2001-120-RES AUTHORIZING EXECUTION OF CONTRACT FOR PUBLIC HEALTH SERVICES TDH DOC NO 7560022067-200203
RESOLUTION NO. 2001-120
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF PARIS,
PARIS, TEXAS, AUTHORIZING THE EXECUTION OF A CONTRACT
FOR PUBLIC HEALTH SERVICES, TDH DOCUMENT NO. 7560022067-
200203; MAKING OTHER FINDINGS AND PROVISIONS RELATED TO
THE SUBJECT; AND PROVIDING AN EFFECTIVE DATE.
WHEREAS, the State of Texas is a funding partner with the County of Lamar and the City
of Paris for the Paris-Lamar County Health Department; and,
WHEREAS, the Contract for Public Health Services, TDH Document No. 7560022067-
200203, is the conduit through which the state funds are received; and,
WHEREAS, it is appropriate that the form of said Contract, attached hereto as Exhibit A,
be approved, and that the City Manager be authorized to execute the same on behalf of the City
of Paris, which is the authorized contracting entity for the performing agency, the Paris-Lamar
County Health Department; NOW, THEREFORE,
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF PARIS, PARIS,
TEXAS:
Section 1. That the findings set out in the preamble to this resolution are hereby in all
things approved.
Section 2. That the form of the Contract for Public Health Services, TDH Document No.
7560022067-200203, attached hereto as Exhibit A, be, and the same is hereby, approved.
Section 3. That the City Manager be, and he is hereby, authorized and directed to execute,
on behalf of the City of Paris, which is the authorized contracting entity for the performing
agency, the Paris-Lamar County Health Department, the Contract for Public Health Services,
under the terms and conditions and in the form shown in Exhibit A, attached hereto.
Section 4. That this resolution shall be effective from and after its date of passage.
PASSED AND APPROVED this 13th day of August, 2001.
~
Michael J. Pfi , or
ATTEST:
~~\."-L~~ ~~~
Mattie Cunningham, City Clerk
.
CONI'RACT FOR PUBLIC HEALTII SERVICES
Contract Issued by:
(RECEIVING AGENCY)
TEXAS DEPARTMENT OF HEALTH
1100 WEST 49TH STREET
AUSTIN, TEXAS 78756-3199
TDH DOCUMENT NO. 7560022067 200203
CN
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: PARIS-LAMAR COUNTY HEALTH DEPARTMENT
MAILING ADDRESS: P. O. BOX 938 PARIS TX 75460-0938
STREET ADDRESS: 740 SOUTHWEST 6TH. PARIS TX 75460-??oo
NAME OF AUTHORIZED
CONTRACTING ENTITY:
(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:
ADDRESS:
State of Texas Vendor Identification No. (14 digits)
17560022067001
PAYEE AGENCY Fiscal
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 I - Receiving and Performing Agency Data
COVER PAGE 2 - Details of Attachment(s)
COVER PAGE 3 - Authorized Signatures
GENERAL PROVISIONS
A TT ACHMENT(S)
EXHmITS, IF APPLICABLE
Cover Page 1
EXHIBIT A
DETAILS OF ATTACHMENTS
Au/ TDH Term Financial Assistance Direct Total Amount
Amd Program Assistance (TDH Share)
No. 10 Begin End Source of Amount
Funds *
01 BRLHO/SURVEY 09/01/01 08/31/02 State 93.991 121,404.00 0.00 121,404.00
02 ACFH/PHC 09/01/01 08/31/02 State 180,000.00 0.00 180,000.00
03 IMM/LOCALS 09/01/01 08/31/02 State 93.268 53,523.00 0.00 53,523.00
TDH Document No.756OO22067 2002 Totals $354,927.00 $ 0.00 $354,927.00
Chan,ge No. 00 . I I I
*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.
,
Authorized Contracting Entity (type above if different
from PERFORMING AGENCY) for and in behalf of:
PERFORMING AGENCY NAME:
PARIS-LAMAR COUNTY HEALTH
DEPARTMENT
By:
(Signature of person authorized to sign contracts)
MICHAEL E. MALONE, CITY MANAGER
(Name and Title)
Date:
07-23-2001
RECEIVING AGENCY NAME:
TEXAS DEPARTMENT OF HEALTH
By:
Melanie A. Doyle, Director
Grants Manal!ement Division
(Name and Title)
Date:
l(aD toi
TDH Document No: 756002206702
Cover Page 3
~ ,
GENERAL PROVISIONS FOR
TEXAS DEPARTMENT OF HEALTH GRANT CONTRACTS
ARTICLE 1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
(LGS)
TABLE OF CONTENTS
PREAMBLE
TERM
FUNDING
AMENDMENTS
APPLICABLE LAWS AND STANDARDS
DEBARMENT AND SUSPENSIONS
ASSURANCES
CHILD ABUSE REPORTING REQUIREMENTS
INTELLECTUAL PROPERTY
HISTORICALLY UNDERUTILIZED BUSINESSES
CONFLICT OF INTEREST
CERTIFICATION OF SOFTWARE, HARDWARE, FIRMWARE, AND
MICRO CODE PRODUCTS
STANDARDS FOR FINANCIAL AND PROGRAMMATIC MANAGEMENT
BONDING
FUNDING PARTICIPATION REQUIREMENT
ALLOWABLE COSTS AND AUDIT REQUIREMENTS
TERMS AND CONDITIONS OF PAYMENT
ADVANCE PAYMENTS
PROGRAM INCOME
OVERTIME COMPENSATION
EQUIPMENT AND SUPPLIES
CONTRACTS WITH SUBRECIPIENTS
CONTRACTS FORPROCURMENT
REPORTS
INSPECTIONS
RECORDS RETENTION
PATIENT OR CLIENT RECORDS
CONFIDENTIALITY
SANCTIONS
SANCTION REVIEW
BREACH OF CONTRACT
TERMINATION
VOID CONTRACT
SEVERABILITY
LOCAL HEALTH DEPARTMENT PERSONNEL
SURVIVAL OF TERMS
CONSTRUCTION OFAMBIGUITIES
NO WAIVER OF SOVEREIGN IMMUNITY
CERTIFICATIONS
2002 GENERAL PROVISIONS
04/01
Any alteration to this document constitutes a counter-offer and must be approved in writing by the Texas Department of Health.
I
GENERAL PROVISIONS FOR
TEXAS DEPARTMENT OF HEALTH GRANT CONTRACTS
ARTICLE 1. Preamble
PERFORMING AGENCY and RECEIVING AGENCY (the parties) agree to make and enter into this grant
contract (contract), to faithfully perform the duties prescribed by this contract and to uphold and abide by its terms
and provisions. This contract consists of RECEIVING and PERFORMING AGENCY identifying data, Details of
Attachment(s), authorized signatures, General Provisions, and Attachment(s) with detailed Scope(s) of Work,
Special Provisions, budget(s), and exhibit(s) as applicable, This contract represents the complete and entire
understanding and agreement of the parties, No prior agreement or understanding, oral or otherwise, of the parties
or their agents will be valid or enforceable unless embodied in this contract.
The person or persons signing and executing this contract on behalf of PERFORMING AGENCY, or representing
themselves as signing and executing this contract on behalf of PERFORMING AGENCY; warrant and guarantee
that he, she, or they have been duly authorized by PERFORMING AGENCY to execute this contract on behalf of
PERFORMING AGENCY and to validly and legally bind PERFORMING AGENCY to all of its terms,
performances, and provisions.
PERFORMING AGENCY assures compliance with this contract, including these General Provisions unless
otherwise specified in any Special Provisions of the Attachment(s) to this document. If these General Provisions
are revised or replaced during the term ofthis contract and PERFORMING AGENCY does not consent to comply
with the modified General Provisions, PERFORMING AGENCY may exercise its termination options in
accordance with the General Provisions, Termination Article,
ARTICLE 2. Term
The time period of this contract shall be governed by the term(s) of the Attachment(s). No commitment of contract
funds is permitted prior to the first day or subsequent to the last day of the term. The term may be extended or
shortened by amendment(s).
ARTICLE 3. Fundin!
This contract is contingent upon the availability of funding for each Attachment for the term of the Attachment.
PERFORMING AGENCY shall have no right of action against the State of Texas or RECEIVING AGENCY in the
event that RECEIVING AGENCY is unable to fulfill its obligations under this contract as a result of lack of
sufficient funding of RECEIVING AGENCY for any Attachment(s) to this contract. Iffunds become unavailable,
provisions of the Termination Article will apply.
ARTICLE 4. Amendments
This contract may be amended only ifthe amendment is in writing and signed by individuals with authority to bind
all parties.
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2002 GENERAL PROVISIONS Page I
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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 complianbe with this Article. RECEIVING AGENCY may not waive any term, covenant, or condition of this
contract unless by amendment executed in compliance with this Article,
PERFORMING AGENCY shall plan expenditures so that any necessary budget revisions or amendments are
executed no later than 90 days prior to the expiration of the Attachment term. PERFORMING AGENCY shall
provide a written justification for any budget revisions and/or amendments, If a budget revision or amendment is
requested during the last quarter of the Attachment term, the written justification must include a reason for the
delay. Revision or amendment requests may be granted at the discretion of RECEIVING AGENCY,
ARTICLE 5. Applicable Laws and Standards
This contract shall be interpreted under and in accordance with the laws of the State of Texas and enabling state
rules. Where applicable, federal statutes and regulations, including federal grant requirements applicable to funding
sources, will apply to this contract.
The Uniform Grant Management Act (UGMA), Texas Government Code, Chapter 783, as amended, and the
Uniform Grant Management Standards (UGMS) as amended by revised federal circulars and incorporated in
UGMS by the Governor's Budget and Planning Office, apply as terms and conditions of this contract and are
adopted by reference in their entirety. Ifa conflict arises between the provisions of this contract and the provisions
ofUGMA and UGMS, the provisions ofUGMA 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, DState Uniform Administrative Requirements for Grants and Cooperative Agreements," Subpart C-Post-
Award Requirements, item _.30-Changes, and applicable federal Office of Management and Budget (OMB)
circulars. RECEIVING AGENCY will provide copies of applicable OMB circulars, Code of Federal Regulations,
and UGMS to PERFORMING AGENCY upon request. These documents are incorporated by reference as a
condition of this contract.
PERFORMING AGENCY may not use funds granted under this contract to pay any person for influencing or
attempting to influence an officer or employee of any agency, federal or state, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in connection with the awarding of any contract or
grant or the extension, continuation, renewal, amendment, or modification of any contract or grant (31 USC 91352,
as amended, and UGMS). If at any time this contract exceeds $100,000, regardless of funding source,
PERFORMING AGENCY shall file with RECEIVING AGENCY a declaration containing the name of any
registrant under the Lobbying Disclosure Act of 1995 who has made lobbying contacts on behalf of PERFORMING
AGENCY in connection with that contract or grant, a certification that none of the funds provided by RECEIVING
AGENCY have been or will be used for payment to lobbyists, and disclosure of the names of any and all registered
lobbyists with whom PERFORMING AGENCY has an agreement. PERFORMING AGENCY shall require any
person who requests or receives a subgrant or subcontract to file the same declaration, certification and disclosure
with RECEIVING AGENCY. PERFORMING AGENCY shall file the declaration, certification, and disclosure at
the time of application for the contract or grant; upon execution of a contract or grant unless PERFORMING
AGENCY previously filed a declaration, certification or disclosure form in connection with the award; and at the
end of each calendar quarter in which there occurs any event that materially affects the accuracy of the information
contained in any declaration, certification or disclosure previously filed. RECEIVING AGENCY will supply the
certification form to PERFORMING AGENCY upon request.
