04-E DSHS Health Services Contract
CITY OF PARIS, TEXAS
CITY COUNCIL AGENDA REQUEST
Meeting Date:
liAction 0 Discussion 0 Information 0 Refer to:
DESCRIPTION:
Approval of FY08 Immunization Grant in the amount of $94,786.00 for the
Paris-Lamar County Health Department.
BACKGROUND INFORMATION:
FISCAL AUTHO ITY:
BUDGETED: es 0 no Account#: ~ 2... _-- -- - 1- 01
GRANT: 2008-023731-001 Account #:
BOND I CO Account #:
OTHER: see attached for recommended fundin
LEGAL REVIEW:
COMMENTS:
MANAGER'S RECQMMENDATION:
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DRAFT
f:attorney\reswork\current\Heattb Contract DSHS No. 2008-023731-001
September 4, 2007
RESOLUTION NO.
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF PARIS,
TEXAS, APPROVING AND AUTHORIZING THE EXECUTION OF A
CONTRACT WITH THE DEPARTMENT OF STATE HEALTH SERVICES
("DSHS") DOCUMENT NO. 2008-023731 (PROGRAM A TT ACHMENT NO.
001 - PURCHASE ORDER NO. 0000331441-IMMUNIZATION BRANCH-
LOCALS), FOR REGIONAL AND LOCAL MEDICAL SERVICES;
MAKING OTHER FINDINGS AND PROVISIONS RELATED TO THE
SUBJECT; AND PROVIDING AN EFFECTIVE DATE.
WHEREAS, the State of Texas is a funding partner with Lamar County and the City of Paris
for the Paris-Lamar County Health Department; and,
WHEREAS, the Contract for Regional and Local Services, DSHS Document No. 2008-
023731 (Attachment No. 001 - Purchase Order No. 0000331441 - Immunization Branch - Locals),
is the conduit through which the state funds are received; and,
WHEREAS, it is appropriate that the 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 Contract for Regional and Local Services, DSHS Document No. 2008-
023731 (Attachment No. 001 - Purchase Order No. 0000331441 - Immunization Branch - Locals)
for regional and local medical services 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 Regional and Local Services, DSHS
Document No.2008-0223731 (Attachment No. 001 - Purchase Order No. 0000331441 -
Immunization Branch - Locals), under the terms and conditions and in substantially the same form
shown in Exhibit A, attached hereto.
DEPARTMENT OF STATE HEALTH SERVICES
This contract, number 2008-023731 (Contract), is entered into by and between the Department
of State Health Services (DSHS or the Department), an agency of the State of Texas, and
PARIS-LAMAR COUNTY HEALTH DEPARTMENT (Contractor), a Government Entity,
(collectively, the Parties).
1. Purpose of the Contract. DSHS agrees to purchase, and Contractor agrees to provide,
services or goods to the eligible populations as described in the Program Attachments.
2. Total Amount of the Contract and Payment Method(s). The total amount of this Contract
is $94,786.00, and the payment methodes) shall be as specified in the Program Attachments.
3. Fundin2 Obli2ation. This Contract is contingent upon the continued availability of funding.
If funds become unavailable through lack of appropriations, budget cuts, transfer of funds
between programs or health and human services agencies, amendment to the Appropriations Act,
health and human services agency consolidation, or any other disruptions of current appropriated
funding for this Contract, DSHS may restrict, reduce, or terminate funding under this Contract.
4. Term of the Contract. This Contract begins on 09/01/2007 and ends on 08/31/2008. DSHS
has the option, in its sole discretion, to renew the Contract a,s provided in each Program
Attachment. DSHS is not responsible for payment under this Contract before both parties have
signed the Contract or before the start date of the Contract, whichever is later.
5. Authority. DSHS enters into this Contract under the authority of Health and Safety Code,
Chapter 1001.
6. Documents Formin2 Contract. The Contract consists of the following:
a. Core Contract (this document)
b. Program Attachments:
2008-023731-001 IMMUNIZATION BRANCH - LOCALS
c. General Provisions (Sub-recipient)
d. Solicitation Document(s), and
e. Contractor's response(s) to the Solicitation Document(s).
f. Exhibits
Any changes made to the Contract, whether by edit or attachment, do not form part of the
Contract unless expressly agreed to in writing by DSHS and Contractor and incorporated herein.
92648-1
EXHIBIT A
7. Conflictin2 Terms. In the event of conflicting terms among the documents forming this
Contract, the order of control is first the Core Contract, then the Program Attachment(s), then the
General Provisions, then the Solicitation Document, if any, and then Contractor's response to the
Solicitation Document, if any.
8. Payee. The Parties agree that the following payee is entitled to receive payment for services
rendered by Contractor or goods received under this Contract:
Name: PARIS-LAMAR COUNTY HEALTH DEPARTMENT
Address: PO BOX 938
PARIS, TX 75460-0938
Vendor Identification Number: 17560022067001
9. Entire A2reement. The Parties acknowledge that this Contract is the entire agreement of
the Parties and that there are no agreements or understandings, written or oral, between them
with respect to the subject matter of this Contract, other than as set forth in this Contract.
