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Home My WebLink AboutResolution - 2000-R0419 - HIV Counseling Services For Prevention And Education - 11/27/2000Resolution No. 2000-RO419 November 27, 2000 Item No. 13 RESOLUTION BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK: THAT the Mayor of the City of Lubbock BE and is hereby authorized and directed to execute for and on behalf of the City of Lubbock, a contract to provide HIV counseling services for prevention and education, by and between the City of Lubbock and the Texas Department of Health, and related documents. Said contract 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 this 27th day of November '2000. i WINDY SI ON, MAYOR Is Darnell, City Secretary VED AS TO CONTENT: Tommy C en, Health Director APPROVED AS TO FORM: Derfald G. Vandiver First Assistant City Attorney Ke ccdocs/contract wax Dept Health -reso CONTRACT FOR PUBLIC HEALTH SERVICES Resolution No. 2000—RO419 November 27, 2000 Item No. 13 TT)TT TIOCUMPMT Nfl fS�nrncrn� �rn�n, Contract Issued by: TEXAS DEPARTMENT OF HEALTH BN (Receiving Agency) 1100 WEST 49TH STREET AUSTIN, TEXAS 78756-3199 Legal Authority to Contract: Chapters 12 and 121, Health and Safety Code. Venue: The provisions of this Contract shall be interpreted in accordance with Texas law. Venue for any court disputes shall be in Travis County, Texas. PERFORMING AGENCY NAME: LUBBOCK CITY HEALTH DEPARTMENT MAILING ADDRESS: PO BOX 2548 LUBBOCK TX 79457-0000 STREET ADDRESS: 1902 TEXAS AVENUE LUBBOCK TX 79457-0000 NAME OF AUTHORIZED CONTRACTING ENTITY: CITY OF LUBBOCK HEALTH DEPARTMENT f different from PERFORMING AGENCY) PAYEE DATA (If not the same as PERFORMING AGENCY or AUTHORIZED CONTRACTING ENTITY; must be on file with the Texas State Comptroller's Office.): NAME: CITY OF LUBBOCK ADDRESS: PO BOX 2000 -ACCOUNTING DEPT LUBBOCK TX 79457-0000 (City, State, Zi State of Texas Vendor Identification No. (14 digits) PAYEE AGENCY Fiscal 17560005906034 Year Ending Month: December PAYEE BUSINESS INFORMATION FOR STATISTICAL REPORTING: Please check the categories that apply to your business. _ Small Business - A corporation, sole proprietorship, or other legal entity formed for the purpose of making a profit which is independently owned and operated and has fewer than 100 employees or has less than $1,000,000 in annual gross receipts. _ Historically Underutilized Business (HUB) - A corporation, sole proprietorship, or joint venture formed for the purpose of making a profit in which at least 51 % of all classes of the shares of stock or other equitable securities are owned by one or more persons who have been historically underutilized (socially disadvantaged) because of their identification as members of certain groups: Black American, Hispanic American, Asian Pacific American, Native American, and Women. The HUB must be certified by General Services Commission or another entity. For Profit Organization SUMMARY OF CONTRACT DOCUMENTATION: COVER PAGE 1 - Receiving and Performing Agency Data GENERAL PROVISIONS COVER PAGE 2 - Details of Attachment(s) ATTACHMENT(S) COVER PAGE 3 - Authorized Signatures Cover - Page 1 DETAILS OF ATTACHMENTS Att/ Amd No. TDH Program/ ID Term Financial Assistance Direct Assistance Total Amount (TDH Share) Begin End Source of Funds* Amount O1 HIV/ REV 01/01/01 12/31/01 93.940 46,350.00 0.0046,350.00 TDH Document No.7560005%6 2002 Totals $46,350.00 $0.00 $46,350.00 *Federal funds are indicated by a number from the Catalog of Federal Domestic Assistance (CFDA), if applicable. REFER TO BUDGET SECTION OF ANY ZERO AMOUNT ATTACHMENT FOR DETAILS. Cover Page 2 EXECUTED IN DUPLICATE ORIGINALS ON THE DATES SHOWN. CITY OF LUBBOCK HEALTH DEPARTMENT Authorized Contracting Entity (type above if different from PERFORMING AGENCY) for and in behalf of: PERFORMING AGENCY NAME: LUBBOCK CITY HEALTH DEPARTMENT RECEIVING AGENCY NAME: TEXAS DEPARTMENT OF HEALTH A"' J jl- By: By; ..., !-4' (Signature of per o) authorized to sign contracts) (Signatur of person authorized to sign contracts) wn* Sittcn, MT)cr (Name and Title) Date: November 27, 2000 RECOMMENDED: By: (PERFORMING A N Y Director, if different TM person authR ori iec to sig contract) MreCtCr j � �•i1' DI � � �'i Sidney P. Shelton, Chief Bureau of Financial Services (Name and Title) Date: 11 -- ( — Do Cover Page 3 TDH Document No: 7560005906 02 GENERAL PROVISIONS FOR TEXAS DEPARTMENT OF HEALTH GRANT CONTRACTS (LGS) 2001 GENERAL PROVISIONS 4/00 Any alteration to this document constitutes a counter-offir and mast be approved in writing by the Texas Department of Health. GENERAL PROVISIONS FOR TEXAS DEPARTMENT OF HEALTH GRANT CONTRACTS ARTICLE 1. Preamble PERFORMING AGENCY and RECEIVING AGENCY (the parties) agree to make and enter into this grant contract (contract), to faithfully perform the duties prescribed by this contract and to uphold and abide by its terms and provisions. This contract consists of RECEIVING and PERFORMING AGENCY identifying data, Details of Attachment(s), authorized signatures, General Provisions, and Attachment(s) with detailed Scope(s) of Work, Special Provisions, budget(s), and exhibits)_ as applicable. This contract represents the complete and entire understanding and agreement of the parties. No prior agreement or understanding, oral or otherwise, of the parties or their agents will be valid or enforceable unless embodied in this contract. The person or persons signing and executing this contract on behalf of PERFORMING AGENCY, or representing themselves as signing and executing this contract on behalf of PERFORMING AGENCY, warrant and guarantee that he, she, or they have been duly authorized by PERFORMING AGENCY to execute this contract on behalf of PERFORMING AGENCY and to validly and legally bind PERFORMING AGENCY to all of its terms, performances, and provisions. PERFORMING AGENCY assures compliance with this contract, including these General Provisions unless otherwise specified in any Special Provisions of the Attachment(s) to this document. If these General Provisions are revised or replaced during the term of this contract and PERFORMING AGENCY does not consent to comply with the modified General Provisions, PERFORMING AGENCY may exercise its termination options in accordance with the General Provisions, Termination Article. ARTICLE 2. Term The time period of this contract shall be governed by the term(s) of the Attachment(s). No commitment of contract funds is permitted prior to the first day or subsequent to the last day of the term. The term may be extended or shortened by amendment(s). ARTICLE 3. Funding This contract is contingent upon the availability of funding for each Attachment for the term of the Attachment. PERFORMING AGENCY shall have no right of action against the State of Texas or RECEIVING AGENCY in the event that RECEIVING AGENCY is unable to fulfill its obligations under this contract as a result of lack of sufficient funding of RECEIVING AGENCY for any Attachment(s) to this contract. If funds become unavailable, provisions of the Termination Article will apply. ARTICLE 4. Amendments This contract may be amended only if the amendment is in writing and signed by individuals with authority to bind all parties. PERFORMING AGENCY shall not perform and RECEIVING AGENCY shall not pay for the performance of different or additional services, work, or products except pursuant to an amendment of this contract that is executed (LGS) 2001 GENERAL PROVISIONS Page 1 4/00 in compliance with this Article: RECEIVING AGENCY may not waive any term, covenant, or condition of this contract unless by amendment executed in compliance with this Article. PERFORMING AGENCY shall plan expenditures so that any necessary budget revisions or amendments are executed no later than 90 days prior to the expiration of the Attachment term. PERFORMING AGENCY shall provide a written justification for any budget revisions and/or amendments. If a budget revision or amendment is requested during the last quarter of the Attachment term, the written justification must include a reason for the delay. Revision or amendment requests may be granted at the discretion of RECEIVING AGENCY. ARTICLE 5. Applicable Laws and Standards This contract shall be interpreted under and in accordance with the laws of the State of Texas and enabling state rules. Where applicable, federal statutes and regulations, including federal grant requirements applicable to funding sources, will apply to this contract. The Uniform Grant and Contract Management Act (UGCMA), Texas Government Code, Chapter 783, and the Uniform Grant Management Standards (UGMS) as amended by revised federal circulars and incorporated in UGMS by the Governor's Budget and Planning Office, apply as terms and conditions of this contract and are adopted by reference in their entirety. If a conflict arises between the provisions of this contract and the provisions of UGCMA and UGMS, the provisions of UGCMA and UGMS will prevail unless expressly stated otherwise. RECEIVING AGENCY must give prior approval for changes to contract Attachment(s) as specified by UGMS in Part III, "State Uniform Requirements for Grants and Cooperative Agreements," Subpart C -Post -Award Requirements, item _30 -Changes, and applicable federal Office of Management and Budget (OMB) circulars. RECEIVING AGENCY will provide copies of applicable OMB circulars, Code of Federal Regulations, and UGMS to PERFORMING AGENCY upon request. These documents are incorporated by reference as a condition of this contract. PERFORMING AGENCY may not use funds granted under this contract to pay any person for influencing or attempting to influence an officer or employee of any agency, federal or state, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any contract or grant or the extension, continuation, renewal, amendment, or modification of any contract or grant (31 USC § 1352 and UGMS). If at anytime this contract exceeds $100,000, regardless of funding source, PERFORMING AGENCY shall file with RECEIVING AGENCY a declaration containing the name of any registrant under the Lobbying Disclosure Act of 1995 who has made lobbying contacts on behalf of PERFORMING AGENCY in connection with that contract or grant, a certification that none of the funds provided by RECEIVING AGENCY have been or will be used for payment to lobbyists, and disclosure of the names of any and all registered lobbyists with whom PERFORMING AGENCY has an agreement. PERFORMING AGENCY shall require any person who requests or receives a subgrant or subcontract to file the same declaration, certification and disclosure with RECEIVING AGENCY. PERFORMING AGENCY shall file the declaration, certification, and disclosure at the time of application for the contract or grant; upon execution of a contract or grant unless PERFORMING AGENCY previously filed a declaration, certification or disclosure form in connection with the award; and at the end of each calendar quarter in which there occurs any event that materially affects the accuracy of the information contained in any declaration, certification or disclosure previously filed. RECEIVING AGENCY will supply the certification form to PERFORMING AGENCY upon request. (LGS) 2001 GENERAL PROVISIONS Page 2 4/00 ARTICLE 6. Debarment and Suspension PERFORMING AGENCY certifies by execution of this contract to the following: ► it is not ineligible for participation in federal or state assistance programs under Executive Order 12549, Debarment and Suspension, Feb. 18, 1986, 51 Fed. Reg. 6370; ► neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department or agency; ► it has not knowingly failed to pay a single substantial debt or a number of outstanding debts to a federal or state agency; and ► it is not subject to an outstanding judgment in a suit against PERFORMING AGENCY for collection of the balance of a debt. Where PERFORMING AGENCY is unable to certify to any of the statements in this Article, PERFORMING AGENCY shall attach an explanation. PERFORMING AGENCY shall not contract with a subrecipient nor procure goods or services from a subcontractor, at any tier, which is debarred or suspended or is otherwise excluded from or ineligible for participation in federal assistance programs under Executive Order 12549. ARTICLE 7. Assurances PERFORMING AGENCY shall establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest or personal gain. To the extent such provisions are applicable to PERFORMING AGENCY, PERFORMING AGENCY agrees to fully comply with the following: ► Title VI of the Civil Rights Act of 1964, 42 USC §§2000d et seq.'