HomeMy WebLinkAboutResolution - 5979 - Contract - TX Dept. Of Health - TB - Prevention And Control - 08/27/1998Resolution NO. 5979'
Item No. 19
August 27, 1998
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 with Texas
Department of Health, for TB — prevention and control; Regional Administrative
Services; Immunization Division; and HIV - Surveillance. 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 Council.
Passed by the City Council this 27th day of August , 1998.
-WINDY SI T N, LVJAYOR
AT EST:
Darnell
City retary
APPROVED AS TO CONTENT:
Oia�
Doug Good
Director, Ha th and Community Services
APPROVED AS TO FORM:
William de Haas
Competition and Contracts Manager
wd:rm/TDH2.res.doc
ccdocs/August 10, 1998
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CONTRACT FOR PUBLIC HEALTH SERVICES TDH DOCUMENT NO. 7560005906 00
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: P. O. BOX 2548 LUBBOCK TX 79408-2548
(City, State, Zip)
STREET ADDRESS: 1902 TEXAS AVENUE LUBBOCK TX 79405-1117
(City, State, Zip)
NAME OF AUTHORIZED
CONTRACTING ENTITY: CITY OF LUBBOCK
(if different from PERFORMING AGENCY)
PAYEE DATA (If not the same as PERFORMING AGENCY or AUTHORIZED CONTRACTING ENTITY; must be on file with the Texas State
Comptroller's Office.):
NAME: CITY OF LUBBOCK HEALTH DEPARTMENT
ADDRESS: P. O. BOX 2000 LUBBOCK TX 79457-0000
(City, State, Zip)
State of Texas Vendor Identification No. (14 digits)
PAYEE AGENCY Fiscal
1
17560005906037
Year Ending Month: September
PAYEE BUSINESS INFORMATION FOR STATISTICAL REPORTING: Please check the categories that apply to your business.
_ Small Business - A corporation, sole proprietorship, or other legal entity formed for the purpose of making a profit which is independently
owned and operated and has fewer than 100 employees or has less than $1,000,000 in annual gross receipts.
_ Historically Underutilized Business (HUB) -A corporation, sole proprietorship, or joint venture formed for the purpose of making a profit
in which at least 51 % of all classes of the shares of stock or other equitable securities are owned by one or more persons who have been
historically underutilized (socially disadvantaged) because of their identification as members of certain groups: Black American, Hispanic
American, Asian Pacific American, Native American, and Women. The HUB must be certified by General Services Commission or
another entity.
For Profit Organization
SUMMARY OF CONTRACT DOCUMENTATION:
COVER PAGE 1 - Receiving and Performing Agency Data GENERAL PROVISIONS
COVER PAGE 2 - Details of Attachment(s) ATTACHMENT(S)
COVER PAGE 3 - Authorized Signatures EXHIBITS, IF APPLICABLE
Cover Page 1
DETAILS OF ATTACHMENTS
Att/
Amd
No.
TDH
Program/Assistance
ID
Term
Financial Assistance
Direct
Total Amount
(TDH Share)
Begin
End
Source of
Funds*
Amount
01
HIV/PREV
01/01/99
1 12/31/99
93.940
45,000.00
0.00
45,000.00
TDH Document No.7560005906 00 Totals
$45,000.00
$0.00
$45,000.00
*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
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 HEATH
B.
Y By:
(Signature of person authorized to sign tracts) I' --
3!� OJL�' 0 —,1/ flap
(Name and Title)
I erson authorized to sign contracts)
Douglas C. Wilson, Director
Grants Management Division
(Name and Tide)
Date: �l r Date: xl)
RECOMMENDED:
By: axa-f..
(PERFORIAVG AGENCY Director, if different
from persda.Yathorized to sign contract)
Approved as to form:
4 wr-�
IflfiAiam de Haas
Competition and Cw t ft Manager
Cover Page 3
a
Any alteration to this document constitutes a counts Wf a and Mist W 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) hereby agree to make and enter into this grant
contract (contract), to faithfully perform the duties prescribed by this contract and to uphold and abide by its terms
and provisions. This contract consists of RECEIVING and PERFORMING AGENCY identifying data, Details of
Attachment(s), authorized signatures, General Provisions, and Attachment(s) with detailed Scope(s) of Work,
Special Provisions, budget(s), and exhibit(s) as applicable. This contract represents the complete and entire
understanding and agreement of the parties. No prior agreement or understanding, oral or otherwise, of the parties
or their agents will be valid or enforceable unless embodied in this contract.
The person or persons signing and executing this contract on behalf of PERFORMING AGENCY, or representing
themselves as signing and executing this contract on behalf of PERFORMING AGENCY, warrant and guarantee
that he, she, or they have been duly authorized by PERFORMING AGENCY to execute this contract on behalf of
PERFORMING AGENCY and to validly and legally bind PERFORMING AGENCY to all of its terms,
performances, and provisions.
PERFORMING AGENCY assures compliance with this contract, including these General Provisions unless
otherwise specified in the Attachment(s) to this document:
ARTICLE Z. Term
The time period of this contract shall be governed by the term(s) of �e Attachment(s). No commitment of contract
funds is permitted prior to the fust 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 will 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.
This contract may only be amended 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
in compliance with this Article. RECEIVING AGENCY may not waive any team, covenant, or condition of this
contract unless by amendment executed in compliance with this Article.
aGS) 1999 GENERAL PROVISIONS Page 1 4/98
ARTICLE 5. 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 6. 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, Vernon's
Texas Codes Annotated (VTCA), 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 Agreement, 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 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 lobby Congress or any agency in
connection with a specific grant or contract (31 USC §1352 and UGMS). If at any time this contract exceeds
$100,000, regardless of funding, the PERFORMING AGENCY shall certify to RECEIVING AGENCY within 90
days of receipt of the executed contract that none of the funds provided by RECEIVING AGENCY have been used
for payment to lobbyists and the names of any and all registered lobbyists with whom PERFORMING AGENCY
has an agreement. RECEIVING AGENCY will supply the certification form to PERFORMING AGENCY upon
request.
ARTICLE 7. 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;
► 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
01 it is not subject to an outstanding judgment in a suit against PERFORMING AGENCY for
collection of the balance of a debt.
aGS) 1999 GENERAL PROVISIONS Page 2 4/98
�k.
Where the 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.
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;
► Title IX of the Education Amendments of 1972, as amended, 20 USC §§ 1681-1683, and 1685-1686,
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.;
► The Age Discrimination Act of 1974, as amended, 42 USC §§6101-6107, which prohibits
discrimination on the basis of age;
• The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse;
► The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act
of 1970 (P.L. 91-6161 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 §290 dd-2, as amended, relating to
confidentiality of alcohol and drug abuse patient records;
► Title VIII of the Civil Rights Act of 1968, 42 USC §3601 et seq., as amended, relating to
nondiscrimination in the sale, rental or financing of housing; and,
► The requirements of any other nondiscrimination statute(s).
Collectively, such requirements obligate RECEIVING AGENCY to provide services without discrimination on the
basis of race, color, national origin, age, sex, or disability. PERFORMING AGENCY agrees that in carrying out
the terms of this contract, it will do so in a manner which will assist RECEIVING AGENCY to comply 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, VTCA, 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 et seq. 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.
aGs) 1999 GENERAL PROVISIONS Page 3 4/98
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, as amended, 42 USC §§288 et seq. and 6601 (P.L.
93-348 and P.L. 103-43) regarding the protection of human subjects involved in research, development,
and related activities supported by any applicable award of federal assistance.
E. The Clinical Laboratory Improvement Amendments of 1988, 42 USC §263a, which establish federal
requirements for the regulation and certification of clinical laboratories.
F. The Occupational Safety and Health Administration Regulations on Blood Borne Pathogens, 56 Fed.
Reg. 64175 (1991), 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 '(TRCS), as amended, pertaining to standards which
eliminate architectural barriers for persons with disabilities.
I. Health and Safety Code §165.004 (Vernon's Supp. 1998), 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.
J. Environmental standards pursuant to the following:
(1) Institution of environmental quality control measures under the National Environmental Policy Act
of 1969, 42 USC §§43214347 (P.L,: 91-90) 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.
(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,
as amended, 42 USC §§300f -300j (P.L. 93-523).
(8) Protection of endangered species under the Endangered Species Act of 1973, as amended (P.L. 93-
205).
K. The Hatch Political Activity Act, 5 USC §7321-29, 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, 75th Legislature, 1997, Article Dt, §33 "Limitation on
Grants to Units of Local Government." For the purpose of §33, "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, Vernon's 1994, relating to nepotism.
O. Texas Government Code, Chapter 552, Vernon's 1994, relating to open records and public information.
P. Texas Government Code, Chapter 551, Vernon's 1994, relating to open meetings.
(LGS) 1999 GENERAL PROVISIONS Page 4 4/98
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 will insure that the facilities under its ownership, lease or supervision which shall be
utilized in the accomplishment of the project are not listed on the Environmental Protection Agency's (EPA) list
of Violating Facilities and that it will 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 will comply with the flood insurance purchase requirements of 102(a) of the Flood
Disaster Protection Act of 1973 (P.L. 93-234). Section 102 (a) requires the purchase of flood insurance in
communities where the insurance is available as a condition for the receipt of any Federal financial assistance for
construction or acquisition proposed for use in any area that has been identified by the Secretary of the Department
of Housing and Urban Development as an area having special flood hazards.
PERFORMING AGENCY agrees to comply with the requirements of the Texas Workers' Compensation Act,
Labor Code, Chapters 401-406, VTCA, 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 insure that all terms, conditions, and specifications are
met.
PERFORMING AGENCY will 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 Attachment(s), and with the applicable standard
conditions or assurances prescribed by UGMS in "Part III -State Uniform Requirements for Grants and Cooperative
Agreement, Subpart B -Pre-Award Requirements, _. 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 9. Year -2000 Certification
PERFORMING AGENCY certifies that any supplied or supported hardware, software, firmware and micro code
products used individually or together as a system to comply with RECEIVING AGENCY contract requirements
will be year -2000 -compliant on or before the date such hardware, software, firmware and systems are to be
impacted. Year -2000 -compliant means that such product operates "accurately" in the manner in which it was
intended as it relates to date related operations when given a "valid date" containing century, year, month, and day.
For purposes of this Article, "accurately" is defined to include the following: 1) calculations using dates must
execute using a four -digit year, 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)
successful translation into year -2000 with the correct system date (e.g., 1/1/2000) without human intervention; 5)
(LGS) 1999 GENERAL PROVISIONS Page 5 4/98
processing with a four -digit year after transition to any beyond the year -2000 without human intervention; 6)
providing correct results in forward and backward date calculation spanning century boundaries; 7) a leap year must
be calculated correctly; and 8) processing correct results in forward and backward date calculation spanning century
boundaries must be provided, including the conversion of previous years currently stored as two digits.
"Valid date" contains a two -digit month, a two -digit day and a four -digit year.
PERFORMING AGENCY and its subrecipient(s) as licensee(s) must obtain a warranty from any licensor from
which it obtains software that any software licensed prior to, during, or after calendar year -2000, that includes or
shall include, at no added cost to PERFORMING AGENCY or its subrecipient(s), design and performance so that
PERFORMING AGENCY and its subrecipient(s) shall not experience software abnormally ending and/or invalid
and/or incorrect results from the software in the operation of the business of the PERFORMING AGENCY or its
subrecipient(s) as it pertains to RECEIVING AGENCY. The software design to ensure year -2000 compatibility
shall include date data century recognition, calculations `that accommodate same century and multi -century
formulas and date values, and date data interface values that reflect the century. If PERFORMING AGENCY
purchases specific products to perform as a system, then the warranty shall apply to those listed products as a
system. The remedies available to the PERFORMING AGENCY under the warranty shall include repair or
replacement of any supplied product, in addition to and notwithstanding any commercial warranty or warranties.
Nothing in this warranty shall be considered to limit any rights or remedies that PERFORMING AGENCY may
otherwise have with respect to defects other than year -2000 performance.
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 10. Certification Regarding License Certificate or Permit
RECEIVING AGENCY may pay PERFORMING AGENCY only for personnel who are duly licensed and/or
qualified to perform required services.
PERFORMING AGENCY certifies that no owner, operator, or administrator of the PERFORMING AGENCY has
had a license, certificate, or permit revoked by any of the Texas state agencies listed below (§ 163 of Article IX of
the General Appropriations Act, 75th Legislature):
• Adjutant General's Department
• Board of Private Investigators and Private Security Agencies
• Interagency Council on Early Childhood Intervention
• Texas Alcoholic Beverage Commission
• Texas Cancer Council
• Texas Children's Trust Fund of Texas Council
• Texas Commission for the Deaf and Hard of Hearing
• Texas Commission on Alcohol and Drug Abuse
• Texas Commission on Jail Standards
• Texas Commission on Law Enforcement Officers Standards & Education
• Texas Commission on Fire Protection
• Texas Council on Sex Offender Treatment
• Texas Criminal Justice Policy Council
• Texas Department of Criminal Justice
• Texas Department of Human Services
(LGS) 1999 GENERAL PROVISIONS Page 6 4198
• Texas Department of Mental Health & Mental Retardation
• Texas Department of Protective and Regulatory Services
• Texas Department of Public Safety
• Texas Department of Health
• Texas Health & Human Services Commission
• Texas National Guard Armory Board
• Texas Polygraph Examiners Board
• Texas Rehabilitation Commission
• Texas Youth Commission
ARTICLE 11. 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 cant' 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 charge 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.
In addition, PERFORMING AGENCY shall bill third party payers, at no cost to the client, for services provided
under the Attachment(s). These potential payers include, but are not limited to, Medicaid, private insurance carriers,
and other available federal, state, local, and private funds. PERFORMING AGENCY shall become a Medicaid
provider for eligible activities funded in the Attachment(s) and will maximize efforts to obtain payment from
Medicaid and all other available sources.
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 12. 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:
(LGS) 1999 GENERAL PROVISIONS Page 7 4198
Applicable Cost Principles*I Audit Requirements* I Administrative
Requirements*
OMB Circular A-87, State &I OMB Circular A-133 I UGMS
Local Governments
• OMB Circulars shall be applied with the modifications prescribed by UGMS.
PERFORMING AGENCY must have incurred a cost within the applicable Attachment term to be eligible for
reimbursement under this contract. PERFORMING AGENCY must incur cost(s) prior to requesting reimbursement
under this contract. No later than 90 days after the end of the applicable Attachment term, RECEIVING AGENCY
must receive vouchers from PERFORMING AGENCY for costs encumbered by the last day of the applicable
Attachment term. Reimbursement requests submitted and postmarked more than 90 days following the end of the
applicable Attachment term may or may not be reimbursed, at the discretion of RECEIVING AGENCY.
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 13. 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 14. Terms and Conditions of Payment
For services satisfactorily performed pursuant to this contract, RECEIVING AGENCY will reimburse
PERFORMING AGENCY for allowable costs. Reimbursements are contingent on a signed contract and will not
exceed the total of each Attachment(s). The PERFORMING AGENCY is entitled to payment only if the service,
work, and/or product has been satisfactorily performed and authorized in accordance with this contract.