(LaS)
2002 GENERAL PROVISIONS Page 2
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ARTICLE 6. Debarment and Suspension
i
PERFORMING AGENCY certifies by execution of this contract to the following:
~ it is not ineligible for participation in federal or state assistance programs under Executive Order
12549, Debarment and Suspension, Feb. 18, 1986,51 Fed, Reg. 6370;
~ neither it nor its principals are presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participation in this transaction by any federal department
or agency;
~ it has not knowingly failed to pay a single substantial debt or a number of outstanding debts to a
federal or state agency; and,
~ it is not subject to an outstanding judgment in a suit against PERFORMING AGENCY for
collection of the balance of a debt.
Where PERFORMING AGENCY is unable to certify to any of the statements in this Article, PERFORMING
AGENCY shall attach an explanation.
PERFORMING AGENCY shall not contract with a subrecipient nor procure goods or services from a
subcontractor, at any tier, which is debarred or suspended or is otherwise excluded from or ineligible for
participation in federal assistance programs under Executive Order 12549,
ARTICLE 7. Assurances
PERFORMING AGENCY shall establish safeguards to prohibit employees from using their positions for a purpose
that constitutes or presents the appearance of personal or organizational conflict of interest or personal gain.
To the extent such provisions are applicable to PERFORMING AGENCY, PERFORMING AGENCY agrees to
fully comply with the following:
~ Title VI of the Civil Rights Act of 1964, 42 USC ~~2000d et seq., as amended (P.L. 88-352), which
prohibits discrimination on the basis of race, color or national origin, and includes the provision for
effective communication and equal access to programs, services and activities to persons with
Limited English Proficiency (LEP);
~ Title IX of the Education Amendments of 1972, 20 USC ~~1681-1683, and 1685-1686, as amended,
which prohibits discrimination on the basis of sex;
~ Section 504 of the Rehabilitation Act of 1973, 29 USC ~794(a), which prohibits discrimination on
the basis of disabilities and the Americans with Disabilities Act of 1990, 42 USC ~~ 121 0 1 et seq.,
including the provision for effective communication and equal access to programs, services and
activities to persons with sensory and speech impairments;
~ The Age Discrimination Act of 1975, 42 USC ~~6101-6107, as amended, which prohibits
discrimination on the basis of age;
~ The Drug Abuse Office and Treatment Act of 1972, 21 USC ~ 11 0 1 et seq., as amended, relating to
nondiscrimination on the basis of drug abuse;
~ The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act
of 1970, 42 USC ~290dd (b)( 1), as amended, relating to nondiscrimination on the basis of alcohol
abuse or alcoholism;
(LGS)
2002 GENERAL PROVISIONS Page 3
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~
Public Health Service Act of 1912, 99523 and 527, 42 USC 9290dd-2, as amended, relating to
confidentiality of alcohol and drug abuse patient records;
Title VIII of the Civil Rights Act of 1968, 42 USC 993601 et seq., as amended, relating to
nondiscrimination in the sale, rental or financing of housing; and,
The requirements of any other nondiscrimination statute(s).
~
~
Collectively, such requirements obligate RECEIVING AGENCY to provide services without discrimination on the
basis of race, color, national origin, age, sex, or disability. PERFORMING AGENCY shall carry out the terms of
this contract in a manner which will assist RECEIVING AGENCY in complying with such obligations to the fullest
extent of PERFORMING AGENCY'S ability.
PERFORMING AGENCY agrees to comply with all or part of the following, as applicable:
A. Texas Labor Code, Chapter 21, which requires that certain employers not discriminate on the basis of
race, color, disability, religion, sex, national origin, or age.
B. Immigration Reform and Control Act of 1986, 8 USC 91324a, as amended, regarding employment
verification and retention of verification forms for any individual(s) hired on or after November 6, 1986,
who will perform any labor or services under this contract.
C. Pro-Children Act of 1994, 20 USC 996081-6084, regarding the provision of a smoke-free workplace and
promoting the non-use of all tobacco products.
D, The National Research Service Award Act of 1971, 42 USC 99289a-1 et seq., as amended, and 6601
(P,L. 93-348 and P.L. 103-43), as amended, regarding the protection of human subjects involved in
research, development, and related activities supported by any applicable award offederal assistance, as
implemented by 45 CFR Part 46, Protection of Human Subjects.
E. The Clinical Laboratory Improvement Amendments of 1988, 42 USC 9263a, as amended, which
establish federal requirements for the regulation and certification of clinical laboratories.
F. The Occupational Safety and Health Administration Regulations on Blood Borne Pathogens, 29 CFR
91910.1030, which set safety standards for those workers and facilities in the private sector who may
handle blood borne pathogens, or Title 25 Texas Administrative Code, Chapter 96, which affects
facilities in the public sector.
G. Laboratory Animal Welfare Act of 1966, 7 USC 992131 et seq, (P.L. 89-544), as amended, pertaining to
the care, handling, and treatment of warm- blooded animals held for research, teaching, or other activities
supported by this award of assistance.
H. Article 9102, Texas Revised Civil Statutes, as amended, pertaining to standards which eliminate
architectural barriers for persons with disabilities.
I. Health and Safety Code 9165.004, relating to the promotion of breast-feeding by providing information
that encourages breast-feeding to program participants who are pregnant women or mothers with infants.
Promotional material may be requested from RECEIVING AGENCY by calling (512) 406-0744.
(LGS)
2002 GENERAL PROVISIONS Page 4
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J. Environmental standards pursuant to the following:
(1) Institutipn of environmental quality control measures under the National Environmental Policy Act
of 1969,42 USC 994321-4347 and Executive Order 11514, "Protection and Enhancement of
Environmental Quality."
(2) Notification of violating facilities pursuant to Executive Order 11738, "Providing for
Administration of the Clean Air Act and the Federal Water Pollution Control Act with Respect to
Federal Contracts, Grants, or Loans."
(3) Protection of wetlands pursuant to Executive Order 11990,
(4) Evaluation of flood hazards in floodplains in accordance with Executive Order 11988.
(5) Assurance of project consistency with the approved State Management program developed under
the Coastal Zone Management Act of 1972, 16 USC 991451 et seq., as amended. "
(6) Conformity offederal actions to state clean air implementation plans under the Clean Air Act of
1955, as amended, 42 USC 997401 et seq.
(7) Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974,
42 USC 99300f-300j, as amended,
(8) Protection of endangered species under the Endangered Species Act of 1973,16 USC 91531 et
seq., as amended.
K. The Hatch Political Activity Act, 5 USC 997321-26, which limits the political activity of employees
whose principal employment activities are funded in whole or in part with federal funds.
L. The Federal Fair Labor Standards Act and the Intergovernmental Personnel Act of 1970, as applicable,
concerning minimum wage and maximum hours,
M. General Appropriations Act, Regular Session, 76th Legislature, 1999, Article 99-6.13, pp.IX-39&40,
"Limitation on Grants to Units of Local Government." For the purpose of 99-6.13, "unit of local
government" shall mean a council of governments, a regional planning commission, or a similar regional
planning agency created under Chapter 391, Local Government Code; a Local Workforce Development
Board; or an MHMR community center.
N. Texas Government Code, Chapter 573, relating to nepotism.
0, Texas Government Code, Chapter 552, relating to open records and public information.
P. Texas Government Code, Chapter 551, relating to open meetings.
Q. Texas Occupations Code, Chapter 1701, as amended, and all rules adopted by the Texas Commission on
Law Enforcement Officer Standards and Education pursuant to Chapter 1701, as amended, relating to
regulated law enforcement agencies.
PERFORMING AGENCY shall ensure that the facilities under its ownership, lease or supervision which will be
utilized in the accomplishment of the project are not listed on the Environmental Protection Agency's (EP A) list of
Violating Facilities and shall notify the Federal grantor agency-of the receipt of any communication from the
Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under
consideration for listing by the EPA (Executive Order 11738),
(LGS)
2002 GENERAL PROVISIONS Page 5
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PERFORMING AGENCY shall comply with the flood insurance purchase requirements of 102(a) of the Flood
Disaster Protection Act of 1973, 42 USC ~~4001-4003, as amended, Section 102(a) requires the purchase of flood
insurance in communities where the insurance is available as a condition for the receipt of any federal financial
assistance for construction or acquisition proposed for use in any area that has been identified by the Secretary of
the U. S. Department of Housing and Urban Development as an area having special flood hazards.
If PERFORMING AGENCY provides medical, dental, psychological or surgical treatment to a minor under this
contract, either directly or through contracts with subrecipients, the treatment of a minor shall be provided only if
consent to treatment is obtained pursuant to Chapter 32 of the Texas Family Code relating to consent to treatment
of a child by a non-parent or child. If requirements of federal law relating to consent directly conflict with
Chapter 32 of the Family Code, federal law shall supersede state law.
PERFORMING AGENCY shall comply with the requirements of the Texas Workers' Compensation Act, Labor
Code, Chapters 401-406, and rules promulgated thereunder found at 28 Texas Administrative Code (T AC), Part 2,
which cover compensation for employees' injuries.
When incorporated into a contract, standard assurances contained in the application package, if any, become tenns
or conditions for receipt of RECEIVING AGENCY funds. PERFORMING AGENCY and its subrecipients shall
maintain an appropriate contract administration system to ensure that all terms, conditions, and specifications are
met.
PERFORMING AGENCY shall comply with all federal tax laws and is solely responsible for filing all required
state and federal tax forms.
PERFORMING AGENCY shall comply with all applicable requirements of federal and state laws, executive
orders, regulations and policies governing the activity described in the Attachment(s), and with the applicable
standard conditions or assurances prescribed by UGMS in Part III, OState Uniform Administrative Requirements for
Grants and Cooperative Agreements," Subpart B-Pre-Award Requirements, item _' 14-State Assurances.
PERFORMING AGENCY assures it shall not transfer, assign or sell its interest in this contract, or in any equipment
purchased with funds from this contract, without the written consent of RECEIVING AGENCY.
ARTICLE 8. Child Abuse Reuorting Requirements
[pERFORMING AGENCY is required to comply with this article only as related to services provided under the
following Attachments: Human Immunodeficiency Virus and Sexually Transmitted Diseases (all Attachments),
Title X and Title XX (Family Planning), Community Oriented Public Health/Primary Health Care, Title V
Maternal and Child Health (Fee-for-service), and Bureau of Nutrition Services/Cards (WIC).] PERFORMING
AGENCY and each of its subrecipients shall make a good faith effort to comply with child abuse reporting
guidelines and requirements in Chapter 261 of the Texas Family Code relating to investigations of reports of child
abuse and neglect. PERFORMING AGENCY and each of its subrecipients shall develop, implement and enforce
a written policy that includes at a minimum the RECEIVING AGENCY'S Child Abuse Screening, Documenting,
and Reporting Policy for Grant Services Contractors and train all staff on reporting requirements.
PERFORMING AGENCY and its subrecipients shall use the Checklist for TDH Monitoring as required by
RECEIVING AGENCY. (The policy and checklist are available at each of the above-referenced programs'
websites.)
(LGS)
2002 GENERAL PROVISIONS Page 6
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ARTICLE 9. Intellectual Property
i
Texas Health and Safety Code ~12.020(a), as amended, authorizes RECEIVING AGENCY to apply for, register,
secure, hold, and protect a patent, copyright, trademark or other evidence of protection or exclusivity issued in or
for intellectual property.
