HomeMy WebLinkAboutResolution - 2023-R0545 - SPAG Grant Agreement, US DHHS, TDADS, Senior Center Meal Program - 11/07/2023Resolution No. 2023-0545
Item No. 5.13
November 7, 2023
RESOLUTION
B� I"1' It�SOLVi:D I3Y 1'IIL CI"1'Y COLTNCIL OP 1'IIL CTl'Y Ol� I,i1BBOCK:
THA1' the Mayor of the City of Lubbock is hereby authorized and directed to executc for
and on behalf of the City of Lubbock, a South Plains Association of Governmcnts Arca Agency
on Aging Subrecipicnt Agreement and related documents from the State of `l'exas, acting by and
through the Texas Health and Human Services and the South Plains Association of
Governments (SPAG), for funds passed through the U.S. Department of IIealth and IIuman
Services to the State of Texas. 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 City Council.
Passed by the City Council on _ ����,,,�,�� 7} Zp��
'fRAY YA NI�. YOR -- ------- - -----
A"I'TEST:
Courtncy Paz, City Secretary
APPROVLD AS TO CONTI;N�1':
� [►V1
Brooke Witchcr, Assistant City Managcr
APPROV�D AS "r0 PORM:
Rachael Poster, ssistant City nttorney
ccdocslllRES. Subrecipient Agrecment -SPAG Area Agency on Aging
I 0.24.23
Resolution No. 2023-0545
//Area Agency
SOUTH PLAINS ASSOCIATION OF GOVERNMENTS
on Aging AREA AGENCY ON AGING
SUBRECIPIENT AGREEMENT
City of Lubbock, hereinafter referred to as Subrecipient, and South Plains Association of Governments
Area Agency on Aging (AAA) do hereby agree to provide services effective beginning October 2, 2023,
in accordance with the Older Americans Act of 1965 (OAA), as amended, regulations of the Health and
Human Services Commission (HHSC), the AAA Direct Purchase of Services program and the stated Scope
of Services.
The AAA Direct Purchase of Services program is designed to promote the development of a comprehensive
and coordinated service delivery system to meet the needs of older individuals (60 years of age or older)
and their caregivers. This agreement provides a mechanism for the creation of an individualized network
of community resources accessible to a program participant in compliance with the OAA and HHSC AAA
Access and Assistance guidelines.
The purpose of the system of Access and Assistance is to develop cooperative working relationships with
service providers to build an integrated service delivery system that ensures broad access to and information
about community services, m�imizes the use of existing resources, avoids duplication of effort, identifies
gaps in services, and facilitates the ability of people who need services to easily find the most appropriate
Subrecipient.
1. SCOPE OF SERVICES
A. The Subrecipient agrees to provide the following service(s) as identified below to program
participants authorized by the AAA staff, in accordance with the Subrecipient application, all
required assurances, licenses, certifications and rate setting documents, as applicable.
Service:
CONGREGATE MEALS
TRANSPORTATION
Service Definition:
CONGREGATE MEAL - A hot or other appropriate meal served to an eligible older person in a
congregate setting.
HOME DELIVERED MEAL - Hot, cold, frozen, dried, canned, fresh, or supplemental food (with
a satisfactory storage life) delivered to a person who is eligible in their place of residence. The
objective is to reduce food insecurity; help the recipient sustain independent living in a safe and
healthful environment.
TRANSPORTATION DEMAND/RESPONSE - Transportation designed to carry an older person
from a specific origin to a specific destination upon request. An older person requests the
transportation service in advance of their need, usually twenty-four to forty-eight hours prior to the
trip.
Unit Definitions:
CONGREGATE MEALS:
HOME DELIVERED MEALS:
TRANSPORTATION — Demand/Response:
One Meal
One Meal
One One-way Trip
Form #: AIAAA VA2.0
Edition Date: 9119111
To be f Iled in bv nrovider. P
All Texas Administrative Code standards are located at the Texas Secretary of State website:
Welcome to the Texas Administrative Code
All Older Americans Act and other required rules and regulations are located at:
htt s�//www,acl. ov/node/75.
Tar eting: AAA services are designed to identify eligible program participants, with an emphasis
on high-risk program participants and to serve older individuals with greatest economic and social
need, low-income minorities and those residing in rural areas, as required by the OAA.
B. Nutrition Reauirements:
The nutrition program guidelines align with the most recent Dietary Guidelines for Americans
(DGAs) and dietary reference intalces (DRIs). The established guidelines specifically address
prevalent disease conditions for the aging population.
Providers must serve meals that:
• Comply with the most recent DGA, published by the U.S. Department of Health and Human
Services (DHHS) Secretary and the Secretary of Agriculture;
• Provide a minimum of 33-1/3 percent of the DRI established by the Food and Nutrition Board
of the Institute Medicine of the National Academics of Science, Engineering and Medicine, if
the program provides one meal per day; and
• Meet any special dietary needs of people participating in the program, to the m�imum extent
practicable.
C. Services & Reimbursement Methodology:
Fixed Rate Variable Rate Cost
Service (include rate) (identify range) Reimbursement
Congregate N/A N/A $11.67
Home Delivered N/A N/A N/A
Transportation — D/R N/A N/A $8.68
2. TERMS OF AGREEMENT
A. The Subrecipient agrees to:
1. provide services in accordance with current or revised HHSC policies and standards and the
OAA.
2. submit billings with appropriate documentation as required by the AAA by the close of business
on the 2"d working day of each month following the last day of the month in which services
were provided.
Form #: AIAAA VA2.0
Edition Date: 9I19111
a. If the 2"d working day falls on a weekend or holiday, the information shall be delivered by
the close of business on the following business day.
b. The AAA cannot guarantee payment of a reimbursement request received for more than 45
calendar days of service delivery.
c. No reimbursement for services provided will be made if Subrecipient payment invoices are
not submitted to the AAA within 45 days of service delivery.
d. Reimbursement checks must be cashed or deposited within 30 days from date received.
3. encourage program participant contributions (program income) on a voluntary and confidential
basis. Such contributions will be properly safeguarded and accurately accounted for as receipts
and expenditures on Subrecipient's financial reports if contributions are not required to be
forwarded to the AAA. Client contributions (program income) will be reported fully, as
required, to the AAA. Subrecipient agrees to expend all program income to expand or enhance
the program/service under which it is earned.
4. notify the AAA Director immediately if, for any reason, the Subrecipient becomes unable to
provide the service(s).
5. maintain communication and correspondence concerning program participants' status.
6. establish a method to guarantee the confidentiality of all information relating to the program
participant in accordance with applicable federal and state laws, rules, and regulations. This
provision shall not be construed as limiting AAA or any federal or state authorized
representative's right of access to program participant case records or other information relating
to program participants served under this agreement.
7. keep financial and program supporting documents, statistical records, and any other records
pertinent to the services for which a claim for reimbursement was submitted to the AAA. The
records and documents will be kept for a minimum of five years after close of Subrecipient's
fiscal year.
8. make available at reasonable times and for required periods all fiscal and program participant
records, books, and supporting documents pertaining to services provided under this agreement,
for purposes of inspection, monitoring, auditing, or evaluations by AAA staff, the Comptroller
General of the United States and the State of Texas, through any authorized representative(s).
9. if applicable, comply with the HHSC process for Centers for Medicare and Medicaid Services
(CMS) screening for excluded individuals and entities involved with the delivery of the Legal
Assistance and Legal Awareness services.
B. The Subrecipient further agrees:
1. The agreement may be terminated for cause or without cause upon the giving of 30 days
advance written notice.
2. The agreement does not guarantee a total level of reimbursement other than for individual
units/services authorized; contingent upon receipt of funds.
3. Subrecipient is an independent provider, NOT an agent of the AAA. Thus, the Subrecipient
indemnifies, saves and holds harmless the South Plains Association of Governments AAA
against expense or liability of any kind arising out of service delivery performed by the
Subrecipient. Subrecipient must immediately notify the AAA if the Subrecipient becomes
involved in or is threatened with litigation related to program participants receiving services
funded by the AAA.
Form #: A[AAA VA2.0
Edition Date: 9119111
4. Employees of the Subrecipient will not solicit or accept gifts or favors of monetary value by or
on behalf of program participants as a gift, reward or payment.