PERFORMING AGENCY must submit requests for reimbursement on a State of Texas Purchase Voucher (TDH
Form B-13) or any other form designated by RECEIVING AGENCY. PERFORMING AGENCY shall submit
vouchers for reimbursement monthly within 30 days following the end of the month covered by the bill.
PERFORMING AGENCY shall submit a reimbursement request as a final close out bill not later than 90 days
following the end of the applicable Attachment term(s). Reimbursement requests submitted and postmarked more
(LGS) 1999 GENERAL PROVISIONS Page 8 4/98
r
1.
than 90 days following the end of the applicable Attach ei nt 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 additional cash payments from RECEIVING AGENCY.
As of September 1, 1998, PERFORMING AGENCY is required to be placed on Direct Deposit status in accordance
with Texas Government Code, §403.016(c), VTCA. PERFORMING AGENCY will no longer receive copies of
vouchers.
Funding from this contract may not be used to supplant 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 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, with the same funding source in amounts necessary to fulfill PERFORMING AGENCY
repayment obligations.
ARTICLE 15. 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. RECEIVING AGENCY may approve the advance request for each
Attachment. PERFORMING AGENCY must request the advance on a State of Texas Purchase Voucher at the
beginning of the applicable Attachment period or at a later time in the applicable Attachment period if
circumstances so warrant.
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 an amount equal to 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, RECEIVING AGENCY may make an
upward or downward adjustment to the 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) 1999 GENERAL PROVISIONS Page 9 4/98
ARTICLE 16. 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 Chapter 12, Subchapter D, Health
and Safety Code, VTCA; 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 specified in the Financial Reports Article of these
provisions.
PERFORMING AGENCY will utilize one of the following methods for applying program income:
1. Additive method - add the program income to the funds already committed to the project by both
parties. Program income will be used by the PERFORMING AGENCY to further the program
objectives of the statelfederal statute under which the Attachment(s) wastwere made, and it shall
be spent on the same project in which it was generated.
2. Deductive method - deduct the program income from the total allowable costs to determine the net
allowable costs.
RECEIVING AGENCY may base future funding levels, in part, upon the PERFORMING AGENCY's proficiency
in identifying, billing, collecting, and reporting program income, and in utilizing it for the purposes and conditions
of the applicable Attachment(s).
ARTICLE 17. Financial Reports
Financial reports are required as provided in UGMS, and PERFORMING AGENCY shall file them regardless of
whether expenses have been incurred.
PERFORMING AGENCY shall submit a Financial Status Report, State of Texas Supplemental Form 269a (TDH
Form GC4a) within 30 days following the end of each of the fust three quarters. PERFORMING AGENCY shall
submit a final financial report on State of Texas Supplemental Form 269a (MH Form GC4a), not later than 90
days following the end of the Attachment term(s). PERFORMING AGENCY shall submit a State of Texas
Purchase Voucher 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 file a State of Texas Purchase
Voucher if all costs -have not been recovered. Failure to timely file may -result in RECEIVING - AGENCY
disallowing payment. PERFORMING AGENCY shall refund excess monies if costs incurred were less than funds
received.
ARTICLE 18. Reports and Inspections
PERFORMING AGENCY shall submit the financial, program, and progress reports required by RECEIVING
AGENCY in the format agreed to by the parties. PERFORMING AGENCY shall provide RECEIVING AGENCY
other reports RECEIVING AGENCY determines to be necessary to accomplish the objectives of this contract. If
PERFORMING AGENCY is legally prohibited from providing such reports, it shall immediately notify
RECEIVING AGENCY.
(LGS) 1999 GENERAL PROVISIONS Page 10 4/98
RECEIVING AGENCY and, when federal funds are iinvolved, any authorized representative(s) of the federal
government have the right, at all reasonable times, to inspect or otherwise evaluate the work (including reviews
of client or patient records and discussions with staff) performed by PERFORMING AGENCY and its
subrecipient(s), if any, and the premises on which the work is being performed. PERFORMING AGENCY and its
subrecipient(s) shall participate in inspections and provide reasonable access, facilities,'and assistance to the
representatives. All inspections and evaluations will be performed 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.
PERFORMING AGENCY will retain all records 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, whichever time period is
longer.
ARTICLE 19. Client Records
Notwithstanding any other provision herein, if requested by RECEIVING AGENCY, the PERFORMING
AGENCY shall share all patient information with RECEIVING AGENCY when the contract involves patient care
by the PERFORMING AGENCY.
RECEIVING AGENCY may require the 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 on a form provided by RECEIVING AGENCY or as otherwise authorized
by law, including the Texas Medical Practice Act, Article 4495b, TRCS.
(LGS) 1999 GENERAL PROVISIONS Page 11 4/98
ARTICLE 20. 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 may not disclose or transfer confidential client or patient information, including
information required by the Reports and Inspections Article, except in accordance with applicable law.
If providing direct client care, services, or programs, PERFORMING AGENCY shall implement RECEIVING
AGENCY's workplace policies based on the model guidelines, and PERFORMING AGENCY shall educate
employees and clients concerning the human immunodeficiency virus (HIV) and its related conditions, including
acquired immunodeficiency syndrome (AIDS), in accordance with the Health and Safety Code, §§85.112-114,
VTCA.
ARTICLE 21. Eauinment and Sunnli
In accordance with Health & Safety Code, § 12.053, VTCA, 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 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, medical equipment, laboratory equipment, and printers. If the unit cost of these
exception items is more than $500, they will still be considered equipment, must be approved for purchase, and are
considered capital assets for inventory purposes. Medical and laboratory equipment in this category is defined as
microscopes, oscilloscopes, centrifuges, balances, and incubators. Medical and laboratory equipment not included
in these five categories is not considered a capital asset unless the unit value is more than $1,000. Supplies which
may be necessary to cavy out the contract include medical supplies, drugs, janitorial supplies, office supplies,
patient educational supplies, software less than $500, plus any equipment with a purchase price including freight
not to exceed $1,000 per item, except those defined as "equipment."
Unless initially listed and approved in the Attachment(s), prior written approval from RECEIVING AGENCY is
required for any changes to approved equipment purchases meeting the above equipment definition. To receive
approval to purchase data processing hardware and software or enhancements, PERFORMING AGENCY must
submit a detailed justification which includes description of features, make and model, and cost, etc.
PERFORMING AGENCY shall maintain a property inventory and submit an annual cumulative report (TDH Form
GC -1 l) to RECEIVING AGENCY no later than October 15th of each year. PERFORMING AGENCY shall
administer a program of maintenance, repair, and protection of assets underthis-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 the PERFORMING AGENCY.
(LGS) 1999 GENERAL PROVISIONS Page 12 4/98
ARTICLE 22. Contracts with Subrecipients
PERFORMING AGENCY may enter into contracts with subrecipients unless restricted or otherwise prohibited in
specific Attachment(s). PERFORMING AGENCY is responsible to RECEIVING AGENCY for the performance
of any subrecipient.
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);
• access to inspect the work and the premises on which any of the work is performed, in accordance
with the Reports and Inspections Article contained in this contract; and
• all clauses required by stateffederal 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.
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.
PERFORMING AGENCY shall ensure that:
• all subrecipients are fully aware of the requirements imposed upon them by state/federal statutes
and regulations;
• all subrecipients comply with all financial management requirements as defined by RECEIVING
AGENCY and the applicable OMB circulars;
• subrecipients complete required audits;
• an adequate tracking system is maintained to ensure timely receipt of any subrecipient's required
audit reports and the resolution of any findings and questioned costs cited by these reports.
ARTICLE 23. Contracts for Procurement
PERFORMING AGENCY may enter into contracts for procurement unless restricted or otherwise prohibited in
specific Attachment(s). PERFORMING AGENCY agrees that it shall be responsible to RECEIVING AGENCY
for the performance of any subcontracted activity.
Contracts for procurement shall be in writing and must contain the following provisions:
Administrative, contractual, or legal remedies in instances where contractors violate or breach
contract terms, and provide for such sanctions and penalties as may be appropriate. (Contracts
other than small purchases.)
(LGS) 1999 GENERAL PROVISIONS Page 13 4/98
• Termination for cause and for convenience by the 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 awarding agency requirements and regulations pertaining to reporting.
• Notice of awarding agency requirements and regulations pertaining to patent rights with respect
to any discovery or invention which arises or is developed in the course of or under such
contract.
• Awarding agency requirements and regulations pertaining to copyrights and rights in data.
• Access by the grantee, the subgrantee, 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 three years after grantees or subgrantees make final
payments and all other pending matters are closed.
• Compliance with all applicable standards, orders, or requirements issued under §306 of the
Clean Air Act (42 USC § 1857(h)), §508 of the Clean Water Act (33 USC § 1368), Executive
Order 11738, and Environmental Protection Agency regulations (40 CFR Part 15). (Contracts,
subcontracts, and subgrants of amounts in excess of $100,000.)
• Mandatory standards and policies relating to efficiency which are contained in the state energy
plan issued in compliance with the Energy Policy and Conservation Act (Pub. L. 94-163).
ARTICLE 24. Copyrights Publications and Patents
Texas Health and Safety Code § 12.020(a� VTCA, 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. 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" 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 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.
(LGS) 1999 GENERAL PROVISIONS Page 14 4/98
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 a=gg' or "The project described was supported by grant number from
(federal awarding a eg ncvl" and "Its contents are solely the responsibility of the authors and do not necessarily
represent the official views of the (federal awarding agenW "
In the event the terms of a federal grant award the copyright to the PERFORMING AGENCY, RECEIVING
AGENCY reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use,
and to authorize others to use, for RECEIVING AGENCY and state 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 grantee, subgrantee or a contractor purchases ownership with grant support.
PERFORMING AGENCY may publish the results of the contract performance at its expense with prior
RECEIVING AGENCY review and approval. If RECEIVING AGENCY owns the copyright, any publication
should include "® Texas Department of Health, 1100 West 49th Street, Austin, Texas, (the year of publication),
All Rights Reserved" If the 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 25. Bondin
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 the
PERFORMING AGENCY handling funds under this contract, including person(s) authorizing payment of such
funds. The fidelity bond, insurance, or self-insurance will provide for indemnification of losses occasioned by: 1)
any fraudulent or dishonest act or acts committed by any of PERFORMING AGENCY's employees, either
individually or in concert with others, and/or 2) failure of PERFORMING AGENCY or any of its employees to
perform faithfully his/her duties or to account properly for all monies and property received by virtue of his/her
position or employment.
ARTICLE 26. Historically Underutilized Businesses
RECEIVING AGENCY shall comply with Texas Government Code, Chapter 2161, VTCA, and I TAC §§ 111.11-
111.24 whereby state agencies are required to make a good faith effort to assist historically underutilized businesses
(HUBS) in receiving contract awards issued by the state to purchase "goods," which are defined as "supplies,
materials, or equipment," services, or public works.
(LGS) 1999 GENERAL PROVISIONS Page 15 4/98
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.
PERFORMING AGENCY and its subrecipient(s), if any, are encouraged to use minority banks (a bank which is
owned at least 50 percent by minority group members).
ARTICLE 27. Sanctions
RECEIVING AGENCY may impose sanctions for any breach of contract. PERFORMING AGENCY will be
monitored both for 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 the PERFORMING
AGENCY's authority to obligate previously awarded funds before that authority would otherwise expire
or the voluntary relinquishment by the PERFORMING AGENCY to obligate previously awarded funds.
PERFORMING AGENCY costs resulting from obligations incurred by the 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 the grantee's
underestimate of the unobligated balance in a prior period; (2) withdrawal of the unobligated balance as
of the expiration of a grant; (3) refusal to extend a grant or award additional funds, to make a competing
or noncompeting continuation, renewal, extension, or supplemental award; or (4) voiding of a grant 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 the PERFORMING AGENCY's authority to obligate funds pending corrective action by
the 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 grant
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 the
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 grant
conditions or indebtedness to the United States or to the State of Texas;
(LGS) 1999 GENERAL PROVISIONS Page 16 4/98
1
E. permanently withhold cash payments. Permanently withholding of cash payment means that
RECEIVING AGENCY retains funds billed by the PERFORMING AGENCY or its subrecipient(s) for
a) unallowable, undocumented, disputed, inaccurate, improper, or erroneous claims; b) failure to comply
with grant award conditions; 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 for a certain period of
time not to exceed five years;
G. delay contract execution with the PERFORMING AGENCY while other proposed sanctions are pending
resolution;
H. place the PERFORMING AGENCY on probation. Probation means that the 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 the PERFORMING AGENCY;
I. conduct accelerated monitoring of the PERFORMING AGENCY. Accelerated monitoring means more
frequent or more extensive monitoring will be performed by RECEIVING AGENCY than would
routinely be accomplished;
J. require the 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 the PERFORMING AGENCY;
M. require additional, more detailed, financial -and/or programmatic reports to be submitted by
PERFORMING AGENCY;
N. demand repayment from the 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 the 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 the PERFORMING AGENCY will correct the noncompliance or demonstrating that the findings on which
the sanctions are based are either invalid or do not warrant the sanction(s).
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 fisture contract awards, or delay
(LGS) 1999 GENERAL. PROVISIONS Page 17 4/98
contract execution by delivering written notice to a 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 28. Sanction Review
The 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: (i) a copy of the letter from RECEIVING AGENCY
notifying PERFORMING AGENCY of the sanction; (ii) a specific description of each act that is the basis for the
dispute; (iii) the grounds upon which PERFORMING AGENCY bases the complaint; (iv) an identification of the
issue or issues to be resolved; (v) a precise statement of the relevant facts; (vi) any documentation in support of
PERFORMING AGENCY's position; and (vii) a statement and authorities in support of PERFORMING
AGENCY's position.
Evidence that PERFORMING AGENCY properly notified the RECEIVING AGENCY consists of any of the
following documents: (i) signature on delivery card; (ii) confirmation of a facsimile to correct telephone number,
or (iii) 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 the 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
(LGS) 1999 GENERAL PROVISIONS Page 18 4/98
means. The decision of the reviewer(s) is final and is the final action of RECEIVING AGENCY for purposes of
further proceedings.
A state statute or rule or a federal statute, regulation or guideline will prevail over the provisions of this Article
unless the statute, rule, regulation or guideline can be read together with the provision or provisions of this Article
to give effect to both.
ARTICLE 29. 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 risky conduct by giving at least 30 days written notice to PERFORMING AGENCY. "Risky
conduct" may include one or more of the following:
(a) A court of competent jurisdiction finds that the 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;
aGS) 1999 GENERAL PROVISIONS Page 19 4/98
(d) RECEIVING AGENCY determines that the PERFORMING AGENCY is without the
personnel or resources to perform under the contract;
(e) RECEIVING AGENCY determines that PERFORMING AGENCY, its agent or another
representative offered or gave a gratuity (e.g., an entertainment or gift) to an official or
employee of RECEIVING AGENCY for the purpose of obtaining a contract or favorable
treatment;
(f) PERFORMING AGENCY's management system does not meet the UGMS management
standards; or
(g) PERFORMING AGENCY appears to be financially unstable. Indicators of financial
instability may include one or more of the following:
(i) PERFORMING AGENCY fails to make payments;
(ii) PERFORMING AGENCY makes an assignment for the benefit of its creditors;
(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 general accepted accounting principles.
