does
not relieve Contractor of any obligations under this Contract. A state or federal statute, rule or 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. If Contractor breaches this
Contract by failing to comply with one or more of the terms of this Contract, including but not limited to
compliance with applicable statutes, rules or regulations, the Department may take one or more of the
following actions:
a) terminate this Contract or a Program Attachment of this Contract as it relates to a specific program
type. In the case of termination, the Department will inform Contractor of the termination no less than
thirty (30) calendar days before the effective date of the termination in a notice of termination, except
for circumstances that require immediate termination as described in the Emergency Action section of
this Article. The notice of termination will state the effective date of the termination, the reasons for
the termination, and, if applicable, alert Contractor of the opportunity to request a hearing oil the
termination pursuant to Tex. Gov. Code Chapter 2105 regarding administration of Block Grants.
Contractor shall not make any claim for payment or reimbursement for services provided from the
effective date of termination;
b) suspend all or part of this Contract. Suspension is an action taken by the Department in which the
Contractor is notified to temporarily (1) discontinue performance of all or part of the Contract, and/or
(2) discontinue incurring expenses otherwise allowable under the Contract as of the effective date of
the suspension, pending DSHS's determination to terminate or amend the Contract or permit the
Contractor to resume performance and/or incur allowable expenses. Contractor shall not bill DSHS for
services performed during suspension, and Contractor's costs resulting from obligations incurred by
Contractor during a suspension are not allowable unless expressly authorized by the notice of
suspension;
c) deny additional or future contracts with Contractor;
d) reduce the funding amount for failure to 1) provide goods and services as described in this Contract or
consistent with Contract performance expectations, 2) achieve or maintain the proposed level of
service, 3) expend funds appropriately and at a rate that will make full use of the award, or 4) achieve
local match, if required;
e) disallow costs and credit for matching funds, if any, for all or part of the activities or action not in
compliance;
t) temporarily withhold cash payments. Temporarily withholding cash payments means the temporary
withholding of a working capital advance, if applicable, or reimbursements or payments to Contractor
for proper charges or obligations incurred, pending resolution of issues of noncompliance with
conditions of this Contract or indebtedness to the United States or to the State of Texas;
g) permanently withhold cash payments. Permanent withholding of cash payment means that
Department retains funds billed by Contractor for (1) unallowable, undocumented, disputed,
inaccurate, improper, or erroneous billings. (2) material failure to comply with Contract provisions; or
(3) indebtedness to the United States or to the State of Texas;
h) declare this Contract void upon the Department's determination that this Contract was obtained
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 33
fraudulently or upon the Department's determination that this Contract was illegal or invalid from this
Contract's inception and demand repayment of any funds paid under this Contract;
i) request that Contractor be removed from the Centralized Master Bidders List (CMBL) or any other
state bid list, and barred from participating in future contracting opportunities with the State of Teras;
j) delay execution of a new contract or contract renewal with Contractor while other imposed or
proposed sanctions are pending resolution;
k) place Contractor on probation. Probation means that Contractor will be placed on accelerated
monitoring for a period not to exceed six (6) months at which time items of noncompliance must be
resolved or substantial improvement shown by Contractor. Accelerated monitoring means more
frequent or more extensive monitoring will be performed by Department than would routinely be
conducted;
1) require Contractor to obtain technical or managerial assistance;
m) establish additional prior approvals for expenditure of funds by Contractor;
n) require additional or more detailed, financial and/or programmatic reports to be submitted by
Contractor;
o) demand repayment from Contractor when it is verified that Contractor has been overpaid, e.g., because
of disallowed costs, payments not supported by proper documentation, improper billing or accounting
practices, or failure to comply with Contract terms;
P) pursue a claim for darnages as a result of breach of contract;
q) require Contractor to prohibit any employee or volunteer of Contractor from performing under this
Contract or having direct contact with DSHS-funded clients or participants, or require removal of any
employee, volunteer, officer or governing body member, if the employee, volunteer, officer or
member of the governing body has been indicted or convicted of the rnisuse of state or federal funds,
fraud or illegal acts that are in contraindication to continued obligations under this Contract, as
reasonably determined by DSHS;
r) withhold any payments to Contractor to satisfy any recoupment, liquidated damages, match
insufficiency, or any penalty (if the penalty is permitted by statute) imposed by DSHS, and take
repayment from funds available under this Contract in arnounts necessary to fulfill Contractor's
payment or repayment obligations;
s) reduce the Contract term;
t) recoup improper payments when it is verified that Contractor has been overpaid, e.g., because of
disallowed costs, payments not supported by proper documentation, improper billing or accounting
practices or failure to comply with Contract terms;
u) assess liquidated damages;
v) demand repayment of an amount equal to the amount of any match Contractor failed to provide, as
determined by DSHS;
w) impose other remedies, sanctions or penalties permitted by statute.
Section 14.03 Notice of Remedies or Sanctions. Department will formally notify Contractor in writing
when a remedy or sanction is imposed (with the exception of accelerated monitoring, which may be
unannounced), stating the nature of the remedies and sanction(s), the reasons for imposing them, the corrective
actions, if any, that must be taken before the actions will be removed and the time allowed for completing the
corrective actions, and the method, if any, of requesting reconsideration of the remedies and sanctions
imposed. Other than in the case of repayment or recoupment, Contractor is required to file, within fifteen (15)
calendar days of receipt of notice, a written response to Department acknowledging receipt of such notice. If
requested by the Department, the written response must state how Contractor shall correct the noncompliance
(corrective action plan) or demonstrate in writing that the findings on which the remedies or sanction(s) are
based are either invalid or do not wan -ant the remedies or sanction(s). if Department determines that a remedy
or sanction is warranted, unless the remedy or sanction is subject to review under a federal or state statute,
regulation, rule, or guideline, Department's decision is final. Department will provide written notice to
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 34
Contractor of Department's decision. If required by the Department. Contractor shall submit a corrective
action plan for DSHS approval and take corrective action as stated in the approved corrective action plan. If
DSHS determines that repayment is warranted, DSHS will issue a demand letter to Contractor for repayment.
If full repayment is not received within the time limit stated in the demand letter, and if recoupment is
available, DSFIS will recoup the amount due to DSHS from funds otherwise due to Contractor under this
Contract.
Section 14.04 Emergency Action. In an emergency, Department may immediately terminate or suspend all
or part of this Contract, temporarily or permanently withhold cash payments, deny future contract awards. or
delay contract execution by delivering written notice to Contractor, by any verifiable method, stating the
reason for the emergency action. An "emergency" is defined as the following:
a) Contractor is noncompliant and the noncompliance has a direct adverse effect on the public or client
health, welfare or safety. The direct adverse effect may be programmatic or financial and may include
failing to provide services, providing inadequate services, providing unnecessary services, or using
resources so that the public or clients do not receive the benefits contemplated by the scope of work or
performance measures; or
b) Contractor is expending funds inappropriately.
Whether Contractor's conduct or noncompliance is an emergency will be determined by Department on a
case-by-case basis and will be based upon the nature of the noncompliance or conduct.
ARTICLE XV CLAIMS AGAINST THE DEPARTMENT
Section 15.01 Breach of Contract Claim. The process for a breach of contract claim against the
Department provided for in Tex. Gov. Code Chapter 2260 and implemented in Department Rules §§ 4.11-
4.24 will be used by DSHS and Contractor to attempt to resolve any breach of contract claim against DSHS.
Section 15.02 Notice. Contractor's claims for breach of this Contract that the Parties cannot resolve in the
ordinary course of business must be submitted to the negotiation process provided in Tex. Gov Code Chapter
2260, subchapter B. To initiate the process, Contractor shall submit written notice, as required by subchapter
B, to DSHS's Office of General Counsel. The notice must specifically state that the provisions of Chapter
2260, subchapter B, are being invoked. A copy of the notice must also be given to all other representatives of
DSHS and Contractor. Subchapter B is a condition precedent to the filing of a contested case proceeding under
Tex. Gov. Code Chapter 2260, subchapter C.
Section 15.03 Sole Remedy. The contested case process provided in Tex. Gov. Code Chapter 2260,
subchapter C, is Contractor's sole and exclusive process for seeking a remedy for any and all alleged breaches
of contract by DSHS if the Parties are unable to resolve their disputes under this Article.
Section 15.04 Condition Precedent to Suit. Compliance with the contested case process provided in Tex.
Gov. Code Chapter 2260, subchapter C, is a condition precedent to seeking consent to sue from the Legislature
under Tex. Civ. Prac. & Rem. Code Chapter 107. Neither the execution of this Contract by DSHS nor any
other conduct of any representative of DSHS relating to this Contract will be considered a waiver of sovereign
immunity to suit.
Section 15.05 .Performance Not Suspended. Neither the occurrence of an event nor the pendency of a
claim constitutes grounds for the suspension of performance by Contractor, in whole or in part.
ARTICLE XVI TERMINATION AND TEMPORARY SUSPENSION
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 35
Section 16.01 Expiration of Contract or Program Attachment(s). Except as provided in the Survivability
of Terms section of the General Terms Article, Contractor's service obligations stated in each Program
Attachment will end upon the expiration date of that Program Attachment unless extended or renewed by
written amendment. Prior to completion of the term of all Program Attachments, all or a part of this Contract
may be terminated with or without cause under this Article.
Section 16.02 Effect of Termination. Termination is the permanent withdrawal of Contractor's authority to
obligate previously awarded funds before that authority would otherwise expire or the voluntary
relinquishment by Contractor of the authority to obligate previously awarded funds. Contractor's costs
resulting from obligations incurred by Contractor after termination of an award are not allowable unless
expressly authorized by the notice of termination. Upon termination of this Contract or Program Attachment,
as applicable, Contractor shall cooperate with DSI -1S to the fullest extent possible to ensure the orderly and
safe transfer of responsibilities under this Contract or Program Attachment, as applicable, to DSHS or another
entity designated by DSHS. Upon termination of all or part of this Contract, Department and Contractor will
be discharged from any further obligation created under the applicable terms of this Contract or the Program
Attachment, as applicable, except for the equitable settlement of the respective accrued interests or obligations
incurred prior to termination and for Contractor's duty to cooperate with DSHS, and except as provided in the
Survivability of Terms section of the General Terms Article. Termination does not, however, constitute a
waiver of any remedies for breach of this Contract. in addition. Contractor's obligations to retain records and
maintain confidentiality of information will survive this Contract.
Section 16.03 Acts Not Constituting Termination. Termination does not include the Department's (1)
withdrawal of funds awarded on the basis of Contractor's underestimate of the unobligated balance in a prior
period; (2) withdrawal of the unobligated balance at the expiration of the term of a program attachment; (3)
refusal to extend a program attachment or award additional funds to make a competing or noncompeting
continuation, renewal, extension, or supplemental award; (4) non -renewal of a contract or program attachment
at Department's sole discretion; or (5) voiding of a contract upon determination that the award was obtained
fraudulently, or was otherwise illegal or invalid from inception.