C. Through the Direct Purchase of Services program, the South Plains Association of Governments
AAA agrees to:
1. review program participant intake and assessment forms completed by the Subrecipient, as
applicable, to determine program participant eligibility. Service authorization is based on
program participant need and the availability of funds.
2. provide timely written notification to Subrecipient of program participant's eligibility and
authorization to receive services.
3. maintain communication and correspondence concerning the program participants' status.
4. provide timely technical assistance to Subrecipient as requested and as available.
5. conduct quality-assurance procedures, which may include on-site visits, to ensure quality
services are being provided and if applicable, CMS exclusion reviews are conducted.
6. provide written policies, procedures, and standard documents concerning program participant
authorization to release information (both a general and medical/health related release), client
rights and responsibilities, contributions, and complaints/grievances and appeals to all program
participants.
7. contingent upon the AAA's receipt of funds authorized for this purpose from HHSC, reimburse
the Subrecipient based on the agreed reimbursement methodology, approved rate(s), service(s)
authorized, and in accordance with subsection (A)(2) of this document, within 45 days of the
AAA's receipt of Subrecipient's invoice.
3. ASSURANCES
The Subrecipient shall comply with:
A. Title VI of the Civil Rights Act of 1964 (42 U.S.C. §2000d et.seq.)
B. Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. §794)
C. Americans with Disabilities Act of 1990 (42 U.S.C. §12101 et seq.)
D. Age Discrimination in Employment Act of 1975 (42 U.S.C. §§6101-6107)
E. Title IX of the Education Amendments of 1972 (20 U.S.C. §§1681-1688)
F. Food Stamp Act of 1977 (7 U.S.C. §200 et seq.)
G. Drug Free Workplace Act of 1988
H. Texas Senate Bill 1- 1991, as applicable
I. HHSC administrative rules, as set forth in the Texas Administrative Code, to the extent applicable
to this Agreement
J. Certification Regarding Debarment - 45CFR §92.35 Subawards to debarred and suspended
parties; this document is required annually as long as this agreement is in effect
K. Centers for Medicare and Medicaid Services (CMS) State Medicaid Director Letter SMDL #09-
001 regarding Individuals or Entities Excluded from Participation in Federal Health Care
Programs
L. HHSC Information Letter 11-07 — Obligation to Identify Individuals or Entities Excluded from
Participation in Federal Health Care Programs
Form #: AIAAA VA2.0
Edition Date: 9l19111
4. ATTACHMENTS
A. Description of Assurance A— H listed in section 3 of this document.
B. List of Focal Points in the AAA planning and service area.
5. SIGNATURES
For the faithful performance of the terms
themselve ' e Qtober 2, 2023.
Y •
Authorize ubrecipient Signature
I
PrinfName
- ���
Titl
October 2. 2023
Date
of this agreement, the parties affix their signatures and bind
`� ,
Authorized ignature
South Plains Association of Governments
(Agency)
P.O. Box 3730 — Freedom Station
(Address)
Lubbock Texas 79452
(City, State, Zip)
October 2 2023
(Date)
Form #: AIAAA VA2.0
Edition Date: 9119111
ASSURANCES ATTACHMENT
A. Title VI of the Civil Ri�hts Act of 1964 (42 U.S.C. &2000d1, which prohibits any person
from being excluded from participation in, denied the benefits of, or subjected to
discrimination under any program or activity receiving Federal financial assistance.
B. Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. &794), which states that employers
may not refuse to hire or promote handicapped persons solely because of their disability.
C. Americans with Disabilities Act of 1990 (42 U.S.C. §12101), which prohibits a covered
entity from discriminating against a qualified individual on the basis of disability in regard
to job application procedures, the hiring, advancement, or discharge of employees,
employee compensation, job training, and other terms, conditions, and privileges of
employment.
D. A�e Discrimination in Employment Act of 1975 (42 U.S.C. §6101-6107), prohibits
discrimination on the basis of age in programs and activities receiving federal financial
assistance.
E. Food Stamp Act of 1977 (7 U.S.C. §2001, whose purpose is to strengthen the agricultural
economy; to help to achieve a fuller and more effective use of food abundances; to provide
for improved levels of nutrition among low-income households through a cooperative
Federal-State program of food assistance to be operated through normal channels of trade;
and for other purposes.
F. Drug Free Workplace Act of 1988, which requires that all organizations receiving federal
grants, regardless of amount granted, maintain a drug-free workplace.
G. Texas Senate Bill 1- 1991, as applicable, which refers to proper reporting of contributions
as addressed in OAA §315 and TAC, Title 40, §213.151.
H. Title IX of the Education Amendments if 1972 (Pub. L. 92-318), as amended, and all
requirements imposed by or pursuant to the Regulation of the Department of Health and
Human Services (45 C.F.R. Part 86), to the end that, in accordance with Title IX and the
Regulation, no person in the United States shall, on the basis of sex, be excluded from
participation in, be denied the benefits of, or be otherwise subjected to discrimination under
any education program or activity for which the AAA receives federal financial assistance
from HHSC.
Revised 10/12/2023
FOCAL POINTS FOR
THE SOUTH PLAINS ASSOCIATION OF GOVERNMENTS REGION
AREA AGENCY ON AGING
FY 2023-2024
CENTER: Bailey County Commissioners Court (A-020)
DIRECTOR: Judy Coffman
BOOKKEEPER: Judy Coffman
ADDRESS: 300 South First Street Room 110
CITY: Muleshoe, Texas 79347 Fax: (806) 272-4656
PHONE: (806) 272-3647 E-mail: jcoffman(�a,co.bailey.tx.us
DAYS & HRS. OPEN: Mon.-Thur. 8:30-12:00, 1:00-5:00; Fri. 8:00-1:00
SERVICES: TRANS.
COUNTY: Bailey
CENTER:
DIRECTOR:
ASSISTANT:
ADDRESS:
CITY:
PHONE:
DAYS & HRS. OPEN:
SERVICES:
COUNTY:
CENTER:
DIRECTOR:
BOOKKEEPER:
ADDRESS:
CITY:
PHONE:
DAYS & HRS. OPEN:
SERVICES:
COUNTY:
Bailey County Senior Citizens Assoc., Inc. (A-007)
Annette Orozco cell: 806-891-6449
Annette Orozco
319 S. Main St 1 PO Box 292
Muleshoe, Texas 79347
(806) 272-4969E-mail: muleshoeseniorsna,outlook.com
Mon. — Fri. 8:00 — 4:00 Fax: (806) 272-4460
CONG.
Bailey
Cochran Co. Senior Citizens Assoc., Inc. (A-045)
Reynalda Granado
Reynalda Granado
120 W. Wilson
Morton, Texas 79346
(806) 266-5121 E-mail: ccscigriffith(�a,gmail.com
Mon. — Fri. 8-3:00 Fax #: 266-9027
CONG., TRANS.
Cochran
Updated 10i24123 lc
CENTER:
DIRECTOR:
ASSISTANT:
ADDRESS:
CITY:
PHONE:
Crosby Co. Senior Citizens Assoc., Inc.
Lenette Fowler
vacant
119 North Berkshire
Crosbyton, Texas 79322
(806) 675-2107
(A-O50)
E-mail: 119ccsc(a�gmail.com
DAYS & HRS. OPEN: Mon. — Fri. 8-3
SERVICES: CONG., H.D.
COUNTY: Crosby
CENTER:
DIRECTOR:
BOOKKEEPER:
ADDRESS:
CITY:
PHONE:
DAYS & HRS. OPEN:
SERVICES:
COUNTY:
CENTER:
DIRECTOR:
ASSISTANT:
ADDRESS:
CITY:
PHONE:
DAYS & HRS. OPEN:
SERVICES:
COUNTY:
CENTER:
DIRECTOR:
ASSISTANT:
ADDRESS:
CITY:
PHONE:
DAYS & HRS. OPEN:
SERVICES:
COUNTY:
Garza County Trailblazers, Inc. (A-070)
Billie Williams
LaGayluah McReynolds
205 E. lOth
Post, Texas 79356
(806) 495-2998 E-mail: garzatrailblazers(a►�,yahoo.com
Mon. — Fri. 8-1
CONG., H.D.