"Intellectual property" consists of inventions; discoveries; improvements to any process, machine, manufacture, or
composition of matter; products; technology; scientific information; trade secrets; computer software; literary
works; musical works with any accompanying words; dramatic works with any accompanying music; pantomimes
and choreographic works; pictorial, graphic, and sculptural works; motion pictures and other audiovisual works;
sound recordings; architectural works; words, names, symbols, devices, slogans or any combination thereofwhich
have been adopted and used by RECEIVING AGENCY to identify goods and/or services and distinguish them from
those of others; and any other creative works if they may be protected by a patent, copyright, trademark, service
mark, collective mark, or certification mark or other evidence of protection or exclusivity whether or not protection
or exclusivity has been applied for or received.
"Mark," for purposes of trademark and service mark, includes a word, name, symbol, device, slogan or any
combination thereof which has been adopted and used by RECEIVING AGENCY to identify goods and/or services
and distinguish them from those of others. Federal trademark law also provides for collective marks and
certification marks.
"Patent" protects any new and useful process, machine, manufacture, or composition of matter, or any new and
useful improvement.
"Work made for hire," a concept under copyright law, is a work prepared by an employee within the scope of his or
her employment; or a work specially ordered or commissioned for use as a contribution to a collective work, as a
part of a motion picture or other audiovisual work, as a translation, as a supplementary work, as a compilation, as an
instructional text, as a test, as answer material for a test, or as an atlas, and the parties expressly agree in a written
instrument signed by them that the work shall be considered a work made for hire.
The term "works," for purposes offederal copyright law, includes software; literary works; musical works with any
accompanying words; dramatic works with any accompanying music; pantomimes and choreographic works;
pictorial, graphic, and sculptural works; motion pictures and other audiovisual works, sound recordings and
architectural works.
All work performed that results in the production of original books, manuals, films, or other original material is the
exclusive property of RECEIVING AGENCY. All right, title, and interest in and to said property shall vest in
RECEIVING AGENCY upon creation. All work performed shall be deemed to be a "work made for hire" for
copyright purposes and made in the course of the services rendered pursuant to this contract. To the extent that title
to any such work may not, by operation of law, vest in RECEIVING AGENCY or such work may not be considered
a work made for hire, all rights, title and interest therein are hereby irrevocably assigned to RECEIVING
AGENCY, RECEIVING AGENCY shall have the right to obtain and to hold in its own name any and all patents,
copyrights, trademarks, service marks, certification marks, collective marks, registrations, or such other protection
as may be appropriate to the subject matter, and any extensions and renewals thereof. PERFORMING AGENCY
shall ensure all rights, titles, and interest in and to the intellectual property are secured to RECEIVING AGENCY
from PERFORMING AGENCY and its subrecipients, PERFORMING AGENCY agrees to give RECEIVING
AGENCY and agrees to require its subrecipients to give RECEIVING AGENCY, or any person designated by
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2002 GENERAL PROVISIONS Page 7
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RECEIVING AGENCY, all assistance required to perfect the rights defined in this Article, without any charge or
expense beyond those amounts payable to PERFORMING AGENCY for the services rendered under the contract.
If federal funds are used to finance activities supported by the contract Attachment( s) that result in the production of
original books, manuals, films, or other original material, the federal awarding agency reserves a royalty-free,
nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for
federal government purposes (I) the copyright in any work developed under a grant, subgrant, or contract under a
grant or subgrant; and (2) any rights of copyright to which a PERFORMING AGENCY or its subrecipient
purchases ownership with grant support. PERFORMING AGENCY shall place an acknowledgment of federal
awarding agency grant support and a disclaimer, as appropriate, on any publication written or published with such
support and, if feasible, on any publication reporting the results of or describing a grant-supported activity. An
acknowledgment shall be to the effect that "This publication was made possible by grant number
from (federal awarding agency)" or "The project described was supported by grant number from
(federal awarding agency)" and "Its contents are solely the responsibility of the authors and do not necessarily
represent the official views of the (federal awarding agency)."
In the event the terms of a federal grant award the copyright to PERFORMING AGENCY, RECEIVING AGENCY
reserves a royalty-free, nonexclusive, worldwide and irrevocable license to reproduce, publish or otherwise use, and
to authorize others to use, for RECEIVING AGENCY, public health, and state governmental noncommercial
purposes (1) the copyright, trademark, service mark, and/or patent on an invention, discovery, or improvement to
any process, machine, manufacture, or composition of matter; products; technology; scientific information; trade
secrets; and computer software, in any work developed under a grant, subgrant, or contract under a grant or
subgrant; and (2) any rights of copyright, service or trade marks or patents to which a grantee, subgrantee or a
contractor purchases ownership with grant support.
PERFORMING AGENCY may publish the results of the contract performance, if those results are subject to
copyright law, at its expense with prior RECEIVING AGENCY review and approval. RECEIVING AGENCY will
not withhold the approval unreasonably. If RECEIVING AGENCY withholds approval, PERFORMING AGENCY
may still publish the results ofthe contract performance but shall not reference the Texas Department of Health in
any manner. If RECEIVING AGENCY approves and owns the copyright, any publication should include "@ (the
year of publication), Texas Department of Health, All Rights Reserved." If PERFORMING AGENCY is the
copyright holder, any publication shall include acknowledgment of the support received from RECEIVING
AGENCY. At least six copies of any such publication must be provided to RECEIVING AGENCY. RECEIVING
AGENCY reserves the right to require additional copies before or after the initial review,
PERFORMING AGENCY and any subrecipient, as appropriate, must comply with the standard patent rights
clauses in 37 Code of Federal Regulations 9401.14 or Federal Acquisition Regulations 52,227.11.
ARTICLE 10. Historically Underutilized Businesses
RECEIVING AGENCY shall comply with Texas Government Code, Chapter2161, and 1 TAC 99111.11-111.24 et
seq., whereby state agencies are required to make a good faith effort to assist historically underutilized businesses
(HUBs) in receiving contract awards issued by the state to purchase "goods", which are defined as "supplies,
materials, or equipment", services, or public works,
(LGS)
2002 GENERAL PROVISIONS Page 8
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If PERFORMING AGENCY subcontracts a portion of this contract, PERFORMING AGENCY agrees to make a
good faith effort ~o subcontract with HUBs during the performance of its contract Attachment(s) with RECEIVING
AGENCY and will report HUB subcontract activity on a quarterly basis to RECEIVING AGENCY.
ARTICLE 11. Conflict of Interest
PERFORMING AGENCY does not have nor shall it knowingly acquire any interest that would conflict in any
manner with the performance of its obligations under this contract. Potential conflicts of interest include an
existing business or personal relationship between PERFORMING AGENCY, its principal, or any affiliate or
subrecipient with RECEIVING AGENCY, its board members, officers or employees, or any other entity or person
involved in any way in any project that is the subject of this contract.
ARTICLE 12. Certification of Software. Hardware. Firmware and Micro Code Products
PERFORMING AGENCY certifies that any supplied or supported software, hardware, firmware, and micro
code products used individually or together as a system to comply with RECEIVING AGENCY contract
requirements will operate "accurately" in the manner in which they were intended when given a "valid date"
containing century, year, month, and day,
For purposes of this Article, "supplied or supported software, hardware, firmware, and micro code products"
does not include software supported by RECEIVING AGENCY or an agency of the federal government.
PERFORMING AGENCY is responsible for installing and implementing any versions of any software provided
by RECEIVING AGENCY or an agency of the federal government which is used in performance of this contract,
For purposes of this Article,
a) "accurately" is defined to include the following:
1) calculations must be correctly performed using four-digit year processing;
2) functionality-on-Iine, batch including entry, inquiry, maintenance and updates must support four-digit
year processing;
3) interfaces and reports must support four-digit year processing;
4) processing with a four-digit year must occur without human intervention;
5) correct results in forward and backward date calculation spanning century boundaries must be
provided;
6) correct leap year calculations must be performed; and,
7) processing correct results in forward and backward date calculation spanning century boundaries
must occur;
b) "date integrity" shall mean all manipulations oftime-related data (dates, durations, days of week, etc.) will
produce desired results for all valid date values within the application domain;
c) "explicit century" shall mean date elements in interfaces and data storage permit specifying century to
eliminate date ambiguity;
d) "extraordinary actions" shall be defined to mean any action outside the normal documented processing
steps identified in the product's reference documentation;
(LGS)
2002 GENERAL PROVISIONS Page 9
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e) "general integrity" shall mean no value for current date will cause interruptions in desired operation;
i
f) "implicit century" shall mean for any data element without century, the correct century is unambiguous for
all manipulations involving that document;
g) "product" or "products" shall be defined to include, but is not limited to, any supplied or supported
hardware, software, firmware and/or micro code;
h) "valid date" shall contain a two-digit month, a two-digit day and a four-digit year.
PERFORMING AGENCY and its subrecipient(s) must obtain a warranty from any vendor/licensor from which it
obtains product(s), that product(s) delivered and installed under the contract/license shall be able to accurately
process valid date data when used in accordance with the product documentation provided by the contractor/
licensor and require no extraordinary actions on the part of PERFORMING AGENCY, its personnel, or its
subrecipient(s). Products under the contract/license shall possess general integrity, date integrity, explicit and
implicit century capabilities. If the contract/license requires that specific products must perform as a system in
accordance with the foregoing warranty, then the warranty shall apply to those listed products as a system. The
duration ofthis warranty and the remedies available to PERFORMING AGENCY or its subrecipient(s) for breach
of the warranty shall be defined in, and subject to, the terms and conditions of the contractorDs standard
commercial warranty or warranties contained in the contract/license; provided, that notwithstanding any provision
to the contrary in such commercial warranty or warranties, the remedies available to PERFORMING AGENCY
or its subrecipient(s) shall include repair or replacement of any supplied product if its noncompliance is
discovered and made known to the contractor/licensor in writing within ninety (90) days after final acceptance,
Nothing in the warranty shall be considered to limit any rights or remedies PERFORMING AGENCY or its
subrecipient(s) may otherwise have under the contract/license.
RECEIVING AGENCY will not hold PERFORMING AGENCY responsible if the information coming to
PERFORMING AGENCY'S product/software from RECEIVING AGENCY is inaccurate or corrupt.
ARTICLE 13. Standards for Financial and Proerammatic Manaeement
PERFORMING AGENCY shall develop, implement, and maintain financial management and control systems that
meet or exceed the requirements of UGMS as detailed in RECEIVING AGENCY'S Financial Administrative
Procedures Manual. Those requirements shall include at a minimum:
A. Financial planning, including the development of budgets that adequately reflect all functions and
resources necessary to carry out authorized activities and the adequate determination of costs;
B, Financial management systems including accurate, correct, and complete accounting records, that
identify the source and application of funds provided under each Attachment, and that support the
information contained in required financial reports; cost source documentation; effective internal and
budgetary controls; determination of reasonableness, allowableness, and allocability of costs; and timely
and appropriate audits and resolution of any findings; and,
C. Billing and collection policies, including a fee schedule, a system for discounting or adjusting charges
based on a person's income and family size, and a mechanism capable of billing and making reasonable
efforts to collect from patients and third parties.