92648-1
By signing below, the Parties acknowledge that they have read the Contract and agree to its
terms, and that the persons whose signatures appear below have the requisite authority to execute
this Contract on behalf of the named party.
DEPARTMENT OF STATE HEALTH SERVICES
PARIS-LAMAR COUNTY HEALTH
DEPARTMENT
By:
Signature of Authorized Official
By:
Signature
Date
September 10, 2007
Date
Bob Burnette, C.P .M., CTPM
Kevin Carruth, City Manager
Printed Name and Title
Director, Client Services Contracting Unit
P. O. Box 9037
Address
1100 WEST 49TH STREET
AUSTIN, TEXAS 78756
-Paris, TX 75461-9037
City, State, Zip
(512) 458-7470
903-785-7511
Telephone Number
Bo b.Burnette@dshs.state.tx.us
- kcarruth@paristexas.gov
E-mail Address for Official Correspondence
92648-1
2007 GENERAL PROVISIONS (SUBRECIPIENT)
T ABLE OF CONTENTS
ARTICLE I COMPLIANCE AND REPORTING 1
1.01 Compliance with Statutes and Rules 1
1.02 Compliance with Requirements of Solicitation Document 1
1.03 Reporting 1
1.04 Immunization Reporting 1
1.05 Client Eligibility 1
1.06 Federal and State Laws, Rules and Ordinances 1
1.07 Applicable Contracts Law and Venue for Disputes 2
1.08 Applicable Laws and Regulations Regarding Funding Sources 2
1.09 Statutes and Standards of General Applicability 2
1.10 General Provisions Applicable to Interagency & Interlocal Contracts 4
ARTICLE II SERVICES 5
2.01 Education to Persons in Residential Facilities 5
2.02 Disaster Services 5
2.03 Consent to Medical Care 5
2.04 Telemedicine Medical Services 5
2.05 Fees for Services 6
2.06 Cost Effective Purchasing of Medications 6
ARTICLE III FUNDING 6
3.01 Debt to State and Corporate Status 6
3.02 Application of Payment Due 6
3.03 Use of Funds 7
3.04 Use for Match Prohibited 7
3.05 Program Income 7
3.06 Nonsupplanting 7
ARTICLE IV PAYMENT METHODS AND RESTRICTIONS 7
4.01 Payment Methods 7
4.02 Billing Submission 7
4.03 Final Billing Submission 8
4.04 Working Capital Advance 8
4.05 Financial Status Reports (FSRs) 8
4.06 Third Party Payors 8
ARTICLE V TERMS AND CONDITIONS OF PAYMENT 8
5.01 Prompt Payment 8
5.02 Withholding Payments 9
5.03 Condition Precedent to Requesting Payment 9
5.04 Acceptance as Payment in Full 9
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ARTICLE XII GEN. BUS. OPERATIONS OF CONTRACTOR 17
12.01 Board Training 17
12.02 Duty of Compliance 17
12.03 Management and Control Systems 17
12.04 Insurance and Bonding 18
12.05 Fidelity Bond 18
12.06 Liability Coverage 18
12.07 Overtime Compensation 18
12.08 Program Site 18
12.09 Cost Allocation Plan 18
12.10 Reporting Unit Rate and Fee for Service Contracts 19
12.11 Historically Underutilized Businesses (HUBs) 19
12.12 Buy Texas 19
12.13 Contracts with Subrecipent Subcontractors 19
12.14 Status of Subcontractors 20
12.15 Incorporation of Terms 20
12.16 Independent Contractor 20
12.17 Authority to Bind 20
12.18 Tax Liability 20
12.19 Notice of Organizational Change 21
12.20 Quality Management 21
12.21 Equipment Purchases 21
12.22 Supplies 21
12.23 Changes to Equipment List 21
12.24 Property Inventory and Protection of Assets 21
12.25 Bankruptcy 22
12.16 Title to Property 22
12.27 Property Acquisitions 22
12.28 Disposition of Property 22
12.29 Closeout of Equipment 22
12.30 Assets as Collateral Prohibited 22
ARTICLE XIII GENERAL TERMS 22
13.01 Assignment 22
13.02 Lobbying 23
13.03 Conflict of Interest 23
13.04 Transactions Between Related Parties 23
13.05 Intellectual Property 24
13.06 Other Intangible Property 24
13.07.Severability and Ambiguity 25
13.08 Legal Notice 25
13.09 Successors 25
13.10 Headings 25
13.11 Parties 25
13.12 Survivability of Terms 25
EF29-12425 General Provisions (Core Subrecipient 2007)
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Fiscal Year 2007 Performance Contract
General Provisions
(Core/Subrecipient)
ARTICLE I
COMPLIANCE AND REPORTING
Section 1.01 Compliance with Statutes and Rules. Contractor shall comply, and shall
require its subcontractor(s) to comply, with the requirements set forth in the Department's
rules of general applicability and other applicable statutes and rules as such statutes and rules
currently exist and as they may be lawfully amended. The Department rules are set forth in
the Texas Administrative Code, Title 25 (Rules). Where applicable, federal statutes and
regulations, including federal grant requirements applicable to funding sources, shall apply to
. this Contract. To the extent this Contract imposes a higher standard, or additional
requirements beyond those required by applicable statutes, regulations or the Rules, the terms
of the Contract shall control.