Garza
Hale Center Senior Citizens Assoc., Inc. (A-075)
Kare� Boyce
Dee Rice
P.O. Box 205 (416 West 2°d Si.�
Hale Center, Texas 79041
(806) 839-2428 E-mail: hcsrcenter(�a,sbc�lobal.net
Mon. — Fri. 8-3
CONG., H.D., TRANS.
Hale
Hockley County Senior Citizens Assoc., Inc. (A-085)
Shelly Baigen
Rica Sanchez
1202 Houston
Levelland, Texas 79336
(806) 894-2228 E-mail: hcsca(�a,aol.com
Mon. — Fri. 8-4:00
CONG., H.D., TRANS.
Hockley
Updated 10124�'23 lc
CENTER:
DIRECTOR:
ADDRESS:
CITY:
PHONE:
DAYS & HRS. OPEN:
SERVICES:
COUNTY:
Lorenzo Senior Citizens Assoc., Inc.
Christina Cavazos cell: 806-983-8958
P.O. Box 571 (606 6`" St.)
Lorenzo, Texas 79343
(A-095)
(806) 634-5957 E-mail: lorenzosca(n�windstream.net
Mon. - Fri. 8-2 christinacavazos920@gmail.com
CONG., H.D.
Crosby
CENTER: Lubbock - City of Lubbock (A-100)
DIRECTOR: Karen Penkert, Supervisor: (806) 775-2690
Donavo� Hailey (806) 775-2685
ADDRESS: P.O. Box 2000 (1010 9t" St.)
CITY: Lubbock, Texas 79457
PHONE: (806) 775-2678
E-mail: �Penkert(�a,mail.ci.lubbock.tx.us
Kestrada(a�mail.ci.lubbock.tx.us
DAYS & HRS. OPEN: Mon. - Fri. 8-5 Fax: 806-775-2686
SERVICES: CONG., TRANS.
COUNTY: Lubbock
Mae Simmons -(806) 767-2708, Alvin Hargers (2004 Oak Avenue 79404),
Couper Rawlings -(806) 767-2704, Herminia Martinez (213 40�" Street 79404), (40'h & Ave. B),
Ma�gie Treio -(806) 775-2661, Cecilia Gonzalez (3200 Amherst 79415),
Lubbock Senior Center -(806) 767-2710, Katy Estrada (2001 19�" Street, 79401) FAX 806-
765-0820
CENTER: Lynn County Pioneers (A-110)
DIRECTOR: Sandra Norwood
BOOKKEEPER: Sandra Norwood
ADDRESS: P.O. Box 223 (1600 S. 3rd St.�
CITY: Tahoka, Texas 79373
PHONE: (806) 561-5264 E-mail: lynncopioneers(a��mail.com
DAYS & HRS. OPEN: Mon. - Fri. 9-3 Fax: 561-5571
SERVICES: CONG., H.D.
COUNTY: Lynn
CENTER: Senior Citizens Assoc. of S. Dickens County (A-130)
Updated 10/24/23 lc
DIRECTOR:
BOOKKEEPER:
ADDRESS:
CITY:
PHONE:
DAYS & HRS. OPEN:
SERVICES:
COUNTY:
CENTER:
DIRECTOR:
BOOKKEEPER:
ADDRESS:
CITY:
PHONE:
DAYS & HRS. OPEN:
SERVICES:
COUNTY:
CENTER:
DIRECTOR:
ASSISTANT:
BOOKKEEPER:
ADDRESS:
CITY:
PHONE:
Fax:
DAYS & HRS. OPEN:
SERVICES:
COUNTY:
LEGEND
E-mail: sscaosdc(a�,caprock-spur.com
Debbie Pritchett
Darlene Young
210 Burlington
Spur, Texas 79370
(806) 271-4472
Mon. — Fri. 8-3
CONG., H.D.
Dickens
Slaton Senior Citizens Assoc., Inc.
Nita Williams
Nita Williams
230 West Lynn
Slaton, Texas 79364
(A-135)
(806) 828-3784 E-mail: slatonseniors(�a,door.net
Mon. — Fri. 8-4
CONG., H.D.
Lubbock
Yoakum County Senior Citizens Assoc., Inc. (A-150)
Caitlynn Goff ce11:575-361-1455
Amber Cline
Shelia Hinson
709 W. Broadway (Mail Only to Box 519)
Denver City, Texas 79323
(806) 592-8000 E-mail: - _ycsc60(�a,windstream.net
(806) 592-2835
Mon. — Fri. 9-3
CONG., H.D.
Yoakum
CONG. — Congregate Meals (on-site)
H.D. - Home Delivered Meals
TRAN. - Transportation Service
Updated 10124i23 lc
�,� The South Plains Association of Governments Area Agency on Aging ���� ��n�
n Direct Purchase of Service A_�_��_
Sl � Fiscal Year 2024 Subrecipient Application/Renewal Update � ��� �ng
�
��
Please type or clearly print application information.
City of Lubbock
Subrecipient Name/Legal Entity
DBA (if applicable)
Physical Address:
131 �\ Rve. lh l�.bboc,�, \x �1q'-1b�� ,
Mailing Address (complete even if same as above):
t'��� Av e. . I� 3`�' G�o�� l,ubb� :�, i��'�� 1
Tax Identification Number (SSN or Federal ID): Fax Number (including area code):
Type of Provider (check one):
�Governmental Agency �Private Non-Profit �Private For Profit
�City Government �County Government �Other:
Authorizing O�cial: Title:
�u.� �i 3. r � �. �rorG.b\�. M�o�
Email Address: Telephone:
�;�yQ�.yr`� r�.��u��:��..�.�� �o� - �� � - ao�o
Billing Contact Person and billing address: Title:'1,p��l�a� �j��;C�S
�h �.r�r �P,�.�.�t
`� � P � S
Email Address: Telephone:
1h�e��-�Ca�rr.��v�bboc�-.v.S �6�1�-�1-�� - �.t�qo
Number of Years Organization has been in business: Is Organization Bonded?
(Attach certi�cate of bonding insurance)
y�_� Years � Yes � No
as anyo.ne invoJved �n i e diPect pro�Vis�or� o c�ier�t servir.es If Yes, �xplain:
�aen convacted of a felony (In-home Senrices
oMy)? Not Applf�fe I�ar.App�Y�a�le
r Yes No.
Does Organization have liability insurance? Attach a coqv of all appllcable State and Federal
(Attach cerfi�cate of all insurances)
� Yes � No Ilcenses and /or certifications for vour business.
Conflicts of Interest: Attach information of applicable names and relationship of any employee(s) or officers of
your organization that may have a conflict of interest with the South Plains Association of Governments
Area A enc on A in staff erson or Adviso Council member.
DPS Application
Page 1
Service and Bidding Information:
1;
A. Proposed Service:
Con re ate Meals
B. Service Area:
�;. o� l�,.bboc�� l.u.bboc�- C�.�•��I
C. Proposed HHS OAAA cost per unit: Whole cost per unit:
$ 11.67 $ 12.89
A. Proposed Service:
Home Delivered Meals
B. Service Area:
G � �� ( ��.be� C���
C. Proposed HHS OAAA cost per unit: Whole cost per unit:
$ $
A. Proposed Service:
N/A
B. Service Area:
Trans ortation Demand / Res onse C,\ � W�.�-7�� ���14�� �C1�
C. Proposed HHS OAAA cost per unit: Whole cost per unit:
$ 8.68 $ 9.65
�
A. Proposed Service:
N/A
B. Service Area:
N/A
C. Proposed HHS OAAA cost per unit: Whole cost per unit:
$ - $ -
Signature:
�� _ Trav P vne _ , certify that the information provided in this application is true and
� -
rinted Name
correct to the best of my knowledge.
ori nature
October 2, 2023
Date
DPS Application
Page 2
DATA USE AGREEMENT
BETWEEN THE
SOUTH PLAINS ASSOCIATION OF GOVERNMENTS
AND
CITY OF LUBBOCK ("SUBRECIPIENT")
This Data Use Agreement ("DUA"), effective as of the Subrecipient agreement ("Effective Date"),
is entered into by and between the SOUTH PLAINS ASSOCIATION OF GOVERNMENTS (SPAG) and
CITY OF LUBBOCK ("SUBRECIPIENT"), and incorporated into the terms of the following Subrecipient
agreement, in Lubbock County, Texas:
83124-20-A100 — Direct Purchase of Nutrition and Transportation Services Agreement
ARTICLE 1. PURPOSE; APPLICABILITY; ORDER OF PRECEDENCE
The purpose of this DUA is to facilitate creation, receipt, maintenance, use, disclosure or access to
Confidential Information with SUBRECIPIENT, and describe SUBRECIPIENT's rights and_obligations
with respect to the Confidential Information and the limited purposes for which this SUBRECIPIENT may
create, receive, maintain, use, disclose or have access to CONFIDENTAIL INFORMATION. 45 CFR
164.504(e)(1)-(3). This DUA also describes SPAG's remedies in the event of SUBRECIPIENT's
noncompliance with its obligations under this DUA. This DUA applies to both Business Associates and
subrecipients who are not Business Associates who create, receive, maintain, use, disclose or have access
to Confidential Information on behalf of SPAG, its programs or clients as described in the Subrecipient
agreement.