(LGS)
2002 GENERAL PROVISIONS Page 10
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PERFORMING AGENCY must bill all third party payers for services provided under the Attachment(s) before
submitting any request for reimbursement to RECEIVING AGENCY. A third party payer is any person or entity
who has the legal responsibility for paying all or part of the services provided, including commercial health or
liability insurance carriers, Medicaid, or other federal, state, local and private funding sources. Third party
billing functions will be provided by PERFORMING AGENCY at no cost to the client. PERFORMING
AGENCY or its subrecipient must become a Medicaid provider if performing approved Texas Medicaid services
authorized by the Attachment(s),
PERFORMING AGENCY and its governing body shall bear full responsibility for the integrity of the fiscal and
programmatic management. Such responsibility shall include: accountability for all funds and materials received
from RECEIVING AGENCY; compliance with RECEIVING AGENCY rules, policies, procedures, and applicable
federal and state laws and regulations; and correction of fiscal and program deficiencies identified through self-
evaluation and RECEIVING AGENCY'S monitoring processes, Ignorance of any contract provisions or other
requirements contained or referenced in this contract shall not constitute a defense or basis for waiving or appealing
such provisions or requirements.
ARTICLE 14. 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
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 oflosses occasioned by: 1)
any fraudulent or dishonest act or acts committed by any of PERFORMING AGENCY'S employees, either
individually or in concert with others, and/or 2) failure of PERFORMING AGENCY or any of its employees to
perform faithfully his/her duties or to account properly for all monies and property received by virtue of his/her
position or employment.
ARTICLE 15. Fundin!!: Participation Requirement
PERFORMING AGENCY agrees funds provided through this contract will not be used for matching purposes in
securing other funding unless directed or approved by RECEIVING AGENCY.
ARTICLE 16. Allowable Costs and Audit Requirements
Only those costs allowable under UGMS and any revisions thereto plus any applicable federal cost principles are
eligible for reimbursement under this contract. Applicable cost principles, audit requirements, and administrative
requirements are as follows:
Applicable Cost Principles*
Audit Requirements*
Administrative
Requirements*
OMB Circular A-87, State,
Local and Tribal Governments
OMB Circular A-l33 and UGMS
UGMS
* OMB Circulars shall be applied with the modifications prescribed by UGMS.
(LGS)
2002 GENERAL PROVISIONS Page 11
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PERFORMING AGENCY or the AUTHORIZED CONTRACTING ENTITY shall arrange for a financial and
compliance audit (Single Audit) if required by OMB Circular A-133 and/or UGMS, Part IV, "State of Texas Single
Audit Circular." The audit shall be of PERFORMING AGENCY'S or the AUTHORIZED CONTRACTING
ENTITY'S fiscal year. The audit must be conducted by an independent certified public accountant and in
accordance with applicable OMB Circulars, Government Auditing Standards, and UGMS. PERFORMING
AGENCY shall procure audit services in compliance with state procurement procedures, as well as with the
provisions of UGMS,
If PERFORMING AGENCY is not required to have a Single Audit, a limited scope audit may be required.
RECEIVING AGENCY will provide PERFORMING AGENCY with written audit requirements if a limited scope
audit is required.
Within 30 days of receipt of the audit reports required by this section, PERFORMING AGENCY/AUTHORIZED
CONTRACTING ENTITY shall submit a copy to RECEIVING AGENCY'S Internal Audit Division.
ARTICLE 17. Terms and Conditions of Payment
For services satisfactorily performed pursuant to this contract, RECEIVING AGENCY will reimburse
PERFORMING AGENCY for allowable costs. Reimbursements are contingent on a signed contract and will not
exceed the total of each Attachment(s), PERFORMING AGENCY is entitled to payment only if the service,
work, and/or product has been satisfactorily performed and authorized in accordance with this contract.
PERFORMING AGENCY must have incurred a cost within the applicable Attachment term to be eligible for
reimbursement under this contract and prior to claiming reimbursement. PERFORMING AGENCY must submit
requests for reimbursement on a State of Texas Purchase Voucher (TDH Form B-13) or any other form
designated by RECEIVING AGENCY monthly within 30 days following the end of the month covered by the bill.
PERFORMING AGENCY shall submit a reimbursement request as a final close-out bill not later than 90 days
following the end of the applicable Attachment term(s) for costs encumbered on or before the last day of the
Attachment term. Reimbursement requests submitted and postmarked more than 90 days following the end of the
applicable Attachment term may not be paid, at the discretion of RECEIVING AGENCY.
PERFORMING AGENCY shall disburse program income, rebates, refunds, contract settlements, audit
recoveries, and interest earned on such funds before requesting cash payments including advance payments from
RECEIVING AGENCY.
Funding from this contract may not be used to supplant [i.e" use in place of funds dedicated, appropriated or
expended for activities funded through the Attachment(s)] state or local funds, but PERFORMING AGENCY
shall use the funds from this contract to increase state or local funds currently available for a particular activity.
PERFORMING AGENCY shall make a good faith effort to maintain its current level of support. PERFORMING
AGENCY may be required to submit documentation substantiating that a reduction in local funding, if any,
resulted for reasons other than receipt or expected receipt of funding under any Attachment.
RECEIVING AGENCY shall determine whether costs submitted by PERFORMING AGENCY are allowable and
reimbursable. If RECEIVING AGENCY has paid funds to PERFORMING AGENCY for unallowable or
ineligible costs, PERFORMING AGENCY shall return the funds to RECEIVING AGENCY within 30 days of
written notice,
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2002 GENERAL PROVISIONS Page 12
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RECEIVING AGENCY may withhold all or part of any payments to PERFORMING AGENCY to offset
reimbursement for any ineligible expenditures that PERFORMI~G AGENCY has not refunded to RECEIVING
AGENCY, or if fInancial status report(s) required under the Reports Article are not submitted by the date(s) due,
RECEIVING AGENCY may take repayment from funds available under any contract Attachment, active or
expired, in amounts necessary to fulfill PERFORMING AGENCY repayment obligations.
ARTICLE 18. Advance Payments
PERFORMING AGENCY may request a one-time advance for each Attachment only to meet immediate need for
cash disbursement. PERFORMING AGENCY must make the request on State of Texas Purchase Voucher,
accompanied by written justification and supporting documentation as specified in RECEIVING AGENCY'S
Financial Administrative Procedures Manual. The advance shall be requested at the beginning of the applicable
Attachment period or at a later time in the applicable Attachment period if circumstances so warrant. Approval of
the request for advance will be at the discretion of RECEIVING AGENCY. If the request is approved, the voucher
will be processed; if disapproved, RECEIVING AGENCY will provide written notification to PERFORMING
AGENCY.
RECEIVING AGENCY will determine the amount of the advance, if any, by the amount and term ofthe applicable
Attachment(s). For each Attachment, the amount of the advance shall not exceed the amount of the Attachment
divided by the number of months covered by the Attachment multiplied by two (2). Advance funds will be
expended during the applicable Attachment term so that, after the final monthly billing, PERFORMING AGENCY
will not have advance funds on hand.
If the Attachment is amended to increase or decrease the total amount of funding, RECEIVING AGENCY may
adjust the amount of allowable advance in accordance with the above formula. If PERFORMING AGENCY is
requesting an upward adjustment, PERFORMING AGENCY must submit a written justification and State of Texas
Purchase Voucher in the amount necessary to correct the ratio, If the adjustment is downward, RECEIVING
AGENCY will determine the amount of adjustment to the advance and the method of repayment.
ARTICLE 19. Proe;ram Income
PERFORMING AGENCY may, but if a local health department shall, develop a fee-for-service system and a
schedule offees for personal health services in accordance with the provisions of Health and Safety Code S 12,031;
the Texas Board of Health rules covering Fees for Clinical Health Services, 25 T AC S 1.91; and other applicable
laws. No patient may be denied a service due to inability to pay.
All revenues directly generated by an Attachment(s) supported activity or earned only as a result of the
Attachment(s) during the term of the Attachment(s) are considered program income. Program income will be
used by PERFORMING AGENCY to further the program objectives of the state/federal statute under which the
Attachment(s) was/were made, and it shall be spent on the same project in which it was generated.
PERFORMING AGENCY shall identify and report this income utilizing the forms and time frames specified in
the Reports Article of these provisions.
PERFORMING AGENCY shall utilize one of the following methods for applying program income:
A, Additive method - add the program income to the funds already committed to the project by both
parties.
(LGS)
2002 GENERAL PROVISIONS Page 13
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B. Deductive method - deduct the program income from the total allowable costs to determine the net
allowable costs.
I
PERFORMING AGENCY must expend program income during the Attachment term in which it is earned, and may
not carry forward to the succeeding term, Program income not expended in the term in which it is earned shall be
refunded to RECEIVING AGENCY.
RECEIVING AGENCY may base future funding levels, in part, upon PERFORMING AGENCY'S proficiency in
identifying, billing, collecting, and reporting program income, and in utilizing it for the purposes and conditions of
the applicable Attachment(s).
ARTICLE 20. Overtime Compensation
PERFORMING AGENCY shall not use any of the funds provided by the Attachment(s) hereto to pay the premium
portion of overtime. PERFORMING AGENCY shall be responsible for any obligations of premium overtime pay
due employees, Premium overtime pay is defined as any compensation paid to an individual in addition to the
normal rate of pay for hours worked in excess of normal working hours,
ARTICLE 21. Eauipment and Supplies
In accordance with Health and Safety Code, ~12.053, title to all equipment and supplies purchased from funds
from this contract will be in the name of PERFORMING AGENCY throughout the Attachment(s) term(s) or until
the Attachment is terminated.
Equipment is defined as tangible nonexpendable personal property with an acquisition cost of more than $1,000
and a useful life of more than one year, with the following exceptions: fax machines, stereo systems, cameras,
video recorder/players, microcomputers, software, printers, microscopes, oscilloscopes, centrifuges, balances,
and incubators. If the unit cost of these exception items is more than $500, they will be considered equipment,
must be approved for purchase by RECEIVING AGENCY, and are considered capital assets for inventory
purposes. The acquisition cost is the net invoice unit price of an item of equipment, including the cost of any
necessary modifications, attachments, accessories or auxiliary apparatus necessary to make the property usable for
the purpose for which it was acquired. Supplies are defined as consumable items necessary to carry out the
contract including medical supplies, drugs, janitorial supplies, office supplies, patient educational supplies,
software, and any items of tangible personal property other than those defined as equipment above,
All items of equipment purchased with Attachment funds must be itemized in the contract budget. Any changes to
the equipment list contained in the budget must be approved in writing by RECEIVING AGENCY.
PERFORMING AGENCY will submit a written description including complete product specifications and need
justification prior to purchasing any item of unapproved equipment. If approved, RECEIVING AGENCY will
notify PERFORMING AGENCY by means of a written budget modification.
PERFORMING AGENCY shall maintain a nonexpendable personal property (equipment) inventory and submit an
annual cumulative report (TDH Form GC-11) to RECEMNG AGENCY no later than October 15th of each year.
PERFORMING AGENCY shall administer a program of maintenance, repair, and protection of assets under this
contract so as to assure their full availability and usefulness. In the event PERFORMING AGENCY is
indemnified, reimbursed, or otherwise compensated for any loss of, destruction of, or damage to the assets
provided under this contract, it shall use the proceeds to repair or replace said assets, If any item of equipment is
(LGS)
2002 GENERAL PROVISIONS Page 14
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no longer needed to perform services under the contract or becomes inoperable, PERFORMING AGENCY shall
request disposition instructions in writing from RE~EIVING AGENCY,
Upon termination or expiration of applicable Attachment(s) that are not renewed, title to any remaining equipment
and supplies purchased from funds under this contract reverts to RECEIVING AGENCY. Title may be transferred
to any other party designated by RECEIVING AGENCY. RECEIVING AGENCY may, at its option and to the
extent allowed by law, transfer the reversionary interest to such property to PERFORMING AGENCY.