(P.L. 88-352), which prohibits discrimination on the basis of race, color or national origin, and includes the provision for effective communication and equal access to programs, services and activities to persons with Limited English Proficiency (LEP); ► Title IX of the Education Amendments of 1972,20 USC §§ 1681-1683, and 1685-1686, as amended, which prohibits discrimination on the basis of sex; ► Section 504 of the Rehabilitation Act of 1973, 29 USC §794(a), which prohibits discrimination on the basis of disabilities and the Americans with Disabilities Act of 1990, 42 USC §§ 12101 et seq., including the provision for effective communication and equal access to programs, services and activities to persons with sensory and speech impairments; ► The Age Discrimination Act of 1975, 42 USC §§6101-6107, as amended, which prohibits discrimination on the basis of age; ► The Drug Abuse Office and Treatment Act of 1972, 21 USC § 1101 et seq., as amended, 'relating to nondiscrimination on the basis of drug abuse; ► The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970, 42 USC §290dd (b)(1), as amended, relating to the nondiscrimination on the basis of alcohol abuse or alcoholism; ► Public Health Service Act of 1912, §§523 and 527, 42 USC §290dd-2, as amended, relating to confidentiality of alcohol and drug abuse patient records; (LGS) 2001 GENERAL PROVISIONS Page 3 4/00 ► Title VIII of the Civil Rights Act of 1968, 42 USC §§3601 et seq., as amended, relating to nondiscrimination in the sale, rental or financing of housing; and, ► The requirements of any other nondiscrimination statute(s). Collectively, such requirements obligate RECEIVING AGENCY to provide services without discrimination on the basis of race, color, national origin, age, sex, or disability. PERFORMING AGENCY shall carry out the terms of this contract in a manner which will assist RECEIVING AGENCY in complying with such obligations to the fullest extent of PERFORMING AGENCY's ability. PERFORMING AGENCY agrees to comply with all or part of the following, as applicable: A. Texas Labor Code, Chapter 21, which requires that certain employers not discriminate on the basis of race, color, disability, religion, sex, national origin, or age. B. Immigration Reform and Control Act of 1986, 8 USC §1324a, as amended, regarding employment verification and retention of verification forms for any individual(s) hired on or after November 6, 1986, who will perform any labor or services under this contract. C. Pro -Children Act of 1994, 20 USC §§6081-6084, regarding the provision of a smoke-free workplace and promoting the non-use of all tobacco products. D. The National Research Service Award Act of 1971, 42 USC §§289a-1 et seq., as amended, and 6601 (P.L. 93-348 and P.L. 103-43), as amended, regarding the protection of human subjects involved in research, development, and related activities supported by any applicable award of federal assistance, as implemented by 45 CFR Part 46, Protection of Human Subjects. E. The Clinical Laboratory Improvement Amendments of 1988, 42 USC §263a, as amended, which establish federal requirements for the regulation and certification of clinical laboratories. F. The Occupational Safety and Health Administration Regulations on Blood Borne Pathogens, 29 CFR § 1910.1030, which set safety standards for those workers and facilities who may handle blood borne pathogens. G. Laboratory Animal Welfare Act of 1966, 7 USC §§2131 et seq. (P.L. 89-544), as amended, pertaining to the care, handling, and treatment of warm-blooded animals held for research, teaching, or other activities supported by this award of assistance. H. Article 9102, Texas Revised Civil Statutes, as amended, pertaining to standards which eliminate architectural barriers for persons with disabilities. I. Health and Safety Code § 165.004, relating to the promotion of breast-feeding by providing information that encourages breast-feeding to program participants who are pregnant women or mothers with infants. Promotional material may be requested from RECEIVING AGENCY by calling (512) 406- 0744. Environmental standards pursuant to the following: (LGS) 2001 GENERAL PROVISIONS Page 4 4/00 (1) Institution of environmental quality control measures under the National Environmental Policy Act of 1969, 42 USC §§4321-4347 and Executive Order 11514, "Protection and Enhancement of Environmental Quality." (2) Notification of violating facilities pursuant to Executive Order 11738, "Providing for Administration of the Clean Air Act and the Federal Water Pollution Control Act with Respect to Federal Contracts, Grants, or Loans." (3) Protection of wetlands pursuant to Executive Order 11990. (4) Evaluation of flood hazards in floodplains in accordance with Executive Order 11988. (5) Assurance of project consistency with the approved State Management program developed under the Coastal Zone Management Act of 1972, 16 USC §§ 1451 et seq., as amended. (6) Conformity of federal actions to state clean air implementation plans under the Clean Air Act of 1955, as amended, 42 USC §§7401 et seq. (7) Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, 42 USC §§300f -300j, as amended. (8) Protection of endangered species under the Endangered Species Act of 1973, 7 USC §136, as amended. K. The Hatch Political Activity Act, 5 USC §§7321-26, which limits the political activity of employees whose principal employment activities are funded in whole or in part with federal funds. L. The Federal Fair Labor Standards Act and the Intergovernmental Personnel Act of 1970, as applicable, concerning minimum wage and maximum hours. M. General Appropriations Act, Regular Session, 76th Legislature, 1999, Article §9-6.13, pp. ix -39&40, "Limitation on Grants to Units of Local Government." For the purpose of §9-6.13, "unit of local government" shall mean a council of governments, a regional planning commission, or a similar regional planning agency created under Chapter 391, Local Government Code; a Local Workforce Development Board; or an MHMR community center. N. Texas Government Code, Chapter 573, relating to nepotism. O. Texas Government Code, Chapter 552, relating to open records and public information. P. Texas Government Code, Chapter 551, relating to open meetings. Q. Texas Government Code, Chapter 415, and all rules adopted by the Texas Commission on Law Enforcement Officer Standards and Education pursuant to Chapter 415, Texas Government Code, relating to regulated law enforcement agencies. PERFORMING AGENCY shall ensure that the facilities under its ownership, lease or supervision which will be utilized in the accomplishment of the project are not listed on the Environmental Protection Agency's (EPA) list of Violating Facilities and shall notify the Federal grantor agency of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under consideration for listing by the EPA (Executive Order 11738). PERFORMING AGENCY shall comply with the flood insurance purchase requirements of 102(a) of the Flood Disaster Protection Act of 1973, 42 USC §§4001-4003, as amended. Section 102(a) requires the purchase of flood insurance in communities where the insurance is available as a condition for the receipt of any federal financial (LGS) 2001 GENERAL PROVISIONS Page 5 4/00 assistance for construction or acquisition proposed for use in any area that has been identified by the Secretary of the U. S. Department of Housing and Urban Development as an area having special flood hazards. If PERFORMING AGENCY provides edical, dental, psychological or surgical treatment to a minor under this contract, either directly or through co acts with subrecipients, the treatment of a minor shall be provided only if consent to treatment is obtained ursuant to Chapter 32 of the Texas Family Code relating to consent to treatment of a child by a non -parent or child. If requirements of federal law relating to consent directly conflict with Chapter 32 of the Family Code, federal law shall supersede state law. PERFORMING AGENCY shall comply with the requirements of the Texas Workers' Compensation Act, Labor Code, Chapters 401-406, and rules promulgated thereunder found at 28 Texas Administrative Code (TAC), Chapter 41, et seq., which cover compensation for employees' injuries. When incorporated into a contract, standard assurances contained in the application package, if any, become terms or conditions for receipt of RECEIVING AGENCY funds. PERFORMING AGENCY and its subrecipients shall maintain an appropriate contract administration system to ensure that all terms, conditions, and specifications are met. PERFORMING AGENCY shall comply with all federal tax laws and is solely responsible for filing all required state and federal tax forms. PERFORMING AGENCY shall comply with all applicable requirements of federal and state laws, executive orders, regulations and policies governing the activity described in the Attachment(s), and with the applicable standard conditions or assurances prescribed by UGMS in Part III, "State Uniform Requirements for Grants and Cooperative Agreements," Subpart B -Pre -Award Requirements, item _. 14 -State Assurances. PERFORMING AGENCY assures it shall not transfer, assign or sell its interest in this contract, or in any equipment purchased with funds from this contract, without the written consent of RECEIVING AGENCY. ARTICLE 8. Intellectual Property Texas Health and Safety Code § 12.020(a), authorizes RECEIVING AGENCY to apply for, register, secure, hold, and protect a patent, copyright, trademark or other evidence of protection or exclusivity issued in or for intellectual property. "Intellectual property" consists of inventions; discoveries; improvements to any process, machine, manufacture, or composition of matter; products; technology; scientific information; trade secrets; computer software; literary works; musical works with any accompanying words; dramatic works with any accompanying music; pantomimes and choreographic works; pictorial, graphic, and sculptural works; motion pictures and other audiovisual works; sound recordings; architectural works; words, names, symbols, devices, slogans or any combination thereof which have been adopted and used by RECEIVING AGENCY to identify goods and/or services and distinguish them from those of others; and any other creative works if they may be protected by a patent, copyright, trademark, service mark, collective mark, or certification mark or other evidence of protection or exclusivity whether or not protection or exclusivity has been applied for or received. "Mark," for purposes of trademark and service mark, includes a word, name, symbol, device, slogan or any combination thereof which has been adopted and used by RECEIVING AGENCY to identify goods and/or services (LGS) 2001 GENERAL PROVISIONS Page 6 4/00 and distinguish them from those of others. Federal trademark law also provides for collective marks and certification marks. "Patent" protects any new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement. "Work made for hire" is a work prepared by an employee within the scope of his or her employment; or a work specially ordered or commissioned for use as a contribution to a collective work, as a part of a motion picture or other audiovisual work, as a translation, as a supplementary work, as a compilation, as an instructional text, as a test, as answer material for a test, or as an atlas, and the parties expressly agree in a written instrument signed by them that the work shall be considered a work made for hire. The term "works," for purposes of federal copyright law, includes software; literary works; musical works with any accompanying words; dramatic works with any accompanying music; pantomimes and choreographic works; pictorial, graphic, and sculptural works; motion pictures and other audiovisual works, sound recordings and architectural works. All work performed that results in the production of original books, manuals, films, or other original material is the exclusive property of RECEIVING AGENCY. All right, title, and interest in and to said property shall vest in RECEIVING AGENCY upon creation. All work performed shall be deemed to be a "work made for hire" for copyright purposes and made in the course of the services rendered pursuant to this contract. To the extent that title to any such work may not, by operation of law, vest in RECEIVING AGENCY or such work may not be considered a work made for hire, all rights, title and interest therein are hereby irrevocably assigned to RECEIVING AGENCY. RECEIVING AGENCY shall have the right to obtain and to hold in its own name any and all patents, copyrights, trademarks, service marks, certification marks, collective marks, registrations, or such other protection as may be appropriate to the subject matter, and any extensions and renewals thereof. PERFORMING AGENCY shall ensure all rights, titles, and interest in and to the intellectual property are secured to RECEIVING AGENCY from PERFORMING AGENCY and its subrecipients. PERFORMING AGENCY agrees to give RECEIVING AGENCY and agrees to require its subrecipients to give RECEIVING AGENCY, or any person designated by RECEIVING AGENCY, all assistance required to perfect the rights defined in this Article, without any charge or expense beyond those amounts payable to PERFORMING AGENCY for the services rendered under the contract. If federal funds are used to finance activities supported by the contract Attachment(s) that result in the production of original books, manuals, films, or