As of the Effective Date of this DUA, if any provision of the Subrecipient agreement, including
any General Provisions or Uniform Terms and Conditions, conflicts with this DUA, this DUA controls.
This DUA is intended to apply only to Confidential Information that SUBRECIPIENT handles in
performing services provided under the Subrecipient agreement.
ARTICLE 2. DEFINITIONS
For the purposes of this DUA, capitalized, underlined terms have the meanings set forth in the
following: Health Insurance Portability and Accountability Act of 1996, Public Law 104-191 (42 U.S.C.
§ 1320d, et seq.) and regulations thereunder in 45 CFR Parts 160 and 164, including all amendments,
regulations and guidance issued thereafter; The Social Security Act, including Section 1137 (42 U.S.C. §§
1320b-7), Title XVI of the Act; The Privacy Act of 1974, as amended by the Computer Matching and
Privacy Protection Act of 1988, 5 U.S.C. § 552a and regulations and guidance thereunder; Internal Revenue
Code, Title 26 of the United States Code and regulations and publications adopted under that code,
including IRS Publication 1075; OMB Memorandum 07-18; Texas Business and Commerce Code Ch. 521;
Texas Government Code, Ch. 552,and Texas Government Code § 2054.1125. In addition, the following
terms in this DUA are defined as follows:
"Authorized Puruose" means the specific purpose or purposes described in the Scope of Work of
the Subrecipient agreement for SUBRECIPIENT to fulfill its obligations under the Subrecipient agreement,
or any other purpose expressly authorized by SPAG in writing in advance.
SPAG Data Use Agreement V.1 HIPPA Omnibus Compliant April 2017
GOVERNMENTAL ENTITY VERSION - CITY OF LUBBOCK
SPAG Agreement No. 83124-23-A100
"Authorized User" means a Person:
(1) Who is authorized to create, receive, maintain, have access to, process, view, handle,
examine, interpret, or analyze Confidential Information pursuant to this DUA;
(2) For whom SUBRECIPIENT warrants and represents has a demonstrable need to create,
receive, maintain, sue disclose or have access to the Confidential Information; and
(3) Who has agreed in writing to be bound by the disclosure and use limitations pertaining to
the Confidential Information as required by this DUA.
"Confidential Information" means any communication or record (whether oral, written,
electronically stored or transmitted, or in any other form) provided to or made available to SUBRECIPIENT
or that SUBRECIPIENT may create, receive, maintain, use, disclose or have access to on behalf of SPAG
that consists of or includes any or all of the following:
(1)
�2)
Client Information;
Protected Health Information (PHI) in any form including without limitation, Electronic
Protected Health Information or Unsecured Protected Health Information;
(3)
(4)
(5)
(6)
��)
Sensitive Personal Information defined by Texas Business and Commerce Code Ch. 521;
Federal Tax Information;
Personal� Identifiable Information;
Social Securit Administration Data including, without limitation, Medicaid information;
All privileged work product;
(8) All information designated as confidential under the constitution and law dog the State of
Texas and of the United States, including the Texas Health & Safety Code and the Texas Public Information
Act, Texas Government Code, Chapter 552.
"Locallv Authorized Representative" of the Individual, as defined by Texas Law, including as
provided in 45 CFR 435.923 (Medicaid); 45 CFR 164.502(g)(1) (HIPAA); Texas Occupations Code §
151.002(6); Texas Health & Safety Code § 166.164; Estates Code Ch. 752 and Texas Prob. Code §3.
ARTICLE 3. SUBRECIPIENT'S DUTIES REGARDING CONFIDENTIAL INFORMATION
Section 3.01 Obligations of SUBRECIPIENT
SUBRECIPIENT agrees that:
(A) SUBRECIPIENT will exercise reasonable care and no less than the same degree of care
SUBRECIPIENT uses to protect its own confidential, proprietary and trade secret information to prevent
any portion of the Confidential Information from being used in a manner that is not expressly an Authorized
Purpose under this DUA or as Required b,�. 45 CFR 164.502(b)(1); 45 CFR 164.S14(d)
(B) SUBRECIPIENT will not, without SPAG's prior written consent, disclose or allow access
to any portion of the Confidential Information to any Person or any other entity, other than Authorized
User's Workforce or Subcontractors of SUBRECIPIENT who have completed training in confidentiality,
privacy, security and the importance of promptly reporting any Event or Breach to SUBRECIPIENT'S
management, to carry out the Authorized Purpose or as Required by Law.
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SPAG, at its election, may assist SUBRECIPIENT in training and education on specific or unique
SPAG processes, systems and/or requirements. SUBRECIPIENT will produce evidence of completed
training to SPAG upon request. 45 C.F.R. 164.308(a)(S)(I); Texas Health Safety Code �181.101
(C) SUBRECIPIENT will establish, implement and maintain appropriate sanctions against any
member of its Workforce or Subcontractor who fails to comply with this DUA, the Subrecipient agreement
or applicable law. SUBRECIPIENT will maintain evidence of sanctions and produce it to SPAG upon
request. 45 C.F.R. 164.308(a)(1)(ii)(C); 164.530(e); 164.410(b);164.530(b)(1)
(D) SUBRECIPIENT will not, except as otherwise permitted by this DUA, disclose or provide
access to any Confidential Information on the basis that such act is Required b,� without notifying
either SPAG or SUBRECIPIENT's own legal counsel to determine whether SUBRECIPIENT should
object to the disclosure or access and seek appropriate relief. SUBRECIPIENT will maintain an accounting
of all such requests for disclosure and responses and provide such accounting to SPAG within 48 hours of
SPAG's request. 45 CFR 164.504(e)(2)(ii)(A)
(E) SUBRECIPIENT will not attempt to re-identify or further identify Confidential
Information or De-identified Information, or attempt to contact any individuals whose records are contained
in the Confidential Information, except for an Authorized Purpose, without express written authorization
from SPAG or as expressly permitted by this Subrecipient agreement. 45 CFR 164.502(d)(2)(i) and (ii)
SUBRECIl'IENT will not engage in prohibited marketing or sale of Confidential Information. 45 CFR
164.501,164. S08(a) (3) and (4); Texas Health & Safety Code Ch. 181.002
(F) SUBRECIPIENT will not permit, or enter into any agreement with a Subcontractor to,
create, receive, maintain, use , disclose, have access to or transmit Confidential Information, on behalf of
SUBRECIPIENT without requiring that Subcontractor first execute the Form Subcontractor Agreement,
Attachment l, which ensures that the Subcontractor will comply with the identical terms, conditions,
safeguards and restrictions as contained in this DUA for PHI and any other relevant Confidential
Information and which permits more strict limitations; 45 CFR 164.502(e)(1)(1)(ii); 164.504(e)(1)(i) and
(2)
(G) SUBRECIPIENT is directly responsible for compliance with and enforcement of, all
conditions for creation, maintenance, use, disclosure, transmission and Destruction of Coniidential
Information and the acts or omissions of Subcontractors as may be reasonably necessary to prevent
authorized use. 45 CFR 164.504(e)(S); 42 CFR 431.300, et seq.