Section 1.02 Compliance with Requirements of Solicitation Document. Except as
specified in these General Provisions or the Program Attachment(s), Contractor shall comply
with the requirements, eligibility conditions, assurances, certificati<ms and program
requirements of the Solicitation Document (including .any revised or additional terms agreed
to in writing by Contractor and DSHS prior to execution of this Contract) for the duration of
this Contract or any subsequent renewals. The Parties agree that the Department has relied
upon the Contractor's response to the Solicitation Document. The Parties agree that any
misrepresentation contained in the Contractor's response to the Solicitation Document shall
constitute a breach of this Contract.
Section 1.03 Reporting. Contractor shall submit reports in accordance with the reporting
requirements established by the Department. Contractor shall provide any other information
required by the Department. Failure to submit a required report or additional requested
information by the due date specified in the Program Attachment(s) or upon request
constitutes a breach of contract, may result in delayed payment, and may adversely affect
evaluation of Contractor's future contracting opportunities with the Department. Contractor
shall submit reports and additional information requested by DSHS in the format required by
DSHS.
Section 1.04 Immunization Reporting. If Contractor provides immunizations,
Contractor shall comply with all immunization reporting guidelines and requirements set
forth in Health and Safety Code, Chapter 161, Subchapter A. Contractor shall include this
provision in any subcontract with subcontractors that provide immunizations.
Section 1.05 Client Eligibility. Where applicable, financial eligibility criteria, financial
assessment procedures, and standards developed by the Department shall be utilized by
Contractor to determine client eligibility.
Section 1.06 Federal and State Laws, Rules and Ordinances. Contractor shall comply
with all applicable federal and state statutes, rules and regulations, including but not limited
to Office of Management and Budget (OMB) Circulars and Uniform Grant Management
EF29-12425 General Provisions (Core Subrecipient 2007)
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t) pro-Children Act of 1994, 20 U.S.C.A. 99 6081-6084, regarding the non-use of'
all tobacco products;
g) National Research Service Award Act of 1971,42 U.S.C.A. S~ 289a-l et seq.,
and 6601 (P.L. 93-348 and P.L. 103-43), as amended, regarding human subjects involved
in research;
h) Hatch Political Activity Act,S U.S.C.A. ~~ 7321-26, which limits the political activity
of employees whose employment is funded with federal funds;
i) Fair Labor Standards Act, 29 U.S.C.A. ~~ 201 et seq., and the Intergovernmental
Personnel Act of 1970, 42 U.S.C.A. ~~ 4701 et seq., as applicable, concerning minimum wage
and maximum hours;
j) TEX. GOy'T CODE ch. 469 (Supp. 2004), pertaining to eliminating architectural barriers
for persons with disabilities;
k) Texas Workers' Compensation Act, TEX. LABOR CODE, chs. 401-40628 TEX. ADMIN.
CODE pt. 2, regarding compensation for employees' injuries;
1) The Clinical Laboratory Improvement Amendments of 1988, 42 USC S 263a,
regarding the regulation and certification of clinical laboratories;
m) The Occupational Safety and Health Administration Regulations on Blood Borne
Pathogens, 29 CFR S 1910.1030, or Title 25 Tex. Admin Code ch. 96 regarding safety
standards for handling blood borne pathogens;
n) Laboratory Animal Welfare Act of 1966, 7 use SS 2131 et seq., pertaining to the
treatment oflaboratory animals;
0) Environmental standards pursuant to the following: 1) Institution of environmental
quality control measures under the National Environmental Policy Act of 1969,42 USC SS
4321-4347 and Executive Order 11514 (35 Fed. Reg. 4247), "Protection and Enhancement of
Environmental Quality;" 2) Notification of violating facilities pursuant to Executive Order
11738 (40 CFR Part 32), "Providing for Administration of the Clean Air Act and the Federal
Water Pollution Control Act with respect to Federal Contracts, Grants, or Loans;" 3)
Protection of wetlands pursuant to Executive Order 11990, 42 Fed. Reg. 26961; 4) Evaluation
of flood hazards in floodplains in accordance with Executive Order 11988, 42 Fed. Reg.