other original material, the federal awarding agency reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government purposes (1) the copyright in any work developed under a grant, subgrant, or contract under a grant or subgrant; and (2) any rights of copyright to which a PERFORMING AGENCY or its subrecipient purchases ownership with grant support. PERFORMING AGENCY shall place an acknowledgment of federal awarding agency grant support and a disclaimer, as appropriate, on any publication written or published with such support and, if feasible, on any publication reporting the results of or describing a grant -supported activity. An acknowledgment shall be to the effect that "This publication was made possible by grant number from (federal awarding a9 -9-M- 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 age cv).11 In the event the terms of a federal grant award the copyright to PERFORMING AGENCY, RECEIVING AGENCY reserves a royalty -free, nonexclusive, worldwide and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for RECEIVING AGENCY, public health, and state governmental noncommercial (LGS) 2001 GENERAL PROVISIONS Page 7 4/00 purposes (1) the copyright, trademark, service mark, and/or patent on an invention, discovery, or improvement to any process, machine, manufacture, or composition of matter; products; technology; scientific information; trade secrets; and computer software, in any work developed under a grant, subgrant, or contract under a grant or subgrant; and (2) any rights of copyright, service or trade marks or patents to which a grantee, subgrantee or a contractor purchases ownership with grant support. PERFORMING AGENCY may publish the results of the contract performance, if those results are subject to copyright law, at its expense with prior RECEIVING AGENCY review and approval. RECEIVING AGENCY will not withhold the approval unreasonably. If RECEIVING AGENCY withholds approval, PERFORMING AGENCY may still publish the results of the contract performance but shall not reference the Texas Department of Health in any manner. If RECEIVING AGENCY approves and owns the copyright, any publication should include "© (the year of publication), Texas Department of Health, All Rights Reserved." If PERFORMING AGENCY is the copyright holder, any publication shall include acknowledgment of the support received from RECEIVING AGENCY. At least six copies of any such publication must be provided to RECEIVING AGENCY. RECEIVING AGENCY reserves the right to require additional copies before or after the initial review. PERFORMING AGENCY and any subrecipient, as appropriate, must comply with the standard patent rights clauses in 37 Code of Federal Regulations §401.14 or Federal Acquisition Regulations 52.227.11. ARTICLE 9. Historically Underutilized Businesses RECEIVING AGENCY shall comply with Texas Government Code, Chapter 2161, and 1 TAC §§ 111.11-111.24 et seq., whereby state agencies are required to make a good faith effort to assist historically underutilized businesses (HUBS) in receiving contract awards issued by the state to purchase "goods," which are defined as "supplies, materials, or equipment," services, or public works. If PERFORMING AGENCY subcontracts a portion of this contract, PERFORMING AGENCY agrees to make a good faith effort to subcontract with HUBS during the performance of its contract Attachment(s) with RECEIVING AGENCY and will report HUB subcontract activity on a quarterly basis to RECEIVING AGENCY. ARTICLE 10. Conflict of Interest PERFORMING AGENCY does not have nor shall it knowingly acquire any interest that would conflict in any manner with the performance of its obligations under this contract. Potential conflicts of interest include an existing business or personal relationship between PERFORMING AGENCY, its principal, or any affiliate or subrecipient with RECEIVING AGENCY, its board members, officers or employees, or any other entity or person involved in any way in any project that is the subject of this contract. ARTICLE 11. Certification of Software, Hardware. Firmware and Micro Code Products PERFORMING AGENCY certifies that any supplied or supported software, hardware, firmware, and micro code products used individually or together as a system to comply with RECEIVING AGENCY contract requirements will operate "accurately" in the manner in which they were intended when given a "valid date" containing century, year, month, and day. For purposes of this Article, "supplied or supported software, hardware, firmware, and micro code products" does not include software supported by RECEIVING AGENCY or an agency of the federal government. (LGS) 2001 GENERAL PROVISIONS Page 8 4/00 PERFORMING AGENCY is responsible for installing and implementing any versions of any software provided by RECEIVING AGENCY or an agency of the federal government which is used in performance of this contract. For purposes of this Article, a) "accurately" is defined to include the following: 1) calculations must be correctly performed using four -digit year processing; 2) functionality -on-line, batch including entry, inquiry, maintenance and updates must support four -digit year processing; 3) interfaces and reports must support four -digit year processing; 4) processing with a four -digit year must occur without human intervention; 5) correct results in forward and backward date calculation spanning century boundaries must be provided; 6) correct leap year calculations must be performed; and 7) processing correct results in forward and backward date calculation spanning century boundaries must occur; b) "date integrity" shall mean all manipulations of time -related data (dates, durations, days of week, etc.) will produce desired results for all valid date values within the application domain; c) "explicit century" shall mean date elements in interfaces and data storage permit specifying century to eliminate date ambiguity; d) "extraordinary actions" shall be defined to mean any action outside the normal documented processing steps identified in the product's reference documentation; e) "general integrity" shall mean no value for current date will cause interruptions in desired operation; f) "implicit century" shall mean for any data element without century, the correct century is unambiguous for all manipulations involving that document; g) "product" or "products" shall be defined to include, but is not limited to, any supplied or supported hardware, software, firmware and/or micro code; h) "valid date" shall contain a two -digit month, a two -digit day and a four -digit year. PERFORMING AGENCY and its subrecipient(s) must obtain a warranty from any vendor/licensor from which it obtains product(s) that product(s) delivered and installed under the contract/license shall be able to accurately process valid date data when used in accordance with the product documentation provided by the contractor/ licensor and require no extraordinary actions on the part of PERFORMING AGENCY, its personnel, or its subrecipient(s). Products under the contract/license shall possess general integrity, date integrity, explicit and implicit century capabilities. If the contract/license requires that specific products must perform as a system in accordance with the foregoing warranty, then the warranty shall apply to those listed products as a system. The duration of this warranty and the remedies available to PERFORMING AGENCY or its subrecipient(s) for breach of the warranty shall be defined in, and subject to, the terms and conditions of the contractor's standard commercial warranty or warranties contained in the contract/license; provided, that notwithstanding any provision to the contrary in such commercial warranty or warranties, the remedies available to PERFORMING AGENCY or its subrecipient(s) shall include repair or replacement of any supplied product if its noncompliance is (LGS) 2001 GENERAL PROVISIONS Page 9 4/00 discovered and made known to the contractor/licensor in writing within ninety (90) days after final acceptance. Nothing in the warranty shall be considered to limit any rights or remedies PERFORMING AGENCY or its subrecipient(s) may otherwise have under the contract/license, RECEIVING AGENCY will not hold PERFORMING AGENCY responsible if the information coming to PERFORMING AGENCY's product/software from RECEIVING AGENCY is inaccurate or corrupt. ARTICLE 12. Standards for Financial and Programmatic Management PERFORMING AGENCY shall develop, implement, and maintain financial management and control systems that meet or exceed the requirements of UGMS as detailed in RECEIVING AGENCY's Financial Administrative Procedures Manual. Those requirements shall include at a minimum: A.. Financial planning, including the development of budgets that adequately reflect all functions and resources necessary to carry out authorized activities and the adequate determination of costs; B. Financial management systems including accurate, correct, and complete payroll, accounting, and financial reporting records; cost source documentation; effective internal and budgetary controls; determination of reasonableness, allowableness, and allocability of costs; and timely and appropriate audits and resolution of any findings; and, C. Billing and collection policies, including a fee schedule, a system for discounting or adjusting charges based on a person's income and family size, and a mechanism capable of billing and making reasonable efforts to collect from patients and third parties. PERFORMING AGENCY must bill all third parry payers for services provided under the Attachment(s) before submitting any request for reimbursement to RECEIVING AGENCY. A third parry payer is any person or entity who has the legal responsibility for paying all or part of the services provided, including commercial health or liability insurance carriers, Medicaid, or other federal, state, local and private funding sources. Third party billing functions will be provided by PERFORMING AGENCY at no cost to the client. PERFORMING AGENCY or its subrecipient must become a Medicaid provider if performing approved Texas Medicaid services authorized by the Attachment(s). PERFORMING AGENCY and its governing body shall bear full responsibility for the integrity of the fiscal and programmatic management. Such responsibility shall include: accountability for all funds and materials received from RECEIVING AGENCY; compliance with RECEIVING AGENCY rules, policies, procedures, and applicable federal and state laws and regulations; and correction of fiscal and program deficiencies identified through self- evaluation and RECEIVING AGENCY's monitoring processes. Ignorance of any contract provisions or other requirements contained or referenced in this contract shall not constitute a defense or basis for waiving or appealing such provisions or requirements. ARTICLE 13. Bonding PERFORMING AGENCY is required to carry a fidelity bond, insurance coverage or self-insurance equal to the amount of funding provided under the contract Attachment(s) up to $100,000 that covers each employee of PERFORMING AGENCY handling funds under this contract, including person(s) authorizing payment of such funds. The fidelity bond, insurance, or self-insurance will provide for indemnification of losses occasioned by: 1) any fraudulent or dishonest act or acts committed by any of PERFORMING AGENCY's employees, either (LGS) 2001 GENERAL PROVISIONS Page 10 4/00 individually or in concert with others, and/or 2) failure of PERFORMING AGENCY or any of its employees to perform faithfully his/her duties or to account properly for all monies and property received by virtue of his/her position or employment. ARTICLE 14. Funding Participation Requirement PERFORMING AGENCY agrees funds provided through this contract will not be used for matching purposes in securing other funding unless directed or approved by RECEIVING AGENCY. ARTICLE 15. Allowable Costs and Audit Requirements Only those costs allowable under UGMS and any revisions thereto plus any applicable federal cost principles are eligible for reimbursement under this contract. Applicable cost principles, audit requirements, and administrative requirements are as follows: Applicable Cost Principles* I Audit Requirements* OMB Circular A-87, State &( OMB Circular A-133 Local Governments Administrative Requirements* UGMS • OMB Circulars shall be applied with the modifications prescribed by UGMS. - PERFORMING AGENCY or the AUTHORIZED CONTRACTING ENTITY shall arrange for a financial and compliance audit (Single Audit) if required by OMB Circular A-133 and/or UGMS. The audit shall be of PERFORMING AGENCY's or the AUTHORIZED CONTRACTING ENTITY's fiscal year. The audit must be conducted by an independent certified public accountant and in accordance with applicable OMB Circulars, Government Auditing Standards, and UGMS. PERFORMING AGENCY shall procure audit services in compliance with state procurement procedures, as well as with the provisions of UGMS. If PERFORMING AGENCY is not required to have a Single