C. Emergency termination. RECEIVING AGENCY may terminate the contract immediately upon notice
to PERFORMING AGENCY in an emergency 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 the
PERFORMING AGENCY to retain records and maintain confidentiality of information shall survive this contract.
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.
(LGS) 1999 GENERAL PROVISIONS Page 20 4/98
ARTICLE 31. 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 32. Local Health Department Personnel
All local health department personnel funded by Attachment(s) to this contract are employees of PERFORMING
AGENCY which will be responsible for their direction and control and liable for any of their acts or omissions.
PERFORMING AGENCY will have in place legally sufficient due process hearing procedures for all of its
employees filling state budgeted positions.
PERFORMING AGENCY will have full authority to employ, promote, suspend, demote, discharge, and transfer
within its organization any and all state budgeted personnel funded by Attachment(s) to this contract provided,
however, that any demotion, suspension, or discharge of such state budgeted employees will be in accordance with
the due process hearing procedures as set out above. The only distinction between state budgeted and local paid
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.
(LGS) 1999 GENERAL PROVISIONS Page 21 4/98
� ,
ARTICLE 33. Funding Participation Requirement '
PERFORMING AGENCY agrees funds provided through this contract will not be used for matching purposes in
securing other funding unless otherwise directed or approved by RECEIVING AGENCY.
ARTICLE 34. 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 officers or employees, or any other entity or person involved in any way in any
project that is the subject of this contract.
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.
ARTICLE 36. 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 S FROM SUITOR FROM LIABILITY
THAT THE PARTIES OR TSE STATE OF TEXAS MAY HAVE BY OPERATION OF LAW.
ARTICLE 37. 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) 1999 GENERAL PROVISIONS Page 22 4/98
DOCUMENT NO. 7560005906 -00
ATTACHMENT NO. 01
PERFORMING AGENCY: LUBBOCK CITY HEALTH DEPARTMENT
RECEIVING AGENCY PROGRAM: BUREAU OF HIV AND STD PREVENTION
TERM: January 01, 1999 THRU: December 31, 1999
SECTION I. SCOPE OF WORK:
PERFORMING AGENCY shall conduct HIV 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.
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.
PERFORMING AGENCY shall perform all activities in accordance with RECEIVING AGENCY
Program's Request For Proposal (RFP), dated April 1, 1998, and assurances, and PERFORMING
AGENCY'S objectives, activities work plan, and detailed budget as approved by RECEIVING
AGENCY Program, and with the relevant Regional Action Plan 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 will 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:
Quality assurance is essential to make certain that the delivery of quality HIV prevention activities
is consistent and to ensure that interventions are delivered in accordance with established
requirements and standards. Quality assurance measures are necessary to maintain high performance
ATTACHMENT - Page 1
expectations of HIV prevention staff and consistent data collection processes for use in program
evaluation.
PERFORMING AGENCY shall comply with the following quality assurance guidelines:
1. develop an orientation for new HIV prevention staff;
2. develop staff development plans for new and current staff,
3. ensure that monitoring and evaluation of staff performance be conducted monthly for
new staff members, bi-monthly for staff employed over six months, and quarterly for
staff employed over a year;
4. solicit client feedback (e.g., client surveys) and provide a summary of the client
feedback for each intervention at least once a year;
S. 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 HIV prevention activities
provided by PERFORMING AGENCY.
REFERRAL ACTIVITIES:
All HIV prevention programs are required to provide key referral linkages including STD screening
and treatment; tuberculosis (TB) testing and treatment; substance abuse assessment, counseling and
treatment; family planning services; prenatal services including treatment to reduce maternal
transmission of HIV; ongoing HIV prevention counseling; prevention case management; and early
medical intervention for HIV infection.
PERFORMING AGENCY shall comply with the following referral guidelines:
1. document that all HIV seropositive clients are given a formal and trackable referral
to early intervention services through to local HIV services providers. The referral
shall be noted on the Partner Elicitation Report Form (PERForm) for prevention
counseling sites and/or other case management or client records;
2. offer referrals to seronegative clients with ongoing risk due to mental health and/or
psychosocial issues or compulsive behaviors to local prevention services such as
mental health counseling, or to prevention case management, where available;
3. offer referrals to persons whose HIV risk is related to alcohol or other drug abuse
to alcohol and drug assessment and treatment programs;
ATTACHMENT - Page 2
4. develop and implement written referral procedures for pregnant women and HIV
seropositive pregnant women that are accessible to all prevention staff. Projects shall
refer all women who may be pregnant for prenatal care. Referrals for prenatal
services shall be documented in the appropriate client records;
5. ensure that TB testing is delivered on site or referral made and documented for high-
risk persons and/or HIV seropositive persons; and,
6. ensure that STD services including screening, diagnosis and treatment are delivered
on site or referral made and documented for high-risk persons and/or HIV
seropositive persons.
PREVENTION COUNSELING AND PARTNER ELICITATION ACTIVITIES:
PCPE is an individual -level intervention that includes establishing and maintaining anonymous
and/or confidential HIV counseling and testing programs for persons at risk of HIV infection due
to individual sexual behavior, injecting drug use, or other risk behaviors.
If PERFORMING AGENCY provides PCPE services, these services shall be targeted to those
populations identified as priority populations in the relevant Regional Action Plan and specified
in PERFORMING AGENCY'S objectives. PERFORMING AGENCY shall:
1. offer voluntary HIV counseling and testing to clients with the option of receiving
services either anonymously or confidentially according to RECEIVING AGENCY
Program's HIV/STD Guidelines, January 1998, or most current version;
2. provide culturally competent and effective PCPE counseling based on RECEIVING
AGENCY Program -approved guidelines;
3. publicize HIV counseling and testing services so that potential clients will know
where and when services are available;
4. offer PCPE services at locations that are convenient for the majority of the target
population and during hours established to reach these clients;
5. use optically scannable forms supplied by RECEIVING AGENCY Program or a
similar RECEIVING AGENCY Program -approved instrument to collect
demographic information and unlinked test result data. This includes the accurate
completion and timely submission of scannable forms within thirty (30) days of the
test date; and,
6. utilize RECEIVING AGENCY'S laboratory for all testing of specimens unless
otherwise approved in writing by RECEIVING AGENCY Program.
ATTACHMENT - Page 3
PERFORMING AGENCY shall perform the following Partner Elicitation (PE) Services:
1. Ensure that all PE services are consistent with RECEIVING AGENCY Program's
HIV/STD Guidelines, January 1998, or most current version, which has been
provided by RECEIVING AGENCY Program, and are incorporated by reference
and made a part hereof;
2. Address partner elicitation/notification as an element of every test decision
counseling session;
3. Encourage notification of partners by PERFORMING AGENCY'S local health
department. Adequate partner locating/descriptive information shall be elicited and
referred to PERFORMING AGENCY'S local STD Control Program;
4. Provide counseling guidance/coaching on how, when and where to make each
notification if client prefers to make partner notification personally;
5. Make a good faith effort to elicit information on spouses of known HIV-infected
clients. A spouse is defined as "any individual who is the marriage partner of an
HIV-infected patient, or who has been the marriage partner of that client at any
time within the 10 -year period prior to the diagnosis of HIV infection;" and,
6. Report PE data to RECEIVING AGENCY Program on the PERForm or a later
method that has been provided by RECEIVING AGENCY Program.
PERFORMING AGENCY shall comply with additional quality assurance guidelines:
1. Prevention counseling sessions shall be performed by staff who have successfully
completed the HIV Prevention Counseling and Partner Elicitation (PCPE) course
approved by RECEIVING AGENCY Program within six months of employment,
or who have demonstrated an understanding of selected technical information
relevant to HIV counseling, prevention, transmission, testing and PCPE course and
training to perform venipuncture, as required.
2. The supervisor of HIV prevention counselors shall complete all training
requirements of an HIV Prevention Counselor plus attend "Assuring the Quality
of HIV Prevention Counseling: A Workshop for Supervisors," within one year of
becoming a supervisor.
3. PERFORMING AGENCY shall conduct monitoring of PCPE sessions. Through
the use of Quality Assurance Systems (QAS), PERFORMING AGENCY'S
program manager shall possess QAS information and will monitor counselor
performance (at least monthly for months 1-6 of employment, bimonthly for
ATTACHMENT - Page 4
months 7-12, and quarterly for experienced counselors whether directly supervised
or on independent assignment). A written record, (RECEIVING AGENCY
Program Skills Assessment form or other RECEIVING AGENCY Program -
approved model, a copy of which has been provided by RECEIVING AGENCY
Program) of the monitored session is to be kept on file for a minimum of one (1)
year.
The following performance measures will be used to assess, in part, PERFORMING AGENCY'S
effectiveness in providing the services described in this contract Attachment, without waiving the
enforceability of any of the other terms of the contract.
PERFORMING AGENCY shall provide an estimated LM prevention contacts which involve
one-on-one interaction between a counselor and client that includes the following characteristics:
— assisting the client to assess personal risk level,
-- formulating individualized risk reduction plans,
-- test decision counseling,
-- elicitation from HIV-infected clients of partner information, including information
about any spouses the client has had within the ten-year period prior to diagnosis,
and,
-- appropriate referrals, particularly of HIV-infected pregnant females for prenatal
care.
These activities shall occur in one or more contact with each client. Each contact may result in
an HIV-antibody test. Clients will be targeted based on the relevant Regional Action Plan for the
region/area in which PERFORMING AGENCY is providing services. Services shall be provided
to clients who live or receive services in the county(ies)/area defined as: Lubbock.
PERFORMING AGENCY shall complete an HIV Counseling and Testing Report Form on each
client receiving a PCPE session. PERFORMING AGENCY shall remit these completed forms
to RECEIVING AGENCY Program in a timely manner no later than thirty (30) days after PCPE
sessions have been rendered in order to aid RECEIVING AGENCY Program in tracking the
number of persons obtaining PCPE services statewide.
PERFORMING AGENCY shall maintain client counseling records, both anonymous and
confidential, which include all issues discussed in counseling which are relevant to HIV/STD risk
and prevention. Documentation shall show that relevant counseling standards were met, or will
explain why they were not met. Counseling records shall be confidentially secured, maintained
for a minimum of one (1) year, and will be available for review by RECEIVING AGENCY
Program.
ATTACHMENT - Page 5
HEALTH EDUCATION AND RISK REDUCTION ACTIVITIES:
HERR categorizes a wide range of individual -level and group-level°.interventions. HERR
activities are efforts to reach persons at increased risk of becoming HIV-infected or, if already
infected, of transmitting the virus to others. The goal of HERR activities is to reduce the risk of
these events from occurring.
If PERFORMING AGENCY provides HERR activities, these activities shall be targeted to those
populations identified as priority populations in the relevant Regional Action Plan and specified
in PERFORMING AGENCY'S objectives. PERFORMING AGENCY shall:
1. Provide educational and counseling interventions that promote and reinforce safer
behavior. HERR programs will include interpersonal skills training for clients
in negotiating and sustaining appropriate behavior change (e.g., delaying the
initiation of sexual activity, avoiding unsafe sex, negotiating safer sex, needle
cleaning, and relapse prevention);
2. Ensure that all educational materials used in the program are written in words and
terms used by the target populations and at the appropriate age and educational
levels, including low -literacy materials;
3. Conduct appropriate interventions and activities as described in the relevant
Regional Action Plans; and,
4. Maintain consistent and accurate data collection procedures which collect client
level data as specified by RECEIVING AGENCY. PERFORMING AGENCY
agrees to report client data and progress on objectives in a manner and format
specified by RECEIVING AGENCY Program.
The following performance measures will be used to assess, in part, PERFORMING AGENCY'S
effectiveness in providing the services described in this contract Attachment, without waiving the
enforceability of any of the other terms of the contract.
PERFORMING AGENCY shall make an estimated Q prevention contacts with clients in the
behaviorally defined target population(s) to provide priority HERR interventions that are
consistent with those priorities specified in the Regional Action Plan for the county(ies)/area
defined as: Lubbock.
PERFORMING AGENCY shall provide proof, in a quarterly activity report to be submitted
within 20 days after the end of each quarter, of the number of contacts with clients in the
behaviorally defined target population(s) in which priority HERR intervention services are
ATTACHMENT - Page 6
provided. Such reports shall be submitted in the standard format provided by RECEIVING
AGENCY Program.
PREVENTION CASE MANAGEMENT ACTIVITIES:
Prevention Case Management is an individual -level intervention that provides intensive, ongoing,
individualized prevention counseling and referrals to other appropriate social services. PCM is
a client -centered HIV prevention activity with the fundamental goal of promoting the adoption and
maintenance of HIV -risk reduction behaviors by clients with multiple, complex problems and risk -
reduction needs. PCM programs may not contract out any of the seven program elements.
If PERFORMING AGENCY provides PCM services, these services shall be targeted to those
populations identified as priority populations in the relevant Regional Action Plan and specified
in PERFORMING AGENCY'S objectives. PERFORMING AGENCY shall comply with the
following essential components of PCM:
1. Develop protocols for client recruitment and engagement;
2. Develop screening procedures to identify persons at highest risk for acquiring or
transmitting HIV and who are appropriate clients for PCM. Thorough and
comprehensive assessment instrument(s) shall be obtained or developed to assess
HIV, STD, and substance abuse risks and the medical and psychosocial needs of
clients;
3. Develop a written prevention plan for each PCM client, with client participation,
which specifically defines HIV risk -reduction behavioral objectives and strategies
for change;
4. Provide multiple -session HIV risk -reduction counseling aimed at meeting identified
behavioral objectives to all PCM clients;
5. Establish formal and informal agreements with relevant service providers to ensure
availability and access to key service referrals. Establish a standardized written
referral process for the PCM program. PCM providers shall document and track all
referrals;
6. Hold meetings between prevention case managers and clients to monitor their
changing needs and their progress in meeting HIV behavioral risk -reduction
objectives. A protocol shall be established for defining minimum, active efforts to
retain clients; and,
7. Establish a protocol for client discharge.
ATTACHMENT - Page 7
PERFORMING AGENCY shall comply with additional quality assurance guidelines:
1. At a minimum, all PCM case managers shall successfully complete the Texas HIV
Prevention Counseling and Partner Elicitation training and complete training in the
basic philosophy and techniques of case management;
2. Project staff shall be supervised and evaluated by individuals with appropriate
professional license/credentials and experience in supervising intensive intervention
activities with the population(s) targeted by the project;
3. At a minimum, a physician, registered nurse, or Masters of Social Work shall be on
the Board of Directors or on staff to oversee activities of case managers who do not
hold professional licensure;
4. PCM programs shall develop clear procedure and protocol manuals to ensure
effective delivery of services and minimum standards of care. These manuals shall
address the requirements of the seven essential components of PCM as discussed in
the RFP; and,
5. Written quality assurance protocols shall be developed and included in the procedure
and protocol manual. In addition to the essential quality assurance measures, PCM
programs shall address the need for chart reviews and case conferences.
The following performance measures will be used to assess, in part, the PERFORMING
AGENCY'S effectiveness in providing the services described in this contract Attachment, without
waiving the enforceability of any of the other terms of the contract.
PERFORMING AGENCY shall make an estimated Q prevention contacts with clients in the
behaviorally defined target population(s) to provide priority PCM interventions that are consistent
with those priorities specified in the Regional Action Plan for the county(ies)/area defined as:
Lubbock.