ARTICLE 22. Contracts with Subrecipients
PERFORMING AGENCY may enter into contracts with subrecipients unless restricted or otherwise prohibited in
specific Attachment(s), Prior to entering into an agreement equaling $25,000 or 25% of an Attachment, whichever
is greater, PERFORMING AGENCY shall obtain written approval from RECEIVING AGENCY.
Contracts with subrecipients shall be in writing and must include the following:
· name and address of all parties;
· a detailed description of the services to be provided;
· measurable method and rate of payment and total amount of the contract;
· clearly defined and executable termination clause;
· beginning and ending dates which coincide with the dates of the applicable contract Attachment(s)
or cover a term within the beginning and ending dates of the applicable contract Attachment(s);
· records retention requirements consistent with UGMS;
· access to inspect the work and the premises on which any of the work is performed, in accordance
with the Inspections Article contained in this contract; and,
· all clauses required by state/federal statutes, executive orders, and their implementing regulations.
PERFORMING AGENCY agrees that all contracts with subrecipients containing a categorical budget shall include
audit requirements referenced in the Allowable Costs and Audit Requirements Article of this contract, as
appropriate.
PERFORMING AGENCY is responsible to RECEIVING AGENCY for the performance of any subrecipient.
PERFORMING AGENCY will monitor both financial and programmatic performance and maintain pertinent
records that will be available for inspection by RECEIVING AGENCY.
PERFORMING AGENCY shall ensure that:
.
subrecipients are fully aware of the requirements imposed upon them by state/federal statutes and
regulations;
subrecipients comply with all financial management requirements as defined by RECEIVING
AGENCY, UGMS and the applicable OMB circulars;
subrecipients complete required audits;
an adequate tracking system is maintained to ensure timely receipt of any subrecipient's required
audit reports and the resolution of any findings and questioned costs cited by these reports; and,
that
RECEIVING AGENCY is immediately notified in writing of alleged or actual misuse or
misappropriation of contract funds by subrecipients.
2002 GENERAL PROVISIONS Page 15 04/01
.
.
.
.
(LGS)
ARTICLE 23. Contracts for Procurement
PERFORMING AGENCY may enter into contracts for procurement unless restricted or otherwise prohibited in
specific Attachment(s). PERFORMING AGENCY agrees that it shall be responsible to RECEIVING AGENCY for
the performance of any subcontracted activity.
Contracts for procurement shall be in writing and must contain the following provisions:
· Administrative, contractual, or legal remedies in instances where contractors violate or breach
contract terms, and provide for such sanctions and penalties as may be appropriate (contracts other
than small purchases).
· Termination for cause and for convenience by PERFORMING AGENCY including the manner by
which it will be effected and the basis for settlement (all contracts in excess of$10,000).
· Compliance with the Copeland "Anti-Kickback" Act (18 USC 9874) 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
99327-330) as supplemented by Department of Labor regulations (29 CFR Part 5) (construction
contracts awarded by grantees and subgrantees in excess of $2,000, and in excess of $2,500 for
other contracts which involve the employment of mechanics or laborers).
· Notice of RECEIVING AGENCY requirements and regulations pertaining to reporting.
· Notice of RECEIVING AGENCY requirements and regulations pertaining to trademarks, service
marks, copyrights, and patent rights with respect to any discovery or invention which arises or is
developed in the course of or under such contract.
· RECEIVING AGENCY requirements and regulations pertaining to copyrights and rights in data.
· Access by RECEIVING AGENCY, the federal grantor agency, the Comptroller General of the
United States, the State of Texas or any of their duly authorized representatives to any books,
documents, papers, and records of the contractor which are directly pertinent to that specific
contract for the purpose of making audit, examination, excerpts, and transcriptions.
· Retention of all required records for the required retention period after RECEIVING AGENCY
makes final payments and all other pending matters are closed.
· Compliance with all applicable standards, orders, or requirements issued undet: 306 of the Clean
Air Act (42 USC 91857(h)), 9508 of the Clean Water Act (33 USC 91368), Executive Order
11738, and Environmental Protection Agency regulations (40 CFR Part 15) (contracts,
subcontracts, and subgrants of amounts in excess of $1 00,000).
· Mandatory standards and policies relating to efficiency which are contained in the state energy
plan issued in compliance with the Energy Policy and Conservation Act (P. L. 94-163), 42 USC
996201, et seq., as amended.
ARTICLE 24. Reports
Financial reports are required as provided in UGMS, and PERFORMING AGENCY shall file them regardless of
whether expenses have been incurred.
For each Attachment, PERFORMING AGENCY shall submit a Financial Status Report, State of Texas
Supplemental Form 269a (TDH Form GC-4a) within 30 days following the end of each of the first three quarters.
PERFORMING AGENCY shall submit a final financial report on State of Texas Supplemental Form 269a (TDH
(LaS) 2002 GENERAL PROVISIONS Page 16 04/01
Form GC-4a), not later than 90 days following the end of the Attachment term(s). PERFORMING AGENCY shall
submit a State. of Texas Purchase Voucher with the final financial report if all costs have not been recovered, or
PERFORMINb AGENCY shall refund excess monies if costs incurred were less than funds received. -
PERFORMING AGENCY shall submit program and progress reports required by RECEIVING AGENCY in the
format agreed to by the parties. PERFORMING AGENCY shall provide RECEIVING AGENCY other reports
including financial reports RECEIVING AGENCY determines necessary to accomplish the objectives of this
contract and to monitor compliance, If PERFORMING AGENCY is legally prohibited from providing such
reports, it shall immediately notify RECEIVING AGENCY.
ARTICLE 25. Inspections
RECEIVING AGENCY and, when federal funds are involved, any authorized representative(s) of the federal
government have the right, at all reasonable times, to inspect or otherwise evaluate the work (including reviews of
client or patient records and discussions with staff) performed by PERFORMING AGENCY and its subrecipient(s),
ifany, and the premises on which the work is being performed. PERFORMING AGENCY and its subrecipient(s)
shall participate in inspections and provide reasonable access, facilities, and assistance to the representatives. All
inspections and evaluations will be conducted in such a manner as will not unduly interfere with the work.
PERFORMING AGENCY and its subrecipient(s), if any, shall give RECEIVING AGENCY, the federal
government, and the Texas State Auditor, or any of their duly authorized representatives, access to any pertinent
books, documents, papers, and client or patient records, if any, for the purpose of making audit, examination,
excerpts, and transcripts of transactions related to contract Attachment(s). RECEIVING AGENCY will have the
right to audit billings both before and after payment. Payment under Attach.ment(s) will not foreclose the right of
RECEIVING AGENCY to recover excessive or illegal payments.
Any deficiencies identified by RECEIVING AGENCY upon examination of PERFORMING AGENCY'S records
will be conveyed in writing to PERFORMING AGENCY, PERFORMING AGENCY'S resolution of findings will
also be conveyed in writing to RECEIVING AGENCY within 30 days of receipt of RECEIVING AGENCY'S
findings. A RECEIVING AGENCY determination of either an inadequate or inappropriate resolution of the
findings may result in sanctions which will remain in effect until RECEIVING AGENCY determines the
deficiencies are properly remedied.
ARTICLE 26. Records Retention
PERFORMING AGENCY shall retain and preserve all records relating to this contract generated or collected by
PERFORMING AGENCY or subgrantee thereof according to Texas Government Code ~441.006, 13 T AC ~6.1 0,
RECEIVING AGENCY'S certified records retention schedule, and UGMS, Part III, "State Uniform Administrative
Requirements for Grants and Cooperative Agreements," Subpart C - Post-Award Requirements, item _.42. Any
record held by PERFORMING AGENCY which is not identified in the referenced retention schedules will be
retained by PERFORMING AGENCY for a period of three years from the date of the last expenditure report
submitted under contract Attachment(s) or until all audit questions are resolved, or until any court order(s) requiring
record retention are dissolved, whichever time period is longer. PERFORMING AGENCY shall retain medical
records in accordance with the governing rules or regulations which may be applicable.
(LGS)
2002 GENERAL PROVISIONS Page 17
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The retention schedules referenced in this Article are incorporated by reference and made a part of this contract.
PERFORMING AGENCY may obtain a copy ofthe record retention schedules or the Texas Department of Health
Records Handbook by contacting RECEIVING AGENCY'S Records Coordinator. .
Legal requirements for PERFORMING AGENCY may extend beyond the retention schedules established herein,
ARTICLE 27. Patient or Client Records
Notwithstanding any other provision herein, ifrequested by RECEIVING AGENCY, PERFORMING AGENCY
shall share all patient or client information with RECEIVING AGENCY when the contract involves patient or client
care by the PERFORMING AGENCY,
RECEIVING AGENCY may require PERFORMING AGENCY, or any subrecipient, to transfer a client or patient
record to another agency or to RECEIVING AGENCY if the transfer is necessary to protect either the
confidentiality of the record or the health and welfare of the client or patient.
In the event of termination, RECEIVING AGENCY may require the transfer of client or patient records as
authorized by law upon written notice to PERFORMING AGENCY, either to another entity that agrees to continue
the service or to RECEIVING AGENCY.
At the end of the Attachment term, PERFORMING AGENCY shall give RECEIVING AGENCY access to the
records or provide copies for audit, examination, evaluation, inspection, litigation, or other circumstances that may
arise, to the extent authorized by law.
PERFORMING AGENCY, or any subrecipient, shall not otherwise transfer an identifiable client record, including a
patient record, to another entity or person without written consent from the client or patient, or someone authorized
to act on his or her behalf. Written consent must be given on a form provided by RECEIVING AGENCY or as
otherwise authorized by law, including the Texas Occupations Code, Chapter 159, as amended.
ARTICLE 28. Confidentiality
PERFORMING AGENCY shall have a system in effect to protect client or patient records and all other documents
deemed confidential by law which are maintained in connection with the activities funded under this contract.
PERFORMING AGENCY shall not disclose or transfer confidential client or patient information, including
information required by the Reports Article, except in accordance with applicable law.
If providing direct client care, services, or programs, PERFORMING AGENCY shall implement RECEIVING
AGENCY'S policies based on the model mv / AIDS (human immunodeficiency virus/acquired immunodeficiency
syndrome) workplace guidelines, and PERFORMING AGENCY shall educate employees and clients concerning
HIV and its related conditions, including AIDS, in accordance with the Health and Safety Code 9~85.112-114.
ARTICLE 29. Sanctions
RECEIVING AGENCY may impose sanctions for any breach of contract, and will monitor PERFORMING
AGENCY for both programmatic and financial compliance. RECEIVING AGENCY may, at its own discretion,
impose one or more sanctions for each item of noncompliance and will determine sanctions on a case-by-case basis.
A state or federal statute, rule, regulation, or federal guideline will prevail over the provisions of this Article unless
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2002 GENERAL PROVISIONS Page 18
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the statute, rule, regulation, or guideline can be read together with the provision(s) of this Article to give effect to
both.
,
RECEIVING AGENCY may:
A. terminate all or a part of the contract. Termination is the permanent withdrawal of PERFORMING
AGENCY'S authority to obligate previously awarded funds before that authority would otherwise expire
or the voluntary relinquishment by PERFORMING AGENCY of the authority to obligate previously
awarded funds. PERFORMING AGENCY costs resulting from obligations incurred by PERFORMING
AGENCY after termination of an award are not allowable unless expressly authorized by the notice of
termination. Termination does not include: (I) withdrawal of funds awarded on the basis of
PERFORMING AGENCY'S underestimate of the unobligated balance in a prior period; (2) withdrawal
of the unobligated balance as of the expiration of a contract; (3) refusal to extend a contract or award
additional funds, to make a competing or noncompeting continuation, renewal, extension, or
supplemental award; or (4) voiding of a contract upon determination that the award was obtained
fraudulently, or was otherwise illegal or invalid from inception;
B. suspend all or part of the contract. Suspension is, depending on the context, either (1) the temporary
withdrawal of PERFORMING AGENCY'S authority to obligate funds pending corrective action by
PERFORMING AGENCY or its subrecipient(s) or pending a decision to terminate or amend the contract,
or (2) an action taken by a suspending official in accordance with agency regulations implementing
Executive Order 12549 to immediately exclude a person from participating in contract transactions for a
period, pending completion of an investigation and such legal or debarment proceedings as may ensue.