Audit, a limited scope audit may be required. RECEIVING AGENCY will provide PERFORMING AGENCY with written audit requirements if a limited scope audit is required. Within 30 days of receipt of the audit reports required by this section, PERFORMING AGENCY/AUTHORIZED CONTRACTING ENTITY shall submit a copy to RECEIVING AGENCY's Internal Audit Division. ARTICLE 16. Terms and Conditions of Payment For services satisfactorily performed pursuant to this contract, RECEIVING AGENCY will reimburse PERFORMING AGENCY for allowable costs. Reimbursements are contingent w a signed contract and will not exceed the total of each Attachment(s). PERFORMING AGENCY is entitled to payment only if the service, work, and/or product has been satisfactorily performed and authorized in accordance with this contract. PERFORMING AGENCY must have incurred a cost within the applicable Attachment term to be eligible for reimbursement under this contract and prior to claiming reimbursement. PERFORMING AGENCY must submit requests for reimbursement on a State of Texas Purchase Voucher (TDH Form B-13) or any other form designated by RECEIVING AGENCY monthly within 30 days following the end of the month covered by the (LGS) 2001 GENERAL PROVISIONS Page 11 4/00 bill. PERFORMING AGENCY shall submit a reimbursement request as a final close-out bill not later than 90 days following the end of the applicable Attachment term(s) for costs encumbered on or before the last day of the Attachment term. Reimbursement requests submitted and postmarked more than 90 days following the end of the applicable Attachment term may not be paid, at the discretion of RECEIVING AGENCY. PERFORMING AGENCY shall disburse program income, rebates, refunds, contract settlements, audit recoveries, and interest earned on such funds before requesting cash payments including advance payments from RECEIVING AGENCY. Funding from this contract may not be used to supplant [i.e., use in place of funds dedicated, appropriated or expended for activities funded through the Attachment(s)] state or local funds, but PERFORMING AGENCY shall use the funds from this contract to increase state or local funds currently available for a particular activity. PERFORMING AGENCY shall maintain its current level of support, if possible. RECEIVING AGENCY shall determine whether costs submitted by PERFORMING AGENCY are allowable and reimbursable. If RECEIVING AGENCY has paid funds to PERFORMING AGENCY for unallowable or ineligible costs, PERFORMING AGENCY shall return the funds to RECEIVING AGENCY within 30 days of written notice. RECEIVING AGENCY may withhold all or part of any payments to PERFORMING AGENCY to offset reimbursement for any ineligible expenditures that PERFORMING AGENCY has not refunded to RECEIVING AGENCY. RECEIVING AGENCY may take repayment from funds available under any contract Attachment, active or expired, in amounts necessary to fulfill PERFORMING AGENCY repayment obligations. ARTICLE 17. Advance Payments PERFORMING AGENCY may request a one-time advance for each Attachment only to meet immediate need for cash disbursement. PERFORMING AGENCY must make the request on State of Texas Purchase Voucher, accompanied by written justification and supporting documentation as specified in RECEIVING AGENCY's Financial Administrative Procedures Manual. The advance shall be requested at the beginning of the applicable Attachment period or at a later time in the applicable Attachment period if circumstances so warrant. Approval of the request for advance will be at the discretion of RECEIVING AGENCY. If the request is approved, the voucher will be processed; if disapproved, RECEIVING AGENCY will provide written notification to PERFORMING AGENCY. RECEIVING AGENCY will determine the amount of the advance, if any, by the amount and term of the applicable Attachment(s). For each Attachment, the amount of the advance shall not exceed the amount of the Attachment divided by the number of months covered by the Attachment multiplied by two (2). Advance funds will be expended during the applicable Attachment term so that, after the final monthly billing, PERFORMING AGENCY will not have advance funds on hand. If the Attachment is amended to increase or decrease the total amount of funding, RECEIVING AGENCY may adjust the amount of allowable advance in accordance with the above formula. If PERFORMING AGENCY is requesting an upward adjustment, PERFORMING AGENCY must submit a written justification and State of Texas Purchase Voucher in the amount necessary to correct the ratio. If the adjustment is downward, RECEIVING AGENCY will determine the amount of adjustment to the advance and the method of repayment. (LGS) 2001 GENERAL PROVISIONS Page 12 4100 ARTICLE 18. Program Income PERFORMING AGENCY may, but if a local health department shall, develop a fee-for-service system and a schedule of fees for personal health services in accordance with the provisions of Health and Safety Code § 12.031; the Texas Board of Health rules covering Fees for Clinical Health Services, 25 TAC § 1.91; and other applicable laws. No patient may be denied a service due to inability to pay. All revenues directly generated by an Attachment(s) supported activity or earned only as a result of the Attachment(s) during the term of the Attachment(s) are considered program income. PERFORMING AGENCY shall identify and report this income utilizing the forms and time frames specified in the Reports Article of these provisions. PERFORMING AGENCY shall utilize one of the following methods for applying program income: A. Additive method - add the program income to the funds already committed to the project by both parties. Program income will be used by PERFORMING AGENCY to further the program objectives of the state/federal statute under which the Attachment(s) was/were made, and it shall be spent on the same project in which it was generated. B. Deductive method - deduct the program income from the total allowable costs to determine the net allowable costs. PERFORMING AGENCY must expend program income during the Attachment term in which it is earned, and may not carry forward to the succeeding term. Program income not expended in the term in which it is earned shall be refunded to RECEIVING AGENCY. RECEIVING AGENCY may base future funding levels, in part, upon PERFORMING AGENCY's proficiency in identifying, billing, collecting, and reporting program income, and in utilizing it for the purposes and conditions of the applicable Attachment(s). ARTICLE 19. Overtime Compensation PERFORMING AGENCY shall not use any of the funds provided by the Attachment(s) hereto to pay the premium portion of overtime. PERFORMING AGENCY shall be responsible for any obligations of premium overtime pay due employees. Premium overtime pay is defined as any compensation paid to an individual in addition to the normal rate of pay for hours worked in excess of normal working hours. ARTICLE 20. Equipment and Supa1�es In accordance with Health and Safety Code, §12.053, title to all equipment and supplies purchased from funds from this contract will be in the name of PERFORMING AGENCY throughout the Attachment(s) term(s) or until the Attachment is terminated. Equipment is defined as tangible nonexpendable personal property with an acquisition cost of more than $1,000 and a useful life of more than one year, with the following exceptions: fax machines, stereo systems, cameras, video recorder/players, microcomputers, software, printers, microscopes, oscilloscopes, centrifuges, balances, and incubators. If the unit cost of these exception items is more than $500, they will be considered equipment, must be approved for purchase by RECEIVING AGENCY, and are considered capital assets for inventory (LGS) 2001 GENERAL PROVISIONS Page 13 4/00 purposes. The acquisition cost is the net invoice unit price of an item of equipment, including the cost of any necessary modifications, attachments, accessories or auxiliary apparatus necessary to make the property usable for the purpose for which it was acquired. Supplies are defined as consumable items necessary to carry out the contract including medical supplies, drugs, janitorial supplies, office supplies, patient educational supplies, software, and any items of tangible personal property other than those defined as equipment above. All items of equipment purchased with Attachment funds must be itemized in the contract budget. Any changes to the equipment list contained in the budget must be approved in writing by RECEIVING AGENCY. PERFORMING AGENCY will submit a written description including complete product specifications and need justification prior to purchasing any item of unapproved equipment. If approved, RECEIVING AGENCY will notify PERFORMING AGENCY by means of a written budget modification. PERFORMING AGENCY shall maintain a nonexpendable personal property (equipment) inventory and submit an annual cumulative report (TDH Form GC -11) to RECEIVING AGENCY no later than October 15th of each year. PERFORMING AGENCY shall administer a program of maintenance, repair, and protection of assets under this contract so as to assure their full availability and usefulness. In the event PERFORMING AGENCY is indemnified, reimbursed, or otherwise compensated for any loss of, destruction of, or damage to the assets provided under this contract, it shall use the proceeds to repair or replace said assets. Upon termination or expiration of applicable Attachment(s), title to any remaining equipment and supplies purchased from funds under this contract reverts to RECEIVING AGENCY. Title may be transferred to any other party designated by RECEIVING AGENCY. RECEIVING AGENCY may, at its option and to the extent allowed by law, transfer the reversionary interest to such property to PERFORMING AGENCY. ARTICLE 21. Contracts with Subreci ip ents PERFORMING AGENCY may enter into contracts with subrecipients unless restricted or otherwise prohibited in specific Attachment(s). Prior to entering into an agreement equaling $25,000 or 25% of an Attachment, whichever is greater, PERFORMING AGENCY shall obtain written approval from RECEIVING AGENCY. Contracts with subrecipients shall be in writing and must include the following: • name and address of all parties; • a detailed description of the services to be provided; • measurable method and rate of payment and total amount of the contract; • clearly defined and executable termination clause; • beginning and ending dates which coincide with the dates of the applicable contract Attachment(s) or cover a term within the beginning and ending dates of the applicable contract Attachment(s); • records retention requirements consistent with UGMS; • access to inspect the work and the premises on which any of the work is performed, in accordance with the Inspections Article contained in this contract; and • all clauses required by state/federal statutes, executive orders, and their implementing regulations. PERFORMING AGENCY agrees that all contracts with subrecipients containing a categorical budget shall include audit requirements referenced in the Allowable Costs and Audit Requirements Article of this contract, as appropriate. (LGS) 2001 GENERAL PROVISIONS Page 14 4/00 PERFORMING AGENCY is responsible to RECEIVING AGENCY for the performance of any subrecipient. PERFORMING AGENCY will monitor performance and maintain pertinent records that will be available for inspection by RECEIVING AGENCY. PERFORMING AGENCY shall ensure that: • subrecipients are fully aware of the requirements imposed upon them by state/federal statutes and regulations; • subrecipients comply with all financial management requirements as defined by RECEIVING AGENCY, UGMS and the applicable OMB circulars; • subrecipients complete required audits; and, that • an adequate tracking system is maintained to ensure timely receipt of any subrecipient's required audit reports and the resolution of any findings and questioned costs cited by these reports. ARTICLE 22. Contracts for Procurement PERFORMING AGENCY may enter into contracts for procurement unless restricted or otherwise prohibited in specific Attachment(s). PERFORMING AGENCY agrees that it shall be responsible to RECEIVING AGENCY for the performance of any subcontracted activity. Contracts for procurement shall be in writing and must contain the following provisions: • Administrative, contractual, or legal remedies in instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as may be appropriate (contracts other than small purchases). • Termination for cause and for convenience by PERFORMING AGENCY including the manner by which it will be effected and the basis for settlement (all contracts in excess of $10,000). • Compliance with the Copeland "Anti -Kickback" Act (18 USC §874) as supplemented in Department of Labor regulations (29 CFR Part 3) (all contracts and subgrants for construction or repair). • Compliance with §§103 and 107 of the Contract Work Hours and Safety Standards Act (40 USC §§327-330) as supplemented by Department of Labor regulations (29 CFR Part 5) (construction contracts awarded by grantees and subgrantees in excess of $2,000, and in excess of $2,500 for other contracts which involve the employment of mechanics or laborers). • Notice of RECEIVING AGENCY requirements and regulations pertaining to reporting. • Notice of RECEIVING AGENCY requirements and regulations pertaining to trademarks, service marks, copyrights, and patent rights with respect to any discovery or invention which arises or is developed in the course of or under such contract. • RECEIVING AGENCY requirements and regulations pertaining to copyrights and rights in data. • Access by RECEIVING AGENCY, the federal grantor agency, the Comptroller General of the United States, the State of Texas or any of their duly authorized representatives to any books, documents, papers, and records of the contractor which are directly pertinent to that specific contract for the purpose of making audit, examination, excerpts, and transcriptions. • Retention of all required records for the required retention period after RECEIVING AGENCY makes final payments and all other pending matters are closed. • Compliance with all applicable standards, orders, or requirements issued under §306 of the Clean Air Act (42 USC §1857(h)), §508 of the Clean Water Act (33 USC §1368), Executive Order (LGS) 2001 GENERAL PROVISIONS Page 15 4/00 11738, and Environmental Protection Agency regulations (40 CFR Part 15) (contracts, subcontracts, and subgrants of amounts in excess of $100,000). Mandatory standards and policies relating to efficiency which are contained in the state energy plan issued in compliance with the Energy Policy and Conservation Act (P. L. 94-163). ARTICLE 23. Reports Financial reports are required as provided in UGMS, and PERFORMING AGENCY shall file them regardless of whether expenses have been incurred. For each Attachment, PERFORMING AGENCY shall submit a Financial Status Report, State of Texas Supplemental Form 269a (TDH Form GC -4a) within 30 days following the end of each of the first three quarters. PERFORMING AGENCY shall submit a final financial report on State of Texas Supplemental Form 269a (TDH Form GC -4a), not later than 90 days following the end of the Attachment term(s). PERFORMING AGENCY shall submit a State of Texas Purchase Voucher with the final financial report if all costs have not been recovered, or PERFORMING AGENCY shall refund excess monies if costs incurred were less than funds received. PERFORMING AGENCY shall submit program and progress reports required by RECEIVING AGENCY in the format agreed to by the parties. PERFORMING AGENCY shall provide RECEIVING AGENCY other reports including financial reports RECEIVING AGENCY determines necessary to accomplish the objectives of this contract and to monitor compliance. If PERFORMING AGENCY is legally prohibited from providing such reports, it shall immediately notify RECEIVING AGENCY. ARTICLE 24. Ins cpe tions RECEIVING AGENCY and, when federal funds are involved, any authorized representatives) of the federal government have the right, at all reasonable times, to inspect or otherwise evaluate the work (including reviews of client or patient records and discussions with staff) performed by PERFORMING AGENCY and its subrecipient(s), if any, and the premises on which the work is being performed. PERFORMING AGENCY and its subrecipient(s) shall participate in inspections and provide reasonable access, facilities, and assistance to the representatives. All inspections and evaluations will be conducted in such a manner as will not unduly interfere with the work. PERFORMING AGENCY and its subrecipient(s), if any, shall give RECEIVING AGENCY, the federal government, and the Texas State Auditor, or any of their duly authorized representatives, access to any pertinent books, documents, papers, and client or patient records, if any, for the purpose of making audit, examination, excerpts, and transcripts of transactions related to contract Attachment(s). RECEIVING AGENCY will have the right to audit billings both before and after payment. Payment under Attachment(s) will not foreclose the right of RECEIVING AGENCY to recover excessive or illegal payments. Any deficiencies identified by RECEIVING AGENCY upon examination of PERFORMING AGENCY's records will be conveyed in writing to PERFORMING AGENCY. PERFORMING AGENCY's resolution of findings will also be conveyed in writing to RECEIVING AGENCY within 30 days of receipt of RECEIVING AGENCY's findings. A RECEIVING AGENCY determination of either an inadequate or inappropriate resolution of the findings may result in sanctions which will remain in effect until RECEIVING AGENCY determines the deficiencies are properly remedied. (LGS) 2001 GENERAL PROVISIONS Page 16 4/00 ARTICLE 25. PERFORMING AGENCY shall retain and preserve all records relating to this contract generated or collected by PERFORMING AGENCY or subgrantee thereof according to Government Code §441.006, 13 TAC §6.10, RECEIVING AGENCY's certified records retention schedule, and UGMS, Part III, "State Uniform Requirements for Grants and Cooperative Agreements," Subpart C - Post -Award Requirements, Item .42. Any record held by PERFORMING AGENCY which is not identified in the referenced retention schedules will be retained by PERFORMING AGENCY for a period of three years from the date of the last expenditure report submitted under contract Attachment(s) or until all audit questions are resolved, or until any court order(s) requiring record retention are dissolved, whichever time period is longer. PERFORMING AGENCY shall retain medical records in accordance with the governing rules or regulations which may be applicable. The retention schedules referenced in this Article are incorporated by reference and made a part of this contract. PERFORMING AGENCY may obtain a copy of the record retention schedules or the Texas Department of Health Records Handbook by contacting RECEIVING AGENCY's Records Coordinator. Legal requirements for PERFORMING AGENCY may extend beyond the retention schedules established herein. ARTICLE 26. Patient or Client Re��r�c Notwithstanding any other provision herein, if requested by RECEIVING AGENCY, PERFORMING AGENCY shall share all patient or client information with RECEIVING AGENCY when the contract involves patient or client care by the PERFORMING AGENCY. RECEIVING AGENCY may require PERFORMING AGENCY, or any subrecipient, to transfer a client or patient record to another agency or to RECEIVING AGENCY if the transfer is necessary to protect either the confidentiality of the record or the health and welfare of the client or patient. In the event of termination, RECEIVING AGENCY may require the transfer of client or patient records as authorized by law upon written notice to PERFORMING AGENCY, either to another entity that agrees to continue the service or to RECEIVING AGENCY. At the end of the Attachment term, PERFORMING AGENCY shall give RECEIVING AGENCY access to the records or provide copies for audit, examination, evaluation, inspection, litigation, or other circumstances that may arise, to the extent authorized by law. PERFORMING AGENCY, or any subrecipient, shall not otherwise transfer an identifiable client record, including a patient record, to another entity or person without written consent from the client or patient, or someone authorized to act on his or her behalf. Written consent must be given on a form provided by RECEIVING AGENCY or as otherwise authorized by law, including the Texas Medical Practice Act, Texas Occupations Code, §§159.001 et seq. ARTICLE 27. Confidentiality PERFORMING AGENCY shall have a system in effect to protect client or patient records and all other documents deemed confidential by law which are maintained in connection with the activities funded under this contract. PERFORMING AGENCY shall not disclose or transfer confidential client or patient information, including information required by the Reports Article, except in accordance with applicable law. (LGS) 2001 GENERAL PROVISIONS Page 17 4/00 If providing direct client care, services, or programs, PERFORMING AGENCY shall implement RECEIVING AGENCY's policies based on the model HIV/AIDS (human immunodeficiency virus/acquired immunodeficiency syndrome) workplace guidelines, and PERFORMING AGENCY shall educate employees and clients concerning HIVand its related conditions, including AIDS, in accordance with the Health and Safety Code, §§85.112-114. ARTICLE 28. Sanctions RECEIVING AGENCY may impose sanctions for any breach of contract, and will monitor PERFORMING AGENCY for both programmatic and financial compliance. RECEIVING AGENCY may, at its own discretion, impose one or more sanctions for each item of noncompliance and will determine sanctions on a case-by-case basis. A state or federal statute, rule, regulation, or federal guideline will prevail over the provisions of this Article unless the statute, rule, regulation, or guideline can be read together with the provision(s) of this Article to give effect to both. RECEIVING AGENCY may: A. terminate all or a part of the contract. Termination is the permanent withdrawal of PERFORMING AGENCY's authority to obligate previously awarded funds before that authority would otherwise expire or the voluntary relinquishment by PERFORMING AGENCY of the authority to obligate previously awarded funds. PERFORMING AGENCY costs resulting from obligations incurred by PERFORMING AGENCY after termination of an award are not allowable unless expressly authorized by the notice of termination. Termination does not include: (1) withdrawal of funds awarded on the basis of PERFORMING AGENCY's underestimate of the unobligated balance in a prior period; (2) withdrawal of the unobligated balance as of the expiration of a contract; (3) refusal to extend a contract or award additional funds, to make a competing or noncompeting continuation, renewal, extension, or supplemental award; or (4) voiding of a contract upon determination that the award was obtained fraudulently, or was otherwise illegal or invalid from inception; B. suspend all or part of the contract. Suspension is, depending on the context, either (1) the temporary withdrawal of PERFORMING AGENCY's authority to obligate funds pending corrective action by PERFORMING AGENCY or its subrecipient(s) or pending a decision to terminate or amend the contract, or (2) an action taken by a suspending official in accordance with agency regulations implementing Executive Order 12549 to immediately exclude a person from participating in contract transactions for a period, pending completion of an investigation and such legal or debarment proceedings as may ensue. PERFORMING AGENCY costs resulting from obligations incurred by PERFORMING AGENCY during a suspension are not allowable unless expressly authorized by the notice of suspension; C. disallow (deny both use of funds and matching credit for) all or part of the activities or action not in compliance; D. temporarily withhold cash payments. Temporarily withholding cash payments means the temporary withholding of advances or reimbursements to PERFORMING AGENCY or its subrecipient(s) for proper charges or obligations incurred, pending resolution of issues of noncompliance with contract conditions or indebtedness to the United States or to the State of Texas; E. permanently withhold cash payments. Permanent withholding of cash payment means that RECEIVING AGENCY retains funds billed by PERFORMING AGENCY or its subrecipient(s) for a) unallowable, aGS) 2001 GENERAL PROVISIONS Page 18 4/00 undocumented, disputed, inaccurate, improper, or erroneous billings; b) failure to comply with contract provisions; or c) indebtedness to the United States or to the State of Texas; F. deny contract renewal or future contract awards to a PERFORMING AGENCY; G. delay contract execution with PERFORMING AGENCY while other imposed or proposed sanctions are pending resolution; H. place PERFORMING AGENCY on probation. Probation means that PERFORMING AGENCY will be placed on accelerated monitoring for a period not to exceed six months at which time items of noncompliance must be resolved or substantial improvement shown by PERFORMING AGENCY; conduct accelerated monitoring of PERFORMING AGENCY. Accelerated monitoring means more frequent or more extensive monitoring will be performed by RECEIVING AGENCY than would routinely be accomplished; J. require PERFORMING AGENCY to obtain technical or managerial assistance; K. disallow requests for reimbursement by disapproving costs or fees submitted for payment or reimbursement by PERFORMING AGENCY; L. establish additional prior approvals for expenditure of funds by PERFORMING AGENCY; M. require additional, more detailed, financial and/or programmatic reports to be submitted by PERFORMING AGENCY; N. demand repayment from PERFORMING AGENCY; O. reduce the contract funding amount for failure to achieve or maintain the proposed level of service, to expend funds appropriately and at a rate which will make full use of the award, or to