PERFORMING AGENCY shall provide proof, in a quarterly activity report to be submitted
within 20 days after the end of each quarter, of the number of contacts with clients in the
behaviorally defined target population(s) in which priority PCM intervention services are
provided. Such reports shall be submitted in the standard format provided by RECEIVING
AGENCY Program.
STD SCREENING AND REFERRALS FOR DIAGNOSIS AND TREATMENT
ACTIVITIES:
ATTACHMENT - Page 8
RECEIVING AGENCY Program supports activities that increase access to STD diagnosis and
treatment services for target populations as indicated in Regional Action Plans. STD screening and
referrals for diagnosis and treatment may be individual -level, group -level or community -level
interventions depending on the specific activity and audience. Only those activities described in the
Regional Action Plans shall be provided.
If PERFORMING AGENCY provides STD -related activities, these activities shall be targeted to
those populations identified as priority populations in the relevant Regional Action Plan and
specified in PERFORMING AGENCY'S objectives. 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 comply with the additional referral guidelines and shall document
referrals to STD diagnosis and treatment and provide follow up with clients.
PERFORMANCE MEASURES
The following performance measures will be used to assess, in part, the PERFORMING
AGENCY' S effectiveness in providing the services described in this contract Attachment, without
waiving the enforceability of any of the other terms of the contract.
PERFORMING AGENCY shall make an estimated = prevention contacts with clients in the
behaviorally defined target population(s) to provide priority STD -related interventions that are
consistent with those priorities specified in the Regional Action Plan for the county(ies)/area
defined as- Tuhhnek_
PERFORMING AGENCY shall provide proof, in a quarterly activity report to be submitted
within 20 days after the end of each quarter, of the number of contacts with clients in the
behaviorally defined target population(s) in which priority intervention services are provided.
Such reports shall be submitted in the standard format provided by RECEIVING AGENCY
Program.
COI 1MUNITY-LEVEL INTERVENTIONS ACTIVITIES:
Community Level Interventions' aim is to reduce risky behaviors by changing attitudes, norms, and
practices through health communications, social prevention marketing, community mobilization and
organization, and community -wide events. The primary goals of these programs are to improve
health status, to promote healthy behaviors, and to change factors that affect the health of community
residents.
If PERFORMING AGENCY provides Community Level Intervention activities, these activities
shall be targeted to those populations identified as priority populations in the relevant Regional
ATTACHMENT - Page 9
Action Plan and specified in PERFORMING AGENCY'S objectives. PERFORMING AGENCY
shall provide only Community Level Interventions as indicated in the appropriate Regional Action
Plan.
The following performance measures will be used to assess, in part, the PERFORMING
AGENCY'S effectiveness in providing the services described in this contract Attachment, without
waiving the enforceability of any of the other terms of the contract.
PERFORMING AGENCY shall make an estimated Q prevention contacts with clients in the
behaviorally defined target population(s) to provide priority community -level interventions that
are consistent with those priorities specified in the Regional Action Plan for the county(ies)/area
defined as: Lubbock.
PERFORMING AGENCY shall provide proof, in a quarterly activity report to be submitted
within 20 days after the end of each quarter, of the number of contacts with clients in the
behaviorally defined target population(s) in which priority intervention services are provided.
Such reports shall be submitted in the standard format provided by RECEIVING AGENCY
Program.
TARGETED PUBLIC INFORMATION (TPI) ACTIVITIES:
TPI activities include electronic, print and broadcast media communication or other forums designed
to reach targeted populations. The purposes of targeted public information funded through this
contract Attachment are: 1) to build support for safe behaviors; 2) to address barriers to effective
HIV prevention programs; 3) to support local efforts for personal risk reduction; and, 4) to assist in
informing persons at risk of HIV infection on how to obtain specific prevention and treatment
services.
If PERFORMING AGENCY provides TPI activities, these activities shall be targeted to those
populations identified as priority populations in the relevant Regional Action Plan and specified
in PERFORMING AGENCY'S objectives. PERFORMING AGENCY shall provide only TPI
activities as indicated in the appropriate Regional Action Plan.
The following performance measures will be used to assess, in part, the PERFORMING
AGENCY'S effectiveness in providing the services described in this contract Attachment, without
waiving the enforceability of any of the other terms of the contract.
PERFORMING AGENCY shall make an estimated Q prevention contacts with clients in the
behaviorally defined target population(s) to provide priority TPI interventions that are consistent
ATTACHMENT - Page 10
with those priorities specified in the Regional Action Plan for the county(ies)/area defined as:
Lubbock.
PERFORMING AGENCY shall provide proof, in a quarterly activity report to be submitted
within 20 days after the end of each quarter, of the number of contacts with clients in the
behaviorally defined target population(s) in which priority intervention services are provided.
Such reports shall be submitted in the standard format provided by RECEIVING AGENCY
Program.
SECTION II. SPECIAL PROVISIONS:
PERFORMING AGENCY shall comply with Chapters 81 and 85 of the Health and Safety Code,
relevant portions of Chapter 6A (Public Health Service) of Title 42 (The Public Health & Welfare)
of the U.S. Code, as amended, and the Client Services Standards for Public Health and
Community Clinics, revised June 1997.
RECEIVING AGENCY Program will supply PERFORMING AGENCY with the most current
version of the document entitled "Content of AIDS -Related Written Materials, Pictorials,
Audiovisuals, Questionnaires, Survey Instruments, and Educational Sessions in Centers for
Disease Control Assistance Programs." PERFORMING AGENCY has provided RECEIVING
AGENCY Program with written acknowledgment of receipt and assurance of compliance with
these guidelines. All of the above -referenced documents are incorporated herein and made a part
of this contract Attachment as though written herein verbatim.
Due to the sensitive and highly personal nature of HIV/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'
Guidelines, January 1998. All of the above -referenced documents are incorporated herein and
made a part of this contract Attachment as though written herein verbatim.
PERFORMING AGENCY, or any subrecipient, shall not transfer a 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; 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, Article 4495b, VTCS. 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 Article
4495b, VTCS.
ATTACHMENT - Page 11
PERFORMING AGENCY shall submit all quarterly activity reports within twenty (20) days after
the end of each quarter that are prepared in the format provided by RECEIVING AGENCY
Program.
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 12
SECTION III. BUDGET:
PERSONNEL
FRINGE BENEFITS
TRAVEL
EQUIPMENT
SUPPLIES
CONTRACTUAL
OTHER
TOTAL DIRECT CHARGES
INDIRECT CHARGES
TOTAL
Total reimbursements will not exceed $ 45,000.00.
$32,339.00
11,323.50
940.00
0.00
0.00
197.50
0.00
:11 11
of of
Financial status reports are due the 30th of April, 30th of July, 30th of October, and the 15th of
February.
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 13
Resolution No. 5979
Item No. 20
August 27, 1998 _
TEXAS DEPARTMENT OF HEALTH
1100 WEST 49TH STREET
AUSTIN, TEXAS 78756-3199
STATE OF TEXAS TDH Document No.7560005906 99
COUNTY OF TRAVIS CONTRACT CHANGE NOTICE NO. 91
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. 02: TB - PREVENTION AND CONTROL
ATT. NO. 03: REGIONAL ADMINISTRATIVE SERVICES
ATT. NO. 04: IMMUNIZATION DIVISION
ATT. NO. 05: HIV - SURVEILLANCE
All terms and conditions not hereby amended remain in full force and effect.
EXECUTED IN DUPLICATE ORIGINALS ON THE DATES SHOWN.
Authorized Contracting Entity (type above if different
from PERFORMING AGENCY) for and in behalf of:
PERFORMING AGENCY:
LUBBOCK CITY HEALTH DEPARTMENT
By:
(Signature ofAerson authorized to sign contracts)
WMDY SITION, MAYOR
(Name and Title)
Date: August 27, 1998
RECOMMENDED:
By: Oam
(PERFOitMIN ENCY Director, if different
r
from on authorized to sign contract)
Approved as to form ,
) kr '011&
William deFAm
Asststar>t Gty Aftw"
RECEIVING AGENCY:
TEXAS DEPARTMENT OF BE7TH
By-
(Sig,196re of person authorized to sign contracts)
Douglas C. Wilson, Director
Grants Management Division
(Name and Title)
Date:
Cover Page 1
�l A
DETAILS OF ATTACHMENTS
Att/
Amd
No.
TDH
Program/ ID
Term
Financial Assistance
Direct
Assistance
Total Amount
(TDH Share)
Begin
End
Source of
Funds*
Amount
01
H1V/PCPEEDUC
01/01/98
12/31/98
93.940
41,933.00
0.00
41,933.00
02
TB/PC
09/01/98
08/31/99
State
20,073.00
0.00
20,073.00
03
ORAS
09/01/98
08/31/99
State 93.991
94,118.00
24,192.00
118,310.00
04
IMM/LOCALS
09/01/98
08/31/99
State
68,356.00
0.00
68,356.00
05
HIV/SURV
09/01/98
08/31/99
State
40,436.00
0.00
40,436.00
TDH Document No.7560005906 99 Totals
Change No. 01
$264,916.00
$24,192.00
$289,108.00
*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
Any alteration to this document constitutes a counter-o,{fer and must be approved in writing by the Texas Department of Health.
GENERAL PROVISIONS FOR
TEXAS DEPARTMENT OF HEALTH GRANT CONTRACTS
ARTICLE 1. Preamble
PERFORMING AGENCY and RECEIVING AGENCY (the parties) hereby agree to make and enter into this grant
contract (contract), to faithfully perform the duties prescribed by this contract and to uphold and abide by its terms
and provisions. This contract consists of RECEIVING and PERFORMING AGENCY identifying data, Details of
Attachment(s), authorized signatures, General Provisions, and Attachment(s) with detailed Scope(s) of Work,
Special Provisions, budget(s), and exhibit(s) as applicable. This contract represents the complete and entire
understanding and agreement of the parties. No prior agreement or understanding, oral or otherwise, of the parties
or their agents will be valid or enforceable unless embodied in this contract.
The person or persons signing and executing this contract on behalf of PERFORMING AGENCY, or representing
themselves as signing and executing this contract on behalf of PERFORMING AGENCY, warrant and guarantee
that he, she, or they have been duly authorized by PERFORMING AGENCY to execute this contract on behalf of
PERFORMING AGENCY and to validly and legally bind PERFORMING AGENCY to all of its terms,
performances, and provisions.
PERFORMING AGENCY assures compliance with this contract, including these General Provisions unless
otherwise specified in the Attachment(s) to this document:
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. Fundin
This contract is contingent upon the availability of funding for each Attachment for the term of the Attachment.
PERFORMING AGENCY will 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 only be amended 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
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.
(LGS) 1999 GENERAL PROVISIONS Page 1 4/98
7
ARTICLE 5. 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 6. 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, Vernon's
Texas Codes Annotated (VTCA), 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 Agreement, 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 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 lobby Congress or any agency in
connection with a specific grant or contract (31 USC § 1352 and UGMS). If at any time this contract exceeds
$100,000, regardless of funding, the PERFORMING AGENCY shall certify to RECEIVING AGENCY within 90
days of receipt of the executed contract that none of the funds provided by RECEIVING AGENCY have been used
for payment to lobbyists and the names of any and all registered lobbyists with whom PERFORMING AGENCY
has an agreement. RECEIVING AGENCY will supply the certification form to PERFORMING AGENCY upon
request.
ARTICLE 7. 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;
• 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
10. it is not subject to an outstanding judgment in a suit against PERFORMING AGENCY for
collection of the balance of a debt.
(LGS) 1999 GENERAL PROVISIONS Page 2 4198
Where the 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 S. 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;
► Title IX ofthe Education Amendments of 1972, as amended, 20 USC §§ 1681-1683, and 1685-1686,
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.;
► The Age Discrimination Act of 1974, as amended, 42 USC §§6101-6107, which prohibits
discrimination on the basis of age;
► The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse;
► The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act
of 1970 (P.L. 91-616), 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 §290 dd-2, as amended, relating to
confidentiality of alcohol and drug abuse patient records;
► Title VIII of the Civil Rights Act of 1968, 42 USC §3601 et seq., as amended, relating to
nondiscrimination in the sale, rental or financing of housing; and,
► The requirements of any other nondiscrimination statute(s).
Collectively, such requirements obligate RECEIVING AGENCY to provide services without discrimination on the
basis of race, color, national origin, age, sex, or disability. PERFORMING AGENCY agrees that in carrying out
the terms of this contract, it will do so in a manner which will assist RECEIVING AGENCY to comply 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, VTCA, 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 et seq. 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.
aGS) 1999 GENERAL PROVISIONS Page 3 4/98
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, as amended, 42 USC §§288 et seq. and 6601 (P.L.
93-348 and P.L. 103-43) regarding the protection of human subjects involved in research, development,
and related activities supported by any applicable award of federal assistance.
E. The Clinical Laboratory Improvement Amendments of 1988, 42 USC §263x, which establish federal
requirements for the regulation and certification of clinical laboratories.
F. The Occupational Safety and Health Administration Regulations on Blood Bome Pathogens, 56 Fed.
Reg. 64175 (1991), 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 (TRCS), as amended, pertaining to standards which
eliminate architectural barriers for persons with disabilities.
I. Health and Safety Code §165.004 (Vernon's Supp. 1998), 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.
J. Environmental standards pursuant to the following:
(1) Institution of environmental quality control measures under the National Environmental Policy Act
of 1969, 42 USC §§4321-4347 (P.L. 91-90) 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.
(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,
as amended, 42 USC §§300f -300j (P.L. 93-523).
(8) Protection of endangered species under the Endangered Species Act of 1973, as amended (P.L. 93-
205).
K. The Hatch Political Activity Act, 5 USC §7321-29, 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, 75th Legislature, 1997, Article IX, §33 "Limitation on
Grants to Units of Local Government." For the purpose of §33, "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, Vernon's 1994, relating to nepotism.
O. Texas Government Code, Chapter 552, Vernon's 1994, relating to open records and public information.
P. Texas Government Code, Chapter 551, Vernon's 1994, relating to open meetings.
(LGS) 1999 GENERAL PROVISIONS Page 4 4/98
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 will insure that the facilities under its ownership, lease or supervision which shall be
utilized in the accomplishment of the project are not listed on the Environmental Protection Agency's (EPA) list
of Violating Facilities and that it will 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 will comply with the flood insurance purchase requirements of 102(a) of the Flood
Disaster Protection Act of 1973 (P.L. 93-234). Section 102 (a) requires the purchase of flood insurance in
communities where the insurance is available as a condition for the receipt of any Federal financial assistance for
construction or acquisition proposed for use in any area that has been identified by the Secretary of the Department
of Housing and Urban Development as an area having special flood hazards.
PERFORMING AGENCY agrees to comply with the requirements of the Texas Workers' Compensation Act,
Labor Code, Chapters 401-406, VTCA, 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 insure that all terms, conditions, and specifications are
met.