PERFORMING AGENCY costs resulting from obligations incurred by PERFORMING AGENCY
during a suspension are not allowable unless expressly authorized by the notice of suspension;
C. disallow (deny both use of funds and matching credit for) all or part of the activities or action not in
compliance;
D. temporarily withhold cash payments. Temporarily withholding cash payments means the temporary
withholding of advances or reimbursements to PERFORMING AGENCY or its subrecipient(s) for
proper charges or obligations incurred, pending resolution of issues of noncompliance with contract
conditions or indebtedness to the United States or to the State of Texas;
E. permanently withhold cash payments, Permanent withholding of cash payment means that RECEIVING
AGENCY retains funds billed by PERFORMING AGENCY or its subrecipient(s) for a) unallowable,
undocumented, disputed, inaccurate, improper, or erroneous billings; b) failure to comply with contract
provisions; or c) indebtedness to the United States or to the State of Texas;
F. deny contract renewal or future contract awards to a PERFORMING AGENCY;
G. delay contract execution with PERFORMING AGENCY while other imposed or proposed sanctions are
pending resolution;
H, place PERFORMING AGENCY on probation. Probation means that PERFORMING AGENCY will be
placed on accelerated monitoring for a period not to exceed six months at which time items of
noncompliance must be resolved or substantial improvement shown by PERFORMING AGENCY;
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2002 GENERAL PROVISIONS Page 19
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I. conduct accelerated monitoring of PERFORMING AGENCY. Accelerated monitoring means more
frequent or more extensive monitoring will be performed by RECEIVING AGENCY than would
routinely be accomplished;
J. require PERFORMING AGENCY to obtain technical or managerial assistance;
K. disallow requests for reimbursement by disapproving costs or fees submitted for payment or
reimbursement by PERFORMING AGENCY;
L. establish additional prior approvals for expenditure offunds by PERFORMING AGENCY;
M. require additional, more detailed, financial and/or programmatic reports to be submitted by
PERFORMING AGENCY;
N. demand repayment from PERFORMING AGENCY;
O. reduce the contract funding amount for failure to achieve or maintain the proposed level of service, to
expend funds appropriately and at a rate which will make full use of the award, or to provide services as
set out in the contract; and,
p, impose other remedies provided by law.
RECEIVING AGENCY will formally notify PERFORMING AGENCY in writing when a sanction is imposed
(with the exception of accelerated monitoring, which may be unannounced), stating the nature of the sanction( s), the
reasons for imposing them, the corrective actions which must be taken before they will be removed and the time
allowed for completing the corrective actions, and the method, if any, of requesting reconsideration of the sanctions
imposed. PERFORMING AGENCY is required to file, within 15 days of receipt of notice, a written response to
RECEIVING AGENCY'S program/division that sent the notice, acknowledging receipt of such notice and stating
how PERFORMING AGENCY will correct the noncompliance or demonstrating in writing that the findings on
which the sanctions are based are either invalid or do not warrant the sanction(s). If RECEIVING AGENCY
determines that a sanction is warranted, and unless the sanction is subject to review (see Sanction Review Article),
RECEIVING AGENCY'S decision is final and PERFORMING AGENCY must take corrective action,
In an emergency, RECEIVING AGENCY may immediately terminate or suspend all or part of the contract,
temporarily or permanently withhold cash payments, deny contract renewal or future contract awards, or delay
contract execution by delivering written notice to PERFORMING AGENCY, by any verifiable method, stating the
reason for the emergency action.
An "emergency" is defined as the following:
· PERFORMING AGENCY is noncompliant and the noncompliance has a direct adverse impact on the
public or client health or safety. The direct adverse impact may be programmatic or financial, impacting
health or safety by failing to provide services, providing inadequate services, providing unnecessary
services, or utilizing resources so that the public or clients do not receive the benefits contemplated by
the contract scope of work or performance measures;
· PERFORMING AGENCY fails to achieve a performance measure;
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2002 GENERAL PROVISIONS Page 20
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.
PERFORMING AGENCY is reimbursed or requesting reimbursement for expenditures which are not in
accprdance with applicable federal or state laws and regulations or the provisions of the contract; or
PERFORMING AGENCY is expending funds inappropriately,
.
Whether PERFORMING AGENCY'S conduct or inaction is an emergency shall be determined by RECEIVING
AGENCY on a case-by-case basis and shall be based upon the egregious nature of the noncompliance or conduct.
ARTICLE 30. Sanction Review
PERFORMING AGENCY may request a review of the imposition of the following sanctions: termination of all or
part ofthe contract, suspension of all or part of the contract, permanent withholding of cash payments, reduction of
contract funding or other contract amendment resulting from noncompliance, and denial of contract renewal or
future contract awards.
PERFORMING AGENCY must make the request for review in writing to RECEIVING AGENCY within fifteen
(IS) 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; (2) a specific description of each act that is the
basis for the dispute; (3) the grounds upon which PERFORMING AGENCY bases the complaint; (4) an
identification of the issue or issues to be resolved; (5) a precise statement of the relevant facts; (6) any
documentation in support of PERFORMING AGENCY'S position; and (7) a statement and authorities in support of
PERFORMING AGENCY'S position.
Evidence that PERFORMING AGENCY properly notified RECEIVING AGENCY consists of any ofthe following
documents: (1) signature on delivery card; (2) confirmation of a facsimile to the correct telephone number; or (3)
signed acknowledgment of delivery.
RECEIVING AGENCY'S representative will schedule a meeting or a conference call to attempt to resolve the
issues in dispute. If the dispute is resolved, any resolution will be in writing and will be signed by all parties, If the
dispute is not resolved, RECEIVING AGENCY'S representative will notify PERFORMING AGENCY in writing.
RECEIVING AGENCY will appoint a reviewer(s), who will review the information, who may permit or require
additional information and who may grant, deny, or modify all relief requested in the written notice of dispute. The
reviewer(s)'s decision will be in writing and will contain a discussion of the reason for the decision and the
remedial action, if any. The reviewer(s) will send copies of the decision to all parties by any verifiable means. The
decision of the reviewer(s) is final and is the final action of RECEIVING AGENCY for purposes of further
proceedings.
A state statute or rule or a federal statute, regulation or guideline will prevail over the provisions of this Article
unless the statute, rule, regulation or guideline can be read together with the provision or provisions ofthis Article
to give effect to both.
ARTICLE 31. Breach of Contract
Any remedies set out in this contract are in addition to rights and remedies for breach of contract provided by law.
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2002 GENERAL PROVISIONS Page 21
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ARTICLE 32. Termination
i
Each Attachment shall terminate upon the expiration date of the Attachment unless extended by written amendment
in accordance with the Amendments Article. Prior to completion of the contract term, all or a part of this contract
may be terminated with or without cause as set out below.
A. Termination without cause.
(1) Either party may terminate this contract with at least 90 days prior written notice
to the other party.
(2) The parties may terminate this contract by mutual agreement.
(3) Either party may terminate this contract with at least 30 days prior written notice to the other party
in the event state and/or federal funding for this contract is terminated, limited, suspended, or
withdrawn.
(4) RECEIVING AGENCY may terminate this contract when, in the sole determination of
RECEIVING AGENCY, termination is in the best interest of the State of Texas,
B. Termination for cause.
(1) Either party may terminate for material breach of contract with at least 30 days written notice to
the other party.
(2) RECEIVING AGENCY may terminate this contract, in whole or in part, for breach of contract or
for any other conduct that jeopardizes the contract objectives, by giving at least 30 days written
notice to PERFORMING AGENCY. Such conduct may include one or more of the following:
(a) A court of competent jurisdiction finds that PERFORMING AGENCY has failed to adhere
to any laws, ordinances, rules, regulations or orders of any public authority having
jurisdiction;
(b) PERFORMING AGENCY fails to communicate with RECEIVING AGENCY or fails to
allow its employees or those of its subrecipients to communicate with RECEIVING
AGENCY as necessary to the performance of the contract;
(c) PERFORMING AGENCY breaches a standard of confidentiality with respect to the
services provided under this contract;
(d) RECEIVING AGENCY determines that PERFORMING AGENCY is without the
personnel or resources to perform under the contract;
(e) RECEIVING AGENCY determines that PERFORMING AGENCY, its agent or another
representative offered or gave a gratuity (e.g" an entertainment or gift) to an official or
employee of RECEIVING AGENCY for the purpose of obtaining a contract or favorable
treatment;
(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;
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2002 GENERAL PROVISIONS Page 22
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(iii) PERFORMING AGENCY admits in writing its inability to pay its debts generally
as they become due; or
(iv) If judgment for the payment of money in excess of$50,000 (which is not covered
by insurance) is rendered by any court or governmental body against
PERFORMING AGENCY, and PERFORMING AGENCY does not (a) discharge
the judgment or (b) provide for its discharge in accordance with its terms, or (c)
procure a stay of execution within 30 days from the date of entry thereof, and
within the 30-day period or a longer period during which execution of the
judgment shall have been stayed, appeal therefrom and cause the execution
thereof to be stayed during such appeal while providing such reserves therefore as
may be required under generally accepted accounting principles.
C. Emergency termination, In emergency circumstances, RECEIVING AGENCY may terminate the
contract immediately upon notice to PERFORMING AGENCY by any verifiable means. "Emergency"
is defined in the Sanctions Article.
Either party may deliver written notice of intent to terminate by any verifiable method, If either party gives notice
of its intent to terminate all or a part of this contract, RECEIVING AGENCY and PERFORMING AGENCY will
try to resolve any issues related to the anticipated termination in good faith during the notice period. Upon
termination of all or part of this contract, RECEIVING AGENCY and PERFORMING AGENCY will be
discharged from any further obligation created under the applicable terms of this contract except for the equitable
settlement of the respective accrued interests or obligations incurred prior to termination. Termination does not,
however, constitute a waiver of any remedies for breach of this contract. In addition, the obligations of
PERFORMING AGENCY to retain records and maintain confidentiality of information shall survive this contract.
ARTICLE 33. Void Contract
RECEIVING AGENCY may hold a contract void upon its determination that the contract award was obtained
fraudulently or was otherwise illegal or invalid from its inception.
ARTICLE 34. Severability
If any provision of this contract is construed to be illegal or invalid, the illegal or invalid provision will be deemed
stricken and deleted to the same extent and effect as if never incorporated, but all other provisions will continue.
ARTICLE 35. Local Health Department Personnel
All local health department personnel funded by Attachment(s) to this contract are employees of PERFORMING
AGENCY which will be responsible for their direction and control and liable for any of their acts or omissions.
PERFORMING AGENCY will have in place legally sufficient due process hearing procedures for all of its
employees filling state-budgeted positions.