26951 and, if applicable, flood insurance purchase requirements of Section 102(a) of the
Flood Disaster Protection Act of 1973 (P.L. 93-234); 5) Assurance of project consistency
with the approved State Management program developed under the Coastal Zone
Management Act of 1972, 16 USC SS 1451 et seq; 6) Conformity of federal actions to state
clean air implementation plans under the Clean Air Act of 1955, as amended, 42 USC SS
7401 et seq.; 7) Protection of underground sources of drinking water under the Safe Drinking
Water Act of 1974, 42 USC ~~ 300f-300j; 8) Protection of endangered species under the
Endangered Species Act of 1973,16 USC SS 1531 et seq.; 9) Conformity of federal actions to
state clean air implementation plans under the Clean Air Act of 1955,42 USC 97401 et seq.;
10) Protection of underground sources of drinking water under the Safe Drinking Water Act
of 1974, 42 USC 99300f-330j; 11) Wild and Scenic Rivers Act of 1968 (16 U.S.C. 99 1271 et
seq.) related to protecting certain rivers system; and 12) Lead-Based Paint Poisoning
Prevention Act (42 D.S.C. 99 4801 et seq.) prohibiting the use of lead-based paint in
EF29-12425 General Provisions (Core Subrecipient 2007)
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3) DSHS certifies that it has the authority to enterinto this Contract granted in Health
and Safety Code Chapter 1001, and Contractor certifies that it has specific statutory
authority to enter into and perform this Contract.
(c) The following additional provisions shall apply to interlocal contracts:
1) This Contract is entered into pursuant to the authority granted and in compliance
with the provisions of the Interlocal Cooperation Act, Gov. Code Chapter 791.
2) Payments made by DSHS to Contractor shall be from current revenues available to
DSHS.
3) Each party represents that it has been authorized to enter into this Contract.
(d) Contractor agrees that Contract Revision Requests, when signed by a duly
authorized representative of Contractor, shall be effective as of the effective date specified by
the Department, whether that date is prior to or after the date of any ratification by
Contractor's governing board.
ARTICLE II
SERVICES
Section'2.0l Education to Persons in Residential Facilities. If applicable, Contractor
shall ensure that all persons, who are housed in Department licensed and/or funded residential
facilities and who are twenty-two (22) years of age or younger, have access to educational
services as required by TEX. EDUC. CODE ~ 29.012. Contractor shall notify the local
education agency or local early intervention program as prescribed by TEX. EDUC. CODE ~
29.012 not later than the third calendar day after the date a person who is twenty-two (22)
years of age or younger is placed i~ Contractor's residential facility.
Section 2.02 Disaster Services. In the event of a local, state, or federal emergency,
including natural, man-made, criminal, terrorist, and/or bioterrorism events, declared as a
state disaster by the Governor, or a federal disaster -by the appropriate federal official,
Contractor may be called upon to assist DSHS in providing services, as appropriate, in the
following areas: community evacuation, health and medical assistance; assessment of health
and medical needs; health surveillance; medical care personnel; health and medical
equipment and supplies; patient evacuation; in-hospital care and hospital facility status; food,
drug, and medical device safety; worker health and safety; mental health and substance abuse;
public health information; vector control and veterinary services; and victim identification
and mortuary services. Disaster services shall be carried out in the manner most responsive
to the needs of the emergency, be cost effective, and be least intrusive on the primary services
ofthe Contractor.
Section 2.03 Consent to Medical Care. If Contractor provides medical, dental,
psychological or surgical treatment to a minor under this Contract, either directly or through
contracts with subcontractors, the treatment of a minor shall be provided only if consent to
treatment is obtained pursuant to TEX. F AM. CODE, Chapter 32 relating to consent to treatment
of a child by a non-parent or child or pursuant to other state law. If requirements of federal
law relating to consent directly conflict with TEX. F AM. CODE, Chapter 32, federal law shall
supersede state law.
Section 2.04 Telemedicine Medical Services. Contractor shall ensure that if a provider
uses telemedicine/telepsychiatry that the services are implemented in accordance with written
procedures and using protocol approved by the Contractor's medical director and utilizing
EF29-12425 General Provisions (Core Subrecipient 2007)
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Section 3.03 Use of Funds. Contractor agrees that it shall expend Department funds only
for the provision of approved services and for reasonable and allowable expenses directly
related to those services.
Section 3.04 Use for Match Prohibited. Contractor agrees funds provided through this
Contract shall not be used for matching purposes in securing other funding unless directed or
approved by the Department in writing.
Section 3.05 Program Income. Gross income directly generated from Department funds
through a project or activity performed under a Program Attachment and/or earned only as a
result of a Program Attachment during the term of the Program Attachment are considerep
program income. Unless otherwise required under the terms of the grant funding this
Contract, the addition alternative, as provided in UGMS ~ _.25(g)(2), for the use of program
income shall be used by Contractor to further the program objectives of the state or federal
statute under which the Program Attachment was made, and it shall be spent on the same
Program Attachment project in which it was generated. Contractor shall identify and report
this income in accordance with the Compliance and Reporting Article of these General
Provisions and the Special Provisions of the Program Attachment(s). Contractor shall expend
program income during the Program Attachment term 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 DSHS. DSHS may base future funding levels, in part, upon Contractor's
proficiency in identifying, billing, collecting, and reporting program income, and in utilizing
it for the purposes and conditions set forth in this Contract.