PERFORMING AGENCY will 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 Attachment(s), and with the applicable standard
conditions or assurances prescribed by UGMS in "Part III -State Uniform Requirements for Grants and Cooperative
Agreement, Subpart B -Pre-Award Requirements, _. 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 9. Year -2000 Certifi
PERFORMING AGENCY certifies that any supplied or supported hardware, software, firmware and micro code
products used individually or together as a system .to comply with RECEIVING AGENCY contract requirements
will be year -2000 -compliant on or before the date such hardware, software, firmware and systems are to be
impacted. Year -2000 -compliant means that such product operates "accurately" in the manner in which it was
intended as it relates to date related operations when given a "valid date" containing century, year, month, and day.
For purposes of this Article, "accurately" is defined to include the following: 1) calculations using dates must
execute using a four -digit year; 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)
successful translation into year -2000 with the correct system date (e.g., 1/1/2000) without human intervention; 5)
(LGS) 1999 GENERAL PROVISIONS Page 5 4/98
processing with a four -digit year after transition to any beyond the year -2000 without human intervention; 6)
providing correct results in forward and backward date calculation spanning century boundaries; 7) a leap year must
be calculated correctly; and 8) processing correct results in forward and backward date calculation spanning century
boundaries must be provided, including the conversion of previous years currently stored as two digits.
"Valid date" contains a two -digit month, a two -digit day and a four -digit year.
PERFORMING AGENCY and its subrecipient(s) as licensee(s) must obtain a warranty from any licensor from
which it obtains software that any software licensed prior to, during, or after calendar year -2000, that includes or
shall include, at no added cost to PERFORMING AGENCY or its subrecipient(s), design and performance so that
PERFORMING AGENCY and its subrecipient(s) shall not experience software abnormally ending and/or invalid
and/or incorrect results from the software in the operation of the business of the PERFORMING AGENCY or its
subrecipient(s) as it pertains to RECEIVING AGENCY. The software design to ensure year -2000 compatibility
shall include date data century recognition, calculations that accommodate same century and multi -century
formulas and date values, and date data interface values that reflect the century. If PERFORMING AGENCY
purchases specific products to perform as a system, then the warranty shall apply to those listed products as a
system. The remedies available to the PERFORMING AGENCY under the warranty shall include repair or
replacement of any supplied product, in addition to and notwithstanding any commercial warranty or warranties.
Nothing in this warranty shall be considered to limit any rights or remedies that PERFORMING AGENCY may
otherwise have with respect to defects other than year -2000 performance.
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 10. Certification Regarding License Certificate or Permit
RECEIVING AGENCY may pay PERFORMING AGENCY only for personnel who are duly licensed and/or
qualified to perform required services.
PERFORMING AGENCY certifies that no owner, operator, or administrator of the PERFORMING AGENCY has
had a license, certificate, or permit revoked by any of the Texas state agencies listed below Q 163 of Article IX of
the General Appropriations Act, 75th Legislature):
• Adjutant General's Department
• Board of Private Investigators and Private Security Agencies
• Interagency Council on Early Childhood Intervention
• Texas Alcoholic Beverage Commission -
• Texas Cancer Council, , . ."
• Texas Children's Trust Fund of Texas Council
• Texas Commission for the Deaf and Hard of Hearing
• Texas Commission on Alcohol and Drug Abuse
• Texas Commission on Jail Standards
• Texas Commission on Law Enforcement Officers Standards & Education
• Texas Commission on Fire Protection
• Texas Council on Sex Offender Treatment
• Texas Criminal Justice Policy Council
• Texas Department of Criminal Justice
• Texas Department of Human Services
(LGS) 1999 GENERAL PROVISIONS Page 6 4/98
• Texas Department of Mental Health & Mental Retardation
• Texas Department of Protective and Regulatory Services
• Texas Department of Public Safety
• Texas Department of Health
• Texas Health & Human Services Commission
• Texas National Guard Armory Board
• Texas Polygraph Examiners Board
• Texas Rehabilitation Commission
• Texas Youth Commission
ARTICLE 11. 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 charge 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.
In addition, PERFORMING AGENCY shall bill third party payers, at no cost to the client, for services provided-
under
rovidedunder the Attachment(s). These potential payers include, but are not limited to, Medicaid, private insurance carriers,
and other available federal, state, local, and private funds. PERFORMING AGENCY shall become a Medicaid
provider for eligible activities funded in the Attachment(s) and will maximize efforts to obtain payment from
Medicaid and all other available sources.
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 12. 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:
(LGS) 1999 GENERAL PROVISIONS Page 7 4/98
Applicable Cost Principles* I Audit Requirements* 1 Administrative
IRequirements*
OMB Circular A-87, State & I OMB Circular A-133 I UGMS
Local Governments
OMB Circulars shall be applied with the modifications prescribed by UGMS.
PERFORMING AGENCY must have incurred a cost within the applicable Attachment term to be eligible for
reimbursement under this contract. PERFORMING AGENCY must incur cost(s) prior to requesting reimbursement
under this contract. No later than 90 days after the end of the applicable Attachment term, RECEIVING AGENCY
must receive vouchers from PERFORMING AGENCY for costs encumbered by the last day of the applicable
Attachment term. Reimbursement requests submitted and postmarked more than 90 days following the end of the
applicable Attachment term mayor may not be reimbursed, at the discretion of RECEIVING AGENCY.
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 13. 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 14. Terms and Conditions of PUmen
For services ` satisfactorily performed pursuant to this contract, RECEIVING AGENCY will reimburse
PERFORMING AGENCY for allowable costs. Reimbursements are contingent on a signed contract and will not
exceed the total of each Attachment(s). The PERFORMING AGENCY is entitled to payment only if the service,
work, and/or product has been satisfactorily performed and authorized in accordance with this contract.
PERFORMING AGENCY must submit requests for reimbursement on a State of Texas Purchase Voucher (TDH
Form B-13) or any other form designated by RECEIVING AGENCY. PERFORMING AGENCY shall submit
vouchers for reimbursement monthly within 30 days following the end of the month covered by the bill.
PERFORMING AGENCY shall submit a reimbursement request as a final close out bill not later than 90 days
following the end of the applicable Attachment term(s). Reimbursement requests submitted and postmarked more
(LGS) 1999 GENERAL PROVISIONS Page 8 4/98
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 additional cash payments from RECEIVING AGENCY.
As of September 1, 1998, PERFORMING AGENCY is required to be placed on Direct Deposit status in accordance
with Texas Government Code, §403.016(c), VTCA. PERFORMING AGENCY will no longer receive copies of
vouchers.
Funding from this contract may not be used to supplant 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 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, with the same funding source in amounts necessary to fulfill PERFORMING AGENCY
repayment obligations.
ARTICLE 15. Advance Pavment
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. RECEIVING AGENCY may approve the advance request for each
Attachment. PERFORMING AGENCY must request the advance on a State of Texas Purchase Voucher at the
beginning of the applicable Attachment period or at a later time in the applicable Attachment period if
circumstances so warrant.
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 an amount equal to 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, RECEIVING AGENCY may make an
upward or downward adjustment to the 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) 1999 GENERAL PROVISIONS Page 9 4/98
ARTICLE 16. 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 Chapter 12, Subchapter D, Health
and Safety Code, VTCA; 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 specified in the Financial Reports Article of these
provisions.
PERFORMING AGENCY will utilize one of the following methods for applying program income:
L Additive method - add the program income to the funds already committed to the project by both
parties. Program income will be used by the 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.
2. Deductive method - deduct the program income from the total allowable costs to determine the net
allowable costs.
RECEIVING AGENCY may base future funding levels, in part, upon the PERFORMING AGENCY's proficiency
in identifying, billing, collecting, and reporting program income, and in utilizing it for the purposes and conditions
of the applicable Attachment(s).
ARTICLE 17. Financial Reports
Financial reports are required as provided in UGMS, and PERFORMING AGENCY shall file them regardless of
whether expenses have been incurred.
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 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 file a State of Texas Purchase
Voucher if all costs have not been recovered. Failure to timely, file may result, in� RECEIVING- AGENCY
disallowing payment. PERFORMING AGENCY shall refund excess monies if costs incurred were less than funds
received.
ARTICLE 18. Reports and Inspections
PERFORMING AGENCY shall submit the financial, program, and progress reports required by RECEIVING
AGENCY in the format agreed to by the parties. PERFORMING AGENCY shall provide RECEIVING AGENCY
other reports RECEIVING AGENCY determines to be necessary to accomplish the objectives of this contract. If
PERFORMING AGENCY is legally prohibited from providing such reports, it shall immediately notify
RECEIVING AGENCY.
(LGS) 1999 GENERAL PROVISIONS Page 10 4/98
RECEIVING AGENCY and, when federal fiords are involved, any authorized representative(s) of the federal
government have the right, at all reasonable times, to inspect or otherwise evaluate the work (including reviews
of client or patient records and discussions with staff) performed by PERFORMING AGENCY and its
subrecipient(s), if any, and the premises on which the work is being performed. PERFORMING AGENCY and its
subrecipient(s) shall participate in inspections and provide reasonable access, facilities, and assistance to the
representatives. All inspections and evaluations will be performed 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.
PERFORMING AGENCY will retain all records 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, whichever time period is
longer.
ARTICLE 19. Client Records
Notwithstanding any other provision herein, if requested by RECEIVING AGENCY, the PERFORMING
AGENCY shall share all patient information with RECEIVING AGENCY when the contract involves patient care
by the PERFORMING AGENCY.
RECEIVING AGENCY may require the 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 on a form provided by RECEIVING AGENCY or as otherwise authorized
by law, including the Texas Medical Practice Act, Article 4495b, TRCS.
(LGS) 1999 GENERAL PROVISIONS Page 11 4/98
ARTICLE 20. 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 may not disclose or transfer confidential client or patient information, including
information required by the Reports and Inspections Article, except in accordance with applicable law.
If providing direct client care, services, or programs, PERFORMING AGENCY shall implement RECEIVING
AGENCY's workplace policies based on the model guidelines, and PERFORMING AGENCY shall educate
employees and clients concerning the human immunodeficiency virus (HIV) and its related conditions, including
acquired immunodeficiency syndrome (AIDS), in accordance with the Health and Safety Code, §§85.112-114,
VTCA.
ARTICLE 21. Equipment and Supplies
In accordance with Health & Safety Code, §12.053, VTCA, 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 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, medical equipment, laboratory equipment, and printers. If the unit cost of these
exception items is more than $500, they will still be considered equipment, must be approved for purchase, and are
considered capital assets for inventory purposes. Medical and laboratory equipment in this category is defined as
microscopes, oscilloscopes, centrifuges, balances, and incubators. Medical and laboratory equipment not included
in these five categories is not considered a capital asset unless the unit value is more than $1,000. Supplies which
may be necessary to carry out the contract include medical supplies, drugs, janitorial supplies, office supplies,
patient educational supplies, software less than $500, plus any equipment with a purchase price including freight
not to exceed $1,000 per item, except those defined as "equipment."
Unless initially listed and approved in the Attachment(s), prior written approval from RECEIVING AGENCY is
required for any changes to approved equipment purchases meeting the above equipment definition. To receive
approval to purchase data processing hardware and software or enhancements, PERFORMING AGENCY must
submit a detailed justification which includes description of features, make and model, and cost, etc.
PERFORMING AGENCY shall maintain a property 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 the PERFORMING AGENCY.
(LGS) 1999 GENERAL PROVISIONS Page 12 4/98
ARTICLE 22. Contracts with Subrecipients
PERFORMING AGENCY may enter into contracts with subrecipients unless restricted or otherwise prohibited in
specific Attachment(s). PERFORMING AGENCY is responsible to RECEIVING AGENCY for the performance
of any subrecipient.
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);
• access to inspect the work and the premises on which any of the work is performed, in accordance
with the Reports and Inspections Article contained in this contract; and
• all clauses required by statelfederal 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.
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.
PERFORMING AGENCY shall ensure that:
• all subrecipients are fully aware of the requirements imposed upon them by state/federal statutes
and regulations;
• all subrecipients comply with all financial management requirements as defined by RECEIVING
AGENCY and the applicable OMB circulars;
• subrecipients complete required audits;
• an adequate tracking system is maintained to ensure timely receipt of any subrecipient's required
audit reports and the resolution of any findings and questioned costs cited by these reports.
ARTICLE 23. Contracts for Procurement
PERFORMING' AGENCY may enter into contracts for procurement unless -restricted or otherwise prohibited in
specific Attachment(s). PERFORMING AGENCY agrees that it shall be responsible to RECEIVING AGENCY
for the performance of any subcontracted activity.
Contracts for procurement shall be in writing and must contain the following provisions:
Administrative, contractual, or legal remedies in instances where contractors violate or breach
contract terms, and provide for such sanctions and penalties as may be appropriate. (Contracts
other than small purchases.)
(LGS) 1999 GENERAL PROVISIONS Page 13 4/98
• Termination for cause and for convenience by the 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 awarding agency requirements and regulations pertaining to reporting.
• Notice of awarding agency requirements and regulations pertaining to patent rights with respect
to any discovery or invention which arises or is developed in the course of or under such
contract.
• Awarding agency requirements and regulations pertaining to copyrights and rights in data.
• Access by the grantee, the subgrantee, 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 three years after grantees or subgrantees make final
payments and all other pending matters are closed.
• Compliance with all applicable standards, orders, or requirements issued under §306 of the
Clean Air Act (42 USC § 1857(h)), §508 of the Clean Water Act (33 USC § 1368), Executive
Order 11738, and Environmental Protection Agency regulations (40 CFR Part 15). (Contracts,
subcontracts, and subgrants of amounts in excess of $100,000.)
• Mandatory standards and policies relating to efficiency which are contained in the state energy
plan issued in compliance with the Energy Policy and Conservation Act (Pub. L. 94-163).
ARTICLE 24. Copyrights Publications and Patents
Texas Health and Safety Code § 12.020(a), VTCA, 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. 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" 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 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.
(LGS) 1999 GENERAL PROVISIONS Page 14 4/98
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 awardingagencvl" or "The project described was supported by grant number from
(federal awarding agency)" and "Its contents are solely the responsibility of the authors and do not necessarily
represent the official views of the (federal awarding agency)."
In the event the terms of a federal grant award the copyright to the PERFORMING AGENCY, RECEIVING
AGENCY reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use,
and to authorize others to use, for RECEIVING AGENCY and state 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 grantee, subgrantee or a contractor purchases ownership with grant support.
PERFORMING AGENCY may publish the results of the contract performance at its expense with prior
RECEIVING AGENCY review and approval. If RECEIVING AGENCY owns the copyright, any publication
should include "D Texas Department of Health, 1100 West 49th Street, Austin, Texas, (the year of publication),
All Rights Reserved." If the 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 25. 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 the
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 AGENCYs employees, either
individually or in concert with others, and/or 2), failure of PERFORMING AGENCY or any of its employees to
perform faithfully his/her duties or to account properly for all monies and property received by virtue of his/her
position or employment.
ARTICLE 26. Historically Underutilized Businesses
RECEIVING AGENCY shall comply with Texas Government Code, Chapter 2161, VTCA, and 1 TAC §§ 111.11-
111.24 whereby state agencies are required to make a good faith effort to assist historically underutilized businesses
(HUBS) in receiving contract awards issued by the state to purchase "goods," which are defined as "supplies,
materials, or equipment," services, or public works.
(LGS) 1999 GENERAL PROVISIONS Page 15 4/98
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.