Section 16.04 Termination or Temporary Suspension Without Cause.
a) Either Party may terminate this Contract or a Program Attachment, as applicable, with at least thirty
(30) calendar days prior written notice to the other Party, except that if Contractor seeks to terminate a
Contract or Program Attachment that involves residential client services, Contractor shall give the
Department at least ninety (90) calendar days prior written notice and shall submit a transition plan to
ensure client services are not disrupted.
b) The Parties may terminate this Contract or a Program Attachment by mutual agreement.
c) DSHS may temporarily suspend or terminate this Contract or a Program Attachment if funds become
unavailable through lack of appropriations, budget cuts, transfer of funds between programs or health
and human services agencies, amendments to the Appropriations Act, health and human services
consolidations, or any disruption of current appropriated funding for this Contract or Program
Attachment. Contractor will be notified in writing of any termination or temporary suspension or of
any cessation of temporary suspension. Upon notification of temporary suspension, Contractor shall
discontinue performance under the Contract as of the effective date of the suspension, for the duration
of the suspension.
d) Department may terminate this Contract or a Program Attachment immediately when, in the sole
determination of Department, termination is in the best interest of the State of Texas.
Section 16.05 Termination For Cause. Either Party may terminate for material breach of this Contract with
at least thirty (30) calendar days written notice to the other Party. Department may terminate this Contract, in
whole or in part, for breach of contract or for any other conduct that jeopardizes the Contract objectives, by
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 36
giving at least thirty (30) calendar days written notice to Contractor. Such conduct may include one or more of
the following:
a) Contractor has failed to adhere to any laws, ordinances, rules, regulations or orders of any public
authority having jurisdiction;
b) Contractor fails to communicate with Department or fails to allow its employees or those of its
subcontractor to communicate with Department as necessary for the performance or oversight of this
Contract;
c) Contractor breaches a standard of confidentiality with respect to the services provided under this
Contract;
d) Department determines that Contractor is without sufficient personnel or resources to perform under
this Contract or that Contractor is otherwise unable or unwilling to fulfill any of its requirements under
this Contract or exercise adequate control over expenditures or assets;
e) Department determines that Contractor, its agent or another representative offered or gave a gratuity
(e.g.. entertainment or gift) to an official or employee of DSHS or HHSC for the purpose of obtaining
a contract or favorable treatment;
f) Department determines that this Contract includes financial participation by a person who received
compensation from DSHS to participate in developing, drafting or preparing the specifications,
requirements or statement(s) of work or Solicitation Document on which this Contract is based in
violation of Tex. Gov. Code § 2155.004; or Department determines that Contractor was ineligible to
receive this Contract under Tex. Gov. Code §§ 2155.006 or 2261.053 related to certain disaster
response contracts;
g) Contractor appears to be financially unstable. Indicators of financial instability may include one or
more of the following:
1) Contractor fails to make payments for debts;
2) Contractor makes an assignment for the benefit of its creditors;
3) Contractor admits in writing its inability to pay its debts generally as they become due;
4) if judgment for the payment of money in excess of $50,000 (that is not covered by insurance) is
rendered by any court or governmental body against Contractor, and Contractor 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 thirty (30) calendar days from the date of entry of the judgment, or (d) if
the execution is stayed, within the thirty (30) -day period or a longer period during which
execution of the judgment has been stayed, appeal from the judgment and cause the execution to
be stayed during such appeal while providing such reserves for the judgment as may be required
under Generally Accepted Accounting Principles;
5) a writ or warrant of attachment or any similar process is issued by any court against all or any
material portion of the property of Contractor, and such writ or warrant of attachment or any
similar process is not released or bonded within thirty (30) calendar days after its issuance;
6) Contractor is adjudicated bankrupt or insolvent;
7) Contractor files a case Linder the Federal Bankruptcy Code or seeks relief under any provision of
any bankruptcy, reorganization, arrangement, insolvency, readjustment of debt, dissolution,
receivership or liquidation law of any jurisdiction then in effect, or consents to the tiling of any
case or petition against it under any such law;
8) any property or portion of the property of Contractor is sequestered by court order and the order
remains in effect for more than thirty (30) calendar days after Contractor obtains knowledge of the
sequestration;
9) a petition is filed against Contractor under any state reorganization, arrangement, insolvency,
readjustment of debt, dissolution, receivership or liquidation law of any jurisdiction then in effect,
and the petition is not dismissed within thirty (30) calendar days; or
10) Contractor consents to the appointment of a receiver, trustee, or liquidator of Contractor or of all
or any part of its property;
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 37
h) Contractor's management system does not meet the UGMS management standards; or
i) Any required license, certification, permit, registration or approval required to conduct Contractor's
business or to perform services under this Contract is not obtained or is revoked, is surrendered,
expires, is not renewed, is inactivated or is suspended.
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 38
Section 16.06 Notice of Termination. 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,
Department and Contractor shall attempt to resolve any issues related to the anticipated termination in good
faith during the notice period.
ARTICLE XVII VOID, SUSPENDED, AND TERMINATED CONTRACTS
Section 17.01 Void Contracts. Department may void this Contract upon determination that the award was
obtained fraudulently or was otherwise illegal or invalid from its inception.
Section 17.02 Effect of Void, Suspended, or Involuntarily Terminated Contract. A Contractor who has
been a party to a contract with DSHS that has been found to be void, or is suspended, or is terminated for
cause is not eligible for expansion of current contracts, if any, or new contracts or renewals until, in the case of
suspension or termination, the Department has determined that Contractor has satisfactorily resolved the issues
underlying the suspension or termination. Additionally, if this Contract is found to be void, any amount paid
is subject to repayment.
Section 17.03 Appeals Rights. Pursuant to Tex. Gov. Code § 2105.302, after receiving notice from the
Department of termination of a contract with DSHS funded by block grant funds, Contractor may request an
administrative hearing under Tex. Gov. Code Chapter 2001.
ARTICLE XVIII CLOSEOUT
Section 18.01 Cessation of Services At Closeout. Upon expiration of this Contract or Program Attachment.
as applicable, (and any renewals of this Contract or Program Attachment) on its own terms. Contractor shall
cease services under this Contract or Program Attachment; and shall cooperate with DSHS to the fullest extent
possible upon expiration or prior to expiration, as necessary, to ensure the orderly and safe transfer of
responsibilities under this Contract to DSHS or another entity designated by DSHS. Upon receiving notice of
Contract or Program Attachment termination or non -renewal, Contractor shall immediately begin to effect an
orderly and safe transition of recipients of services to alternative service providers, as needed. Contractor also
shall completely cease providing services under this Contract or Program Attachment by the date specified in
the termination or non -renewal notice. Contractor shall not bill DSHS for services performed after termination
or expiration of this Contract or Program Attachment, or incur any additional expenses once this Contract or
Program Attachment is terminated or has expired. Upon termination, expiration (with no renewal) or non-
renewal of this Contract or a Program Attachment, Contractor shall immediately initiate Closeout activities
described in this Article.
Section 18.02 Administrative Offset. Tile Department has the right to administratively offset amounts
owed by Contractor against billings.
Section 18.03 Deadline for Closeout. Contractor shall submit all financial, performance, and other
Closeout reports required under this Contract within sixty (60) calendar days after the Contract or Program
Attachment end date. Unless otherwise provided under the Final Billing Submission section of the Payment
Methods and Restrictions Article, the Department is not liable for any claims that are not received within sixty
(60) calendar days after the Contract or Program Attachment end date.
Section 18.01 Payment of Refunds. Any funds paid to Contractor in excess of the amount to which
Contractor is finallv determined to be entitled under the terms of this Contract constitute a debt to the
Department and will result in a refund due, which Contractor shall pay within the time period established by
the Department.
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 39
Section 18.05 Disallowances and Adjustments. The Closeout of this Contract or Program Attachment does
not affect the Department's right to disallow costs and recover funds on the basis of a later audit or other
review or Contractor's obligation to return any funds due as a result of later refunds, corrections. or other
transactions.
General Provisions (Core Subrecipient) 2014 (July 15, 2013) 40
City of Lubbock, TX
Grant Award
New Grant - Budget Detail
September 10, 2013
Administrative Information:
City Assigned Grant Number:
Grant Name:
Grant Effective Date:
Grant Provider/Agency:
Personnel Information:
# of full-time positions funded w/grant
81097
iyphilis Elimination Texas - Lubbock County
9/l/2013-8/31/2014
Texas Department of State Health Services
3
Total
Budget Information:
Grant Appropriation Detail
Salaries
Full-time salary
Benefits
Supplies
Office supplies
Medical supplies
Maintenance
Other
Professional Services
Printing
Uniforms
Training & Travel
Postage
Capital Outlay
Equipment
Computer Equipment
Total Appropriation
105,363 60,410 100,000 65,773
C'nct
$ 100,000
s I uu,uuu
Annual
General
Title of Position
Annual Salary
Benefits
Grant
Fund
Licensed Vocational Nurse
$ 37,513
20,898
32,150
26,261
Licensed Vocational Nurse
35,307
20,138
35,307
20,138
Medical Technologist
32,543
19,374
32,543
19,374
Total
Budget Information:
Grant Appropriation Detail
Salaries
Full-time salary
Benefits
Supplies
Office supplies
Medical supplies
Maintenance
Other
Professional Services
Printing
Uniforms
Training & Travel
Postage
Capital Outlay
Equipment
Computer Equipment
Total Appropriation
105,363 60,410 100,000 65,773
C'nct
$ 100,000
s I uu,uuu
Resolution N0. 2013-RO300
DEPARTMENT OF STATE HEALTH SERVICES
CONTRACT 2014-001351-00
This Contract is entered into by and between the Department of State Health Services (DSHS or
the Department), an agency of the State of Texas, and City of Lubbock (Contractor), a
Governmental, (collectively, the Parties) entity.
1. Purpose of the Contract: DSHS agrees to purchase, and Contractor agrees to provide,
services or goods to the eligible populations.
2. Total Amount: The total amount of this Contract is $100,000.00.
3. Funding Obligation: This Contract is contingent upon the continued availability of funding. If
funds become unavailable through lack of appropriations, budget cuts, transfer of funds between
programs or health and human services agencies, amendment to the Appropriations Act, health
and human services agency consolidation, or any other disruptions of current appropriated funding
for this Contract, DSHS may restrict, reduce, or terminate funding under this Contract.
4. Term of the Contract: This Contract begins on 09/01/2013 and ends on 08/31/2014. DSHS
has the option, in its sole discretion, to renew the Contract. DSHS is not responsible for payment
under this Contract before both parties have signed the Contract or before the start date of the
Contract, whichever is later.
5. Authority: DSHS enters into this Contract under the authority of Health and Safety Code,
Chapter 1001.
6. Program Name: STD/HIV STD -HIV prevention services
7. Statement of Work:
The purpose of this Renewal Program Attachment is to conduct activities to control and prevent the spread
of syphilis and other sexually transmitted diseases within the City of Lubbock, Texas. Project activities shall
consist of testing and treatment of persons at risk for (or infected with) sexually transmitted diseases (STD),
as described herein.
Contractor shall comply with all applicable federal and state statutes and regulations, including, but not
limited to:
Chapters 81 and 85 of the Texas Health and Safety Code; and
Title 25 Texas Administrative Code, Chapter 97.
Contractor shall comply with all applicable federal and state standards and guidelines, as revised (all
incorporated herein by reference and made part of this Renewal Program Attachment), including, but not
limited to:
• DSHS Human Immunodeficiency Virus and Sexually Transmitted Diseases (HIV/STD) Program
Operation Procedures and Standards, located at http://www.dshs.state.tx.us/hivstd/pops/default.shtm;
• CDC STD Treatment Guidelines, located at http://www.cdc.gov/std/treatment/;
• DSHS Standards for Public Health Clinic Services located at:
http://www.dshs.state.tx.us/qmb/dshsstndrds4clinicservs.pdf; and
• DSHS TB/HIV/STD and Viral Hepatitis Unit Confidential Information Security Policy No. 2011.01,
located at http://www.dshs.state.tx.us/hivstd/policy/security.shtm.