provide services as set out in the contract; and P. impose other remedies provided by law. RECEIVING AGENCY will formally notify PERFORMING AGENCY in writing when a sanction is imposed (with the exception of accelerated monitoring, which may be unannounced), stating the nature of the sanction(s), the reasons for imposing them, the corrective actions which must be taken before they will be removed and the time allowed for completing the corrective actions, and the method, if any, of requesting reconsideration of the sanctions imposed. PERFORMING AGENCY is required to file, within 15 days of receipt of notice, a written response to RECEIVING AGENCY's program/division that sent the notice, acknowledging receipt of such notice and stating how PERFORMING AGENCY will correct the noncompliance or demonstrating in writing that the findings on which the sanctions are based are either invalid or do not warrant the sanction(s). If RECEIVING AGENCY determines that a sanction is warranted, and unless the sanction is subject to review (see Sanction Review Article), RECEIVING AGENCY's decision is final and PERFORMING AGENCY must take corrective action. In an emergency, RECEIVING AGENCY may immediately terminate or suspend all or part of the contract, temporarily or permanently withhold cash payments, deny contract renewal or future contract awards, or delay (LGS) 2001 GENERAL PROVISIONS Page 19 4/00 contract execution by delivering written notice to PERFORMING AGENCY, by any verifiable method, stating the reason for the emergency action. An "emergency" is defined as the following: • PERFORMING AGENCY is noncompliant and the noncompliance has a direct adverse impact on the public or client health or safety. The direct adverse impact may be programmatic or financial, impacting health or safety by failing to provide services, providing inadequate services, providing unnecessary services, or utilizing resources so that the public or clients do not receive the benefits contemplated by the contract scope of work or performance measures; • PERFORMING AGENCY fails to achieve a performance measure; • PERFORMING AGENCY is reimbursed or requesting reimbursement for expenditures which are not in accordance with applicable federal or state laws and regulations or the provisions of the contract; or • PERFORMING AGENCY is expending funds inappropriately. Whether PERFORMING AGENCY's conduct or inaction is an emergency shall be determined by RECEIVING AGENCY on a case-by-case basis and shall be based upon the egregious nature of the noncompliance or conduct. ARTICLE 29. Sanction Review PERFORMING AGENCY may request a review of the imposition of the following sanctions: termination of all or part of the contract, suspension of all or part of the contract, permanent withholding of cash payments, and denial of contract renewal or future contract awards. PERFORMING AGENCY must make the request for review in writing to RECEIVING AGENCY within fifteen (15) days from the date of notification by providing written notice of the dispute to the person who signed the notification. PERFORMING AGENCY's notice shall contain the following: (1) a copy of the letter from RECEIVING AGENCY notifying PERFORMING AGENCY of the sanction; (2) a specific description of each act that is the basis for the dispute; (3) the grounds upon which PERFORMING AGENCY bases the complaint; (4) an identification of the issue or issues to be resolved; (5) a precise statement of the relevant facts; (6) any documentation in support of PERFORMING AGENCY's position; and (7) a statement and authorities in support of PERFORMING AGENCY's position. Evidence that PERFORMING AGENCY properly notified RECEIVING AGENCY consists of any of the following documents: (1) signature on delivery card; (2) confirmation of a facsimile to the correct telephone number; or (3) signed acknowledgment of delivery. RECEIVING AGENCY's representative will schedule a meeting or a conference call to attempt to resolve the issues in dispute. If the dispute is resolved, any resolution will be in writing and will be signed by all parties. If the dispute is not resolved, RECEIVING AGENCY's representative will notify PERFORMING AGENCY in writing. RECEIVING AGENCY will appoint a reviewer(s), who will review the information, who may permit or require additional information and who may grant, deny, or modify all relief requested in the written notice of dispute. The reviewer(s)'s decision will be in writing and will contain a discussion of the reason for the decision and the remedial action, if any. The reviewer(s) will send copies of the decision to all parties by any verifiable means. The decision of the reviewer(s) is final and is the final action of RECEIVING AGENCY for purposes of further proceedings. (LGS) 2001 GENERAL PROVISIONS Page 20 4/00 A state statute or rule or a federal statute, regulation or guideline will prevail over the provisions of this Article unless the statute, rule, regulation or guideline can be read together with the provision or provisions of this Article to give effect to both. ARTICLE 30. Breach of Contract Any remedies set out in this contract are in addition to rights and remedies for breach of contract provided by law. ARTICLE 31. Termination Each Attachment shall terminate upon the expiration date of the Attachment unless extended by written amendment in accordance with the Amendments Article. Prior to completion of the contract term, all or a part of this contract may be terminated with or without cause as set out below. A. Termination without cause. (1) Either party may terminate this contract with at least 90 days prior written notice to the other party - (2) The parties may terminate this contract by mutual agreement. (3) Either party may terminate this contract with at least 30 days prior written notice to the other party in the event state and/or federal funding for this contract is terminated, limited, suspended, or withdrawn. (4) RECEIVING AGENCY may terminate this contract when, in the sole determination of RECEIVING AGENCY, termination is in the best interest of the State of Texas. B. Termination for cause. (1) Either party may terminate for material breach of contract with at least 30 days written notice to the other party. (2) RECEIVING AGENCY may terminate this contract, in whole or in part, for breach of contract or for any other conduct that jeopardizes the contract objectives, by giving at least 30 days written notice to PERFORMING AGENCY. Such conduct may include one or more of the following: (a) A court of competent jurisdiction finds that PERFORMING AGENCY has failed to adhere to any laws, ordinances, rules, regulations or orders of any public authority having jurisdiction; (b) PERFORMING AGENCY fails to communicate with RECEIVING AGENCY or fails to allow its employees or those of its subrecipients to communicate with RECEIVING AGENCY as necessary to the performance of the contract; (c) PERFORMING AGENCY breaches a standard of confidentiality with respect to the services provided under this contract; (d) RECEIVING AGENCY determines that PERFORMING AGENCY is without the personnel or resources to perform under the contract; (e) RECEIVING AGENCY determines that PERFORMING AGENCY, its agent or another representative offered or gave a gratuity (e.g., an entertainment or gift) to an official or employee of RECEIVING AGENCY for the purpose of obtaining a contract or favorable treatment; (LGS) 2001 GENERAL PROVISIONS Page 21 4/00 (f) PERFORMING AGENCY's management system does not meet the UGMS management standards; or (g) PERFORMING AGENCY appears to be financially unstable. Indicators of financial instability may include one or more of the following: (i) PERFORMING AGENCY fails to make payments; (ii) PERFORMING AGENCY makes an assignment for the benefit of its creditors; (iii) PERFORMING AGENCY admits in writing its inability to pay its debts generally as they become due; or (iv) If judgment for the payment of money in excess of $50,000 (which is not covered by insurance) is rendered by any court or governmental body against PERFORMING AGENCY, and PERFORMING AGENCY does not (a) discharge the judgment or (b) provide for its discharge in accordance with its terms, or (c) procure a stay of execution within 30 days from the date of entry thereof, and within the 30 -day period or a longer period during which execution of the judgment shall have been stayed, appeal therefrom and cause the execution thereof to be stayed during such appeal while providing such reserves therefore as may be required under generally accepted accounting principles. C. Emergency termination. In emergency circumstances, RECEIVING AGENCY may terminate the contract immediately upon notice to PERFORMING AGENCY by any verifiable means. "Emergency" is defined in the Sanctions Article. Either party may deliver written notice of intent to terminate by any verifiable method. If either party gives notice of its intent to terminate all or a part of this contract, RECEIVING AGENCY and PERFORMING AGENCY will try to resolve any issues related to the anticipated termination in good faith during the notice period. Upon termination of all or part of this contract, RECEIVING AGENCY and PERFORMING AGENCY will be discharged from any further obligation created under the applicable terms of this contract except for the equitable settlement of the respective accrued interests or obligations incurred prior to termination. Termination does not, however, constitute a waiver of any remedies for breach of this contract. In addition, the obligations of PERFORMING AGENCY to retain records and maintain confidentiality of information shall survive this contract. ARTICLE 32. Void Contract RECEIVING AGENCY may hold a contract void upon its determination that the contract award was obtained fraudulently or was otherwise illegal or invalid from its inception. ARTICLE 33. Severability If any provision of this contract is construed to be illegal or invalid, the illegal or invalid provision will be deemed stricken and deleted to the same extent and effect as if never incorporated, but all other provisions will continue. ARTICLE 34. Local Health Department Personnel All local health department personnel funded by Attachment(s) to this contract are employees of PERFORMING AGENCY which will be responsible for their direction and control and liable for any of their acts or omissions. (LGS) 2001 GENERAL PROVISIONS Page 22 4100 PERFORMING AGENCY will have in place legally sufficient due process hearing procedures for all of its employees filling state -budgeted positions. PERFORMING AGENCY will have full authority to employ, promote, suspend, demote, discharge, and transfer within its organization any and all state -budgeted personnel funded by Attachment(s) to this contract provided, however, that any demotion, suspension, or discharge of such state -budgeted employees will be in accordance with the due process hearing procedures as set out above. The only distinction between state -budgeted and Iocal paid employees is that employees on state budgeted positions receive state benefits and are subject to certain duties, obligations, and restrictions as state employees as contained in state law. One such restriction, as contained in the State Appropriations Act, is that no employee paid on a state -budgeted position may receive a salary supplement from any source unless specifically authorized in the Appropriations Act or other state law. This prohibition includes the payment to such employee of a so-called "flat rate" car allowance or travel allowance. Any travel or per diem allowance to these employees must be on a reimbursement basis, supported by appropriate records, and may not exceed the reimbursement for mileage and/or per diem allowed under the Appropriations Act and current state travel regulations. This restriction will apply whether travel funds are provided in Attachment(s) under this contract or from any other source. PERFORMING AGENCY will utilize RECEIVING AGENCY's policies and procedures for hiring and promoting individuals into state -budgeted positions funded by this contract. Qualifications of any individuals filling these positions will be subject to approval of RECEIVING AGENCY's Bureau of Human Resources. The purpose of the approval is to ensure that individuals occupying these positions meet minimum educational and experience requirements. PERFORMING AGENCY will maintain required records and submit documents necessary to process personnel, payroll, leave and time records, and travel costs on state -budgeted positions. RECEIVING AGENCY will furnish documentation regarding salary compensation or travel reimbursement for employees on state -budgeted positions. An independent audit is not required as a condition of this contract if the Attachment provides assistance through assignment of state -budgeted positions and no funds are budgeted for local costs. PERFORMING AGENCY may be reimbursed for local personnel costs or other categories of expense used to fulfill the scope of work of