Section 3.06 Nonsupplanting. Contractor shall not supplant [i.e., use funds from this
Contract to replace or substitute existing funding from other sources that also supports the
activities that are the subject of this Contract] but rather shall use funds from this Contract to
supplement existing funds. Contractor shall use the funds from this Contract to increase state
or local funds currently available for a particular activity. Contractor shall make a good faith
effort to maintain its current level of support. Contractor may be required to submit
documentation substantiating that a reduction in local funding, if any, resulted for reasons
other than receipt or expected receipt of funding under this Contract.
ARTICLE IV
PAYMENT METHODS AND RESTRICTIONS.
Section 4.01 Payment Methods. Except as otherwise provided by the Special Provisions
of this Contract, the payment method for each program shall be one of the following methods:
(a) cost reimbursement. This payment method is based on an approved budget in the
Program Attachment( s) and successful submission of a request for reimbursement;
(b) unit rate. This payment method is based on the set unit rate stated in the Program
Attachment(s) and successful submission of all required forms; or
(c) fee-for-service. This payment method is based on the agreed fee stated in the
Program Attachment(s) and successful submission of all required forms.
Section 4.02 Billing Submission. Contractors shall bill the Department in accordance
with the Program Attachrnent(s) in the form and format prescribed by DSHS. Unless
otherwise specified in the Program Attachment(s), Contractor shall submit requests for
EF29-12425 General Provisions (Core Subrecipient 2007)
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this Contract, Department will pay Contractor. Payments are contingent upon a signed
Contract and will not exceed the total of authorized funds under this Contract. Contractor is
entitled to payment only if the service, work, and/or product has been authorized by the
Department and performed or provided pursuant to the Contract. If those conditions are met,
Department will make payment in accordance with the Texas prompt payment law (TEX.
GoV'T. CODE, Chapter 2251). Contractor must comply with TEX. GoV'T. CODE, Chapter
2251 regarding its prompt payment obligations to subcontractors. Payment of invoices by the
Department shall not constitute acceptance or approval of Contractor's performance, and all
invoices and Contractor's performance shall be subject to audit or review by the Department.
Section 5.02 Withholding Payments. Department may withhold all or part of any
payments to Contractor to offset reimbursement for any ineligible expenditures or
overpayments that Contractor has not refunded to Department, or if financial status report(s)
required by the Department are not submitted by the date(s) due. Department may take
repayment from funds available under this Contract, active or expired, in amounts necessary
to fulfill Contractor's repayment obligations.
Section 5.03 Condition Precedent to Requesting Payment. Contractor shall disburse
program income, rebates, refunds, contract settlements, audit recoveries, and interest earned
on such funds before requesting cash payments including any advance payments from
Department.
Section 5.04 Acceptance as Payment in Full. Contractor shall accept reimbursement or
payment from DSHS as payment in full for services or goods provided to clients. Contractor
agrees to not seek additional reimbursement or payment for services or goods from clients.
ARTICLE VI ALLOW ABLE COSTS AND AUDIT REQUIREMENTS
Section 6.01 Independent Audit. If Contractor within Contractor's fiscal year expends a
total amount of at least $500,000 in state funds awarded or at least $500,000 in federal funds
awarded, Contractor must have a single audit or program-specific audit in accordance with
the Office of Management and Budget (OMB) Circ. No. A-133, the Single Audit Act of 1984,
Pub. L. 98-502, 98 Stat. 2327, and the Single Audit Act Amendments of 1996, Pub. L. 104-
156, 110 Stat. 1396. The $500,000 federal threshold amount includes federal funds passed
through by way of state agency awards. The audit shall be conducted by an independent
certified public accountant and in accordance with applicable OMB Circulars, Government
Auditing Standards, and Uniform Grant Management Standards (UGMS) located on the
Internet at htto:/ /www.l;!ovemor.state.ix.us/divisions/ state grants/ guidelines/view. Contractor
shall procure audit services in compliance with state procurement procedures, as well as with
the provisions of UGMS. Contractor shall not use the same accountant or accounting firm to
conduct the independent audit for more than five consecutive years.
Section 6.02 Allowable Costs. For services satisfactorily performed pursuant to this
Contract, DSHS will reimburse Contractor for allowable costs. Reimbursements are
contingent on a signed contract and will not exceed the total amount of the Contract.
Contractor is entitled to payment only if the service, work, and/or product has been
authorized and satisfactorily performed. Contractor must have incurred a cost within the
applicable term to be eligible for reimbursement under this Contract and prior to claiming
EF29-12425 General Provisions (Core Subrecipient 2007)
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Austin Texas 78756-3199
Texas Health and Human Services Commission
Office of Inspector General
Compliance/Audit Mail Code 1326
P.O. Box 85200
Austin, Texas 78708-5200
ARTICLE VII CONFIDENTIALITY.
Section 7.01 Confidential Information. Contractor is required to comply with state and
federal laws relating to the privacy and confidentiality of patient and client records that
contain protected health information (PHI), or other information or records made confidential
bylaw.