Contractor shall comply with all other applicable policies adopted by DSHS HIV/STD Program.
Contractor shall conduct the following activities for all "persons at risk" (as the term is defined at
https://www.dshs.state.tx.us/hivstd/info/syphilis/default.shtm) who are patients at the City of Lubbock STD
Clinic located at 1902 Texas Avenue, Lubbock, Texas:
• At a minimum, obtain blood specimen for HIV and syphilis, have available stat RPR (rapid plasma
regain) testing for syphilis, and obtain urine samples for gonorrhea and Chlamydia, for testing and
treatment as described herein;
• Display in the STD Clinic, and provide to patients, DSHS-approved educational materials (located at
http://www.dshs.state.tx.us/hivstd/info/edmat.shtm#std) regarding the signs and symptoms of
communicable diseases, transmission prevention, neonatal concerns, and the importance of treatment and
testing. This requirement includes, but is not limited to, the following DSHS documents: Facts You Should
Know About HIV/AIDS, What If I've Been Exposed to an STD, Facts About STDs; and What You Should
Know About Syphilis. Contractor shall order educational materials from the DSHS warehouse as needed
(see http://www.dshs.state.tx.us/hivstd/info/edmat.shtm);
• Maintain an "express visit" system to triage symptomatic from non -symptomatic patients in order to
provide streamlined testing and treatment services. Express visits are designed for low-risk asymptomatic
patients and should include the collection of two specimens: a blood test for HIV and/or syphilis; and a urine
sample for gonorrhea and chlamydia testing. No clinical exam will be performed;
• Provide services to "walk-in" clients seeking STD -related services without a pre -established
appointment;
• Ensure that all patients referred for services by the DSHS Health Service Region (NSR) 1 Disease
Intervention Specialists receive priority status and are seen the same day for appropriate testing and
treatment;
• Ensure that all patients seen in clinic are provided services regardless of ability to pay for services
• Provide access to clinic services by walk-in or by appointment between the hours of 8 a.m. to 5 p.m.,
five (5) days a week, Monday through Friday;
• Provide appropriate medication(s) to patients infected with (or exposed to) one or more sexually
transmitted disease(s);
• Provide appropriate education on prevention and control of STDs to patient and partner — both oral and
written;
• Assess and evaluate the response to treatment and medication of patients seen under this contract;
• Advise patients on available and appropriate medical and social services, with the goal of linking
patients seen under this contract to other appropriate medical care and support services that might be
needed to assist him/her with medical, psychological or other needs that are not appropriate for the STD
clinician to address;
• Keep accurate patient records and maintain confidentiality, as required by law and the terms of this
Renewal Program Attachment at all times;
• Participate in quality improvement activities, including chart reviews, as directed by DSHS;
• Refer patients to DSHS HSR 1 for Partner Services (partner elicitation and notification for persons
diagnosed with gonorrhea, Chlamydia, syphilis and/or HIV) per guidance found at the following link:
hftp://www.dshs.state.tx.us/hivstd/pops/default.shtm;
• Offer expedited partner therapy, as described by DSHS, to all heterosexual patients diagnosed with
chlamydia and/or gonorrhea; and
• Perform related duties and responsibilities as directed by DSHS.
Contractor's staff shall attend training, conferences, and meetings for which funds are budgeted and as
approved by DSHS Program.
Contractor may not subcontract any activities or other work required under this Renewal Program
Attachment.
DSHS reserves the right, where allowed by legal authority, to redirect funds in the event of financial
shortfalls. DSHS will monitor Contractor's expenditures on a quarterly basis. If expenditures are below
those projected in Contractor's total Renewal Program Attachment amount, Contractor's Budget may be
subject to a decrease for the remainder of the Renewal Program Attachment term. Vacant positions
existing after ninety (90) days may result in a decrease in funds.
The following performance measures will be used to assess, in part, Contractor's effectiveness in providing
the services described in this Renewal Program Attachment, without waiving the enforceability of any of the
other terms of the Renewal Program Attachment.
Contractor shall submit quarterly reports to hivstdreport.tech@dshs.state.tx.us, with copies to the
designated DSHS STD/HIV Program Consultant, and HSR 1 STD staff, in a manner and standard format
provided by DSHS. Data shall be submitted at other times as directed by DSHS staff.
Quarterly reports are due on or before the 15th calendar day of December 2013, March 2014, June 2014,
and September 2014.
Programmatic Reporting Submission Requirements:
See Programmatic Reporting Requirements section for required reports.
The reports shall include, but are not limited to, the following (references to patients means patients seen
under this Renewal Program Attachment):
• The total number of patients served;
• Patient demographic information including sex, age, and race/ethnicity;
• Number of new visits versus follow-up visits;
• Information on significant events/trends in the program (e.g., success and achievement, changes in
program activities, outreach efforts, HSR 1 nurses trained in the clinic, impediments encountered, and staff
changes) and additional program needs;
• Number tested via "express visit";
• Number of patients returning for medication(s), additional vaccination, visits with physician provider,
and/or repeat blood test, but who do not require a full clinical exam;
• Number of patients receiving a full clinical exam;
• Number of syphilis contacts and suspects receiving a full exam;
• Number of tests performed for syphilis, HIV, gonorrhea, and chlamydia;
• Number of reactive test results for syphilis, HIV, gonorrhea, and chlamydia;
• Number of new cases of syphilis (by stage, i.e. primary, secondary, and latent syphilis);
• Number of patients eligible for HIV testing;
• Number of new cases of HIV;
• Number of previously diagnosed cases of HIV reported during the quarter;
• Number of HIV-positive and HIV-negative patients counseled;
• Number of patients treated for a diagnosed infection with syphilis, gonorrhea, and/or chlamydia;
• Number of patients receiving preventive treatment, (i.e., those exposed to an infected person or those
exposed to persons determined to be at increased risk as defined above); and
• Number of patients and doses provided for patient -delivered partner therapy.
Contractor shall submit all reports within the required time frames. The reports shall be completed to the
satisfaction of DSHS. If the reports and narratives do not meet these conditions, it will constitute a breach
of contract.
Confidentiality
Contractor shall ensure the security of the HIV/STD confidential information maintained by Contractor as
part of activities under this Renewal Program Attachment.
Contractor must:
• Have and follow appropriate policies/procedures in place for handling and storing confidential
information, for the release of confidential HIV/STD data, and for the rapid response to suspected
breaches of protocol and/or confidentiality. These policies and procedures must be consistent with DSHS
confidentiality policies and procedures located at
http://www.dshs.state.tx.us/hivstd/policy/policies/301001.pdf and
http://www.dshs.state.tx.us/hivstd/policy/policies.shtm (Contractor may choose to adopt those DSHS
policies and procedures as its own).
• Have security policies that are reviewed periodically for efficacy, and Contractor must monitor evolving
technology (e.g. new methods hackers are using to illegally access confidential data; new technologies for
keeping confidential data protected from hacking) on an on-going basis to ensure that the program's data
remain as secure as possible.
• Approve any Contractor staff requiring access to HIV/STD confidential information and only grant
authorization to Contractor staff who have a work-related need (i.e. work under this Renewal Program
Attachment) to view HIV/STD confidential information.
Maintain a list of authorized Contractor staff persons who have been granted permission to view and
work with HIV/STD confidential information under this Renewal Program Attachment. Contractor shall
review the authorized user list at least quarterly to ensure it is current. All Contractor staff with access to
confidential information will have a signed copy of a confidentiality agreement on file and it should be
updated at least once during the term of this Renewal Program Attachment.
• Ensure that all Contractor staff with access to confidential information are trained on security policies
and procedures before access to confidential information is granted, and that refresher training is given
once during the term of this Renewal Program Attachment.
• Thoroughly and quickly investigate all suspected breaches of confidentiality, in consultation with the
DSHS Local Responsible Party, all in compliance with the DSHS Program Policy No. 303.001 "HIV/STD
Breach of Confidentiality Response Policy," http://www.dshs.state.tx.us/hivstd/policy/security.shtm.
BILLING INSTRUCTIONS:
Contractor shall request payment electronically through the Contract Management and Procurement
System (CMPS) with acceptable supporting documentation for reimbursement of the required
services/deliverables. Billing will be performed according to CMPS instructions found at the following link
http://www.dshs.state.tx.us/cmps/. For assistance with CMPS, please email CMPS@dshs.state.tx.us or
call 1-855-312-8474.
8. Service Area
This section intentionally left blank.
10. Procurement method:
Non -Competitive
GST -2012 -Solicitation -00086
11. Renewals:
Number of Renewals Remaining: 0
12. Payment Method:
Cost Reimbursement
13. Source of Funds:
14. DUNS Number:
058213893
I nteragency/I nterlocal
DCPS GO LIVE STD SET-LUBB PROPOSAL
Date Renewals Expire: 08/31/2014
15. Proarammatic Reoortina Reauirements:
Report Name
Frequency
Period Begin
Quarterly Report
Quarterly
09/01/2013
Quarterly Report
Quarterly
12/01/2013
Quarterly Report
Quarterly
03/01/2014
Quarterly Report
Quarterly
06/01/2014
Period End
Due Date
11/30/2013
12/15/2013
02/28/2014
03/15/2014
05/31/2014
06/15/2014
08/31/2014
09/15/2014
16. Special Provisions
General Provisions ARTICLE XIII. GENERAL TERMS, Section 13.15 Amendment, is amended to include
the following:
Contractor must submit all amendment and revision request in writing to the Division Contract Management
Unit at least ninety (90) days prior to the end of the term of this Program Attachment.
17. Documents Forming Contract. The Contract consists of the following:
a. Contract (this document) 2014-001351-00
b. General Provisions Subrecipient General Provisions
c. Attachments Budgets
d. Declarations Certification Regarding Lobbying, Fiscal
Federal Funding Accountability and
Transparency Act (FFATA) Certification
e. Exhibits
Any changes made to the Contract, whether by edit or attachment, do not form part of the Contract
unless expressly agreed to in writing by DSHS and Contractor and incorporated herein.
18. Conflicting Terms. In the event of conflicting terms among the documents forming this Contract, the
order of control is first the Contract, then the General Provisions, then the Solicitation Document, if any, and
then Contractor's response to the Solicitation Document, if any.
19. Payee. The Parties agree that the following payee is entitled to receive payment for services rendered
by Contractor or goods received under this Contract:
Name: City of Lubbock
Vendor Identification Number: 17560005906
20. Entire Agreement. The Parties acknowledge that this Contract is the entire agreement of the Parties
and that there are no agreements or understandings, written or oral, between them with respect to the
subject matter of this Contract, other than as set forth in this Contract.
I certify that I am authorized to sign this document and I have read and agree to all parts of the contract,
including any attachments and addendums.