PERFORMING AGENCY and its subrecipient(s), if any, are encouraged to use minority banks (a bank which is
owned at least 50 percent by minority group members).
ARTICLE 27. Sanctions
RECEIVING AGENCY may impose sanctions for any breach of contract. PERFORMING AGENCY will be
monitored both for 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 the PERFORMING
AGENCY's authority to obligate previously awarded funds before that authority would otherwise expire
or the voluntary relinquishment by the PERFORMING AGENCY to obligate previously awarded funds.
PERFORMING AGENCY costs resulting from obligations incurred by the 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 the grantee's
underestimate of the unobligated balance in a prior period; (2) withdrawal of the unobligated balance as
of the expiration of a grant; (3) refusal to extend a grant or award additional funds, to make a competing
or noncompeting continuation, renewal, extension, or supplemental award; or (4) voiding of a grant 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 the PERFORMING AGENCY's authority to obligate funds pending corrective action by
the 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 grant
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 the
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 grant
conditions or indebtedness to the United States or to the State of Texas;
(LGS) 1999 GENERAL PROVISIONS Page 16 4198
M
E. permanently withhold cash payments. Permanently withholding of cash payment means that
RECEIVING AGENCY retains funds billed by the PERFORMING AGENCY or its subrecipient(s) for
a) unallowable, undocumented, disputed, inaccurate, improper, or erroneous claims; b) failure to comply
with grant award conditions; 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 for a certain period of
time not to exceed five years;
G. delay contract execution with the PERFORMING AGENCY while other proposed sanctions are pending
resolution;
H. place the PERFORMING AGENCY on probation. Probation means that the 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 the PERFORMING AGENCY;
I. conduct accelerated monitoring of the PERFORMING AGENCY. Accelerated monitoring means more
frequent or more extensive monitoring will be performed by RECEIVING AGENCY than would
routinely be accomplished;
J. require the 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 the PERFORMING AGENCY;
M. require additional, more detailed, financial and/or programmatic reports to be submitted by
PERFORMING AGENCY;
N. demand repayment from the 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 provide services
as set out in the contract; and
P. impose other remedies provided by law.
RECEIVING AGENCY will formally notify the 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 the PERFORMING AGENCY will correct the noncompliance or demonstrating that the findings on which
the sanctions are based are either invalid or do not warrant the sanction(s).
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) 1999 GENERAL PROVISIONS Page 17 4/98
contract execution by delivering written notice to a 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 28. Sanction Review
The 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: (i) a copy of the letter from RECEIVING AGENCY
notifying PERFORMING AGENCY of the sanction; (ii) a specific description of each act that is the basis for the
dispute; (iii) the grounds upon which PERFORMING AGENCY bases the complaint; (iv) an identification of the
issue or issues to be resolved; (v) a precise statement of the relevant facts; (vi) any documentation in support of
PERFORMING AGENCY's position; and (vii) a statement and authorities in support of PERFORMING
AGENCY's position.
Evidence that PERFORMING AGENCY properly notified the RECEIVING AGENCY consists of any of the
following documents: (i) signature on delivery card; (ii) confirmation of a facsimile to correct telephone number;
or (iii) 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 the 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
(LGS) 1999 GENERAL PROVISIONS Page 18 4/98
means. The decision of the reviewer(s) is final and is the final action of RECEIVING AGENCY for purposes of
further proceedings.
A state statute or rule or a federal statute, regulation or guideline will prevail over the provisions of this Article
unless the statute, rule, regulation or guideline can be read together with the provision or provisions of this Article
to give effect.to both.
ARTICLE 29. 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 risky conduct by giving at least 30 days written notice to PERFORMING AGENCY. "Risky
conduct" may include one or more of the following:
(a) A court of competent jurisdiction finds that the 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;
(LGS) 1999 GENERAL PROVISIONS Page 19 4/98
(d) RECEIVING AGENCY determines that the PERFORMING AGENCY is without the
personnel or resources to perform under the contract;
(e) RECEIVING AGENCY determines that PERFORMING AGENCY, its agent or another
representative offered or gave a gratuity (e.g., an entertainment or gift) to an official or
employee of RECEIVING AGENCY for the purpose of obtaining a contract or favorable
treatment;
(f) PERFORMING AGENCY's management system does not meet the UGMS management
standards; or
(g) PERFORMING AGENCY appears to be financially unstable. Indicators of financial
instability may include one or more of the following:
(i) PERFORMING AGENCY fails to make payments;
(ii) PERFORMING AGENCY makes an assignment for the benefit of its creditors;
(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 general accepted accounting principles.
C. Emergency termination. RECEIVING AGENCY may terminate the contract immediately upon notice
to PERFORMING AGENCY in an emergency 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 the
PERFORMING AGENCY to retain records and maintain confidentiality of information shall survive this contract.
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.
(LGS) 1999 GENERAL PROVISIONS Page 20 4/98
ARTICLE 31. 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 32. mal Health Department Personnel
All local health department personnel funded by Attachment(s) to this contract are employees of PERFORMING
AGENCY which will be responsible for their direction and control and liable for any of their acts or omissions.
PERFORMING AGENCY will have in place legally sufficient due process hearing procedures for all of its
employees filling state budgeted positions.
PERFORMING AGENCY will have full authority to employ, promote, suspend, demote, discharge, and transfer
within its organization any and all state budgeted personnel funded by Attachment(s) to this contract provided,
however, that any demotion, suspension, or discharge of such state budgeted employees will be in accordance with
the due process hearing procedures as set out above. The only distinction between state budgeted and local paid
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.
aGS) 1999 GENERAL PROVISIONS Page 21 4/98
ARTICLE 33. Funding i ipa i n eq m n
PERFORMING AGENCY agrees funds provided through this contract will not be used for matching purposes in
securing other funding unless otherwise directed or approved by RECEIVING AGENCY.
ARTICLE 34. 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 officers or employees, or any other entity or person involved in any way in any
project that is the subject of this contract.
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.
ARTICLE 36. 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 UMMMUS FROM SUIT OR FROM LIABILITY
THAT THE PARTIES OR THE STATE OF TEXAS MAY HAVE BY OPERATION OF LAW.
ARTICLE 37. 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) 1999 GENERAL PROVISIONS Page 22 4/98
DOCUMENT NO. 7560005906 -99
ATTACHMENT NO. 02
PERFORMING AGENCY: LUBBOCK CITY HEALTH DEPARTMENT
RECEIVING AGENCY PROGRAM: TUBERCULOSIS ELIMINATION DIVISION
TERM: September 01, 1998 THRU: August 31, 1999
SECTION I. SCOPE OF WORK:
PERFORMING AGENCY shall develop and provide: (1) basic services for tuberculosis (TB)
prevention and control and (2) expanded outreach services to individuals of identified sub -groups
who have TB or who are at high risk of developing TB throughout PERFORMING AGENCY'S
defined service area. PERFORMING AGENCY shall perform the following activities:
A. Provide basic and expanded outreach services in compliance with RECEIVING AGENCY'S
Standard of Performance (Second Edition, May 1997) and the following series of American
Thoracic Society (ATS) and Centers for Disease Control and Prevention (CDC) "Joint
Statements" on diagnosis, treatment and control of tuberculosis:
• Treatment of Tuberculosis and Tuberculosis Infection in Adults and Children
(American Journal Respiratory Critical Care Medicine, Vol. 149, pp 1359-1374,
1994)
• Control of Tuberculosis
(American Review Respiratory Disease, Vol. 146, pp. 1623-33, 1992)
• Diagnostic Standards and Classification of Tuberculosis
(American Review Respiratory Disease, Vol. 142, pp. 725-35, 1990)
• Centers for Disease Control and Prevention Screening for Tuberculosis and -
Tuberculosis in High Risk Populations
(MMWR, September 8, 1995, Vol. 44, No. RR -11)
These documents are incorporated herein by reference and made a part of this Attachment.
B. Accomplish the following objectives during the period of this Attachment in accordance with
PERFORMING AGENCY'S approved service delivery plan.
1. Management of Cases and Suspected cases. PERFORMING AGENCY shall assure that
the following basic case management components are conducted for all confirmed and
suspected TB cases:
• coordinate patient isolation until rendered non-infectious and educate patient;
• initial treatment of all TB cases with ATS/CDC recommended four -drug therapy,
unless contraindicated, and follow ATS/CDC treatment guidelines until therapy
is completed;
ATTACHMENT - Page 1
• all TB cases not placed on directly observed therapy (DOT) must have written
documentation in patient's medical record explaining deviation if record is
maintained at PERFORMING AGENCY;
• drug susceptibility testing and adjustment of treatment if drug resistance is found;
• obtaining a consult with RECEIVING AGENCY'S designated TB expert on all
drug resistant cases, providing written documentation in patient's medical record
indicating that the consult occurred and that PERFORMING AGENCY adhered
to advice or justification for deviations from the advice;
• obtaining a consult with RECEIVING AGENCY'S designated pediatric TB
expert on all complicated TB cases in children less than 15 years of age,
providing written documentation in patient's medical record indicating that the
consult occurred and that PERFORMING AGENCY adhered to advice or
justification for deviations from this advice;
• monthly monitoring for drug toxicity; and,
• providing human immunodeficiency virus (HIV) testing for all patients at high
risk for HIV.
2. Management of Contacts and Positive Reactors. PERFORMING AGENCY shall assure
that the following minimal patient management procedures will be conducted:
• examination of all household and other close contacts to suspected infectious TB
cases within 7 to 10 days of initial notification/diagnosis;
• evaluation of all contacts who are positive reactors for evidence of active disease.
Additional positive reactors may be evaluated as resources permit with emphasis
on high risk groups;
• use of directly observed preventive therapy (DOPT) for household contacts,
especially children under 15 years of age requiring preventive treatment; and,
• monthly monitoring for drug toxicity.
3. Surveillance. PERFORMING AGENCY shall design and implement surveillance
programs with health care providers throughout PERFORMING AGENCY'S defined
service area to ensure that all TB cases, suspected cases, and children less than 15 years
of age with TB infection are reported to the local health authority (LRA) or
RECEIVING AGENCY'S Regional Director in the absence of a LHA within one
working day of identification.
4. Infection Control. PERFORMING AGENCY shall have policies, procedures, and
facilities to prevent transmission of M. tuberculose in accordance with CDC's
"Guidelines for Preventing the Transmission of Mycobacterium Tuberculosis in Health -
Care Facilities," 1994 (Morbidity and Mortality Weekly Report, Vol. 43, No. RR -13,
ATTACHMENT - Page 2
pp. I-132 and revisions hereof). Prevention measures shall consist of a hierarchy of
controls, as specified in RECEIVING AGENCY'S Standard of Performance, including
administrative, environmental and personal protection.
5. Screening High Risk Populations. PERFORMING AGENCY shall implement TB
screening activities in identified high risk populations including:
• foreign -born persons from areas of high TB incidence;
• medically underserved, low-income populations, including high risk racial and
ethnic groups;
• persons with HIV infection or acquired immune deficiency syndrome (AIDS),
and individuals at high risk for contracting HIV (e.g. injecting drug users, sex
for drugs); or,
• locally identified high prevalence groups (e.g. migrant farm workers, homeless
persons).
These screening programs shall be linked to appropriate follow-up efforts, as described
in CDC's "Screening for Tuberculosis and Tuberculosis Infection in High -Risk
Populations," 1995 (Morbidity and Mortality Weekly Report, Vol. 44, No. RR -11 and
revisions hereof). Effective working relationships shall be developed and maintained
with drug treatment centers, homeless shelters, and community-based organizations, jails
and prisons, and agencies providing services for migrants, foreign born, and HIV/AIDS
high-risk groups.
6. Professional Education. PERFORMING AGENCY shall assure that all new TB
personnel will receive 40 hours of tuberculosis program training relevant to their
position within 60 days of employment. Each year, employees shall receive 16 hours
of continuing TB education or training relevant to their position. The CDC's Self -Study
Modules on Tuberculosis shall be utilized in the initial training. Documentation of this
training shall be retained and made available upon request by RECEIVING AGENCY
Program.
RECEIVING AGENCY Program will provide administrative and technical assistance for the
implementation and operation of the service delivery plan.
PERFORMING AGENCY shall comply with the following:
• Texas Tuberculosis Code, Health and Safety Code, Chapter 13, Subchapter B, VTCA;
• Communicable Disease Prevention and Control Act, Health and Safety Code, Chapter 81,
VTCA;
• Communicable Disease, 25 TAC, Chapter 97; and
• Quality Care: Client Services Standards for Public Health and Community Clinics, revised
June 1997.
ATTACHMENT - Page 3
The following key outcome performance measures will be used to assess, in part, PERFORMING
AGENCY'S effectiveness in providing the services described in this contract Attachment, without
waiving the enforceability of any of the other terms of the contract.
90% of patients are on directly observed therapy (DOT)
• 90% of DOT doses are delivered to patients placed on drug therapy
• 80% of directly observed preventive therapy (DOPT) doses are delivered to patients placed
on preventive therapy
• 70% of contacts completing six (6) months of continuous preventive therapy
• 90% of contacts are initially evaluated
PERFORMING AGENCY shall report on these measures quarterly in the format provided by
RECEIVING AGENCY Program. In addition, PERFORMING AGENCY shall maintain
documentation and report quarterly on the support measures defined in the reporting format,
which are used to calculate key outcome performance measures. The reporting dates and
applicable quarters are:
December 31 (September -November)
March 31 (December -February)
June 30 (March -May)
September 30 (June -August)
PERFORMING AGENCY shall provide services to clients who live or receive services in the
following county(ies)\area: Lubbock.
SECTION H. SPECIAL PROVISIONS:
General Provisions, REPORTS AND INSPECTIONS Article, is revised to include the following:
PERFORMING AGENCY shall develop and submit a service delivery plan and detailed
budget justification for continuation of this Attachment during the next fiscal year. The plan
and budget shall be prepared in the format approved by RECEIVING AGENCY Program
and submitted to RECEIVING AGENCY Program, and the Regional Director, no later than
120 days prior to the end of this Attachment term. The plan shall describe PERFORMING
AGENCY'S service delivery and activities toward meeting the objectives outlined in
SECTION I.B. above, including updated key outcome performance measure targets and a
detailed line -item budget justification.
PERFORMING AGENCY shall mail all initial reports of confirmed TB cases, suspected TB
cases, and TB infection in children less than 15 years of age to RECEIVING AGENCY
Program within five (5) working days of identification or notification. Any updates to initial
TB -400B (e.g., diagnosis, medication changes, x-rays, and bacteriology) and case closures
will be mailed to RECEIVING AGENCY Program.
ATTACHMENT - Page 4
PERFORMING AGENCY shall mail reports of contacts on all Class 3 TB cases and smear
positive Class 5 TB suspects within four (4) weeks of identification of Class 3 and 5 and
submit information using the TB -340 standard form. All subsequent contacts shall be mailed
as contacts are identified.
General Provisions, TERMS AND CONDITIONS OF PAYMENT Article, is revised to include
the following:
Funding from this Attachment shall not be used to supplant state or local funds, but
PERFORMING AGENCY shall use such funds to increase state or local funds currently
available to PERFORMING AGENCY under this Attachment. PERFORMING AGENCY
shall maintain local funding at a sufficient rate to support the local program. If the total
costs of the project are greater than RECEIVING AGENCY share set out in SECTION III.