(H) If SUBRECIPIENT maintains PHI in a Designated Record Set, SUBRECIPIENT will
make PHI available to SPAG in a Designated Record Set or, as directed by SPAG, provide PHI to the
Individual, or Le�v Authorized Representative of the Individual who is requesting PHI in compliance
with the requirements of the HIPAA Privacy Regulations. SUBRECIPIENT will make other Confidential
Information in SUBRECIPIENT's possession available pursuant to the requirements of HIPAA or other
applicable law upon a determination of a Breach of Unsecured PHI as defined in HIPAA. 45 CFR 164.524
and 164.504(e) (2) (ii) (E)
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(I) SUBRECIPIENT will make PHI as required by HIPAA available for amendment and
incorporate any amendments to this information that SPAG directs or agrees to pursuant to the HIPAA.
45 CFR I64. 504(e) (2) (ii) (E) and (F)
(J) SUBRECIPIENT will document and make available to SPAG the PHI required to provide
access, an accounting of disclosures or amendment in compliance with the requirements of the HIPAA
Privacy Regulations. 45 CFR 164.504(e)(2)(ii)(G) and 164.528
(K) If SUBRECIPIENT receives a request for access, amendment or accounting of PHI from
an individual with a right of access to information subject to this DUA, it will respond to such request in
compliance with HIPAA Privacy Reg;ulations. SUBRECIPIENT will maintain an accounting of all
responses to request for access to or amendment of PHI and provide it to SPAG within 48 hours of SPAG's
request. 45 CFR 164.504(e) (2)
(L) SUBRECIPIENT will provide, and will cause its Subcontractors and agents to provide, to
SPAG periodic written certifications of compliance with controls and provisions relating to information
privacy, security and breach notification, including without limitation information related to data transfers
and the handling and disposal of Confidential Information. 45 CFR 164.308; 164.530(c); I TAC 202
(M) Except as otherwise limited by this DUA, the Subrecipient agreement, or law applicable to
the Confidential Information, SUBRECIPIENT may use or disclose PHI for the proper management and
administration of SUBRECIPIENT or to carry out SUBRECIPIENT's legal responsibilities if.• 45 CFR
164.504(e)(ii)(1)(A)
(1) Disclosure is Required by Law, provided that SUBRECIPIENT complies with Section
3.01(D);
(2) SUBRECIPIENT obtains reasonable assurances from the Person to whom the information
is disclosed that the Person will:
(a) Maintain the confidentiality of the Confidential Information in accordance with this DUA;
(b) Use or further disclose the information only as Required b,� or for the Authorized Purpose
for which it was disclosed to the Person; and
(c) Notify SUBRECIPIENT in accordance with Section 4.01 of any Event or Breach of
Confidential Information of which the Person discovers or should have discovered with the exercise of
reasonable diligence. 45 CFR I64.504(e)(4)(ii)(B)
(N) Except as otherwise limited by this DUA, SUBRECIPIENT will, if requested by SPAG,
use PHI to provide data aggregation services to SPAG, as that term is defined in the HIPAA. 45 C.F.R. §
164.501 and permitted by HIPAA. 45 CFR 164.504(e)(2)(i)(B)
(0) SUBRECIPIENT will, on the termination or expiration of this DUA or the Subrecipient
agreement, at its expense, return to SPAG or Destrov, at SPAG's election, and to the extent reasonably
feasible and permissible by law, all Confidential Information received from SPAG or created or maintained
by SUBRECIPIENT or any of SUBRECIPIENT's agents or Subcontractors on SPAG's behalf if that data
contains Confidential Information. SUBRECIPIENT will certify in writing to SPAG that all the
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SPAG Agreement No. 83124-23-A100
Confidential Information that has been created, received, maintained, used by or disclosed to
SUBRECIPIENT, has been Destroyed or returned to SPAG, and that SUBRECIPIENT and its agents and
Subcontractors have retained no copies thereo£ Notwithstanding the foregoing, SUBRECIPIENT
acknowledges and agrees that it may not Destrov any Confidential Information if federal or state law, or
SPAG record retention policy or a litigation hold notice prohibits such Destruction. If such return or
Destruction is not reasonably feasible, or is impermissible by law, SUBRECIPIENT will immediately
notify SPAG of the reasons such return or Destruction is not feasible, and agree to extend indefinitely the
protections of this DUA to the Confidential Information and limit its further uses and disclosures to the
purposes that make the return of the Confidential Information not feasible for as long as SUBRECIPIENT
maintains such Confidential Information. 45 CFR 164.504(e)(2)(ii)(�
(P) SUBRECIPIENT will create, maintain, use, disclose, transmit or Destrov Confidential
Information in a secure fashion that protects against any reasonably anticipated threats or hazards to the
security or integrity of such information uses. 45 CFR 164.306; I64.530(c)
(Q) If SUBRECIPIENT accesses, transmits, stores, and/or maintains Confidential Information,
SUBRECIPIENT will complete and return to SPAG at aaareports(c�sna�.org the HHS information security
and privacy initial inquiry (SPI) at Attachment 2. The SPI identifies basic privacy and security controls
with which SUBRECIPIENT must comply to protect SPAG Confidential Information. SUBRECIPIENT,
will comply with periodic security controls compliance assessment and monitoring by SPAG as required
by state and federal law, based on the type of Confidential Information SUBRECIPIENT creates, receives
maintains, uses, discloses or has access to and the Authorized Purpose and level of risk. SUBRECIPIENT's
security controls will be based on the National Institute of Standards and Technology (NIST) Special
Publication 800-53. SUBRECIPIENT will update its security controls assessment whenever there are
significant changes in security controls for SPAG Confidential Information and will provide the updated
document to SPAG. SPAG also reserves the right to request updates as needed to satisfy state and federal
monitoring requirements. 45 CFR 164.306
(R) SUBRECIPIENT will establish, implement and maintain any and all appropriate
procedural, administrative, physical and technical safeguards to preserve and maintain the confidentiality,
integrity and availability of the Confidential Information, and with respect to PHI, as described in the
HIPAA Privacy and Security Re�ulations, or other applicable laws or regulations relating to Confidential
Information, to prevent any unauthorized use or disclosure of Confidential Information as long as
SUBRECIPIENT has such Confidential Information in its actual or constructive possession. 45 CFR
I64.308 (adneinistrative safeguards); 164.310 (physical safeguards); 164.312 (technical safeguards);
164.530 (c) (privacy safeguards)
(S) SUBRECIPIENT will designate and identify, subject to SPAG approval, a Person or
Persons, as Privacy Official 45 CFR 164.530 (a)(l) and Information Security Official, each of whom is
authorized to act on behalf of SUBRECIPIENT and is responsible for the development and implementation
of the privacy and security requirements in this DUA. SUBRECIPIENT will provide name and current
address, phone number and e-mail address for such designated officials to SPAG upon execution of this
DUA and prior to any change. 45 CFR 164.308(a)(2)
(T) SUBRECIPIENT represents and warrants that its Authorized Users each have a
demonstrated need to know and have access to Confidential Information solely to the minimum extent
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SPAG Agreement No. 83124-23-A100
necessary to accomplish the Authorized Purpose pursuant to this DUA and the Subrecipient agreement, and
further that each has agreed in writing to be bound by the disclosure and use limitations pertaining to the
Confidential Information contained in this DUA. 45 CFR 164.502; 164.514(d)
(U) SUBRECIPIENT and its Subcontractors will maintain an updated, complete, accurate and
numbered list of Authorized Users, their signatures, titles and the date they agreed to be bound by the terms
of this DUA, at all times and supply it to SPAG, as directed, upon request.