Department of State Health Services
By:
Signature of Authorized Official
Date
Name and Title
1100 West 49th Street
Address
Austin, TX 787-4204
City, State, Zip
Telephone Number
E-mail Address
r�
aria, City
APPROVED AS TO CONTENT:
City of Lubbock
By:
Sig f orized Official
Sept er 20, 2013
Date
Glen C. Robertson, Mayor
Name and Title
1625 13th Street
Address
Lubbock, TX 79401
City, State, Zip
(806) 775-2003
Telephone Number
grobertsonO-mylubbock.us
E-mail Address
1AA
EXHIBIT A
FY 2014 Request for Local Public Health Services Funds
Project Service Delivery Plan
Texas Department of State Health Services
Local Health Department: CITY OF LUBBOCK
Contract Term: September 1, 2013 through August 31, 2014
Indicate in this plan how requested Local Public Health Services (LPHS) contract funds will be
used to address a public health issue through essential public health services. The plan should
include a brief description of the public health issue(s) or public health program to be addressed by
LPHS funded staff, and measurable objective(s) and activities for addressing the issue. List only
public health issues/programs, objectives and activities conducted and supported by LPHS funded
staff. List at least one objective and subsequent required information for each public health issue
or public health program that will be addressed with these contract funds. The plan must also
describe a clear method for evaluating the services that will be provided, including identification
of a specific evaluation standard, as well as recommendations or plans for improving essential
public health services delivery based on the results of the evaluation. Complete the table below for
each public health issue or public health program addressed by LPHS funded staff. (Make
additional copies of the table as needed)
Public Health Issue: Briefly describe the public health issue to be addressed. Number issues if
more than one issue will be addressed.
1. Knowledge regarding disease transmission, treatment, and prevention of notifiable conditions.
2. Immunization and Sexually Transmitted Disease contract delivery.
Essential Public Health Service(s): List the EPHS(s) that will be provided or supported with LPHS
Contract funds
EPHS#3: Inform, educate, and empower people about health issues.
EPHS#9: Evaluate effectiveness, accessibility and quality of personal and population -based health
services.
OBJECTIVE(s): List at least one measurable objective to be achieved with resources funded
through this contract. Number all objectives to match issue being addressed. Ex: 1. 1, 1.2, 2.1, 2.2,
etc.)
1.1 Ensure cases are distributed for interviews within time frame as directed by DSHS.
1.2 Ensure clients with a notifiable condition receive education and treatment (if indicated)
regarding the disease process.
2.1 Ensure contract deliverables (reports, financial, and/or programmatic) are met.
PERFORMANCE MEASURE: List the performance measure that will be used to determine if the
objective has been met. List a performance measure for each objective listed above.
1.1 100% of clients with a notifiable condition who are contacted will receive education and
treatment (when indicated).
2.1 Grant deliverables of Immunization and STD Syphilis Elimination Texas contracts are met
according to specified time frames
ACTIVITIES List the activities conducted to meet the proposed objective. Use numbering system
to designate match between issues/programs and objectives.
1.1 Oversight of case investigations and education/treatment for notifiable conditions.
2.1 Conduct program management for immunization and STD contracts.
EVALUSTION and IMPROVEMENT PLAN List the standard and describe how it is used to
evaluate the activities conducted. This can be a local, state or federal guideline.
Centers for Disease Control, Texas Department of State Health Services Notifiable Conditions
Rules and Regulations, and the City of Lubbock Health Department Disease Surveillance Policy
and Procedure Manual.
Monthly review of expenses on FSR prior to submission for payment reimbursement.
Review information in quarterly and tri -annual reports for accuracy and completeness prior to
submission to DSHS.
DELIVERABLE Describe the tangible evidence that the activity was completed.
Completed files and case investigation forms on all reported notifiable conditions.
Review of completed investigation forms upon submission with improvement plans created as
needed.
Invoices, memos, DPR's all with appropriate signatures
Quarterly and tri -annual reports.
City of Lubbock, TX
Grant Award
New Grant - Budget Detail
September 10, 2013
Administrative Information:
City Assigned Grant Number:
Grant Name:
Grant Effective Date:
Grant Provider/Agency:
Personnel Information:
# of full-time positions funded w/grant
81099
RLSS/Local Public Health System
9/1/2013-8/31/2014
Texas Department of State Health Services
Annual Annual General
Title of Position Salary Benefits Grant Fund
Registered Nurse $ 70,838 29,606 87,645 12,799
Total 70,838 29,606 87,645 12,799
Budget Information:
Grant Appropriation Detail
Full-time salary
Benefits
Total Appropriation
Cost
$ 65,508
22,137
$ 87,645
Resolution No. 2013-RO300
DEPARTMENT OF STATE HEALTH SERVICES
CONTRACT 2014-001286-00
This Contract is entered into by and between the Department of State Health Services (DSHS or
the Department), an agency of the State of Texas, and City of Lubbock (Contractor), a
Governmental, (collectively, the Parties) entity.
1. Purpose of the Contract: DSHS agrees to purchase, and Contractor agrees to provide,
services or goods to the eligible populations.
2. Total Amount: The total amount of this Contract is $87,645.00.
3. Funding Obligation: This Contract is contingent upon the continued availability of funding. If
funds become unavailable through lack of appropriations, budget cuts, transfer of funds between
programs or health and human services agencies, amendment to the Appropriations Act, health
and human services agency consolidation, or any other disruptions of current appropriated funding
for this Contract, DSHS may restrict, reduce, or terminate funding under this Contract.
4. Term of the Contract: This Contract begins on 09/01/2013 and ends on 08/31/2014. DSHS
has the option, in its sole discretion, to renew the Contract. DSHS is not responsible for payment
under this Contract before both parties have signed the Contract or before the start date of the
Contract, whichever is later.
5. Authority: DSHS enters into this Contract under the authority of Health and Safety Code,
Chapter 1001.
6. Program Name: RLSS/LPHS RLSS/Local Public Health System-PnP
7. Statement of Work:
CONTRACTOR shall improve or strengthen local public health infrastructure within the State of Texas by:
• Developing objective(s) to address a public health issue;
• Utilizing resources provided through this contract Attachment to conduct activities and services that
provide or support the delivery of essential public health services;
• Assessing, monitoring, and evaluating the essential public health activities and services provided through
this Program Attachment; and
• Developing strategies to improve the delivery of essential public health service(s) to identified service
area.
These tasks shall be performed in accordance with Department of State Health Services (DSHS) Division
for Regional and Local Health Services Interlocal Application. The assessment and/or evaluation activities
must include measurable standards. Acceptable standards include the National Public Health
Performance Standards approved by the Centers for Disease Control and Prevention, Performance
Standards developed by the Texas Association of Local Health Officials, Healthy People 2010, and any
federal, state or local law or regulation governing the delivery of essential public health services. Other
evaluation methods utilizing standards not listed in this Program Attachment must be pre -approved by
DSHS.
CONTRACTOR shall perform the activities required under this Program Attachment in the Service Area
designated in the most recent version of Section 8. "Service Area" of this contract.
CONTRACTOR shall comply with all applicable federal and state laws, rules, regulations and standards
including, but not limited to, the following:
• Chapter 23-11 of the Healthy People 2010;
• Section 121.002, Texas Health & Safety Code, definition of ten essential public health services;
• Government Code, Section 403.1055, "Permanent Fund for Children and Public Health".
CONTRACTOR shall not use funds from the Permanent Fund for Children and Public Health for lobbying
expenses under the Government Code, Section 403.1067.
CONTRACTOR shall comply with all applicable regulations, standards, and guidelines in effect on the
beginning date of this Program Attachment.
DSHS shall inform CONTRACTOR in writing of any changes to applicable federal and state laws, rules,
regulations, standards and guidelines. CONTRACTOR shall comply with the amended law, rule, regulation,
standard or guideline except that CONTRACTOR shall inform DSHS Program in writing if it shall not
continue performance under this contract Attachment within thirty (30) days of receipt of an amended
standard(s) or guideline(s). DSHS may terminate the Program Attachment immediately or within a
reasonable period of time as determined by DSHS.
DSHS reserves the right, where allowed by legal authority, to redirect funds in the event of financial
shortfalls. DSHS will monitor Contractor's expenditures on a quarterly basis. If expenditures are below that
projected in Contractor's total Contract amount, Contractor's budget may be subject to a decrease for the
remainder of the Contract term. Vacant positions existing after ninety (90) days may result in a decrease in
funds.
CONTRACTOR shall complete the PERFORMANCE MEASURES as stated in the CONTRACTOR'S
FY14 Local Public Health Service (LPHS) Service Delivery Plan, and as agreed upon by DSHS, hereby
attached as Exhibit.
BILLING INSTRUCTIONS:
Contractor shall request payment electronically through the Contract Management and Procurement
System (CMPS) with acceptable supporting documentation for reimbursement of the required
services/deliverables. Billing will be performed according to CMPS instructions found at the following link
http://www.dshs.state.tx.us/cmps/. For assistance with CMPS, please email CMPS@dshs.state.tx.us or
call 1-855-312-8474.
8. Service Area
Lubbock County
This section intentionally left blank.
10. Procurement method:
Non -Competitive
GST -2012 -Solicitation -00025
11. Renewals:
Number of Renewals Remaining: 0
12. Payment Method:
Cost Reimbursement
13. Source of Funds:
STATE, STATE
14. DUNS Number:
058213893
Interagency/Interlocal
RLHS GOLIVE LPHS PROPOSAL
Date Renewals Expire: 08/31/2014
15. Proarammatic Reoortina Reauirements:
Report Name
Frequency
Period Begin
Period End
Due Date
Project Service
Quarterly
09/01/2013
11/30/2013
12/30/2013
Delivery Plan
Project Service
Quarterly
12/01/2013
02/28/2014
03/31/2014
Delivery Plan
Project Service
Quarterly
03/01/2014
05/31/2014
06/30/2014
Delivery Plan
Project Service
Quarterly
07/01/2014
08/31/2014
10/31/2014
Delivery Plan
16. Special Provisions
General Provisions, Section 1.03 Reporting Article, are revised to include the following paragraph:
Failure to submit a required report of additional requested information by the due date specified in the
Program Attachment (s) or upon request constitutes breach of contract, may result in delay payment, and
may adversely affect evaluation of Contractor's future contracting opportunities with the department.
Programmatic Reporting Submission Requirements:
Reports and Report signature page should be sent electronically to:
Local PHTeam@dshs.state.tx.us, or the signature page can sent by facsimile to 512-776-7391. A copy of
the report should be sent to the respective DSHS Health Service Region, Attention: Deputy Regional
Director.
See Programmatic Reporting Requirements section for required reports.
General Provisions, ARTICLE II SERVICES, Section 2.02 Disaster Services, is revised to include the
following:
In the event of a local, state, or federal emergency the Contractor has the authority to utilize approximately
5% of staffs time supporting this Program Attachment for response efforts. DSHS shall reimburse
Contractor up to 5% of this Program Attachment funded by Center for Disease Control and Prevention
(CDC) for personnel costs responding to an emergency event. Contractor shall maintain records to
document the time spent on response efforts for auditing purposes. Allowable activities also include
participation of drills and exercises in the pre -event time period. Contractor shall notify the Assigned
Contract Manager in writing when this provision is implemented.
General Provisions, Section 12.01 Responsibilities and Restrictions Concerning Governing Board,
Officers and Employees, is not applicable to this program Attachment.
General Provisions, Section 12.20 Equipment (Including Controlled Assets) Purchases, is revised to
include the following:
For the purpose of this Program Attachment, equipment is not approved as part of the base budget for
LPHS. The funds are for direct services. Although, at mid -year of the contract term, if funds are identified as
not being used, the funds may be used to purchase equipment in the 3rd quarter of the contract or program
attachment term. Contractor must submit proposal to redirect funds with justification as to how the
equipment helps achieve the goals, objectives, and deliverables outlined in Exhibit A (Project Service
Delivery Plan). The proposal must be submitted to the contract manager assigned to the program
attachment.
General Provisions, General Terms Article VIII, Amendment Section 13.15, is amended to include the
following:
Contractor must submit all amendment and revision requests electronically through the Contract
Management and Procurement System (CMPS) at least 90 days prior to the end of the term of this
Program Attachment.