PERFORMING AGENCY will have full authority to employ, promote, suspend, demote, discharge, and transfer
within its organization any and all state-budgeted personnel funded by Attachment(s) to this contract provided,
however, that any demotion, suspension, or discharge of such state-budgeted employees will be in accordance with
the due process hearing procedures as set out above. The only distinction between state-budgeted and local paid
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2002 GENERAL PROVISIONS Page 23
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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 po'sition 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 ofthis contract if the Attachment provides assistance through
assignment of state-budgeted positions and no funds are budgeted for local costs,
PERFORMING AGENCY may be reimbursed for local personnel costs or other categories of expense used to
fulfill the scope of work of applicable Attachment( s) in lieu of being furnished state payroll warrants after a state-
budgeted position becomes vacant. Reimbursement will not exceed the balance of funds on the state-budgeted
position after all benefits, obligations, and/or other entitlements are met. PERFORMING AGENCY'S Director, or
other person( s) authorized elsewhere in this contract, may submit a request for conversion, RECEIVING AGENCY
will transmit formal approval and a revised budget to PERFORMING AGENCY to complete the conversion if the
request is granted.
ARTICLE 36. Survival of Terms
Termination or expiration of this contract for any reason shall not release either party from any liabilities or
obligations set forth in this contract that (a) the parties have expressly agreed shall survive any such termination or
expiration, or (b) remain to be performed or by their nature would be intended to be applicable following any such
termination or expiration.
ARTICLE 37. Construction of Ambie;uities
The parties expressly agree that they have each independently read and understood this contract. Any ambiguities
in this contract will not be construed against the drafters.
ARTICLE 38. No Waiver of Sovereie;n Immunity
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2002 GENERAL PROVISIONS Page 24
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THE PARTIES EXPRESSLY AGREE THAT NO PROVISION OF TillS CONTRACT IS IN ANYWAY
INTENDED TO CONSTITUTE A WAIVER OF ANY IMMUNITIES FROM SUIT OR FROM LIABILITY
THAT THE PARTIES OR THE STATE OF TEXAS MAY HAVE BY OPERATION OF LAW.
ARTICLE 39. Certifications
The governing body of each party has authorized this contract. RECEIVING AGENCY is paying for the
performance of governmental functions and services from current revenues available to RECEIVING AGENCY.
The payment is in an amount that fairly compensates PERFORMING AGENCY for the services or functions
performed under the contract.
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2002 GENERAL PROVISIONS Page 25
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DOCUMENT NO. 7560022067-2002
AITACHMENTNO.Ol
PERFORMING AGENCY: PARIS-LAMAR COUNTY HEALTH DEPARTMENT
RECEIVING AGENCY PROGRAM: BUREAU OF REGIONALILOCAL HEALTH
OPERATIONS
TERM: September 01,2001 THRU: August 31,2002
SECTION I. SCOPE OF WORK:
ESSENTIAL PUBLIC HEALTH SERVICES
PERFORMING AGENCY shall use direct assistance and/or financial assistance, as specified in
SECTION III., BUDGET, from RECEIVING AGENCY to deliver one or more of the following
essential public health services as specified in PERFORMING AGENCY'S FY 02 Service
Delivery Plan, which is adopted by reference:
· Monitor the health status of individuals in the community to identify community
health problems;
· Diagnose and investigate community health problems and community health hazards;
· Inform, educate, and empower the community with respect to health issues;
· Mobilize community partnerships to identify and solve community health problems;
· Develop policies and plans that support individual and community efforts to improve
health;
· Enforce laws and rules that protect the public health and ensure safety in accordance
with those laws and rules;
\
· Link individuals who have a need for community and personal health services to
appropriate community and private providers;
· Ensure a competent workforce for the provision of essential public health services;
· Research for new insights and innovative solutions to community health problems;
and
· Evaluate the effectiveness, accessibility and quality of personal and population based
health services in a community.
Two types of support are available under this program: (1) direct assistance in the form of state-
paid positions and/or (2) financial assistance from General Revenue funds and the Preventive
Health and Health Services Block Grant.
DIRECT ASSISTANCE
A IT ACHMENT - Page 1
State-paid positions under this contract Attachment shall perform activities as specified in
PERFORMING AGENCY'S FY 02 Service Delivery Plan. Activities shall be specific to one or
more of the ten essential publi~ health services or cardiovascular and cancer activities.
FINANCIAL ASSISTANCE
PERFORMING AGENCY shall direct General Revenue or 73.5% of the funds toward the
delivery of a broad range of essential public health services and the Preventive Health and Health
Services Block Grant or 26.5% of the funds for activities designed to reduce the incidence of
cancer and cardiovascular disease.
PERFORMANCE MEASURES
The following performance 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.
For the General Revenue funds the PERFORMING AGENCY shall participate in one of the
three stages of the National Public Health Performance Standard (NPS) Model specified in the
attached PERFORMING AGENCY'S Service Delivery Plan. The three stages include:
1. NPS Survey Stage: PERFORMING AGENCY shall complete the NPS survey and submit
the completed survey to the appropriate RECEIVING AGENCY Regional Director no
later than August 31, 2002.
2. Systems Improvement Plan (SIP) Design Stage: PERFORMING AGENCY shall develop
a Local Public Health SIP and submit the developed SIP to the appropriate RECEIVING
AGENCY Regional Director no later than August 31, 2002, An enhanced model of a
system improvement process may be performed, such as Assessment Protocols for
Excellence in Public Health (APEXP H), Mobilizing for Action through' Planning and
Partnerships (MAPP also formerly known as APEXP H) or other system improvement
process. The system improvement process shall be approved by the appropriate
RECEIVING AGENCY Regional Director.
3. SIP Implementation Stage: PERFORMING AGENCY shall implement and evaluate the
SIP, and submit findings and recommendations to the appropriate RECEIVING
AGENCY Regional Director no later than August 31, 2002.
For the Preventive Health and Health Services Block funds the PERFORMING AGENCY shall
complete activities in the approved Service Delivery Plan to reduce cardiovascular disease and
cancer in the PERFORMING AGENCY'S jurisdiction no later than August 31,2002.
SECTION II. SPECIAL PROVISIONS:
A IT ACHMENT - Page 2
General Provisions, Reports Article, is revised to include the following paragraph:
PERFORMING AGENCY shall submit an Annual Expenditures and Activities Report to
the appropriate RECEIVING AGENCY Regional Director within sixty (60) days
following the end of PERFORMING AGENCY'S fiscal year.
A TT ACHMENT - Page 3
SECTION III. BUDGET:
PERSONNEL
FRINGE BENEFITS
TRAVEL
EQUIPMENT
SUPPLIES
CONTRACTUAL
OTHER
$93,015.00
28,389.00
0.00
0.00
0.00
0.00
0.00
TOTAL DIRECT CHARGES
INDIRECT CHARGES
TOTAL
$121,404.00
$0.00
$121,404,00
Total reimbursements will not exceed $ 121,404.00.
Financial status reports are due the 30th of December, 30th of March, 30th of June, and the 30th
of November.
A IT ACHMENT - Page 4
CE. .IFICATION REGARDING LOBB..~G
CERTIFICATION FOR CONTRACTS. GRANTS.
LOANS AND COOPERATIVE AGREEMENTS
The undersigned cer'tifies, 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, ~nd 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-1ll, "Disclosure Form to Report Lobbying," in accordance with it's
instructions.
(3)
The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants,
and contracts under grants, loans and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when
this transaction was made or entered into. Submission of this certification is a prerequisite
for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code.
Any person who fails to file the required certification shall be subject to a civil penalty of not
less than $10,000 and not n $100,000 for each such failure.
07-23""72001
Date
ANTHONY BETHEL
Print Name of Authorized Individual
7560022067 2002-01
ApplIcatIon or {;ontract Number
PARIS-LAMAR COUNTY HEALTH DEPARTMENT
UrgamzatIon Name and Address
740 SOUTHWEST 6TH.
PARIS, TX 75460-0000
DOCUMENT NO. 7560022067-2002
ATTACHMENT NO. 02
PERFORMING AGENCY: PARIS-LAMAR COUNTY HEALTH DEPARTMENT
RECEIVING AGENCY PROGRAM: ASSOCIATE COMMISSIONER FOR F AMIL Y
HEALTH
TERM: September 01, 2001 THRU: August 31, 2002
SECTION 1. SCOPE OF WORK:
PERFORMING AGENCY shall deliver comprehensive health care services to eligible low-
income individuals as authorized under the Health and Safety Code, Chapter 31, Texas Primary
Health Care Services Act.
PERFORMING AGENCY shall comply with all applicable federal and state laws, rules,
regulations, standards, and guidelines in effect on the beginning date of this contract Attachment
unless amended. The following documents are incorporated by reference and made a part of this
contract Attachment. These include:
· RECEIVING AGENCY Family & Community Health Services Grants FY2002
Competitive Request For Proposal (RFP);
· PERFORMING AGENCY FY2002 Competitive Application and any revisions;
· RECEIVING AGENCY'S Primary Health Care Program Rules, 25 TAC, Chapter 39;
· RECEIVING AGENCY'S Primary Health Care (PHC) Handbook, and any revisions;
· Texas Primary Health Care Services Act, Health and Safety Code, Chapter 31;
· RECEIVING AGENCY'S Client Services Standards for Public Health and Community
Clinics, revised June 1997;
· Service-specific standards/guidelines set by RECEIVING AGENCY'S Programs for the
particular client services provided; and
. Changes in income guidelines as determined by RECEIVING AGENCY.
Within thirty (30) days of receipt of an amended standard(s) or guideline(s), PERFORMING
AGENCY shall inform RECEIVING AGENCY Program, in writing, if it will not continue
performance under this Attachment in compliance with the amended standard(s) or guideline(s).
RECEIVING AGENCY may terminate the Attachment immediately or within a reasonable
period of time as determined by RECEIVING AGENCY.
PERFORMANCE MEASURES
The following performance 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.
ATTACHMENT - Page 1
PERFORMING AGENCY shall report on:
· Screening, referral and PHC eligibility services (PHC-200)
· Client intake - new and recertified clients (PHC-200)
· Number ofPHC eligible clients receiving medical services (PHC-200)
· Clients served by quarter (PHC-200)
· Cost and type of services provided (PHC-200)
· Client demographic data (PHC-300) (annual)
PERFORMING AGENCY shall report quality measures on the:
· Clinical Process = Outcome Measures report (PHC-301)
· Client Satisfaction Survey (PHC-302) (annual)
PERFORMING AGENCY shall use the required eligibility system as described in the PHC
Handbook and use TESS (Texas Eligibility Screening System) or other system. designated by
RECEIVING AGENCY as the initial step.
PERFORMING AGENCY shall make reasonable efforts to investigate and apply for all other
sources of third party funding available to or identified by the patient before submitting claims
for allowable costs to RECEIVING AGENCY Program.
When each client is enrolled, the client shall be assigned to a specific primary care provider for
preventive, episodic and chronic care to foster continuity and efficiency of care.
PERFORMING AGENCY shall provide services to 1,015 clients who live or who receive
services in the following county(ies)larea: Delta, Fannin, Hopkins, Lamar, Red River, Titus.
SECTION II. SPECIAL PROVISIONS
General Provisions, Reports Article, is revised to include the following:
PERFORMING AGENCY shall submit a Program Services Report on or before the
following dates: January 15, April 15, July 15 and October 15. A final Program Services
Report shall be submitted on or before November 15. RECEIVING AGENCY Program
requires comprehensive reports which allow the Program to assess the volume and
quality of services being provided.
A TT ACHMENT - Page 2
SECTION IlL BUDGET:
PERSONNEL
FRINGE BENEFITS
TRAVEL
EQUIPMENT
SUPPLIES
CONTRACTUAL
OTHER
$116,000.00
20,000.00
1,500.00
0.00
5,500.00
31,000.00
6,000.00
TOTAL DIRECT CHARGES
INDIRECT CHARGES
TOTAL
$180,000.00
$0.00
$180,000.00
Total reimbursements will not exceed $180,000.00 .