BUDGET, PERFORMING AGENCY shall obtain funds for the remaining costs in order
to accomplish the objectives set forth in this Attachment.
General Provisions, PROGRAM INCOME Article, is revised to include the following:
All revenue generated by this Attachment or earned as a result of this Attachment during the
term of this Attachment is considered program income, including income generated through
Medicaid billings for TB -related clinic services. PERFORMING AGENCY may use the
program income, excluding program income earned from Medicaid billings for TB drugs,
to further the scope of work detailed in this Attachment. This program income may not be
used to supplant existing local, state or federal program funds.
Program income earned from Medicaid billings for TB drugs, which have been provided by
RECEIVING AGENCY Program to PERFORMING AGENCY, must be reported and
reimbursed to RECEIVING AGENCY Program on a quarterly basis as follows:
December 31 September -November
March 31 December -February
June 30 March -May
September 30 June -August
RECEIVING AGENCY Program has provided PERFORMING AGENCY with the format
to be used for reporting. All reimbursements from PERFORMING AGENCY shall be
mailed to:
Texas Department of Health
Attention: Tuberculosis Elimination Division
1100 West 49th Street
Austin, Texas 787576-3199
RECEIVING AGENCY Program will verify reimbursements received from PERFORMING
AGENCY with the amounts paid by its Medicaid Contractor to PERFORMING AGENCY.
Below are the set drug portion rates for the Medicaid billing codes to be utilized during the
term of this Attachment.
ATTACHMENT - Page 5
Rate
Medicaid Billing Code
$180.48
1-8137X, 1-8237X, 1-8437X, and 1-
8432X
$1.20
1-8118X, 1-8218X, 1-8413X, and 1-8418X
$23.40
1-8439X and 1-8434X
$788.04
1-8450X and 1-8435X
A final settlement of the reimbursements to RECEIVING AGENCY for TB drugs will be
completed no later than 45 days after the Attachment term.
Outreach workers employed under this Attachment should be recruited from the same
racial/ethnic, cultural, and social groups as the patients for whom outreach activities are
directed, whenever possible.
RECEIVING AGENCY Program must distribute funds in a way that will maximize the
delivery of authorized services to eligible clients. RECEIVING AGENCY Program will
monitor PERFORMING AGENCY'S expenditures on a quarterly basis. If expenditures are
below that projected in PERFORMING AGENCY'S total contract amount as shown in
Section III. BUDGET, PERFORMING AGENCY'S budget may be subject to a decrease
for the remainder of the Attachment term. Vacant positions existing after ninety (90) days
may result in a decrease in funds.
ATTACHMENT - Page 6
SECTION III. BUDGET:
PERSONNEL
$16,582.00
FRINGE BENEFITS
0.00
TRAVEL
1,152.00
EQUIPMENT
0.00
SUPPLIES
403.00
CONTRACTUAL
0.00
OTHER
1,107.00
TOTAL DIRECT CHARGES $19,244.00
INDIRECT CHARGES 829.00
TOTAL $20,073.00
Total reimbursements will not exceed $ 20,073.00.
Financial status reports are due the 30th of December, 30th of March, 30th of June, and the 15th
of October.
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 7
DOCUMENT NO. 7560005906-99
ATTACHMENT NO. 03
PERFORMING AGENCY: LUBBOCK CITY HEALTH DEPARTMENT
RECEIVING AGENCY PROGRAM: OFFICE OF REGIONAL ADMIN. SERVICES
TERM: September 01, 1998 THRU: August 31, 1999
SECTION I. SCOPE OF WORK:
ESSENTIAL PUBLIC HEALTH SERVICES
PERFORMING AGENCY shall use direct assistance and/or financial assistance, as specified in
SECTION III., BUDGET, from RECEIVING AGENCY to deliver one or more of the following
essential public health services as specified in PERFORMING AGENCY'S FY 99 Service
Delivery Plan which is adopted by reference:
• Monitor health status to identify community health problems;
• Diagnose and investigate health problems and health hazards in the community;
• Inform, educate, and empower clients about health status;
• Mobilize community partnerships to identify and solve health problems;
• Develop policies and plans that support individual and community health efforts;
• Enforce laws, rules, regulations, and ordinances, where applicable, that protect
health and ensure safety;
• Link clients to needed personal health services and assure the provision of health
care when otherwise unavailable;
• Assure a competent public health and personal health care work force;
• Evaluate effectiveness, accessibility, and quality of personal and population -based
health services; and
• Research for new insights and innovative solutions to health problems.
Two types of support are provided under this program: (1) direct assistance in the form of
state -paid positions and/or (2) financial assistance from General Revenue funds and the Preventive
Health and Health Services Block Grant.
STATE -PAID POSITIONS
State -paid positions under this contract Attachment shall perform activities as specified in
PERFORMING AGENCY'S FY 99 Service Delivery Plan. Activities shall be specific to one of
the ten essential public health services or cardiovascular and cancer activities.
These positions report to and are directly supervised by PERFORMING AGENCY administrative
staff. Supervision authorization includes overseeing daily work assignments and duties, staff
development, evaluations, daily supervision, leave approval, promotions, and disciplinary actions
including termination of the employee.
FINANCIAL ASSISTANCE
ATTACHMENT - Page 1
PERFORMING AGENCY shall direct 73.5 % of the General Revenue funds toward the delivery
of a broad range of essential public health services and 26.5 % of the Preventive Health and Health
Services Block Grant funds for activities designed to reduce the incidence of cancer and
cardiovascular disease.
PERFORMANCE MEASURES
The following performance measures(s) will be used to assess, in part, PERFORMING
AGENCY'S effectiveness in providing the services described in this contract Attachment, without
waiving the enforceability of any of the other terms of the contract.
PERFORMING AGENCY shall submit quarterly progress reports which describe
accomplishments, challenges, barriers, impact and progress toward achieving the work plan goals
and objectives contained in PERFORMING AGENCY'S FY 99 Service Delivery Plan. These
reports shall include the progress and activities of the employees in state -paid positions under
the "000" budget.
SECTION U. SPECIAL PROVISIONS
General Provisions, REPORTS AND INSPECTIONS Article, is amended to include the following
paragraph:
PERFORMING AGENCY shall submit quarterly reports and an Annual Expenditures Report to
the appropriate Public Health Regional Director in the format specified by RECEIVING
AGENCY Program within thirty (30) days following the end of each quarter and sixty (60) days
following the end of PERFORMING AGENCY'S fiscal year.
ATTACHMENT - Page 2
SECTION III. BUDGET:
DIRECT ASSISTANCE
Direct assistance involves the assignment of state funded positions in lieu of cash. State salary
warrants for net earnings will be issued in accordance with state regulations.
PERSONNEL $24,192.00
TRAVEL 0.00
LABORATORY SUPPORT 0.00
OTHER 0.00
TOTAL $24,192.00
Financial status reports (FSRs) are not required on direct assistance. Program income generated
from activities supported with direct assistance will be reported on FSRs required for financial
assistance provided through this Attachment, if applicable, or through other program
Attachments(s) benefitting from this assistance.
RECEIVING AGENCY direct assistance will not exceed $ 24,192.00.
ATTACHMENT - Page 3
FINANCIAL ASSISTANCE
Financial assistance involves payment of funds to Performing Agency for costs incurred in
carrying out approved activities.
PERSONNEL
$849318.00
FRINGE BENEFITS
99800.00
TRAVEL
0.00
EQUIPMENT
0.00
SUPPLIES
0.00
CONTRACTUAL
0.00
OTHER
0.00
TOTAL $94,118.00
RECEIVING AGENCY financial assistance will not exceed $94,118.00.
TOTAL RECEIVING AGENCY assistance will not exceed $118,310.00.
Financial status reports are due the 30th of December, 30th of March, 30th of June, and the 15th
of October.
ATTACHMENT - Page 4
The undersigned certifies, to the best of his or her knowledge and belief that:
(1) No federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or an
employee of any agency, a member of congress in connection with the awarding of any
federal contract, the making of any federal grant, the making of any federal loan, the
entering into of any cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any federal contract, grant, loan, or cooperative
agreement.
(2) If any funds other than federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency,
a member of congress, an officer or employee of congress, or an employee of a member
of congress in connection with this federal contract, grant, loan, or cooperative agreement,
the undersigned shall complete and submit Standard Form -111, "Disclosure Form to
Report Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants, and
contracts under grants, loans and cooperative agreements) and that all subrecipients shall
certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction
was made or entered into. Submission of this certification is a prerequisite for making or entering into this
transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each
such failure.
11 IAVAIgg Au st 27, 1998
signature Date.
WIMY SITTCN, MAYOR
Print Name of Authorizedrvi ua
7560005906 99-03
Application or Contract Number
LUBBOCK CITY HEALTH DPARTM NT
Organization Name
P. O. BOX 2548
LUBBOCK, TX -7 408-2548
s
DOCUMENT NO. 7560005906-99
ATTACHMENT NO. 04
PERFORMING AGENCY: LUBBOCK CITY HEALTH DEPARTMENT
RECEIVING AGENCY PROGRAM: IMMUNIZATION DIVISION
TERM: September 01, 1998 THRU: August 31, 1999
SECTION I. SCOPE OF WORK:
The goal of RECEIVING AGENCY Program is to prevent, control, and eliminate indigenous
vaccine -preventable diseases by providing and administering biologicals, promoting
immunizations, and applying principles of epidemiology and outbreak control measures within
budgetary constraints.
PERFORMING AGENCY shall implement an immunization program for children, adolescents,
and adults, with special emphasis on children two years of age or younger (less than 36 months
of age). PERFORMING AGENCY will incorporate traditional and nontraditional, systematic
approaches designed to eliminate barriers, expand immunization delivery, and establish uniform
policies to immunize preschool -age children appropriately.
PERFORMING AGENCY will implement the "Standards for Pediatric Immunization Practices,"
February 1996, recommended by the National Vaccine Advisory Committee, approved by the
United States Public Health Service, and endorsed by the American Academy of Pediatrics.
PERFORMING AGENCY shall formulate and implement a comprehensive immunization policy
for all employees according to the most current Advisory Committee on Immunization Practices
(ACIP) statement: "Immunization of Health -Care Workers."
PERFORMING AGENCY shall submit a detailed personnel report by the first day of the fifth
month of this contract Attachment term to RECEIVING AGENCY Program, outlining positions
funded through this contract Attachment. The report will contain the following information:
• Position Title and Classification
• Monthly and Yearly Salary
• Job Description
• Percent of time allocated to each major job task
PERFORMING AGENCY will attend and participate in at least one seminar or training session
addressing the immunization requirements for children and students enrolled in Texas public and
private schools and licensed child-care facilities.
PERFORMING AGENCY shall investigate all suspected cases of invasive Haemophilus
influenzae disease in children less than 5 years of age and all suspected cases of measles, rubella,
pertussis, paralytic poliomyelitis, and diphtheria within 24 hours of receipt of the initial case
report. PERFORMING AGENCY shall investigate all suspected cases of mumps and tetanus
within 48 hours of receipt of the initial case report.
ATTACHMENT - Page 1
J r; ; ,
PERFORMING AGENCY shall complete all case investigation forms and provide complete
epidemiologic data on all reported cases of invasive Haemophilus influenzae disease in children
less than 5 years of age, and all reported cases of measles, mumps, rubella, congenital rubella
syndrome, pertussis, diphtheria, and paralytic poliomyelitis to RECEIVING AGENCY Program
within 30 days of the initial case report. PERFORMING AGENCY shall provide copies of
investigation forms to RECEIVING AGENCY Program.
PERFORMING AGENCY shall adhere to the Vaccine -Preventable Disease Surveillance
Guidelines provided by RECEIVING AGENCY Program and shall implement the most current
outbreak control procedures and measures as recommended in those guidelines.
PERFORMING AGENCY shall implement an immunization reminder and recall system to notify
parents or guardians of children when immunizations are due. The notifications may be
automated or manual and may include mailed or telephone contacts. Extra efforts shall be made
to notify parents or guardians of children at high-risk of failure to complete the vaccines on
schedule (e.g., children who start their vaccines late).
PERFORMING AGENCY shall provide immunization services outside usual clinic hours (which
Are 8:00 a.m. to 5:00 p.m., Monday through Friday) at least once each month or as needed to
assure barrier -free access to immunization clinics. PERFORMING AGENCY residency
requirements are not applicable under this contract Attachment. PERFORMING AGENCY shall
not deny vaccinations to recipients because they do not reside within PERFORMING AGENCY'S
jurisdiction.
PERFORMING AGENCY will maintain an accurate, up-to-date list of clinics and sites where
public sector (free or low cost) immunization services are offered in PERFORMING AGENCY'S
local area. PERFORMING AGENCY will update the clinic list monthly and provide the updates
to local area Temporary Aid to Needy Families (TANF) offices and to the Immunization
i Communication and Training Program of RECEIVING AGENCY.
No fee may be charged for vaccines provided by RECEIVING AGENCY Program. All vaccines
obtained from RECEIVING AGENCY Program shall be used solely for purposes of this contract
Attachment and shall not be sold to agencies or individuals.
! PERFORMING AGENCY shall not collect vaccine administration fees from Medicaid recipients.
Vaccine administration fees collected from non -Medicaid patients shall be kept within guidelines
established by RECEIVING AGENCY. No one may be denied immunization services in public
clinics because of inability to pay the administration fee. Fee schedules shall not be based on
Vaccine type, formulation, or dose in series..A copy of PERFORMING AGENCY'S fee schedule
'shall be submitted to RECEIVING AGENCY Program by the first day of the fifth month of this
oontract Attachment term.
;All equipment and vaccine used by PERFORMING AGENCY which are provided by
`RECEIVING AGENCY Program shall be accounted for the same as other public property.
;RECEIVING AGENCY Program may investigate equipment or vaccine loss, destruction,
;spoilage, or other waste and may then require PERFORMING AGENCY to replace or reimburse
RECEIVING AGENCY Program for them. t
ATTACHMENT - Page 2
PERFORMING AGENCY shall record vaccine lot numbers on all vaccine storage records and
in individual clinic immunization records to ensure a vaccine audit trail. PERFORMING
AGENCY shall provide RECEIVING AGENCY Program with a copy of any local agency audit
of immunization program funds and vaccines.
PERFORMING AGENCY shall submit a report to RECEIVING AGENCY Program for the
previous calendar year that details storage measures and methods used to control vaccine loss,
including methods to monitor and record daily vaccine storage temperatures. The report shall be
submitted by the first day of the fifth month of this contract Attachment term in a format provided
by RECEIVING AGENCY Program.
PERFORMING AGENCY will assist in distributing state -supplied vaccines to "Texas Health
Steps" providers, Medicaid providers, physicians, and other providers and organizations within
PERFORMING AGENCY'S local area.
PERFORMING AGENCY shall provide the parent, managing conservator, or guardian of each
patient with a form, developed by RECEIVING AGENCY Program in compliance with
25 TAC, Chapter 100. This form will allow the parent, managing conservator, or guardian to
authorize participation in the Immunization Tracking System (ImmTrac). When this form is
signed and returned to PERFORMING AGENCY, PERFORMING AGENCY shall comply with
the requirements of 25 TAC, Chapter 100 and provide an immunization history to RECEIVING
AGENCY Program.