applicable Attachment(s) in lieu of being furnished state payroll warrants after a state - budgeted position becomes vacant. Reimbursement will not exceed the balance of funds on the state -budgeted position after all benefits, obligations, and/or other entitlements are met. PERFORMING AGENCY's Director, or other person(s) authorized elsewhere in this contract, may submit a request for conversion. RECEIVING AGENCY will transmit formal approval and a revised budget to PERFORMING AGENCY to complete the conversion if the request is granted. ARTICLE 35. Survival of Terms Termination or expiration of this contract for any reason shall not release either party from any liabilities or obligations set forth in this contract that (a) the parties have expressly agreed shall survive any such termination or expiration, or (b) remain to be performed or by their nature would be intended to be applicable following any such termination or expiration. (LGS) 2001 GENERAL PROVISIONS Page 23 4/00 ARTICLE 36. Construction of Ambiguities The parties expressly agree that they have each independently read and understood this contract. Any ambiguities in this contract will not be construed against the drafters. ARTICLE 37. No Waiver of Sovereign Immunity THE PARTIES EXPRESSLY AGREE THAT NO PROVISION OF THIS CONTRACT IS IN ANY WAY INTENDED TO CONSTITUTE A WAIVER OF ANY EM MUNITIES FROM SUIT OR FROM LIABILITY THAT THE PARTIES OR THE STATE OF TEXAS MAY HAVE BY OPERATION OF LAW. ARTICLE 38. Certifications The governing body of each party has authorized this contract. RECEIVING AGENCY is paying for the performance of governmental functions and services from current revenues available to RECEIVING AGENCY. The payment is in an amount that fairly compensates PERFORMING AGENCY for the services or functions performed under the contract. (LGS) 2001 GENERAL PROVISIONS Page 24 4/00 PERFORMING AGENCY and each of its subrecipients shall make a good faith effort to comply with all child abuse reporting guidelines and requirements in Chapter 261 of the Texas Family Code relating to investigations of reports of child abuse and neglect. PERFORMING AGENCY and each of its subrecipients shall develop, implement, and enforce a written policy that includes at a minimum the RECEIVING AGENCY's Child Abuse Screening, Documenting, and Reporting Policy for Grant Services Contractors, and train all staff on reporting requirements. PERFORMING AGENCY and its subrecipients shall use the Checklist for TDH Monitoring as required by RECEIVING AGENCY. 2001 GENERAL PROVISIONS Addendum Page 9/00 Resolution No. 2000-RO419 DOCUMENT NO. 7560005906 -02 ATTACHMENT NO. 01 PERFORMING AGENCY: LUBBOCK CITY HEALTH DEPARTMENT RECEIVING AGENCY PROGRAM: BUREAU OF HIV AND STD PREVENTION TERM: January 01, 2001 THRU: December 31, 2001 SECTION I. SCOPE OF WORK: PERFORMING AGENCY shall conduct prevention activities to help prevent infection and reduce the transmission of human immunodeficiency virus/acquired immunodeficiency syndrome (HIV/AIDS). Project activities and materials shall be appropriate to the target populations identified in PERFORMING AGENCY'S objectives described below. Strategies to accomplish the projects shall demonstrate cost-effectiveness, innovation, coordination, and collaboration with other community efforts. PERFORMING AGENCY shall comply with all applicable federal and state laws, rules, regulations, standards, and guidelines in effect on the beginning date of this contract Attachment unless amended. The following documents are incorporated by reference and made a part of this contract Attachment. These include: • RECEIVING AGENCY'S HIV/STD Guidelines, January 1998; • Chapters 81 and 85 of the Health and Safety Code; • 25 TAC Chapter 97, Subchapter F and Chapter 98, Subchapter B; • Chapter 93 Health and Safety Code relating to Education and Prevention Programs for Hepatitis C; and, • RECEIVING AGENCY'S Quality Care: Community Clinics, revised June 1997. Client Services Standards for Public Health and Within thirty (30) days of receipt of an amended standard(s) or guideline(s), PERFORMING AGENCY shall inform RECEIVING AGENCY Program, in writing, if it will not continue performance under this contract Attachment in compliance with the amended standard(s) or guideline(s). RECEIVING AGENCY may terminate the contract Attachment immediately or within a reasonable period of time as determined by RECEIVING AGENCY. PERFORMING AGENCY shall immediately comply with all applicable policies adopted by RECEIVING AGENCY Program. PERFORMING AGENCY shall comply with "Content of AIDS -Related Written Materials, Pictorials, Audiovisuals, Questionnaires, Survey Instruments, and Educational Sessions in Centers ATTACHMENT - Page 1 for Disease Control Assistance Programs" guidelines which shall be provided by RECEIVING AGENCY Program. All information and educational materials developed and provided by PERFORMING AGENCY shall be accurate, comprehensive, and consistent with current findings of the United States Public Health Service. All information and educational materials used or developed by PERFORMING AGENCY must be reviewed by a "Program Materials Review Panel" to insure that the materials are accurate and appropriate for the target population. Materials produced by the Centers for Disease Control and Prevention or the Texas Department of Health do not need to be reviewed. PERFORMING AGENCY shall find appropriate local persons to serve on the review panel. PERFORMING AGENCY shall perform all activities in accordance with RECEIVING AGENCY Program's Request For Proposal (RFP) dated April 1, 1998, and Continuation RFP dated July 5, 2000, or RFP dated August 2, 2000, and PERFORMING AGENCY'S objectives, work plan, and detailed budget as approved by RECEIVING AGENCY Program, and with the relevant Regional Action Plan (RAP) for the region/area in which PERFORMING AGENCY is providing services. All of the above-named documents are incorporated herein by reference and made a part of this contract Attachment. All revisions to said documents shall be approved by RECEIVING AGENCY Program and transmitted in writing to PERFORMING AGENCY. Prevention activities under this Scope of Work include quality assurance activities, referral activities, and at least one of the following programmatic activities: Prevention Counseling and Partner Elicitation (PCPE), Health Education and Risk Reduction (HERR), Prevention Case Management (PCM), Sexually Transmitted Diseases (STD) Screening and referral for Diagnosis and Treatment, Community -Level Interventions (CLI), or Targeted Public Information (TPI). QUALITY ASSURANCE ACTIVITIES: PERFORMING AGENCY shall ensure that the delivery of high-quality prevention activities is consistent and that interventions are delivered in accordance with established requirements and -standards in order to maintain high performance expectations of prevention staff and promote - consistent and accurate data collection processes for use in program evaluation. PERFORMING AGENCY shall comply with the following quality assurance guidelines: 1. develop an orientation plan for new prevention staff; 2. develop staff development plans for new and current staff; 3. ensure that documented monitoring and evaluation of staff performance be conducted: a. monthly for new staff members; b. bi-monthly for staff employed over six months; and, ATTACHMENT - Page 2 C. quarterly for staff employed over a year. Written records of staff monitoring and evaluation shall be kept on file by PERFORMING AGENCY. RECEIVING AGENCY Program may specify forms or models for staff monitoring and evaluation; 4. solicit client feedback (e.g., client surveys) and provide a summary of the client feedback for each intervention at least once a year; 5. designate staff to be responsible for quality assurance activities, including ensuring accurate and consistent data collection and reporting; and, 6. facilitate RECEIVING AGENCY Program review of all prevention activities provided by PERFORMING AGENCY. REFERRAL ACTIVITIES: All HIV prevention programs shall provide key referral linkages. PERFORMING AGENCY shall document, track, and comply with the referral activities as described in RECEIVING AGENCY Program's RFP dated April 1, 1998, and Continuation RFP dated July 5, 2000. PREVENTION COUNSELING AND PARTNER ELICITATION (POPE) ACTIVITIES: If PERFORMING AGENCY provides PCPE services, PERFORMING AGENCY shall provide an individual -level intervention of counseling programs for persons at risk of HIV/STD/Viral Hepatitis infection due to individual sexual behavior, drug use, or other risk behaviors including establishing and maintaining confidential and anonymous HIV testing programs with referrals to other testing and treatment services as appropriate. PERFORMING AGENCY shall direct these services to target populations in the relevant RAP and as specified in PERFORMING AGENCY'S objectives. PERFORMING AGENCY shall comply with RECEIVING AGENCY Program's RFP dated April 1, 1998, and Continuation RFP dated July 5, 2000. PERFORMING AGENCY shall perform Partner Elicitation (PE) Services as referenced in RECEIVING AGENCY Program's RFP dated April 1, 1998, and Continuation RFP dated July 5, 2000, and according to RECEIVING AGENCY Program's HIV/STD Guidelines, January 1998. HEALTH EDUCATION AND RISK REDUCTION (HERR) ACTIVITIES: ATTACHMENT - Page 3 If PERFORMING AGENCY provides HERR activities, PERFORMING AGENCY shall reach persons at increased risk of becoming HIV/STD or Viral Hepatitis -infected or, if already infected, of transmitting the infection to others. PERFORMING AGENCY shall provide a wide range of individual -level and group -level interventions and reduce the risk of transmission of HIV/STD/Viral Hepatitis. PERFORMING AGENCY shall direct these activities to target populations in the relevant RAP and as specified in PERFORMING AGENCY'S objectives. PERFORMING AGENCY shall comply with RECEIVING AGENCY Program's RFP dated April 1, 1998, and Continuation RFP dated July 5, 2000. PREVENTION CASE MANAGEMENT (PCM) ACTIVITIES: If PERFORMING AGENCY provides PCM services, PERFORMING AGENCY shall provide an individual -level intervention that provides intensive, ongoing, individualized prevention counseling and referrals to other appropriate social services and client -centered prevention activities that promote the adoption and maintenance of HIV/STD/Viral Hepatitis risk -reduction behaviors by clients with multiple, complex problems and risk -reduction needs. PERFORMING AGENCY shall direct these services to target populations in the relevant RAP and as specified in PERFORMING AGENCY'S objectives. PERFORMING AGENCY shall comply with RECEIVING AGENCY Program's RFP dated April 1, 1998, and Continuation RFP dated July 5, 2000. STD SCREENING AND REFERRALS FOR DIAGNOSIS AND TREATMENT ACTIVITIES: If PERFORMING AGENCY provides STD screening and referrals for diagnosis and treatment activities, PERFORMING AGENCY shall provide screening, diagnosis and treatment of other STDs. Appropriate activities include strengthening existing collaboration with STD clinical providers, easing transportation burdens for clients to STD clinical services, enhancing STD screening capacity and supplies, and engaging clients in a dialogue about STDs and the importance of treatment and referral of partners for diagnosis and treatment. PERFORMING AGENCY shall direct these activities to target populations in the relevant RAP and as specified in PERFORMING AGENCY'S objectives. PERFORMING AGENCY shall provide these activities only as indicated in the appropriate RAP and in accordance with RECEIVING AGENCY Program's RFP dated April 1, 1998, and Continuation RFP dated July 5, 2000. COMMUNITY -LEVEL INTERVENTIONS (CLI) ACTIVITIES: ATTACHMENT - Page 4 If PERFORMING AGENCY provides CLI activities, PERFORMING AGENCY shall reduce behaviors which create risk for transmission of HIV/STD/Viral Hepatitis by changing attitudes, norms, and practices through health communications, social prevention marketing, community mobilization and organization, and community -wide events. PERFORMING AGENCY shall improve health status, promote healthy behaviors, and change factors that affect the health of community residents. PERFORMING AGENCY shall direct these activities to target populations in the relevant RAP and as specified in PERFORMING AGENCY'S objectives. PERFORMING AGENCY shall provide only CLI as indicated in the appropriate RAP and in accordance with RECEIVING AGENCY Program's RFP dated April 1, 1998, and Continuation RFP dated July 5, 2000. TARGETED PUBLIC INFORMATION (TPI) ACTIVITIES: If PERFORMING AGENCY provides TPI activities, PERFORMING AGENCY shall provide activities which include electronic, print and broadcast media communications or other forums designed to reach targeted populations. PERFORMING AGENCY shall build support for safe behaviors; 2) address barriers to effective prevention programs; 3) support local efforts for personal risk reduction; and, 4) assist in informing persons at risk of HIV/STD/Viral Hepatitis infection