Section 7.02 Maintenance of Confidentiality. Contractor must maintain the
confidentiality of information received during the performance of this Contract, including
pm, and any other information tha,t discloses confidential personal information or identifies
any client served by DSHS, in accordance with applicable federal and state law and Rules,
including but not limited to 7 CPR Part 246; 42 CPR Part 2, 45 CPR Parts 160 and 164;
Health and Safety Code Chapters 12, 47, 8"1, 82, 85, 88, 92, 161, 181, 241, 245, 251, 534,
576, 577,596, 611, and 773; and Occupations Code, Chapters 56 and 159 and all applicable
Rules.
Section 7.03 Use of PHI. If Contractor is subject to HIPAA privacy regulations at 45
CFR Parts 160 and 164, Contractor may receive, use and disclose PHI, as defmed in 45 CFR
~164.501, only to carry out Contractor's duties under this Contract in accordance with the
regulations. When using or disclosing PHI or when requesting PHI from another entity,
Contractor must make reasonable efforts to limit the PHI to the minimum necessary to
accomplish the intended purpose of the use, disclosure or request.
Section 7.04 Disclosure to Department. Contractor is required to disclose PHI of
patients or clients provided services funded through this Contract and other confidential
information to Department upon request, or as otherwise required in other contract provisions
or laws governing the release of client records or other confidential information.
Section 7.05 Department Access to pin. Contractor shall cooperate with Department to
allow Department to request, collect and receive PHI under this Contract, without the consent
of the individual to whom the PHI relates, for funding, payment and administration of the
grant program. Contractor shall cooperate with Department to allow Department to request,
collect and receive PHI under this Contract, without the consent of the individual to whom
the PHI relates, under applicable state and federal confidentiality and privacy laws, including
the Health Insurance Portability and Accountability Act (HIP AA) and the Privacy Standards
adopted to implement HIPAA at 45 C.F.R. pts. 160 and 164, at ~ 164.512, and TEX. Oce.
CODE ch. 159, at ~~ 159.003 and 159.004.
Section 7.06 Excbange of Client-Identifying Information. Except as prohibited by other
law, Contractor and DSHS shall exchange PHI without the consent of clients in accordance
EF29-12425 General Provisions (Core Subrecipient 2007)
Rev. 07/20/2006 Page 11
records to the Division Contract Management Unit assigned to the Contract.
Section 8.02 Survival of Obligations. The obligations of Contractor to retain records and
maintain confidentiality of information shall survive this Contract.
ARTICLE IX ACCESS AND INSPECTION.
Section 9.01 Access. In addition to any right of access arising by operation of law,
Contractor, and any of Contractor's affiliate or subsidiary organizations or subcontractors
shall pennit the Department or any of its duly authorized representatives, as well as duly
authorized federal, state or local authorities, including the Office of the Inspector General at
HHSC (DIG), and the State Auditor's Office (SAD), unrestricted access to and the right to
examine any site where business is conducted and all records (including client and patient
records, if any), books, papers or documents related to the Contract. If deemed necessary by
the Department or the OIG, for the purpose of investigation or hearing, Contractor shall
produce original documents related to the Contract. Further, Contractor will ensure that
information collected, assembled or maintained by the Contractor relative to this Contract is
available to the Department for the Department to respond to requests that it receives under
the Public Information Act. The Department and IlliSC will have the right to audit billings
both before and after payment. Payments will not foreclose the right of Department and
HHSC to recover excessive or illegal payments. Contractor will ensure that this provision
concerning the right of access to, and examination of, information related to the Contract is
included in any subcontract it awards.
Section 9.02 State Auditor's Office. Contractor shall, upon request, make all records,
books, papers, documents, or recordings related to this Contract available for inspection,
audit, or reproduction during normal business hours to any authorized representative of the
Department. The Contractor understands that the acceptance of funds under this Contract
acts as acceptance of the authority of the SAD, or any successor agency, to conduct an audit
or investigation in connection with those funds. The Contractor further agrees to cooperate
fully with the SAO or its successor in the conduct of the audit or investigation, including
providing all records requested, and providing access to any information the SAD considers
relevant to the investigation or audit. Contractor will ensure that this provision concerning
the authority to audit funds will apply to funds received indirectly by subcontractors through
the Contractor, and the requirement to cooperate, is included in any subcontract it awards.
Section 9.03 Responding to Deficiencies. Any deficiencies identified by DSHS or HHSC
upon examination of Contractor's records will be conveyed in writing to Contractor.
Contractor will submit, by the date prescribed by DSHS, a resolution to the deficiency in a
program review or management or financial audit to the satisfaction of DSHS. A DSHS or
HHSC determination of either an inadequate or inappropriate resolution of the findings may
result in contract remedies or sanctions under the Breach of Contract and Remedies for Non-
Compliance Article of this Contract. .
ARTICLE X
NOTICE REQUIREMENTS.
Section 10.01 Child Abuse Reporting Requirement. This section applies to mental health
and substance abuse contractors and contractors for the following publiC health programs:
EF29.12425 General Provisions (Core Subrecipient 2007)
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performance under this Contract. Contractor shall make such report no later than three (3)
working days from the date of discovery. Contractor shall make the report to the SAD at
(800) TX-AUDIT, or by Internet at http://www.sao.state.tx.us.