(V) SUBRECIPIENT will implement, update as necessary, and document reasonable and
appropriate policies and procedures for privacy, security and Breach of Confidential Information and an
incident response plan for an Event or Breach, to comply with the privacy, security and breach notice
requirements of this DUA prior to conducting work under the DUA. 45 CFR 164.308;164.316;164.514(d);
164.530(i) (1)
(W) SUBRECIPIENT will produce copies of its information security and privacy policies and
procedures and records relating to the use or disclosure of Confidential Information received from, created
by, or received, used or disclosed by SUBRECIPIENT on behalf of SPAG for SPAG's review and approval
within 30 days of execution of this DUA and upon request by SPAG the following business day or other
agreed upon time frame. 45 CFR 164.308; 164.514(d)
(X) SUBRECIPIENT will make available to SPAG any information SPAG requires to fulfill
SPAG's obligations to provide access to, or copies of, PHI in accordance with HIPAA and other applicable
laws and regulations relating to Confidential Information. SUBRECIPIENT will provide such information
in a time and manner reasonably agreed upon or as designated by HHS, or other federal or state law. 45
CFR 164.504(e) (2) (i) (1)
(Y) SUBRECIPIENT will only conduct secure transmissions of Confidential Information
whether in paper, oral or electronic form. A secure transmission of electronic Confidential Information in
motion includes secure File Transfer Protocol (SFTP) or Encryption at an appropriate level or otherwise
protected as required by rule, regulation or law. Confidential Information at rest requires EncrXption unless
there is adequate administrative, technical, and physical security, or as otherwise protected as required by
rule, regulation or law. All electronic data transfer and communications of Confidential Information will
be through secure systems. Proof of system, media or device security and/or Encryption must be produced
to SPAG no later than 48 hours after SPAG's written request in response to a compliance investigation,
audit or the Discovery of an Event or Breach. Otherwise, requested production of such proof will be made
as agreed upon by the parties. De-identification of Confidential Information is a means of security. With
respect to de-identification of PHI "secure" means de-identified according to HIPAA Privacv standards and
regulatory guidance. 45 CFR 164.312; 164.530(d)
(Z) SUBRECIPIENT will comply with the following laws and standards if applicable to the
type of Con�dential Information and Subrecipient's Authorized Purpose:
• Title 1, Part 10, Chapter 202, Subchapter B, Texas Administrative Code;
• The Privacy Act of 1974;
• OMB Memorandum 07-16;
• The Federal Information Security Management Act of 2002 (FISMA);
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• The Health Insurance Portability and Accountability Act of 1996 HIPAA as defined in the
DUA;
• Internal Revenue Publication 1075 — Tax Information Security Guidelines for Federal, State
and Local Agencies;
• National Institute of Standards and Technology (NIST) Special Publication 800-66 Revision 1
— An Introductory Resource Guide for Implementing the Health Insurance Portability and
Accountability Act (HIPAA) Security Rule;
• NIST �ecial Publications 800-53 and 800-53A — Recommended Security Controls for Federal
Information Systems and Organizations, as currently revised;
• NIST Snecial Publication 800-47 — Security Guide for Interconnecting Information
Technology Systems;
• NIST Special Publication 800-88, Guidelines for Media Sanitization;
• NIST Special Publication 800-111, Guide to Storage of Encryption Technologies for End User
Devices containing PHI; and
• Any other State or Federal law, regulation, or administrative rule relating to the specific SPAG
program area that SUBRECIPIENT supports on behalf of SPAG.
ARTICLE 4. BREACH NOTICE, REPORTING AND CORRECTION REQUIREMENTS
Section 4.01. Breach or Event Notification to SPAG. 45 CFR 164.400-414
(A) SUBRECIPIENT will cooperate fully with SPAG in investigating, mitigating to the extent
practical and issuing notifcations directed by SPAG, for any Event or Breach of Confidential Information
to the extent and in the manner determined by SPAG.
(B) SUBRECIPIENT' S obligation begins at the Discovery of an Event or Breach and continues
as long as related activity continues, until all effects of the Event are mitigated to SPAG's satisfaction (the
"incident response period"). 45 CFR 164.404
(C) Breach Notice:
1. Initial Notice.
a. For federal information, including without limitation, Federal Tax Information, Social Securitv
Administration Data, and Medicaid Client Information, within the first, consecutive clock hour of
Discoverv, and for all other types of Confidential Information not more than 24 hours after Discovery or
in a timeframe otherwise approved by SPAG in writing, initially report to SPAG Administration via email
at: aaareports(a�spa�.org; and IRS Publication I075; Privacy Act of 1974, as amended by the Computer
Matching and Privacy Protection Act of 1988, S U.S.C. § 552a; OMB Memorandum 07-16 as cited in
HHSC-CMS Contracts for information exchange.
b. Report all information reasonably available to SUBRECIPIENT about the Event or Breach of
the privacy or security of Confidential Information. 45 CFR I64.4I0
c. Name, and provide contact information to SPAG for, SUBRECIPIENT's single point of contact
who will communicate with SPAG both on and off business hours during the incident response period.
2. 48-Hour Formal Notice. No later than 48 consecutive clock hours after Discoverv, or a
time within which Discovery reasonably should have been made by SUBRECIPIENT of an Event or Breach
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of Confidential Information, provide formal notification to the SPAG, including all reasonably available
information about the Event or Breach, and SUBRECIPIENT's investigation, including without limitation
and to the extent available: For (a) —(m) be[ow: 45 CFR 164.400-414
a. The date the Event or Breach occurred;
b. The date of SUBRECIPIENT's and, if applicable, Subcontractor's Discoverv;
c. A brief description of the Event or Breach; including how it occurred and who is responsible (or
hypotheses, if not yet determined);
d. A brief description of SUBRECIPIENT's investigation and the status of the investigation;
e. A description of the types and amount of Confidential Information involved;
f. Identification of and number of all Individuals reasonably believed to be affected, including first
and last name of the individual and if applicable the, Legally authorized representative, last known address,
age, telephone number, and email address if it is a preferred contact method, to the extent known or can be
reasonably determined by SUBRECIPIENT at that time;
g. SUBRECIPIENT's initial risk assessment of the Event or Breach demonstrating whether
individual or other notices are required by applicable law or this DUA for SPAG approval, including an
analysis of whether there is a low probability of compromise of the Confidential Information or whether
any legal exceptions to notification apply;
h. SUBRECIPIENT's recommendation for SPAG's approval as to the steps Individuals and/or
SUBRECIPIENT on behalf of individuals, should take to protect the Individuals from potential harm,
including without limitation SUBRECIPIENT's provision of notifications, credit protection, claims
monitoring, and any specific protections for a Le�y Authorized Representative to take on behalf of an
Individual with special capacity or circumstances;
i. The steps SUBRECIPIENT has taken to mitigate the harm or potential harm caused (including
without limitation the provision of sufficient resources to mitigate);
j. The step SUBRECIPIENT has taken, or will take, to prevent or reduce the likelihood of
recurrence of a similar Event or Breach;
k. Identify, describe or estimate of the Persons, Workforce, Subcontractor, or Individuals and any
law enforcement that may be involved in the Event or Breach;
1. A reasonable schedule for SUBRECIPIENT to provide regular updates to the foregoing in the
future for response to the Event or Breach, but no less than every three (3) business days or as otherwise
directed by SPAG, including information about risk estimations, reporting, notification, if any, mitigation,
corrective action, root cause analysis and when such activities are expected to be completed; and
m. Any reasonably available, pertinent information, documents or reports related to an Event or
Breach that SPAG requests following Discoverv.
Section 4.02 Investigation, Response and Mitigation. For A-F below: 45 CFR 164.308, 310 and 312;
164.530
(A) SUBRECIPIENT will immediately conduct a full and complete investigation, respond to
the Event or Breach, commit necessary and appropriate staff and resources to expeditiously respond and
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report as required to and by SPAG for incident response purposes and for purposes of SPAG's compliance
with report and notification requirements, to the satisfaction of SPAG.
(B) SUBRECIPIENT will complete or participate in a risk assessment as directed by SPAG
following an Event or Breach, and provide the final assessment, corrective actions and mitigations to SPAG
for review and approval.
(C) SUBRECIPIENT will fully cooperate with SPAG to respond to inquiries and/or
proceedings by state and federal authorities, Persons and/or Individuals about the Event or Breach.
(D) SUBRECIPIENT will fully cooperate with SPAG's efforts to seek appropriate injunctive
relief or otherwise prevent or curtail such Event or Breach, or to recover or protect any Confidential
Information, including complying with reasonable corrective action or measures, as specified by SPAG in
a Corrective Action Plan if directed by SPAG under the Subrecipient agreement.