17. Documents Forming Contract. The Contract consists of the following:
a. Contract (this document) 2014-001286-00
b. General Provisions Subrecipient General Provisions
c. Attachments Budgets
d. Declarations Certification Regarding Lobbying,
Certification Regarding Professional
Services Contractors Not Hiring Former
or Retired State Agency Employees,
Child Support Certification, Fiscal
Federal Funding Accountability and
Transparency Act (FFATA) Certification
e. Exhibits Exhibit A
Any changes made to the Contract, whether by edit or attachment, do not form part of the Contract
unless expressly agreed to in writing by DSHS and Contractor and incorporated herein.
18. Conflicting Terms. In the event of conflicting terms among the documents forming this Contract, the
order of control is first the Contract, then the General Provisions, then the Solicitation Document, if any, and
then Contractor's response to the Solicitation Document, if any.
19. Payee. The Parties agree that the following payee is entitled to receive payment for services rendered
by Contractor or goods received under this Contract:
Name: City of Lubbock
Vendor Identification Number: 17560005906 034
20. Entire Agreement. The Parties acknowledge that this Contract is the entire agreement of the Parties
and that there are no agreements or understandings, written or oral, between them with respect to the
subject matter of this Contract, other than as set forth in this Contract.
I certify that I am authorized to sign this document and I have read and agree to all parts of the contract,
including any attachments and addendums.
Department of State Health Services
By:
Signature of Authorized Official
Date
Name and Title
1100 West 49th Street
Address
Austin, TX 787-4204
City, State, Zip
City of Lub c
By:
Si re o A thorized Official
S tember 25, 2013
Date
Glen C. Robertson, Mayor
Name and Title
1625 13th Street
Address
Lubbock, TX 79401
City, State, Zip
(806) 775-2003
Telephone Number Telephone Number
' Approved as tflor
Rew cr Garza, City creta
•AAAA..�A AA TA AA�Mr\R. \�/l A AO � � � � 1 \' P
grobertson@mylubbock.us
E-mail Address E-mail Address
City of Lubbock, TX
Grant Award
New Grant - Budget Detail
September 10, 2013
Administrative Information:
City Assigned Grant Number:
Grant Name:
Grant Effective Date:
Grant Provider/Agency:
Personnel Information:
# of full-time positions funded w/grant
81098
Immunization Branch - Locals
9/1/2013-8/31/2014
Texas Department of State Health Services
4
Total
Budget Information:
Grant Appropriation Detail
Salaries
Full-time salary
Benefits
Supplies
Office supplies
Medical supplies
Maintenance
Other
Professional Services
Printing
Advertisement
Training & Travel
Capital Outlay
Equipment
Computer Equipment
Total Appropriation
148,090 85,150 232,115 1,125
Cost
$ 146,965
85,150
232,115
Annual
Annual
General
Title of Position
Salary
Benefits
Grant Fund
Registered Nurse
$ 57,641
27,413
83,929 1,125
Licensed Vocational Nurse
38,638
22,009
60,647
Customer Service Representative
21,558
16,337
37,895
ImmTrac/PICS Outreach Specialist
30,253
19,391
49,644
Total
Budget Information:
Grant Appropriation Detail
Salaries
Full-time salary
Benefits
Supplies
Office supplies
Medical supplies
Maintenance
Other
Professional Services
Printing
Advertisement
Training & Travel
Capital Outlay
Equipment
Computer Equipment
Total Appropriation
148,090 85,150 232,115 1,125
Cost
$ 146,965
85,150
232,115
Resolution No. 2013-RO300
DEPARTMENT OF STATE HEALTH SERVICES
CONTRACT 2014-001290-00
This Contract is entered into by and between the Department of State Health Services (DSHS or
the Department), an agency of the State of Texas, and City of Lubbock (Contractor), a
Governmental, (collectively, the Parties) entity.
1. Purpose of the Contract: DSHS agrees to purchase, and Contractor agrees to provide,
services or goods to the eligible populations.
2. Total Amount: The total amount of this Contract is $232,115.00.
3. Funding Obligation: This Contract is contingent upon the continued availability of funding. If
funds become unavailable through lack of appropriations, budget cuts, transfer of funds between
programs or health and human services agencies, amendment to the Appropriations Act, health
and human services agency consolidation, or any other disruptions of current appropriated funding
for this Contract, DSHS may restrict, reduce, or terminate funding under this Contract.
4. Term of the Contract: This Contract begins on 09/01/2013 and ends on 08/31/2014. DSHS
has the option, in its sole discretion, to renew the Contract. DSHS is not responsible for payment
under this Contract before both parties have signed the Contract or before the start date of the
Contract, whichever is later.
5. Authority: DSHS enters into this Contract under the authority of Health and Safety Code,
Chapter 1001.
6. Program Name: IMM/LOCALS Immunization Branch -Locals
7. Statement of Work:
Contractor shall implement and operate an immunization program for children, adolescents, and adults,
with special emphasis on accelerating interventions to improve the immunization coverage of children two
(2) years of age or younger (0 to 35 months of age). Contractor shall incorporate traditional and
non-traditional systematic approaches designed to eliminate barriers, expand immunization capacity, and
establish uniform operating policies, as described herein.
Contractor shall perform the activities required under this Program Attachment in the Service Area
designated in the most recent version of Section 8. "Service Area" of this contract.
Contractor shall be enrolled as a provider in the Texas Vaccines for Children Program (TVFC) which
includes a signed Deputization Addendum to TVFC Provider Enrollment Form (E6-102), by the effective
date of this Program Attachment, and must adhere to the TVFC Operations Manual and associated TVFC
policy guidelines provided by DSHS (located at
hftp://www.dshs.state.tx.us/immunize/tvfc/tvfc—manual.shtm).
Contractor shall comply with written policies and procedures provided by DSHS in managing vaccines
supplied through the TVFC program, including guidelines for proper storage and handling of vaccines and
for safeguarding vaccine in the event of natural disaster. Contractor shall comply with all requirements laid
out in the final, approved Work Plan (Exhibit A).
• Contractor will use the current vaccine management system as described in the TVFC Operations
Manual.
• Contractor shall notify providers of changes to vaccine management reporting, and present updates and
training to providers, as requested by DSHS.
• Contractor shall plan and implement community-based activities and collaborations to accomplish the
required tasks as specified in the final, approved Work Plan (Exhibit A).
Contractor shall report all reportable conditions as specified in 25 Texas Administrative Code (TAC) Part 1
§§97.1-97.6 and §§97.101-97.102, and as otherwise required by law.
Contractor shall report all vaccine adverse event occurrences in accordance with the 1986 National
Childhood Vaccine Injury Act (NCVIA) 42 U.S.C. § 300aa-25 (located at http://vaers.hhs.gov/ or
1-800-822-7967).
Contractor shall inform and educate the public about vaccines, and vaccine -preventable diseases, as
described in the DSHS Immunization Contractors Guide for Local Health Departments.
Contractor shall conduct outreach and collaborative activities with American Indian tribes located within the
boundaries of the contractor's jurisdiction.
Contractor shall work to promote a health care workforce within the Local Health Department's service area
(including Contractor's staff) that is knowledgeable about vaccines, vaccine safety, vaccine -preventable
diseases, and delivery of immunization services.
Contractor shall not deny vaccinations to recipients because they do not reside within Contractor's
jurisdiction or because of an inability to pay an administration fee.
Contractor shall comply with all applicable federal and state regulations and statutes, including but not
limited to:
• Human Resources Code §42.043, VTCA;
• Education Code §§38.001-38.002, VTCA;
• Health and Safety Code §§12.032, 81.023 and 161.001-161.009, VTCA;
• 25 TAC Chapter 97;
• 25 TAC, Chapter 96;
• 25 TAC, Chapter 100;
• 42 USC §§247b and 300 as -25;
• Omnibus Budget Reconciliation Act of 1993, 26 USC §49806; and
Senate Bill 346.
Contractor shall comply with current applicable state and federal standards, policies and guidelines,
including but not limited to DSHS's Standards for Public Health Clinic Services, revised August 31, 2004
(located at http://www.dshs.state.tx.us/qmb/default.shtm#public).
Contractor shall be responsible for conducting outreach regarding vaccinations for children (19 through 35
months of age in the Contractor's jurisdiction) included on the list distributed to Contractor by DSHS. Lists
are distributed at the start of each quarterly reporting period (September 01, 2013, December 01, 2013,
March 01, 2014, June 01, 2014.).
Contractor must receive written approval from DSHS before varying from applicable policies, procedures,
protocols, and/or work plans, and must update and disseminate its implementation documentation to its
staff involved in activities under this contract within forty-eight (48) hours of making approved changes.
Contractor shall review monthly grant funding expenditures and salary savings from any grant -paid staff
vacancies and revise spending plan to ensure that all funds will be properly expended under this contract
before the end of the contract term on August 31, 2014.
DSHS reserves the right, where allowed by legal authority, to redirect funds in the event of financial
shortfalls. DSHS will monitor Contractor's expenditures on a monthly basis. If expenditures are below what
is projected in Contractor's total Program Attachment amount, Contractor's budget may be subject to a
decrease for the remainder of the Contract term. Vacant positions existing after ninety (90) days may result
in a decrease in funds.
Performance Measures:
The following performance measure(s) will be used, in part, to assess Contractor's effectiveness in
providing the services described in this Program Attachment, without waiving the enforceability of any of
the terms of the Contract.
Contractor shall:
• Investigate and document, in accordance with DSHS Texas Vaccine -Preventable Disease Surveillance
Guidelines (located at http://www.dshs.state.tx.us/idcu/investigation/conditions/) and NBS Data Entry
Guidelines, at least 90% of suspected reportable vaccine -preventable disease cases within thirty (30) days
of notification.
• Complete 100% of the follow-up activities, designated by DSHS, for TVFC provider quality assurance
site visits assigned by DSHS.
• Ship overstocked vaccines and vaccines approaching expiration to alternate providers for immediate use
when instructed to do so by the HSR Immunization Program Manager to avoid vaccine waste.
• Contact and provide case management to 100% of the number of hepatitis B surface antigen -positive
pregnant women identified.
• Contact 100% or 300 per FTE (whichever is fewer) families of children who are not up-to-date on their
immunizations according to the ImmTrac-generated list provided to the LHD by DSHS at the beginning of
each reporting period.
• Perform outreach and education activities targeting adolescents 14 to 18 years of age and their parents
via high schools, colleges and universities, Junior Reserve Officer Training Corps (JROTC) and military
recruitment centers to satisfy Texas Health and Safety Code Chapter 161, Subsection A, Section
161.0095 requirements
• Participate in at least one collaborative meeting concerning tribal health issues, concerns, or needs with
American Indian tribal members during the contract term if American Indian tribes are in their jurisdiction.
• Report outreach done, and collaborative efforts made, with the American Indian tribes in the LHD's
jurisdiction.
• Review 100% of monthly biological reports, vaccine order forms (when applicable), and temperature logs
for accuracy to ensure the vaccine supply is within established maximum stock levels.
• Complete 100% of child-care facility and Head Start center assessments, in accordance with the
Immunization Population Assessment Manual, as assigned by DSHS.
• Complete 100% of public and private school assessments, retrospective surveys, and validation surveys,
in accordance with the Immunization Population Assessment Manual, as assigned by DSHS.
• Report number of doses administered to underinsured children monthly, as directed by DSHS.
• Report the number of unduplicated underinsured clients served, as directed by DSHS.