Section 10.07 Criminal Activity and Disciplinary Action. Contractor shall notify in
writing the Division Contract Management Unit assigned to the Contract if it has reason to
believe Contractor, or a person with ownership or controlling interest in the organization or
who is an agent or managing employee of the organization, an employee or volunteer of
Contractor, or a subcontractor has engaged in any activity that would constitute a criminal
offense equal to or greater than a Class A misdemeanor or if such activity would reasonably
constitute grounds for disciplinary action by a state or federal regulatory authority, or has
been placed on community supervision, received deferred adjudication, or been convicted of a
criminal offense relating to involvement in any financial matter, federal or state program or
felony sex crime. Contractor shall make the reports required by this section no later than
three (3) working days from the date of discovery. .
Section 10.08 Retaliation Prohibited. Contractor shall not retaliate against any person who
reports a violation of, or cooperates with an investigation regarding, any applicable law, rule,
or. standard to the SAO, the Department, another state agency, or any federal, state or local
law enforcement official.
Section 10.09 Documentation. Contractor shall maintain appropriate documentation of all
notices.
ARTICLE XI ASSURANCES AND CERTIFICATIONS.
Section 11.01 Certification. Contractor certifies by execution of this Contract to the
following:
a) it is not ineligible for participation in federal or state assistance programs;
b) neither it, nor its principals, are presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from participation in this
transaction by any federal or state department or agency;
c) it has not knowingly failed to pay a single substantial debt or a number of
outstanding debts to a federal or state agency;
d) it is not subject to an outstanding judgment in a suit against Contractor for
collection of the balance of a debt;
e) it is in good standing with all state and/or federal agencies that have a
contracting or regulatory relationship with Contractor; and
f) that no person who has an ownership or controlling interest in Contractor or
who is an agent or managing employee of Contractor has been convicted of a
criminal offense related to involvement in any program established under
Medicare, Medicaid, or a federal block grant.
Where Contractor is unable to certify to any of the statements in this Article, Contractor shall
submit an explanation to the Division Contract Management Unit assigned to the Contract. If
Contractor's status with respect to the items certified above changes during the Contract,
Contractor shall immediately notify the Division Contract Management Unit assigned to the
Rev. 07/20/2006 Page 15
EF29-12425 General Provisions (Core Subrecipient 2007)
terminated and payment withheld if these certifications are inaccurate.
Section 11.07 Antitrust. Pursuant to 15 D.S.C.A. Sec. 1, et seq. and TEX. Bus. & COMM.
CODE Section ~ 15.01, et seq. Contractor certifies that neither Contractor, nor anyone acting
for the Contractor has violated the antitrust laws of this state or federal antitrust laws, nor
communicated directly or indirectly regarding the bid with any competitor or any other
person engaged in such line of business for the purpose of substantially lessening competition
in such line of business.
ARTICLE XII GENERAL BUSINESS OPERATIONS OF
CONTRACTOR.
Section 12.01 Board Training. If they have not already done so within the preceding two
(2) years, a majority of the board of directors of Contractor shall review the Department's
board training in the format provided by the Department and shall verify in writing to the
Division Contract Management Unit assigned to the Contract that the review took' place.
Written verification shall be submitted no later than the end of the first quarter of the Contract
and shall be in the form required by the Department. This review shall be completed at least
every two (2) years of consecutive funding from the Department, except that each member of
the governing board of a Contractor that provides mental health services shall complete the
board training review initially and then annually.
Section 12.02 Duty of Compliance. Contractor and its governing. board, shall bear full
responsibility for the integrity of. the fiscal and programmatic management of the
organization. This provision applies to all organizations, including Section 501(c)(3)
organizations as defined in the Internal Revenue Service Code as not for-profit organizations.
The responsibility of Contractor's governing board shall include: accountability for all funds
and materials received from Department; compliance with Department Rules, policies,
procedures, and applicable federal and state laws and regulations; and correction of fiscal and
program deficiencies identified through self-evaluation and Department's monitoring
processes. Further, Contractor's governing board shall ensure separation of powers, duties,
and functions of board members and staff. Staff members, including the executive director,
shall not serve as voting members of the Contractor's governing board. 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.
Section 12.03 Management and Control Systems. Contractor shall maintain an appropriate
contract administration system to insure that all terms, conditions, and specifications are met.
Contractor shall develop, implement, and maintain financial management and control systems
that meet or exceed the requirements of UGMS and adhere to procedures detailed in
Department's Contractor's Financial Procedures Manual available at the Department's web
site: http://www.dshs.state.tx.us/contracts. 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 Program Attachment of this Contract, and that support the information
EF29-12425 General Provisions (Core Subrecipient 2007)
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^~ '_0 _-------.~~------_.,_..._.._._e"~--.'.-~.-.."".."--.,---..-.'-
Department's Contract Oversight and Support Section at Mail Code 1910, 1100 W. 49th. St.