on how to obtain specific prevention and treatment services. PERFORMING AGENCY shall direct these activities to target populations in the relevant RAP and as specified in PERFORMING AGENCY'S objectives. PERFORMING AGENCY shall provide only TPI activities as indicated in the appropriate RAP and in accordance with RECEIVING AGENCY Program's RFP dated April 1, 1998, and Continuation RFP dated July 5, 2000. PERFORMANCE MEASURES The following performance measures will be used to assess, in part, PERFORMING AGENCY' S effectiveness in providing the services described in this contract Attachment, without waiving the enforceability of any of the other terms of the contract. PREVENTION COUNSELING AND PARTNER ELICITATION (PCPE) ACTIVITIES: PERFORMING AGENCY shall provide an estimated 23-5 prevention contacts which involve one-on-one interaction between a counselor and client in accordance with RECEIVING AGENCY Program's HIV/STD Guidelines, January 1998. These activities shall occur in one or more sessions with each client. Clients shall be targeted based on the relevant RAP for the region/area in which PERFORMING AGENCY ATTACHMENT - Page 5 is providing services. Services shall be provided to clients who live or receive services in the county(ies)/area defined as: Lubbock. HEALTH EDUCATION AND RISK REDUCTION (HERR) ACTIVITIES: PERFORMING AGENCY shall make an estimated 35 prevention contacts with clients in the target population(s) to provide priority HERR interventions that are consistent with those priorities specified in the RFP and the RAP for the county(ies)/area defined as: Lubbock. PREVENTION CASE MANAGEMENT (PCM) ACTIVITIES: PERFORMING AGENCY shall make an estimated Q prevention contacts with clients in the target population(s) to provide priority PCM interventions that are consistent with those priorities specified in the RFP and the RAP for the county(ies)/area defined as: Lubbock. STD SCREENING AND REFERRALS FOR DIAGNOSIS AND TREATMENT ACTIVITIES: PERFORMING AGENCY shall make an estimated Q prevention contacts with clients in the target population(s) to provide STD -related interventions that are consistent with those priorities specified in the RFP and the RAP for the county(ies)/area defined as: Lubbock. COMMUNITY -LEVEL INTERVENTIONS (CLI) ACTIVITIES: PERFORMING AGENCY shall make an estimated Q prevention contacts with clients in the target population(s) to provide priority CLI's that are consistent with those priorities specified in the RFP and the RAP for the county(ies)/area defined as: Lubbock. TARGETED PUBLIC INFORMATION (TPI) ACTIVITIES: PERFORMING AGENCY shall make an estimated Q prevention contacts with clients in the target population(s) to provide priority TPI interventions that are consistent with those priorities specified in the RFP and the RAP for the county(ies)/area defined as: Lubbock. REPORTING REQUIREMENTS QUARTERLY REPORTS: PERFORMING AGENCY shall provide quarterly activity reports of the number of contacts with clients in the target population(s) in which priority intervention services are provided in accordance with PERFORMING AGENCY'S work plan. Such reports shall be submitted in the standard format provided by RECEIVING AGENCY Program. ATTACHMENT - Page 6 ACTIVITY TYPE OF REPORT DUE DATE TO RECEIVING PCPE HIV Counseling and Testing Report AGENCY PROGRAM PCPE Prevention Quarterly Report Within twenty (20) calendar days receiving a PCPE session. after the end of each quarter HERR Prevention Quarterly Report Within twenty (20) calendar days after the end of each quarter PCM Quarterly Activity Report Within twenty (20) calendar days HERR Collect and report data on a system after the end of each quarter STD Quarterly Activity Report Within twenty (20) calendar days AGENCY Program. after the end of each quarter. CLI Quarterly Activity Report Within twenty (20) calendar days contacts with clients in the target after the end of each quarter TPI Quarterly Activity Report Within twenty (20) calendar days intervention services are provided in after the end of each quarter OTHER REPORTS: ACTIVITY TYPE OF REPORT DUE DATE TO RECEIVING AGENCY PROGRAM PCPE HIV Counseling and Testing Report No later than thirty (30) calendar Form(scannable form) on each client days after initial PCPE session has receiving a PCPE session. been conducted in order to aid RECEIVING AGENCY Program in tracking the number of PCPE sessions provided statewide. HERR Collect and report data on a system No later than the 10th calendar day specified and provided by RECEIVING after the end of each month. AGENCY Program. Report shall specify the number of contacts with clients in the target population(s) in which priority HERR intervention services are provided in accordance with PERFORMING AGENCY's work plan. ATTACHMENT - Page 7 TRAINING REQUIREMENTS ACTIVITY COURSE PARTICIPANTS PREREQUISITE REQUIREMENTS TITLE PCPE Prevention PCPE staff Must successfully Must attend and Counseling complete self -study successfully and Partner PCPE pre -course complete course Elicitation and attain a score within six (6) training of 80% or greater months of (PCPE) on the employment. Course Comprehensive Course must be PCPE Pre -Course approved through Test RECEIVING AGENCY Program. PCPE PCPE PCPE Supervisor Must complete Supervisors must Supervisor's PCPE training attend this course Course within one (1) year of becoming a supervisor PCM PCPE All PCM case Must attend and managers successfully complete training PCM Basic All PCM case Must attend and Philosophy managers successfully and complete training Techniques of Case Management ALL The Never- All Must attend and Ending PERFORMING complete training Journey AGENCY within one (1) year Program staff of employment supported by this contract Attachment ATTACHMENT - Page 8 ALL STD Facts PERFORMING Encouraged to and Fallacies AGENCY attend and complete Program staff training SECTION II. SPECIAL PROVISIONS: General Provisions, Assurances Article, is revised to include the following: PERFORMING AGENCY shall comply with all federal and state non-discrimination statutes, regulations, and guidelines. PERFORMING AGENCY shall provide services without discrimination on the basis of race, color, national origin, age, disability, ethnicity, gender, religion, or sexual orientation. Due to the sensitive and highly personal nature of HTV/AIDS-related information, strict adherence to the General Provisions, Confidentiality Article is required. In addition to these conditions, PERFORMING AGENCY will comply with RECEIVING AGENCY Program's HIV/STD Guidelines, January 1998. All of the above -referenced documents are incorporated herein and made a part of this contract Attachment as though written herein verbatim. Neither PERFORMING AGENCY, nor any subrecipient, shall transfer a client or patient record through any means, including electronically, to another entity or person, or subrecipient without written consent from the client or patient, or someone authorized to act on his or her behalf; however, RECEIVING AGENCY (The Texas Department of Health [TDH]) may require PERFORMING AGENCY, or any subrecipient, to transfer a client or patient record to RECEIVING AGENCY (TDH) if the transfer is necessary to protect either the confidentiality of the record or the health and welfare of the client or patient. RECEIVING AGENCY (TDH) shall have access to a client record (including a patient record) in the possession of PERFORMING AGENCY, or any subrecipient, under authority of the Health and Safety Code, Chapters 81 and 85, and the Medical Practice Act, Texas Occupations Code, Chapter 159. In such cases, RECEIVING AGENCY (TDH) shall keep confidential any information obtained from the client or patient record, as required by the Health and Safety Code, Chapter 81, and Texas Occupations Code, Chapter 159. PERFORMING AGENCY shall maintain current formal written agreements with RECEIVING AGENCY (TDH) funded PCPE contractors within each jurisdiction to ensure effective coordinated partner services. PERFORMING AGENCY shall comply with the Health and Safety Code, §85.085, Physician Supervision of Medical Care, to ensure a licensed physician shall supervise any medical care or procedure provided under a testing program. ATTACHMENT - Page 9 All records pertaining to this contract Attachment must be retained by PERFORMING AGENCY and made available to RECEIVING AGENCY, the Comptroller General of the United States, the Texas State Auditor, or any of their authorized representatives, and in accordance with RECEIVING AGENCY'S General Provisions. PERFORMING AGENCY shall authorize their staff to attend training, conferences, and meetings for which funds were budgeted and approved by RECEIVING AGENCY Program. ATTACHMENT - Page 10 SECTION III. BUDGET: PERSONNEL $28,350.00 FRINGE BENEFITS 10,956.00 TRAVEL 2,670.00 EQUIPMENT 0.00 SUPPLIES 2,461.00 CONTRACTUAL 0.00 OTHER 960.00 TOTAL DIRECT CHARGES $45,397.00 INDIRECT CHARGES 953.00 TOTAL $46,350.00 Total reimbursements will not exceed $ 46,350.00. Financial status reports are due the 30th of April, 30th of July, 30th of October, and the 30th of March. The negotiated indirect cost amount shown above is less than the maximum allowed by UGMS. Indirect charges to this contract may not exceed the amount shown above, except by prior written approval of RECEIVING AGENCY. ATTACHMENT - Page 11 yA PF F� Resolution No. 2000—RO419 x > TEXAS DEPARTMENT OF HEALTH 1100 WEST 49TH STREET AUSTIN, TEXAS 78756-3199 STATE OF TEXAS TDH Document No. 7560005906 2002 COUNTY OF TRAVIS Contract Change Notice No. 03 The Texas Department of Health, hereinafter referred to as RECEIVING AGENCY, did heretofore enter into a contract in writing with LUBBOCK CITY HEALTH DEPARTMENT hereinafter referred to as PERFORMING AGENCY. The parties thereto now desire to amend such contract attachment(s) as follows: SUMMARY OF TRANSACTION: ATT NO. 01A: HIV - PREVENTION All terms and conditions not hereby amended remain in full force and effect. EXECUTED IN DUPLICATE ORIGINALS ON THE DATES SHOWN. CITY OF LUBBOCK HEALTH DEPARTMENT Authorized Contracting Entity (type above if different from PERFORMING AGENCY) for and in behalf of: PERFORMING AGENCY: LUBBOC ITY HEALTH EPARTMENT By: (Signature of pers authorized to sign) Wirdy Sitton, Mayor (Name and Title) Date: November 27, 2001 RECOMMEN ED: By: (PERFORMING AGENCY Director, if different from person authorized to sign contract Tanw Cardec. Health Di=tor RECEIVING AGENCY: TEXAS DEPARTMENT OF HEALTH By: (Signature of person authorized to si Melanie A. Doyle, Director Grants Management Division (Name and Title) Date: 10 [1 C) /0( u JD GMD - Rev. 12/00 AS TO •'', i'Js A-CAe , Cover Page 1 DETAILS OF ATTACHMENTS Att/ Amd No. TDH Program ID Term Begin End Financial Assistance Direct Assistance Total Amount (TDH Share) Source of Amount Funds* 01A HIV/PREV 01/01/01 12/31/01 93.940 46,600.00 0.00 46,600.00 02 TB/PC 09/01/01 08/31/02 State 19,998.00 0.00 19,998.00 03 HIV/HEP 09/01/01 02/28/02 State 6,000.00 0.00 6,000.00 04 BRLHO 09/01/01 08/31/02 State 93.991 94,118.00 25,392.00 119,510.00 05 IDEAS 09/01/01 08/31/02 93.283 15,441.00 0.00 15,441.00 06 IMM/LOCALS 09/01/01 08/31/02 State 93.268 109,783.00 0.00 109,783.00 07 HIV/SURV 09/01/01 08/31/02 State 50,251.00 0.00 50,251.00 08 ACFH/POP 09/01/01 08/31/02 State 51,181.00 0.00 51,181.00 TDH Document No.7560005906 2002 Change No. 03 Totals $393,372.00 $ 25,392.00 $418,764.00 *Federal funds are indicated by a number from the Catalog of Federal Domestic Assistance (CFDA), if applicable. REFER TO BUDGET SECTION OF ANY ZERO AMOUNT ATTACHMENT FOR DETAILS. Cover Page 2 TEXAS DEPARTMENT OF HEALTH RECEIVING AGENCY PROGRAM: BUREAU OF HIV AND STD PREVENTION PERFORMING AGENCY: LUBBOCK CITY HEALTH DEPARTMENT CONTRACT TERM: 01/O1/O1 THRU: 12/31/01 BUDGET PERIOD: 01/O1/O1 THRU 12/31/01 TDH DOC. NO. 7560005906 200201A CHG. 03 REVISED CONTRACT BUDGET FINANCIAL ASSISTANCE OBJECT CLASS CATEGORIES CURRENT APPROVED BUDGET (A)E CHANGE REQUESTED (B) NE7]W OR REVISED BUDGET (C) Personnel Fringe Benefits Travel Equipment Supplies Contractual Other Total Direct Charges Indirect Charges TOTAL PERFORMING AGENCY SHARE: Program Income (Carryover) Program Income (Projected) Other Match RECEIVING AGENCY SHARE PERFORMING AGENCY SHARE $28,350.00 $0.00 $28,350.00 10,956.00 0.00 10,956.00 2,670.00 0.00 2,670.00 0.00 0.00 0.00 2,461.00 250.00 2,711.00 0.00 000 000 960.00 0.00 960.00 $45,397.00 $250.00 $45,647.00 953.00 0.00 953.00 $46,350.00 $250.00 $46,600.00 0.00 0.00 000 0.00 0.00 000 0.00 0.00 0.00 $46,350.00 $250.00 $46,600.00 $0.00 $0.00 $0.00 Detail on Indirect Cost Rate Type: Rate 3.36 Base $28,350.00 Total $953.00 Budget Justification: Increase due to one-time carry forward for purchase of supplies. Form No. GC -9 Financial status reports are due the 30th of April, 30th of July, 30th of October, and the 30th of March. The negotiated indirect cost amount shown above is less than the maximum allowed by UGMS. Indirect charges to this contract may not exceed the amount shown above, except by prior written approval of RECEIVING AGENCY.