PERFORMING AGENCY shall provide RECEIVING AGENCY Program weekly data transfers
Of all vaccines administered, detailed by client name, demographics, and dose information. The
data shall be submitted in a format provided by RECEIVING AGENCY Program for inclusion
in the state's immunization registry (ImmTrac).
PERFORMING AGENCY shall comply with all applicable federal, state, and local laws, rules
and regulations as these now appear or may be amended during the term of this contract
Attachment, and standards and guidelines in effect on the beginning date of this contract
Attachment. These include:
• Texas Human Resources Code §42.043, VTCA;
• Texas Education Code §§38.001-38.002, VTCA;
• Health and Safety Code §§81.023 and 161.001-161.009, VTCA;
• 25 TAC §§97.61-97.77 and 97.101-97.102;
• 25 TAC, Chapter 100;
• 42 USC §§247b and 300 as -25;
• Omnibus Budget Reconciliation Act of 1993, 26 USC §4980B; and
• Client Services Standards for Public Health and Community Clinics, revised
June 1997.
The following performance measure(s) will be used, in part, to assess PERFORMING
AGENCY'S effectiveness in providing the services described in this contract Attachment, without
waiving the enforceability of any of the terms of the contract.
ATTACHMENT - Page 3
" r
PERFORMING AGENCY shall provide an estimated 16,598 doses of vaccine to clients
who live or receive services in the following county(ies)/area defined as: Lubbock, and
surrounding counties.
PERFORMING AGENCY shall provide RECEIVING AGENCY Program monthly
reports of doses administered by vaccines and age group and vaccine utilization/loss.
Reports shall be submitted by the fifteenth day of each month for the previous calendar
month, on forms provided by RECEIVING AGENCY Program (forms C5, C33, C33A).
If automated reports are used by PERFORMING AGENCY, the report shall be similar
to and include the same information as the C5, C33, C33A forms. PERFORMING
AGENCY shall provide copies of each Biological Transfer Form (C-68) used to transfer
vaccines to another agency or private provider. Vaccine lot numbers shall be included on
all Biological Transfer Forms used to transfer vaccines.
PERFORMING AGENCY shall endeavor to achieve and maintain the following vaccine
coverage levels:
90% for diphtheria and tetanus toxoids and pertussis vaccine (DTP), diphtheria and
tetanus toxoids and acellular pertussis vaccine (DTaP), diphtheria and tetanus
toxoids (DT), polio, measles/mumps/rubella (MMR), and Haemophilus influenzae
type b conjugate (HibCV) vaccines in preschool age children; and
80% for hepatitis B.
PERFORMING AGENCY will implement and participate in RECEIVING AGENCY'S
Perinatal Hepatitis B Prevention Program following program protocol and providing
program services when HBsAg -positive pregnant women are identified in their service
area.
PERFORMING AGENCY will assist licensed child care facilities and registered family
homes in achieving and maintaining 90% immunization levels.
PERFORMING AGENCY will assist accredited public and private schools in achieving
and maintaining 95 % immunization levels.
PERFORMING AGENCY shall assess the clinical records of preschool -age children to
determine immunization levels. PERFORMING AGENCY shall use the Assessment
Feedback Initiative Exchange (AFI methodology to assess immunization records using
the Centers for Disease Control and Prevention (CDC) Clinic Assessment Software
Application (CASA) available from RECEIVING AGENCY Program. ,PERFORMING
AGENCY shall complete two (2) on-site assessments of all its facilities and one (1)
assessment on at least five (5) Texas Vaccines for Children (TVFC) private providers
within their jurisdiction during the term of this contract Attachment, using the criteria
specified in the attached Exhibit "A." One of these assessments may be conducted in
cooperation with RECEIVING AGENCY Program. Assessment results shall be reported
to RECEIVING AGENCY Program not more than two weeks=after the assessments are
completed. An electronic file (either a backup or transfer file) for each clinic assessment
shall contain the following information:
ATTACHMENT - Page 4
• Date of assessment
• Name and address of assessment site (including county and RECEIVING
AGENCY'S public health region)
• Contact name (preferably the name of individual from site who can be contacted
regarding assessment)
• E-mail address
• Telephone. number
• Fax number
• Name of organization
• Site(s) covered by filing system (WIC, hospitals, private providers, etc.)
• Description of files that were used for the assessment (e.g., card files, medical
records, ICES, data base)
• Agencies that participated in assessment
• Type of active reminder and recall system (e.g., automatic, manual)
SECTION U. SPECIAL PROVISIONS
Travel funds are provided for use only by persons assigned to RECEIVING AGENCY Program.
All out-of-state travel and travel for persons not assigned through this contract Attachment require
prior approval by RECEIVING AGENCY Program. Travel expenses shall be reimbursed in
accordance with PERFORMING AGENCY'S written travel policy; if PERFORMING AGENCY
does not have a travel policy in place, travel expenses shall be reimbursed according to State of
Texas travel regulations.
For immunization activities performed under this contract Attachment, General Provisions,
OVERTIME COMPENSATION Article, is not applicable, and PERFORMING AGENCY shall
comply with the following paragraphs:
PERFORMING AGENCY is authorized to pay employees who are not exempt under the
Fair Labor Standards Act (FLSA), 29 USC, Chapter 8, §201 et seq., for overtime or
compensatory time at the rate of time and one-half per FLSA.
PERFORMING AGENCY is authorized to pay employees who are exempt under FLSA
on a straight time basis for work performed on a holiday or for regular compensatory time
hours when the taking of regular compensatory time off would be disruptive to normal
business operations.
Authorization for payment under this provision is limited to work directly related to
immunization activities and shall be in accordance with the amount budgeted in this
contract Attachment.
PERFORMING AGENCY shall document proper authorization or approval for any work
performed by exempt or non-exempt employees in excess of 40 hours in a workweek.
ATTACHMENT - Page 5
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SECTION M. BUDGET:
PERSONNEL
FRINGE BENEFITS
TRAVEL
EQUIPMENT
SUPPLIES
CONTRACTUAL
OTHER
TOTAL
Total reimbursements will not exceed $ 68,356.00.
$51,236.00
17,120.00
0.00
0.00
0.00
0.00
0.00
$68,356.00
Financial status reports are due the 30th of December, 30th of March, 30th of June, and the 15th
of October.
ATTACHMENT - Page 6
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EMUBIT A
Assessments for these facilities can be automated using the (CASA) import feature. The
following -issues must be considered prior to an automated assessment:
Can only be used if complete immunization histories are entered into computer database.
* Methodology used for an automated assessment must be approved by RECEIVING
AGENCY as meeting contract requirements.
* Complete enumeration should be performed (i.e., CASA sampling feature is not used).
Assessment Criteria #1
CASA Assessment Site Requirements
CASA Client Information
Provider Review Date
FULL Last and First Name
Common Review Date: Same as Provider Review Date
Date of Birth (12-23 and 24-35 months of age from date of
Provider Type
assessment)
Name of Assessed Site
Moved or Gone Elsewhere
Reviewer Initials
Number of Medical Visits (Medical Charts Only)
Address
Shot Type
City, Zip Code
Shot Date
County Code
Gender
SS Number
Assessment Criteria #2
CASA Assessment Site Requirements CASA Client Information
Provider Review Date
FULL Last and First Name
Common Review Date: Same as Date of Assessment
Date of Birth (12-23 and 24-35 months of age from date of
Provider Type
assessment)
Name of Assessed Site
Moved or Gone Elsewhere
Reviewer Initials
Number of Medical Visits (Medical Charts Only)
Address
Shot Type
City, Zip Code
Shot Date
County Code
Gender
SS Number
Revised 5/98
*,l y
DOCUMENT NO. 7560005906 -99
ATTACHMENT NO. 05
PERFORMING AGENCY: LUBBOCK CITY HEALTH DEPARTMENT
RECEIVING AGENCY PROGRAM: BUREAU OF HIV AND STD PREVENTION
TERM: September 01, 1998 THRU: August 31, 1999
SECTION I. SCOPE OF WORK:
PERFORMING AGENCY shall conduct active surveillance and reporting activities for human
immunodeficiency virus/acquired immunodeficiency syndrome (HIV/AIDS).
PERFORMING AGENCY shall perform all activities in accordance with PERFORMING
AGENCY'S application, activities work plan and any revisions, and detailed budget as approved
by RECEIVING AGENCY Program. All of the above-named documents are incorporated herein
by reference and made a part of this Attachment. All revisions to said documents will be
approved by RECEIVING AGENCY Program and transmitted in writing to PERFORMING
AGENCY.
The activities required to carry out these projects are outlined in the Centers for Disease Control
and Prevention (CDC) Guidelines for HIV/AIDS Surveillance and RECEIVING AGENCY
Program's grant applications and awards by CDC which are the bases for this Attachment. Copies
have been provided to RECEIVING AGENCY Program.
PERFORMING AGENCY shall be responsible for soliciting reporting of HIV infections
occurring in children 0-12 years of age. PERFORMING AGENCY shall:
1. Initiate and maintain effective communications and working relationships with
pediatricians, pediatric care facilities, and laboratories within PERFORMING
AGENCY'S geographic jurisdiction, in an effort to solicit reporting.
2. Assist RECEIVING AGENCY Program in conducting no -identified -risk (NIR)
investigations for those cases in which mode of exposure is unknown.
3. Follow-up and complete CDC data collection forms on unreported cases identified
through RECEIVING AGENCY Program's review of alternate record systems.
PERFORMING AGENCY shall be responsible for conducting active surveillance for the reporting
of confirmed HIV infections. PERFORMING AGENCY shall:
ATTACHMENT - Page 1
V a3�
Establish and maintain communications with key community and medical groups,
individuals, and laboratories within PERFORMING AGENCY'S geographic jurisdiction.
2. Collect reports of confirmed HIV infections made by or under the standing orders of a
physician, and which are based upon acceptable laboratory tests results.
3. Report HIV infections to RECEIVING AGENCY Program on a weekly basis.
PERFORMING AGENCY shall be responsible to RECEIVING AGENCY Program for the
design, maintenance and evaluation of an active surveillance system for AIDS cases. For the
purposes of this Attachment, an AIDS case is as defined by the CDC in its December 18, 1992
publication Morbidity and Mortality and Weekly Report (MMWR), Vol. 41, No. RR -17.
PERFORMING AGENCY shall perform the following:
1. REPORTING
a. Establish and maintain communications with key community and medical groups,
individuals, and laboratories within PERFORMING AGENCY'S geographic
jurisdiction.
b. Collect reports of AIDS cases diagnosed and/or treated within PERFORMING
AGENCY'S geographic jurisdiction.
C. Report cases to RECEIVING AGENCY Program on a weekly basis.
2. REGISTRY MAINTENANCE
a. Maintain a case file on all confirmed and suspected cases of AIDS diagnosed --
and/or treated within PERFORMING AGENCY'S geographic jurisdiction.
b. Maintain a current list of key reporting sources.
3. SYSTEM EVALUATION
a. Review and provide thorough follow-up on a minimum of eighty percent (80%) of
suspected cases identified by RECEIVING AGENCY Program's alternate record
review systems in order to enhance case ascertainment and validate the
effectiveness of local surveillance efforts.
b. Track reporting by local sources in order to monitor the level of compliance to
reporting laws and level of case ascertainment.
4. EPIDEMIOLOGIC INVESTIGATIONS
ATTACHMENT - Page 2
9 It � Jr
a. Initiate epidemiologic investigations on newly reported No Identified Risk (NIR)
cases within five (5) days of receipt of case report through contact with appropriate
health care provider or the review of medical records.
b. Assist RECEIVING AGENCY Program with other epidemiologic investigations
as deemed necessary by RECEIVING AGENCY Program or CDC.
5. DATA ANALYSIS
Demographic analyses of local data may be released as public information as long as it
could not lead to the identity of an individual.
6. CONFIDENTIALITY
a. Store all case files and computer diskettes containing patient information in a
locking file cabinet when not in use. The locking file cabinet and surveillance
computer must be kept in a locked room with limited, controlled access.
b. Utilize passwords to access procedures for computer databases containing
HIV/AIDS case data. Passwords should be changed monthly and known only to
surveillance personnel.
C. Limit the number of persons who have keys to registry files to persons directly
involved in case reporting.
d. Require a statement of confidentiality to be signed by all personnel having access
to HIV/AIDS case files and computer diskettes and kept on file by PERFORMING
AGENCY.
RECEIVING AGENCY Program must distribute funds in a way that will maximize the delivery
of authorized services to eligible clients. RECEIVING AGENCY Program will monitor
PERFORMING AGENCY'S expenditures on a quarterly basis. If expenditures are above or
below those projected in SECTION III: BUDGET, PERFORMING AGENCY'S Attachment
amount may be subject to increase or decrease for the remainder of the Attachment period.
PERFORMING AGENCY shall comply with:
• Chapters 81 and 85 of the Health and Safety Code;
• Relevant portions of Chapter 6A (Public Health Service) of Title 42 (The Public Health
and Welfare) of the United States Code, as amended;
• 25 TAC Chapter 97; and
• Client Services Standards for Public Health and Community Clinics, revised June 1997.
The following performance measure(s) will be used to assess, in part, PERFORMING
AGENCY'S effectiveness in providing the services described in this contract. Attachment, without
waiving the enforceability of any of the other terms of the contract.
ATTACHMENT - Page 3
10 (i ! F
1. Case information collected for an estimated N cases shall be entered into the
computerized HIV/AIDS Reporting System (HARS) and shall be transferred on a
weekly basis to RECEIVING AGENCY Program. The timetable for transferring
data can be extended to monthly if agreed upon by RECEIVING AGENCY
Program and PERFORMING AGENCY in writing.
2. RECEIVING AGENCY Program will provide case reporting activities for cases
diagnosed in the following geographic area(s): Lubbock.
3. A quarterly activity report which demonstrates PERFORMING AGENCY'S
conduct of case -finding activities shall be completed and submitted to RECEIVING
AGENCY Program within twenty (20) days after the end of each calendar year
quarter in a format provided by RECEIVING AGENCY Program.
SECTION 11. SPECIAL PROVISIONS:
PERFORMING AGENCY, or any subrecipient, shall not transfer a 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; however, DECEIVING AGENCY (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 Texas Revised Civil Statutes, Article 4495b
(Medical Practice Act). 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 the Texas Revised Civil Statutes, Article 4495b.
Due to the sensitive and highly personal nature of HIV/AIDS-related information, strict adherence
to the General Provisions, CONFIDENTIALITY Article is required.
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 4
SECTION M. BUDGET:
PERSONNEL
$27,560.00
FRINGE BENEFITS
8,561.00
TRAVEL
2,000.00
EQUIPMENT
0.00
SUPPLIES
750.00
CONTRACTUAL
000
OTHER
000
TOTAL DIRECT CHARGES $38,871.00
INDIRECT CHARGES 1,565.00
TOTAL $40,436.00
Total reimbursements will not exceed $ 40,436.00.
Financial status reports are due the 30th of December, 30th of March, 30th of June, and the 15th
of October.
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 5