Section 4.03 Breach Notification to Individuals and Reporting to Authorities, Te.� Bus. & Comm.
Code §521.053; 4S CFR 164.404 (Individuals), I64.406 (Media); 164.408 (Authorities)
(A) SPAG may direct SUBRECIPIENT to provide Breach notification to Individuals,
regulators or third-parties, as specified by SPAG following a Breach.
(B) SUBRECIPIENT must obtain SPAG's prior written approval of the time, manner and
content of any notiiication to Individuals, regulators or third-parties, or any notice required by other state
or federal authorities. Notice letters will be in SUBRECIPIENT's name and on SUBRECIPIENT's
letterhead, unless otherwise directed by SPAG, and will contain contact information, including the name
and title of SUBRECIPIENT's representative, an email address and a toll-free telephone number, for the
Individual to obtain additional information.
(C) SUBRECIPIENT will provide SPAG with copies of distributed and approved
communications.
(D) SUBRECIPIENT will have the burden of demonstrating to the satisfaction of SPAG that
any notification required by SPAG was timely made. If there are delays outside of SUBRECIPIENT's
control, SUBRECIPIENT will provide written documentation of the reasons for the delay.
(E) If SPAG delegates notice requirements to SUBRECIPIENT, SPAG shall, in the time and
manner reasonably requested by SUBRECIPIENT, cooperate and assist with SUBRECIPIENT's
information requests in order to make such notifications and reports.
ARTICLE 5. SCOPE OF WORK
Scope of Work means the services and deliverables to be performed or provided by
SUBRECIPIENT, or on behalf of SUBRECIPIENT by its Subcontractors or agents for SPAG that are
described in detail in the Subrecipient agreement. The Scope of Work, including any future amendments
thereto, is incorporated by reference in this DUA as if set out word-for-word herein.
ARTICLE 6. GENERAL PROVISIONS
Section 6.01 Ownership of Confidential Information
SUBRECIPIENT acknowledges and agrees that the Confidential Information is and will remain
the property of SPAG. SUBRECIPIENT agrees it acquires no title or rights to the Confidential Information.
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Section 6.02 SPAG Con:mitment and Obligations
SPAG will not request SUBRECIPIENT to create, maintain, transmit, use or disclose PHI in any
manner that would not be permissible under annlicable law if done by SPAG.
Section 6.03 SPAG Right to Inspection
At any time upon reasonable notice to SUBRECIPIENT, or if SPAG determines that
SUBRECIPIENT has violated this DUA, SPAG, directly or through its agent, will have the right to inspect
the facilities, systems, books and records of SUBRECIPIENT to monitor compliance with this DUA.
Section 6.04 Term; Termination of DUA; Survival
This DUA will be effective on the date on which SUBRECIPIENT executes the DUA, and will
terminate upon termination of the Subrecipient agreement and as set forth herein. If the Subrecipient
agreement is extended or amended, this DUA is updated automatically concurrent with such extension or
amendment.
(A) SPAG may immediately terminate this DUA and Subrecipient agreement upon a material
violation of this DUA.
(B) Termination or Expiration of this DUA will not relieve SUBRECIPIENT of its obligation
to return or Destrov the Confidential Information as set forth in this DUA and to continue to safeguard the
Confidential Information until such time as determined by SPAG.
(C) If SPAG determines that SUBRECIPIENT has violated a material term of this DUA; SPAG
may in its sole discretion:
1. Exercise any of its rights including but not limited to reports, access and inspection under
this DUA and/or the Subrecipient agreement; or
2. Require SUBRECIPIENT to submit to a corrective action plan, including a plan for
monitoring and plan for reporting, as SPAG may determine necessary to maintain
compliance with this DUA; or
3. Provide SUBRECIPIENT with a reasonable period to cure the violation as determined by
SPAG; or
4. Terminate the DUA and Subrecipient agreement immediately, and seek relief in a court of
competent jurisdiction in Lubbock County, Texas.
Before exercising any of these options, SPAG will provide written notice to
SUBRECIPIENT describing the violation and the action it intends to take.
(D) If neither termination nor cure is feasible, SPAG shall report the violation to HHS.
(E) The duties of SUBRECIPIENT or its Subcontractor under this DUA survive the expiration
or termination of this DUA until all the Confidential Information is Destroyed or returned to SPAG, as
required by this DUA.
Section 6.05 Governing Law, Venue and Litigation
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(A) The validity, construction and performance of this DUA and the legal relations among the
Parties to this DUA will be governed by and construed in accordance with the laws of the State of Texas.
(B) The Parties agree that the courts of Lubbock County, Texas, will be the exclusive venue
for any litigation, special proceeding or other proceeding as between the parties that may be brought, or
arise out of, or in connection with, or by reason of this DUA.
Section 6.06 Injunctive Relief
(A) SUBRECIPIENT acknowledges and agrees that SPAG may suffer irreparable injury if
SUBRECIPIENT or its Subcontractor fail to comply with any of the terms of this DUA with respect to the
Confidential Information or a provision of HIPAA or other laws or regulations applicable to Confidential
Information.
(B) SUBRECIPIENT further agrees that monetary damages may be inadequate to compensate
SPAG for SUBRECIPIENT's or its Subcontractor's failure to comply. Accordingly, SUBRECIPIENT
agrees that SPAG will, in addition to any other remedies available to it by law or in equity, be entitled to
seek injunctive relief without posting a bond and without the necessity of demonstrating actual damages,
to enforce the terms of this DUA.
Section 6.07 Insurance
(A) SUBRECIPIENT represents and warrants that it maintains either self-insurance or
commercial insurance with policy limits sufficient to cover any liability arising from any acts or omissions
by SUBRECIPIENT or its employees, directors, officers, Subcontractors, or agents or other members of its
Workforce under this DUA. SUBRECIPIENT warrants that SPAG will be a loss payee and beneficiary for
any such claims.
(B) SUBRECIPIENT will provide SPAG with written proof that required insurance coverage
is in effect, at the request of SPAG.
Section 6.08 Fees and Costs
Except as otherwise specified in this DUA or the Subrecipient agreement, including but not limited
to requirements to insure and/or indemnify SPAG, if any legal action or other proceeding is brought for the
enforcement of this DUA, or because of an alleged dispute, contract violation, Event, Breach, default,
misrepresentation, or injunctive action, in connection with any of the provisions of this DUA, each party
will bear their own legal expenses and the other cost incurred in that action or proceeding.
Section 6.09 Entirety of the Contract
This Data Use Agreement is incorporated by reference into the Subrecipient agreement and, together with
the Subrecipient agreement, constitutes the entire agreement between the parties. No change, waiver, or
discharge of obligations arising under those documents will be valid unless in writing and executed by the
party against whom such change, waiver, or discharge is sought to be enforced.
Section 6.10 Automatic Amendment and Interpretation
Upon the effective date of any amendment or issuance of additional regulations to HIPAA, or any
other law applicable to Confidential Information, this DUA will automatically be amended so that the
obligations imposed on SPAG and/or SUBRECIPIENT remain in compliance with such requirements. Any
ambiguity in this DUA will be resolved in favor of a meaning that permits SPAG and SUBRECIPIENT to
comply with HIPAA or any other law applicable to Confidential Information.
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ARTICLE 7. AUTHORITY TO EXECUTE
The Parties have executed this DUA in their capacities as stated below with authority to bind their
organizations on the dates set forth by their signatures.
IN WITNESS HEREOF, SPAG and SUBRECIPIENT have each caused his DUA to be signed and
delivered by its daily authorized representative.