Financial status reports are due the 30th of December, 30th of March, 30th of June, and the 30th
of November.
A IT ACHMENT - Page 3
DOCUMENT NO. 7560022067-2002
ATTACHMENT NO. 03
PERFORMING AGENCY: PARIS-LAMAR COUNTY HEALTH DEPARTMENT
RECEIVING AGENCY PROGRAM: IMMUNIZATION DIVISION
TERM: September 01, 2001 THRU: August 31, 2002
SECTION I. SCOPE OF WORK:
The goal of RECEIVING AGENCY Program is to prevent, control, and eliminate vaccine-
preventable diseases by providing and administering biologicals, promoting immunizations,
conducting vaccine-preventable disease surveillance, assessing vaccine coverage levels, and
applying principles of epidemiology and outbreak control measures within budgetary constraints.
PERFORMING AGENCY shall implement an immunization program for children, adolescents,
and adults, with special emphasis on accelerating interventions to improve the immunization
coverage of children two years of age or younger (less than 36 months of age). PERFORMING
AGENCY shall incorporate traditional and non-traditional, systematic approaches designed to
eliminate barriers, expand immunization delivery, and establish uniform policies.
PERFORMING AGENCY shall provide services as outlined in PERFORMING AGENCY'S
Fiscal Year (FY) 2002 Contract Renewal Application and Work Plan and revisions, if any, as
agreed to and approved by RECEIVING AGENCY Program. These documents are adopted by
reference and made a part of this contract Attachment. Any revisions to these documents shall
be approved by RECEIVING AGENCY Program and transmitted in writing to PERFORMING
AGENCY.
PERFORMING AGENCY shall report all reportable conditions as specified in 25 TAC ~~97.61-
97.77 and 97.101-97.102.
PERFORMING AGENCY shall report all vaccine adverse event occurrences in accordance with
the National Childhood Vaccine Injury Act of 1986.
PERFORMING AGENCY shall inform and educate the public about vaccines and vaccine-
preventable diseases.
PERFORMING AGENCY shall develop policies and plans that support individual and
community-based immunization strategies and evaluate effectiveness, accessibility, and quality
of personal and population-based immunization services and program activities.
A IT ACHMENT - Page 1
PERFORMING AGENCY shall ensure a health care workforce that is knowledgeable about
vaccines, vaccine-preventable diseases, and delivery of vaccination services. ·
PERFORMING AGENCY shall assist in distributing state-supplied vaccines to Texas Health
Steps providers, Medicaid providers, physicians, and other providers and organizations within
PERFORMING AGENCY'S local area.
PERFORMING AGENCY shall not deny vaccinations to recipients because they do not reside
within PERFORMING AGENCY'S jurisdiction.
PERFORMING AGENCY shall maintain an accurate, up-to-date list of clinics and sites where
public sector (free or low cost) immunization services are offered in PERFORMING
AGENCY'S local area.
No fee may be charged for vaccines provided by RECEIVING AGENCY Program. All vaccines
obtained from RECEIVING AGENCY Program shall be used solely for purposes of this contract
Attachment and shall not be sold to agencies or individuals.
PERFORMING AGENCY shall not collect vaccine administration fees from Medicaid
recipients. Vaccine administration fees collected from non-Medicaid patients shall be kept within
guidelines established by RECEIVING AGENCY. In accordance with 25 TAC ~1.91, no one
shall be denied immunization services in public clinics because of inability to pay the
administration fee. Fee schedules shall not be based on vaccine type, formulation, or dose in
series. A copy of PERFORMING AGENCY'S fee schedule shall be submitted to RECEIVING
AGENCY Program with the submission of the FY 2002 Contract Renewal Application and
Work Plan.
All equipment and vaccine used by PERFORMING AGENCY which are provided by
RECEIVING AGENCY Program, shall be accounted for as public property. RECEIVING
AGENCY Program will investigate equipment or vaccine loss, destruction, spoilage, or other
waste and may require PERFORMING AGENCY to replace or reimburse RECEIVING
AGENCY Program.
PERFORMING AGENCY shall provide the parent, managing conservator, or guardian of each
patient with a form that is approved by RECEIVING AGENCY Program in compliance with 25
TAC, Chapter 100 to authorize participation in the statewide immunization registry (ImmTrac).
PERFORMING AGENCY shall provide RECEIVING AGENCY Program weekly data transfers
of all vaccines administered in a format that is compatible for inclusion in the statewide
immunization registry (ImmTrac).
PERFORMING AGENCY shall comply with all applicable federal and state laws, rules,
regulations, standards, and guidelines in effect on the beginning date of this contract Attachment
A TT ACHMENT - Page 2
unless amended. The following documents are incorporated by reference and made a part of this
contract Attachment.
· PERFORMING AGENCY'S FY 2002 Contract Renewal Application, and any
reVISIOns;
· Human Resources Code ~42.043, VTCA;
· Education Code SS38.001-38.002, VTCA;
· Health and Safety Code SS81.023 and 161.001-161.009, VTCA;
· 25 TAC ~~97.61-97.77 and 97.101-97.102;
· 25 T AC, Chapter 96;
· 25 T AC, Chapter 100;
· 42 USC ~S247b and 300 aa-25;
· Omnibus Budget Reconciliation Act of 1993, 26 USC S4980B;
· RECEIVING AGENCY'S Client Services Standards for Public Health and
Community Clinics, revised June 1997;
· RECEIVING AGENCY'S Vaccine-Preventable Disease Surveillance guidelines,
http://www.tdh.state.tx.us/immunize/docs/guide.htm;
· RECEIVING AGENCY'S Pharmacy guidelines;
· Centers for Disease Control and Prevention's Advisory Committee on
Immunization Practices (ACIP) guidelines, including the statement:
"Immunization of Health-Care Workers"; and
· Standards for Pediatric Immunization Practices, February 1996, recommended by
the National Vaccine Advisory Committee, approved by the United States Public
Health Service, and endorsed by the American Academy of Pediatrics.
Within thirty (30) days of receipt of an amended standard(s) or guideline(s), PERFORMING
AGENCY shall inform RECEIVING AGENCY Program, in writing, if it will not continue
performance under this Attachment in compliance with the amended standard(s) or guideline(s).
RECEIVING AGENCY may terminate the Attachment immediately or within a reasonable
period of time as determined by RECEIVING AGENCY.
PERFORMANCE MEASURES
The following performance measure(s) will be used, in part, to assess PERFORMING
AGENCY'S effectiveness in providing the services described in this contract Attachment to the
service area, without waiving the enforceability of any of the terms of the contract.
PERFORMING AGENCY shall investigate 100% of all reported vaccine-preventable
diseases in accordance with RECEIVING AGENCY'S Vaccine-Preventable Disease
Surveillance Guidelines.
PERFORMING AGENCY shall investigate 100% of suspected hepatitis B infections in
pregnant women to assure appropriate treatment and follow-up as directed by Health and
ATTACHMENT - Page 3
Safety Code g81.090 and RECEIVING AGENCY'S Vaccine-Preventable Disease
Surveillance Guidelines.
PERFORMING AGENCY shall provide RECEIVING AGENCY Program monthly
reports of doses administered submitted by the fifteenth calendar day of each month for
the previous calendar month, in formats approved by RECEIVING AGENCY Program.
PERFORMING AGENCY shall implement an immunization reminder and/or recall
system to notify parents or guardians of children less than 36 months of age when
immunizations are due. The notifications may be automated or manual and may consist
of mail or telephone contacts.
PERFORMING AGENCY shall conduct immunization audits In 100% of assigned
childcare facilities and registered family homes.
PERFORMING AGENCY shall conduct annual assessments in 100% of local health
department sites, sub-contracted entities, and WIC clinics using the Assessment Feedback
Initiative eXchange (AFIX) methodology. PERFORMING AGENCY shall submit
assessment results to RECEIVING AGENCY Program within two (2) weeks after
completion.
PERFORMING AGENCY shall offer to conduct annual assessments in 100% of Texas
Vaccines for Children (TVFC)-enrolled private provider sites using the Assessment
Feedback Initiative Exchange (AFIX) methodology.
PERFORMING AGENCY shall conduct monitoring visits in 0% of Texas Vaccines for
Children Program (TVFC)-enrolled provider sites using the RECEIVING AGENCY'S
monitoring tool and methodology. PERFORMING AGENCY shall submit monitoring
report to RECEIVING AGENCY Program within two (2) weeks after completion of
visit.
PERFORMING AGENCY shall recruit and enroll providers into the TVFC program.
SECTION II. SPECIAL PROVISIONS
General Provisions, Reports Article, is revised to include the following:
PERFORMING AGENCY shall submit quarterly program reports to RECEIVING
AGENCY Program according to the following time1ines and in the formats provided by
RECEIVING AGENCY Program.
A TT ACHMENT - Page 4
NAME OF REPORT APPLICABLE QUARTERS DUE DATES
Immunization Program - September, October, November December 30
Performance Measure December, January, February March 30
Quarterly Report March, April, May June 30
June, July, August September 30
Immunization Program - September, October, November December 30
Recruitment Quarterly Report December, January, February March 30
March, April, May June 30
June, July, August September 30
For immunization activities performed under this contract Attachment, General Provisions,
Overtime Compensation Article is not applicable. In addition, PERFORMING AGENCY shall
comply with the following paragraphs:
PERFORMING AGENCY is authorized to pay employees who are not exempt under the
Fair Labor Standards Act (FLSA), 29 USC, Chapter 8, S201 et seq., for overtime or
compensatory time at the rate of time and one-half per FLSA.
PERFORMING AGENCY is authorized to pay employees who are exempt under FLSA
on a straight time basis for work performed on a holiday or for regular compensatory
time hours when the taking of regular compensatory time off would be disruptive to
normal business operations.
Authorization for payment under this provision is limited to work directly related to
immunization activities and shall be in accordance with the amount budgeted in this
contract Attachment. PERFORMING AGENCY shall document proper authorization or
approval for any work performed by exempt or non-exempt employees in excess of forty
(40) hours per work week.
A IT ACHMENT - Page 5
SECTION III. BUDGET:
PERSONNEL
FRINGE BENEFITS
TRAVEL
EQUIPMENT*
SUPPLIES
CONTRACTUAL
OTHER
$29,081.00
8,724.00
2,108.00
3,500.00
7,000.00
500.00
2,610.00
TOTAL DIRECT CHARGES
INDIRECT CHARGES
TOTAL
$53,523.00
$0.00
$53,523.00
Total reimbursements will not exceed $53,523.00.
Financial status reports are due the 30th of December, 30th of March, 30th of June, and the 30th
of November.
* Equipment list attached.
A TT ACHMENT - Page 6
PERFORMING AGENCY: PARIS-LAMAR COUNTY HEALTH DEPARTMENT
I
RECEIVING AGENCY PROGRAM: IMMUNIZA nON DIVISION
TDH DOC. NO: 7560022067 02
AITACHMENTNO: 03
Change No. 01
EQUIPMENT LIST
ITEM DESCRIPTION NO. OF UNIT EXTENSION
UNITS COST
001 Dell Laptop Computer; Celeron 700 MHz; 14.1" X GA TFT Display; 64 MB 2 1,750.00 $ 3,500.00
RAM; 5GB Hard Drive; 10/1 00 Ethernet Card; 24X CD; Extra Battery;
Shipping and Handling.
TOTALS I $ 3,500.00
Items may be brand name, if specified, or equivalent.
Equipment List Page 1