Contractor shall utilize the AFIX (Assessment, Feedback, Incentives, and eXchange) methodology, found in
the Immunization Quality Assurance Tool Resource Manual, (located at
http://www.dshs.state.tx.us/immunize/docs/QA_site_visit.pdf) to conduct quality assurance site -visits for all
sub -contracted entities and non -local health department Women, Infant and Children (WIC) clinics.
Assessment shall be done using the DSHS Immunization Quality Assurance Site Visit tool provided by
DSHS and the Comprehensive Clinic Assessment Software Application (Co -CASA), as specified by the
DSHS Program. Contractor shall submit assessment results to the designated DSHS Regional
Immunization Program manager within two (2) weeks after completion.
Programmatic Reporting Submission Requirements:
Contractor is required to complete and submit a LHD ILA Quarterly Report form, utilizing the format
provided by the DSHS Program and available at: http://www.dshs.state.tx.us/immunize/providers.shtm
Contractors LHD ILA Quarterly Reports should be submitted electronically to
dshsimmunizationcontracts@dshs.state.tx.us.
See Programmatic Reporting Requirements section for required reports.
BILLING INSTRUCTIONS:
Contractor shall request payment electronically through the Contract Management and Procurement
System (CMPS) with acceptable supporting documentation for reimbursement of the required
services/deliverables. Billing will be performed according to CMPS instructions found at the following link
http://www.dshs.state.tx.us/cmps/. For assistance with CMPS, please email CMPS@dshs.state.tx.us or
call 1-855-312-8474.
8. Service Area
Lubbock County
This section intentionally left blank.
10. Procurement method:
Non -Competitive
GST -2012 -Solicitation -00022
11. Renewals:
Number of Renewals Remaining: 0
12. Payment Method:
Cost Reimbursement
13. Source of Funds:
I nteragency/I nterlocal
DCPS "GOLIVE" IMMUNIZATION LOCALS
PROPOSAL
Date Renewals Expire: 08/31/2014
93.268, 93.268, 93.268, 93.268, 93.268, 93.268, STATE
14. DUNS Number:
058213893
15. Proarammatic Reoortina Reauirements:
Report Name
Frequency
Period Begin
Period End
Due Date
LHD ILA Quarterly
Quarterly
09/01/2013
11/30/2013
12/30/2013
Report
LHD ILA Quarterly
Quarterly
12/01/2013
02/28/2014
03/31/2014
Report
LHD ILA Quarterly
Quarterly
03/01/2014
05/30/2014
06/30/2014
Report
LHD ILA Quarterly
Quarterly
06/01/2014
08/31/2014
09/30/2014
Report
16. Special Provisions
General Provisions, ARTICLE II SERVICES, Section 2.02 Disaster Services, is revised to include the
following:
In the event of a local, state, or federal emergency the Contractor has the authority to utilize approximately
5% of staffs time supporting this Program Attachment for response efforts, as pre -approved in writing by
DSHS. DSHS shall reimburse Contractor up to 5% of this Program Attachment funded by Center for
Disease Control and Prevention (CDC) for personnel costs responding to an emergency event. Contractor
shall maintain records to document the time spent on response efforts for auditing purposes. Allowable
activities also include participation of drills and exercises in the pre -event time period. Contractor shall
notify the Assigned Contract Manager in writing when this provision is implemented.
General Provision, ARTICLE III. FUNDING, Section 3.03 Use of Funds Section, is revised to include:
• Funds shall not be used for purchase of vaccines, inpatient care, construction of facilities, or debt
retirement.
• Travel expenses shall be reimbursed according to Contractor's written travel policy, as submitted and
approved with Contractor's FY2014 Application for Immunization Funds. If no written travel policy was
submitted, or if the submitted policy is not approved by DSHS, travel expenses shall be reimbursed
according to current State of Texas Travel Policy at http://online.dshs.state.tx.us/traveloffice.aspx
For immunization activities performed under this Program Attachment, General Provisions, ARTICLE XII.
General Business Operations of Contractor, Section 12.06 Overtime Compensation, is replaced with the
following paragraphs:
• Contractor 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.
• Contractor 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. Contractor 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.
• All revenues directly generated by this Program Attachment or earned as a result of this Program
Attachment during the term of this Program Attachment are considered program income; including income
generated through Medicaid billings for immunization related clinic services. The Contractor shall use this
program income to further the scope of work detailed in this Program Attachment, and must keep
documentation to demonstrate such to DSHS's satisfaction. This program income may not be used to take
the place of existing local, state, or federal program funds.
General Provisions, ARTICLE XIII. GENERAL TERMS, Section 13.15 Amendment, is amended to include
the following:
Contractor must submit all amendment and revision requests in writing to the Division Contract
Management Unit at least ninety (90) days prior to the end of the term of this Program Attachment.
17. Documents Forming Contract. The Contract consists of the following:
a. Contract (this document) 2014-001290-00
b. General Provisions Subrecipient General Provisions
c. Attachments Budgets
d. Declarations Certification Regarding Lobbying, Fiscal
Federal Funding Accountability and
Transparency Act (FFATA) Certification
e. Exhibits
Any changes made to the Contract, whether by edit or attachment, do not form part of the Contract
unless expressly agreed to in writing by DSHS and Contractor and incorporated herein.
18. Conflicting Terms. In the event of conflicting terms among the documents forming this Contract, the
order of control is first the Contract, then the General Provisions, then the Solicitation Document, if any, and
then Contractor's response to the Solicitation Document, if any.
19. Payee. The Parties agree that the following payee is entitled to receive payment for services rendered
by Contractor or goods received under this Contract:
Name: City of Lubbock
Vendor Identification Number: 17560005906 034
20. Entire Agreement. The Parties acknowledge that this Contract is the entire agreement of the Parties
and that there are no agreements or understandings, written or oral, between them with respect to the
subject matter of this Contract, other than as set forth in this Contract.
I certify that I am authorized to sign this document and I have read and agree to all parts of the contract,
including any attachments and addendums.
Department of State Health Services
By:
Signature of Authorized Official
Date
Name and Title
1100 West 49th Street
Address
Austin, TX 787-4204
City, State, Zip
Telephone Number
City of Lubbock
By:
Sig of uthorized Official
Sep ember 26, 2013
Date
Glen C. Robertson, Mayor
Name and Title
1625 13th Street
Address
Lubbock TX 79401
City, State, Zip
(806) 775-2003
Telephone Number
ggrobert on ylubbock.us
E-mail Address E-mail d s
Attest. Gama, City approved as ro
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r,, %n~cn eC T[1 f;�ITER�T:
UNIT A
Program Stewardship and Accountability
Contractor General Requirement Unit A-1:
Implement a comprehensive immunization program. Activities under this requirement shall be conducted in
accordance with the DSHS Immunization Contractors Guide for Local Health Departments.
Activities:
• Adhere to Standards for Child and Adolescent Immunization Practices and Standards for Adult Immunization
Practices found at: hftp://www.cdc.gov/vaccines/pubs/pinkbook/downloads/appendices/H/standards-pediatric.pdf and
hftp://www.cdc.gov/vaccines/pubs/pinkbook/down loads/appendices/H/standards-adult.pdf.
• Maintain current policies in compliance with the DSHS Immunization Contractors Guide for Local Health Departments
and have them available to Contractor's staff.
• Lapse no more than 5% of total funded amount of the contract.
o Maintain and adjust spending plan throughout the contract term to avoid lapsing funds.
o Account for and use Program Income appropriately throughout the contract term.
o Maintain staffing levels to meet required activities of the contract and to ensure that all funds in the personnel
category are expended.
• Submit required Quarterly Local Health Department (LHD) Inter -Local Agreement (ILA) Reports to DSHS
Immunization Contracts at dshsimmunizationcontracts@dshs.state.tx.us by Close of Business (COB) on December 30,
2013, March 31, 2014, June 30, 2014, and September 30, 2014 or the next business day if the date falls on a weekend
or holiday.
• Submit Corrective Action Plan (CAP) letter to DSHS Contract Management Unit (CMU) within fifteen (15) business
days after On -Site Evaluation if findings are not resolved at time of site visit to the satisfaction of the HSR Immunization
Program Manager and DSHS Immunization Branch Contracts staff.
Contractor General Requirement Unit A-2:
Complete site visit follow-up assigned by DSHS Austin or Health Service Region staff within prescribed timeframes
outlined in the TVFC Operations Manual. Activities under the requirement shall be conducted in accordance with the
DSHS Immunization Contractors Guide for Local Health Departments.
Activities:
• Conduct site visit follow-up and submit results following the process described and within deadlines established in the
TVFC Operations Manual.
• Conduct site visits in 100% of subcontracted entities as listed in the Inter -Local Application and non -Local Health
Department WIC immunization clinics, if applicable.
Contractor General Requirement Unit A-3:
Ensure that expired, wasted, and unaccounted-for vaccines do not exceed 5% in Contractor's clinics. Activities under
this requirement shall be conducted in accordance with the DSHS Immunization Contractors Guide for Local Health
Departments and TVFC Operations Manual.
Activities:
• Ensure that expired, wasted, and unaccounted-for vaccines do not exceed 5% in Contractor's clinics.
• Ensure that all expired, spoiled/wasted vaccines is appropriately identified and entered into the Electronic Vaccine
Inventory (EVI) system.
• Maintain storage and handling policies and procedures according to the NFC Operations Manual.
(http://www.dshs.state.tx.us/immunize/tvfc/tvfc.manual.shtm)
• Ensure that appropriate Vaccine Management plan is in place at each clinic location and that it includes an updated
Emergency Contingency Plan.
• Ensure that overstocked vaccines or those vaccines nearing expiration are shipped to alternate providers as directed
by the Health Service Region (HSR) Immunization Program managers, for timely use to avoid vaccine waste.
Contractor General Requirement A-4:
Implement a plan to assure that Section 317 vaccine is not provided inadvertently to fully privately insured individuals,
including children covered by S -CHIP.
Establish and maintain protocols for screening individuals for eligibility and insurance coverage before administering
Section 317 funded vaccines. Contractors may use Patient Eligibility Screening Form (C-10) or electronically store this
information.
Any child who upon screening meets one of the eligibility criteria listed below and who is 18 years of age or younger
qualifies for TVFC vaccine:
a. Enrolled in Medicaid, or
b. Enrolled in CHIP and the provider bills CHIP for the services, or
c. Is an American Indian, or
d. Is an Alaskan Native, or
e. Does not have health insurance, or
f. Is underinsured: has commercial (private) health insurance but coverage does not include vaccines; a child whose
insurance covers only selected vaccines (TVFC eligible for non -covered vaccines only); or a child whose insurance
caps vaccine coverage at a certain amount. Once that coverage amount is reached, the child is categorized as
underinsured.
UNIT B
Assessing Program Performance
Contractor General Requirement Unit B-1:
Conduct educational, promotional, and outreach activities for the general public to enhance immunization awareness,
including distribution of DSHS-provided materials. Activities under this requirement shall be conducted in accordance
with the DSHS Immunization Contractors Guide for Local Health Departments.
Establish collaborative efforts with appropriate community entities regarding promoting immunizations and the
reduction of vaccine -preventable diseases. Activities under this requirement shall be conducted in accordance with the
DSHS Immunization Contractors Guide for Local Health Departments.
Activities:
• Contractor will provide vaccine and immunization education to target audiences and to the general public on the
benefits of vaccination, the risk of vaccine -preventable diseases, staying on the ACIP Recommended Immunization
Schedule(s), and the importance of not missing any vaccines.