SOUTH PLAINS ASSOCIATION OF GOVERNMENTS
AREA .N Y (�GING
� �
J 5
BY:
NAME: Tim C. Pierce
TITLE: Executive Director
DATE: October 2, 2�23
SUBRECIPIEN
BY:
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NAME:��U 4.�, - -
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TITLE:�f1O�C\C7�c4.b`�._ �\���C` .... - -
DATE' 0�,� C� O��y ,,� '�
SPAG Data Use Agreement V.1 HIPPA Omnibus Compliant April 2017
Page 12 of 12
10/17/23 10:36 AM
Provider Name: City of LubboCk
AAA Name: Area Agency on Aging oi South Plalns
Congregate Meals
BUDGET WORKSHEET CALCULATION OF THE PER MEAL UNIT RATE
1. Total Budgeted Expenses for Contract Year
2. Total Number of Anticipated Meals to be Provided by Funding Source
Other Funds
HHS OAAA 21,000 Eligible Meals 5,040 Other Sources 5
Other Funds -
Non-Eligible
Program Income 1,960 Meals 0 Other Sources 6
3. Whole Unit Rate (Line 1 divided by Line 2)
Reimbursement Calculation
4. Projected NSIP per Meal Value
5. Rate Less NSIP per Meal Value
6. Mandatory Local Match of 10%
" If Applicable, Match Reduction
From the In-kind Match
Certification form
Required Cash Match
HHS OAAA
0.73
$ 12.16
$ 1.22
$ -
$ 1.22
7. Proposed Meal Rate (Line 3 minus Line 6) $ 11.67
0
0
" if any portion of the required match is in-kind, you must complete an In-Kind Match Certification form.
By signing below, the provider acknowledges that all related records are subject to audit in accordance with
contract requirements and all applicable federal and state laws.
_ City of Lubbock
Legal Name of Contracted Provider
�
Si nature
Area Agency on Aging of South Plains
Name of Area Agency on Aging
Tim C. Pierce
P d/Typed Na f Signer
w
Sign
��
Printe /Typed Nam of Signer
October 2, 2023
Date
1. $ 360,857.40
2. 28,000
3. $ 12.89
October 2, 2023
Date
10/17/23 10:36 AM
Provider Name: City of Lubbock
AAA Name: Area Agency on Aging of South Plalns
Congregate Meals
BUllGET W�RIiSi-IE�T CERTIF�CATIUN
AS SIGNER OF THIS BUDGET WORKSHEET, I HEREBY CERTIFY THAT:
• I have read the note below and the instructions applicable to this budget worksheet.
• I have reviewed this budget worksheet after its preparation.
• To the best of my knowledge and belief, this budget worksheet is true, correct and
complete, and was prepared in accordance with the instructions applicable to this
budget worksheet.
• This budget worksheet was prepared from the books and records of the contracted
provider.
• I acknowledge that all books and records related to this rate setting process are
subject to audit in accordance with contract requirements and all applicable federal
and state laws.
Note: The person legally responsible for the conduct of the contracted provider must
sign this Budget Worksheet Certification. If a sole proprietor, the owner
must sign the Budget Worksheet Certification. If a partnership, a partner must
sign the Budget Worksheet Certification. If a corporation, t6e person authorized by the
Board of Directors Resolution must sign the Budget Worksheet Certification.
Misrepresentation of information contained in the budget worksheet may result in
adverse action, up to and including contract termination. Furthermore, falsification of
information in the budget worksheet may result in a referral for
City of Lubbock ��' p���� ��
�,_ �
Name of Contracted Provider Printed/Cyp d Name o Signer
October 2, 2023
Date Signa re
Signer Authority: ❑ Sole Proprietor
(check one) ❑ Partner
� Corporate Oflicer
� Association Ofticer
❑ Board Member
� Governmental Ofticial
10/10/23 3:33 PM
Provider Name: City of Lubbock
AAA Name: Area Agency on Aging of South Plafns
Congregate 1Vleals
BUllGET WDRKSHEET CERTiFJCATIQN
AS SIGNER OF THIS BUDGET WORKSHEET, I HEREBY CERTIFY THAT:
• I have read the note below and the instructions applicable to this budget worksheet.
• I have reviewed this budget worksheet after its preparation.
• To the best of my knowledge and belief, this budget worksheet is true, correct and
complete, and was prepared in accordance with the instructions applicable to this
budget worksheet.
• This budget worksheet was prepared from the books and records of the contracted
provider.
• I acknowledge that all books and records related to this rate setting process are
subject to audit in accordance with contract requirements and all applicable federal
and state laws.
Note: The person legally responsible for the conduct of the contracted provider must
sign this Budget Worksheet Certification. If a sole proprietor, the owner
must sign the Budget Worksheet Certification. If a partnership, a partner must
sign the Budget Worksheet Certification. If a corporation, the person authorized by the
Board of Directors Resolution must sign the Budget Worksheet Certification.
Misrepresentation of information contained in the budget worksheet may result in
adverse action, up to and including contract termination. Furthermore, falsification of
information in the budget worksheet may result in a referral for
City of Lubbock � �
Name of Contracted Provider Printe /fyped N�e oPSigner �
a3, �a
Date " n re
Signer Authority: ❑ Sole Proprietor
(check one) ❑ Partner
� Corporate Oflicer
� Association Of'ticer
❑ Board Member
� GovernmentalOf'ticial
10/17/23 10:37 AM
Provider Name: Cily of Lubbock
AAA Name: Area Agency on Aging of South Plains
Transportation
BUDGET WORKSHEET CALCULATION OF THE UNIT RATE
1.Total Budgeted Expenses for Contract Year
2.Total Number of Anticipated Units to be Provided
HHS OAAA -10 % Match Program
Required 3,002 Income
HHS OAAA - 25 % Match Local Funds -
Required 0 Eligible Trips
Other Funds -
Non-Eligible
HHS OAAA - Full Unit Rate 0 Trips
3. Cost per unit (Line 1 divided by Line 2) - Full Unit Rate
0 Other Sources 6
1,001 Other Sources 7 0
0 Other Sources 8 0
Reimbursement Calculation for Contracts Requiring Unit Rate Match Reduction
1. $ 38,646.07
2. 4,003
3. $ 9.65
4. Mandatory Local Match of 10% $ 0,97
'" If Applicable, Match Reduction From the In-kind Match Certification form $ -
Required Match 4. $ 0.97
5.Full Unit Rate Less Required Match (Line 3 minus Line 4 5. $ 8.68
4. Mandatory Local Match of 25% $ 2.41
" If Applicable, Match Reduction From the In-kind Match Certification form $ -
Required Match 4. $ 2.41
S.Full Unit Rate Less Required Match (Line 3 minus Line S 5. $ 724
*"If any portion of the required match is in-kind, you must complete an In-Kind Match Certification form.
Contract Reimbursed at Full Cost Per Unit Rate. Match Requirements Will Be Met Through Provision of Additional Units
$ 9.65
Contractor Initial AAA Initial
Area Agency on Aginq of South Plains
me o Area cy on Aging
�
� �
Tim C. Pierce
Printed/Typed Name of Signer
10/2/2023 10/2/2023
Date Date
10/17/23 1037 AM
Provider Name: City of Lubbock
AAA Name: Area Agency on Aging of South Plalns
Trans�c�rtation
BUDGET WURKS�IECT CE1tTIFICATION
AS SIGNER OF THIS BUDGET WORKSHEET, I HEREBY CERTIFY THAT:
• I have read the note below and the instructions applicable to this budget worksheet.
• I 6ave reviewed this budget worksheet after its preparation.
• To the best of my knowledge and belief, this budget worksheet is true, correct and
complete, and was prepared in accordance with the instructions applicable to this
budget worksheet.
• This budget worksheet was prepared from the books and records of the contracted
provider.
• I acknowledge that all books and records related to this rate setting process are
subject to audit in accordance with contract requirements and all applicable federal
and state laws.
Note: The person legally responsible for the conduct of the contracted provider must
sign this Budget Worksheet Certification. If a sole proprietor, the owner
must sign the Budget Worksheet Certification. If a partnership, a partner must
sign the Budget Worksheet Certi�cation. If a corporation, the person authorized by the
Board of Directors Resolution must sign the Budget Worksheet Certification.
Misrepresentation of information contained in the budget worksheet may result in
adverse action, up to and including contract termination. Furthermore, falsification of
information in the budget worksheet may result in a referral for prosecution.
City of Lubbock �
Name of Contracted Provider Prio ed/I'yped Na e of Signer
October 2, 2023
Date Si at e
Signer Authority: �
(check ooe) �
❑
Sole Proprietor
Partner
Corporate Officer
� Association Ofticer
� Board Member
� GovernmentalOffcial