• Inform and educate parents of infants, children, adolescents, adults (men and women), grandparents, seniors, health-
care providers, and the general public about vaccines for all age groups and vaccine -preventable
diseases. Information should include the importance and benefits of being fully vaccinated, vaccine recommendations,
and the location of community vaccination clinics.
• Conduct at least one monthly immunization education activity specifically directed to one of the target groups.
• Conduct at least twelve (12) outreach activities during the contract period in accordance with Texas Health and Safety
Code Chapter 161, Subsection A, Section 161.0095, to each of the following audiences: 1.) high school students and
their parents, 2.) universities/colleges, and 3.) Junior Reserve Officer Training Corps. (JROTC)/Military Recruitment
Centers and report results on the Quarterly Report. If a JROTC or Military Recruitment Center is not available within the
jurisdiction of the LHD, outreach activities may be focused on the other two groups mentioned above.
• Document the activity with the number and type of participants and evaluate activity by obtaining feedback from
participants.
• Use national immunization observances as opportunities to conduct specific education and promotional activities to
give emphasis to the importance and benefits of vaccines: National Infant Immunization Week (NIIW), National
Immunization Month (NIM), National Adult Immunization Week (NAIW), and National Influenza Week (NIW).
• Develop and implement a written communications and customer service plan to assure customers receive consistent,
correct immunization information and
services in a courteous and friendly manner on a timely basis.
• Participate in special initiatives as directed by DSHS, such as the Dairy Queen Coupon project, the Hallmark Card
Governor's Program, and others.
• Participate in statewide media campaigns by distributing DSHS-developed and produced public service
announcements and materials to local television and radio stations, newspapers, parent publications, university
newspapers, high school newspapers, and neighborhood newspapers.
• Promote www.ImmunizeTexas.com, the Immunization Branch's website; The Upshot, electronic newsletter; and the
Vaccine Advisory, vaccine newsletter to providers in the Contractor's jurisdiction.
• Promote and distribute immunization literature for the public to NFC providers and Contractor's clinics.
• Provide information to clients, families, and the general public on the purpose of ImmTrac, the benefits of ImmTrac
participation, and the importance of maintaining a complete immunization history in ImmTrac.
• Inform the general public about the Texas Vaccines for Children (TVFC) program and the qualifications to participate
in it.
• Distribute TVFC information and educational materials at venues where parents of TVFC-eligible children might
frequent.
• Inform and highly recommend to the medical community and local providers within the Contractor's' jurisdiction on the
annual CDC Epidemiology and Prevention of Vaccine -Preventable Disease (EPI -VAC) training.
Establish collaborative efforts with appropriate community entities regarding promoting immunizations and the
reduction of vaccine -preventable diseases. Activities under this requirement shall be conducted in accordance with the
DSHS Immunization Contractors Guide for Local Health Departments.
Activities:
• Identify providers, hospitals, schools, child-care facilities, social service agencies, and community groups involved in
promoting immunizations and reducing vaccine -preventable diseases.
• List and maintain contact information of group members and collaborations and identify the best practices they are
promoting.
• Maintain written agreements and updates of group members and collaborations.
• Document communications, group meetings, and planning of activities that promote the Best Practices identified in
contract agreement. Documents are to be
accessible during site visits.
• Report new group members on the Quarterly Report.
Contractor General Requirement Unit B-2:
When assigned by DSHS, complete 100% of child-care facility and Head Start center assessments and child-care
audits. Activities under this requirement shall be conducted in accordance with the DSHS Immunization Contractors
Guide for Local Health Departments and Population Assessment Manual.
When assigned by DSHS, complete 100% of public and private school assessments, retrospective surveys, and
validation surveys. Activities under this requirement shall be conducted in accordance with the DSHS Immunization
Contractors Guide for Local Health Departments and Population Assessment Manual.
Activities:
• Complete and report 100% of required audits/assessments as assigned by the Immunization Branch, DSHS. These
will include:
o Texas Child -Care Immunization Assessment
o Child -Care Audit
o Annual Report of Immunization Status (school self -assessments)
o School Audit
o Texas School Immunization Validation Survey
o Texas County Retrospective Immunization School Survey (TCRISS)
• Assigned surveys/assessments must be completed utilizing the instructions in DSHS Immunization Contractors Guide
for Local Health Departments and the Population Assessment Manual.
• For completed audits/assessments, monitor vaccination and exemptions per respective areas.
• Based upon survey/audit findings as completed, analyze, provide feedback, and monitor vaccination trends for public
school districts, private schools, licensed child-care facilities, and registered family homes to increase vaccination
coverage using audit/assessment data. Identify trends and areas of need for local health department jurisdictions and
coordinate interventions.
• Collaborate with schoolchild -care facilities and registered family homes to afford needed improvements. Report these
results/findings to the Assessment, Compliance and Evaluation Group, Immunization Branch, DSHS.
Contractor General Requirement B-3:
Work with VFC providers on quality improvement processes to increase coverage levels and decrease missed
opportunities using AFIX components, as appropriate, and move toward use of IIS as primary source of data for
provider coverage level assessment by the end of project period.
• Conduct site visits using AFIX (CoCASA) in 100% of subcontracted entities as listed in the Inter -Local Application and
non -Local Health Department WIC immunization clinics, if applicable.
Contractor General Requirement B-4:
Investigate and document at least 90% of reportable suspected vaccine -preventable disease cases within thirty (30)
days of notification in accordance with DSHS Texas Vaccine -Preventable Disease (VPD) Surveillance Guidelines
(http://www.dshs.state.tx.us/idcu/health/vaccine_preventable_diseases/resources/) and National Electronic Disease
Surveillance System (NEDSS). Activities under this requirement shall be conducted in accordance with the DSHS
Immunization Contractors Guide for Local Health Departments.
Activities:
• Adhere to the DSHS VPD Surveillance Guidelines, NEDSS Data Entry Guidelines, and Epi -Case Criteria Guide
(https://txnedss.dshs.state.tx.us:8009/PHINDox/UserResources/Epi%20Case%20Crite(a°/a20Guide%202012.pdf ) in
conducting this General Requirement and the associated activities.
• Complete all data entry into NEDSS Base System (NBS) following the NBS data Entry Guidelines.
(https://txnedss.dshs.state.tx.us:8009/PHI N Dox/UserResou rces/Data_Entry_Guideli nes_2007. pdf).
• Verify and enter complete vaccination history in NBS on all VPD investigations with case status of confirmed or
probable. Complete vaccination history should be assessed through ImmTrac, provider offices, school records, or
patient records.
• Routinely review and follow up on all VPD laboratory reports received, including electronic lab reports (ELRs) sent
from DSHS through NBS and Health Alert Network (HAN).
• Provide feedback on any unmet performance measures during each Quarterly Report review.
• All new VPD surveillance staff will attend Introduction to NBS training and complete the certification process in order
to gain access to the NBS system.
• Submit case and/or death notifications to CDC.
• Designate staff to coordinate VAERS and Vaccine Safety Activities.
• Encourage providers to report possible vaccine adverse reactions to CDC on a timely basis through
hftp://vaers.hhs.gov/index
Contractor General Requirement Unit B-4:
Educate, inform, and train the medical community and local providers within Contractor's jurisdiction on immunization
activities listed below. Activities under this requirement shall be conducted in accordance with the DSHS Immunization
Contractors Guide for Local Health Departments.
Activities:
• Provide training on TVFC requirements and updates (as described in the TVFC Operations Manual) to TVFC
providers annually at a minimum.
• Ensure that the TVFC providers have the most up-to-date, DSHS-produced immunization information in their offices.
• Provide training, information, and technical assistance to promote the effective use of ImmTrac by private providers
(which includes education regarding the benefits of ImmTrac participation).
• Educate private providers about the ImmTrac enrollment process and the
statutory requirement to report immunizations.
• As directed by DSHS identify first responders and their immediate family in the
community and inform them of the opportunity to be included in ImmTrac.
• Conduct educational training for hospital and health-care providers within the Contractor's jurisdiction, to increase
mandatory screening and reporting of HBsAg -positive women.
• Provide training on the prevention of Perinatal Hepatitis B to providers within the Contractor's jurisdiction.
• Educate physicians, laboratories, hospitals, schools, child-care staff, and other health providers on VPD reporting
requirements.
• Educate and update providers on the most current Advisory Committee on Immunization Practices (ACIP)
recommendations for all age groups, as well as on applicable regulatory vaccination requirements.
• Provide training relating to Standards for Child and Adolescent Immunization Practices
(http://www.cdc.gov/vaccines/schedules/hcp/child-adolescent.html) and Standards for Adult Immunization Practices
(http://www.cdc.gov/vaccines/schedules/hcp/adult.html) to all immunization providers within Contractor's jurisdiction.
• Inform all private providers on the federal requirement that the most current Vaccine Information Statements (VIS)
must be distributed to patients (http://www.cdc.gov/vaccines/pubs/vis/default.htm).
• Promote a health-care workforce that is knowledgeable about vaccines, vaccine recommendations, vaccine safety,
vaccine -preventable diseases, and the delivery of immunization services.
• Educate health-care workers on the need to be vaccinated themselves.
• Provide information to community health-care employers (hospitals, clinics, doctor's offices, long-term care facilities)
about the importance of vaccination of health-care workers.
• Educate private providers to send NIS surveys to the Contractor for research prior to returning the survey to CDC, if
applicable.
• Coordinate educational and other activities with local WIC programs to assure
that children participating in WIC are screened and referred to their "medical home" for vaccination using a documented
immunization history in accordance with the Standards for Child and Adolescent Immunization Practices
(http://www.cdc.gov/vaccines/schedules/hcp/child-adolescent.html).
• Offer educational opportunities to all WIC programs in the service area, including information about on-line and
satellite -broadcast continuing education opportunities from the Centers for Disease Control and Prevention (CDC)
Continuing Education web site
(http://www.cdc.gov/vaccines/ed/default.htm).
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Assuring Access to Vaccines
Contractor General Requirement Unit C-1:
Engage American Indian tribal governments, tribal organizations representing those governments, tribal epidemiology
centers of Alaskan Native Villages and Corporations located within contracted local health department boundaries in
immunization activities. Activities under this requirement shall be conducted in accordance with the DSHS
Immunization Contractors Guide for Local Health Departments.
Activities:
• Perform education, training, outreach activities and provide technical assistance for American Indian tribal
governments, tribal organizations representing those governments, tribal epidemiology centers of Alaskan Native
Villages and Corporations.
• Report on education, training, outreach activities or collaborative efforts and outcomes of those activities on each
Quarterly Report.
2014 General Requirement Unit C-2:
Enroll and sustain a network of VFC and other providers to administer federally funded vaccines to program -eligible
populations according to CDC/ACIP and NVAC standards.
Conduct recruitment to increase the number of ImmTrac providers, NFC providers, and Perinatal Hep B
Providers. Activities under this requirement shall be conducted in accordance with the DSHS Immunization
Contractors Guide for Local Health Departments.
Activities:
• Conduct recruitment activities as defined in the TVFC Operations Manual with providers on the DSHS-supplied
provider recruitment list.
• Target adolescent health-care providers for recruitment and emphasize adolescent vaccine requirements and
recommendations
• Ensure that all ACIP recommended vaccines are routinely available to TVFC patients and that Adult Safety Net
vaccines are available to eligible adult patients.
• Recommend the simultaneous administration of all needed vaccines for the patient.
• Follow only medically supportable contraindications to vaccination.
• Verbally educate patients and parents/guardians about the benefits and risks of vaccination and distribute DSHS
educational materials as applicable as part of this conversation.
• Discuss, and attempt to schedule, the next immunization visit at each client encounter.
• Explain the benefits of a "medical home" and assist the parent/guardian in obtaining or identifying the child's medical
home.
• Use a Reminder/Recall system (manual, TW ICES, ImmTrac, or other system).
• Establish "standing orders" for vaccination in Contractor's clinics, consistent with legal requirements for standing
orders (including, but not limited to, those found in the Texas Medical Practice Act).
• Implement an employee immunization policy according to CDC recommendations in Contractor's clinics.
Contractor General Requirement Unit C-4:
Assure compliance with HHS Deputization Guidance. Activities under this requirement shall be conducted in
accordance with the DSHS Immunization Contractors Guide for Local Health Departments.
Activities:
• Annually sign Deputization Addendum to Texas Vaccines for Children Program (TVFC) Provider Enrollment Form
(E6-102), and provide immunization services to underinsured children.
• Report number of doses administered to underinsured children monthly as directed by DSHS.
• Report number of unduplicated underinsured clients served as directed by DSHS.
Contractor General Requirement Unit C-5:
Work with partners, as appropriate, to assure coordination of the following activities in order to prevent perinatal
hepatitis b transmission.
a.) Identification of HBsAg -positive pregnant women.
b.) Newborn prophylaxis with hepatitis b vaccine and HBIG.
c.) Timely completion of doses two and three.
d.) Post -vaccination serology.
Ensure all pregnant women are screened for hepatitis B surface antigen (HBsAg) and that all HBsAg -positive pregnant
women are reported to DSHS. Activities under this requirement shall be conducted in accordance with the DSHS
Immunization Contractors Guide for Local Health Departments and Perinatal Hepatitis B Prevention Manual.
Activities:
• Develop a surveillance system that includes prenatal care providers, obstetrical care providers, family practitioners,
and labor and delivery facilities to assure all HBsAg -positive pregnant women are reported to DSHS within one week of
diagnosis.
• Educate prenatal care providers to ensure they screen pregnant women for HBsAg status during each pregnancy;
implement procedures for documenting HBsAg screening results in prenatal care records, and forward original
laboratory results to the delivery facility.
• Educate delivery hospitals to ensure they verify prenatal HBsAg test results of pregnant women on admission for
delivery and test for HBsAg at delivery.
• Local health departments who report over five (5) cases per year, should perform and report at least 2 trainings per
quarterly reporting period (or at least 8 trainings per year) to delivery hospitals, especially delivery hospitals who have
not reported any HBs -Ag positive test result for women who have delivered at their facility during the quarterly reporting
period.
• Ensure that all educational trainings are evaluated by participants (providers, hospital nursery staff, laboratorians,
Obstetricians/Gynecologists and delivery staff and physicians, pediatricians, nursing staff, etc.) by rating the
effectiveness of the presenter as it relates to: describing the Perinatal HBV Prevention Program objectives; helping to
identify at least one new skill that can be implemented in the workplace; and gathering topics for future events.
• Submit a quarterly report for educational trainings conducted. This report needs to include: number of participants,
titles of participants, name of facility and training evaluations results. The reports should be submitted to the Perinatal
HBV Prevention Program Coordinator.
Ensure that all infants born to HBsAg -positive women and women whose HBsAg status is unknown will receive the first
dose of the hepatitis B vaccine and hepatitis B immune globulin (HBIG) within 12 hours of birth. Activities under this
requirement shall be conducted in accordance with the DSHS Immunization Contractors Guide for Local Health
Departments and Perinatal Hepatitis B Prevention Manual.
Activities:
• Assure all labor and delivery facilities develop standing orders and policies to administer the first dose of the hepatitis
B vaccine and HBIG to at -risk infants within 12 hours of birth.
• Identify labor and delivery facilities that do not have standing orders and/or policies and educate providers to establish
standing orders and policies to administer to at -risk infants the first dose of the hepatitis B vaccine and HBIG within 12
hours of birth.
• Determine the number of newborns that do not receive the first dose of the hepatitis B vaccine and/or the hepatitis B
immune globulin and work with those facilities to ensure all at -risk infants receive the hepatitis B vaccine series and
hepatitis B immune globulin within 12 hours of birth.
• Report to DSHS all infants born to HBsAg (+) women within fifteen (15) calendar days of the event.
Ensure that 100% of the number of identified infants born to HBsAg -positive women will complete the hepatitis B
vaccine series and post -vaccination serology testing (PVST). Staff will document appropriately if lost to follow-
up. Activities under this requirement shall be conducted in accordance with the DSHS Immunization Contractors Guide
for Local Health Departments and Perinatal Hepatitis B Prevention Manual.
Activities:
• Administer or obtain from the provider or ImmTrac the complete hepatitis B vaccine series. Infants shall complete the
hepatitis B vaccine series by 6 — 8 months of age if the infant receives a single antigen or Pediarix vaccine and by 15
months of age if the infant receives the Comvax series.
• Perform PVS testing or obtain from the provider or ImmTrac the PVS testing results to determine immunity against
hepatitis B. Post vaccine serology testing shall be done by 9 —15 months of age if the infant received a single antigen
or Pediarix vaccine and by 18 months of age if the infant received the Comvax vaccine series.
Contractor General Requirement C-5
All household and sexual partners of reported HBsAg (+) mothers shall be referred for serologic testing to determine
susceptibility status in accordance with the DSHS Immunization Contractors Guide for Local Health Departments and
Perinatal Hepatitis B Prevention Manual.
Ensure all household contacts two (2) years of age or older are case managed as appropriate to ensure the infant
completes the HBV vaccine series and receives post -vaccination serology testing (PVST).
UNIT D
Immunization Information Technology Infrastructure -Assure that the immunization information technology infrastructure
supports program goals and objectives.
Contractor General Requirement Unit D-1:
Promote provider site participation and assure immunization record completeness, timeliness, accuracy, efficiency, and
data use to support immunization program goals and objectives.
Effectively utilize ImmTrac (the DSHS on-line immunization registry) in Contractor's clinics.
Work in good faith, and as specified herein, to increase the number of children less than six (6) years of age who
participate in ImmTrac.
Work in good faith and as specified herein, to ensure ImmTrac registered private providers use ImmTrac effectively as
defined in the DSHS Immunization Contractors Guide for Local Health Departments.
Activities under the requirements above shall be conducted in accordance with the DSHS Immunization Contractors
Guide for Local Health Departments
Activities:
• Recruit new private provider sites for ImmTrac.
• Search for the client's immunization history at every client encounter.
• Review the client's record for vaccines due and overdue according to the CDC Recommended Schedules at:
http://www.cdc.gov/vaccines/schedules/index.html.
• Report to ImmTrac all immunizations administered to children (younger than 18 years of age) and consented adults
in Contractor's clinics, either directly into ImmTrac on-line or through TWICES.
• Update demographic information as needed.
• Follow recommended guidelines for obtaining and submitting ImmTrac consent forms according to the instructions
found at http://www.dshs.state.tx.us/immunize/docs/consent_guidelines.pdf.
• Implement changes to the consent process as directed by DSHS.
• Offer updated Immunization History Report to the client or client's parent or guardian at every client encounter.
• At every client encounter, compare all immunization histories (ImmTrac, TWICES, validated patient -held records,
clinic medical record) and enter into ImmTrac or TWICES any historical immunizations not in ImmTrac
• Verbally and with DSHS produced literature, inform parents presenting at Contractor's clinics about ImmTrac and the
benefits of inclusion in ImmTrac.
• Provide orientation to all ImmTrac providers at least once a year and maintain documentation of all technical
assistance provided (e.g., telephone logs).
• Explain and demonstrate the effective use of ImmTrac according to the instructions located in the DSHS
Immunization Contractors Guide for Local Health Departments.
• Explain guidelines for obtaining and submitting ImmTrac consent forms according to the
instructions found at http://www.dshs.state.tx.us/immunize/docs/consent guidelines.pdf.
• Conduct follow-up with registered ImmTrac providers who are inactive or not using ImmTrac effectively.
• Train Contractor's staff on ImmTrac data entry and quality standards.
• Update all demographic information, including address and telephone number, at every client encounter.
• Conduct outreach (including, but not limited to, the specific outreach described in the DSHS Immunization
Contractors Guide for Local Health Departments) to families of children 19 to 35 months of age who are not up-to-date
on their immunizations according to ImmTrac; locate additional immunization histories; and enter history data into
ImmTrac.
• Collaborate with prenatal health-care providers, birth registrars, hospital staff, pediatricians, and other entities to
educate parents, expectant parents, and providers about ImmTrac and the benefits of participation. Includes the
dissemination of DSHS educational materials as appropriate.
• Identify and contact families of children for whom ImmTrac consent has been granted but who do not have complete
immunization records in ImmTrac.
• Identify all providers who administer vaccine in awardee's jurisdiction, including both pediatric and adult immunization
providers.
• Collaborate with partners and develop a provider recruitment strategy to include complementary vaccinators, such as
pharmacists and school -located vaccination clinics.
• Encourage IIS participation among VFC providers.
Contractors General Requirement Unit D-2:
Incorporate dose -level accountability into IIS functionality so that information can be received and stored (Dose -level
accountability includes assigned a provider -determined program eligibility category for a patient to each administered
dose of vaccine.
• Conduct education and monitoring of providers to improve eligibility tracking and reporting.
Contractors General Requirement Unit D-3:
Assure provider participation in vaccine ordering and inventory management using either VTrckS Direct of EAS (which
could be IIS or other external system) that communicates with VTrckS using the CDC -compliant interface.
• Educate providers regarding awardee vaccine ordering policies, including CDC's inventory -on -hand requirement and
other awardee-supporting documentation requirements for vaccine orders.
• Develop and implement a plan for transitioning providers to electronic submission of inventory and orders using
VTrckS or awardee's EAS.
• Monitor progress of the implementation of this transition plan.
• If using VTrckS Direct, ensure providers that will be using VTrckS for order entry acquire SAMS credentials for
access.
• Train providers to use VTrckS or awardee EAS for inventory and order entry.
• Develop and implement a plan for ensuring that new providers have access to and training for entering orders and
inventory using VTrckS or awardee's EAS.
Assist all other TVFC providers in local jurisdiction with maintenance of appropriate vaccine stock levels. Activities
under this requirement shall be conducted in accordance with the DSHS Immunization Contractors Guide for Local
Health Departments and NFC Operations Manual.
Activities:
• Evaluate maximum vaccine stock levels twice a year in all TVFC provider clinics under Contractor's jurisdiction and
assess providers' inventories when visiting clinics. This activity will become part of the Electronic Vaccine Inventory
(EVI) system and local health departments will be advised if any assistance on this activity is needed.
• Review 100% of all vaccine orders, monthly biological reports, and monthly temperature logs for accuracy and to
ensure that the vaccine supply requested is within established guidelines. Review may be done from a paper report or
on the EVI system.
• If vaccine is available locally, conduct transfers and/or deliveries to support the NFC providers requesting
assistance.
• Educate and assist all TVFC providers with TVFC Provider Choice, as directed by DSHS.
• To avoid the appearance of impropriety, the LHD must not involve pharmaceutical manufacturer representative in
provider choice trainings; or, the LHD must not take any other actions which appear to have a connection between
activities sponsored under this contract and any other activities the LHD wishes to conduct on its own which would
involve pharmaceutical manufacturer representatives giving presentations to providers.
• Offer provider updates, training, and information as changes to vaccine management occur.