Austin, Texas 78756, except under the following circumstances: (1) Contractor has
previously submitted to DSHS a current indirect cost rate that has been approved by a federal
cognizant agency or a state single audit coordinating agency; or (2) Contractor has a current
Cost Allocation Plan on file with the Department. Contractor shall implement and follow the
applicable cost allocation plan. If Contractor's plan is the same as in the previous year, by
signing this Contract, Contractor certifies that its current cost allocation plan for the current
year is the same as that submitted to DSHS for the previous year. In the event that the cost
allocation plan has changed, Contractor must submit a new cost allocation plan to the
Contract Oversight and Support Section no later than the 60th calendar day after the effective
date of the Contract, in the form required by the Department. Contractor shall notify the
Contract Oversight and Support Section in writing if its cost allocation plan changes during
the course of the Contract term. Cost allocation- plans must comply with the guidelines
provided in the Department's Contractor's Financial Procedures Manual located at
httr>://www.dshs.state.tx.us/contracts.
Section 12.10 Reporting for Unit Rate and Fee For Service Contracts. Contractor shall
submit reports concerning unit rate and fee-for-service contracts to the Department in
accordance with the requirements stated in the Department's Contractor's Financial
Procedures Manual located at http://www.dshs.state.tx.us/contracts.
Section 12.11 Historically Underutilized Businesses (HUBs). If Contractor was not
required to submit a HUB subcontracting plan, Contractor is encouraged to make a good faith
effort to consider subcontracting with HUBs as set forth in TEX. GoY'T CODE ch. 2161 and 1
TEX ADM. CODE ~ 111.12. Contractors may obtain a list of HUBs at
http://wwW.tboc.state.tx.us. If Contractor has filed a HUB subcontracting plan, the plan is
incorporated by reference in this Contract. If Contractor desires to make a change in the plan,
Contractor must obtain prior approval from the Department's HUB Coordinator of the revised
plan before proposed changes will be effective under the Contract. Contractor agrees to make
. a good faith effort to subcontract with HUBs during the performance of its contract with
Department and will report HUB subcontract activity to the Department's HUB Coordinator
in accordance with I TEX. ADM CODE 9111.16( c).
Section 12.12 Buy Texas. Contractor shall purchase products and materials produced in
Texas when the products and materials ~e available at a price and time comparable to
products and materials produced outside of Texas as required by TEX. GOY'T CODE 9
2155.4441.
Section 12.13 Contracts with Sub recipient Subcontractors. Contractor may enter into
contracts with subrecipient subcontractors unless restricted or otherwise prohibited in a
specific Program Attachment(s). Prior to entering into an agreement equaling $25,000 or
twenty-five percent (25%) of a Program Attachment amount, whichever is greater, Contractor
shall obtain written approval from DSHS. Contracts with subcontractors shall be in writing
and include the following:
a) Name and address of all parties;
b) A detailed description of the services to be provided;
EF29-12425 General Provisions (Core Subrecipient 2007)
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is solely responsible for filing all required state and federal tax fonns and making all tax
payments. In the event that the Department discovers that Contractor has failed to remain
current on a delinquent liability to the IRS, the Contract will be subject to immediate
termination at the Department's discretion. In the event of Contract termination under this
section, the Department will not enter into a Contract with Contractor for three (3) years from
the date of termination. In addition to other remedies, the Department has the right to place
the Contract on high risk status in response to Contractor's liability to the IRS for any
amount.
Section 12.19 Notice of Organizational Change. Contractor shall submit written notice
to the Division Contract Management Unit assigned to the Contract within ten business days
of any change to the following: Contractor's name; contact information; key personnel,
officer, director or partner; organizational structure; legal standing; or authority to do business
in Texas. A change in Contractor's name requires an amendment to the Contract in
accordance with the Amendments section of these General Provisions.
Section 12.20 Quality Management. Contractor shall comply with quality management
requirements as directed by the Department.
Section 12.21 Equipment Purchases. Equipment means an article of nonexpendable,
tangible personal property having a useful lifetime of more than one year and an acquisition
cost of $5,000 or more. Contractor must inventory controlled assets, which include, hand
guns and rifles, regardless of the acquisition cost, and the following assets with an acquisition
cost of $500 or more: fax machines, telecopiers, stereo systems, cameras, video
recorder/laserdisc players, televisions, video cassette recorders, camcorders, desktop and
laptop computers, non-portable printers, and cellular and portable phones. Contractors on a
cost reimbursement payment method shall comply with the requirements of the provisions in
this Article concerning equipment. If purchase of equipment is approved in writing by the
Department, Contractor is required to initiate the purchase of that equipment in the first
quarter of the Contract term. Failure to initiate the purchase of equipment may result in loss
of availability of funds for the purchase of equipment.
Section 12.22 Supplies. Supplies are defined as consumable items necessary to carry out the
services under this Contract including medical supplies, drugs, janitorial supplies, office
supplies, patient educational supplies, software, and any items of tangible personal property
other than those defined as equipment above.
Section 12.23 Changes to Equipment List. All items of equipment purchased with funds
under this Contract shall be itemized in Contractor's application as finally negotiated with the
Department. Any changes to the equipment list contained in the negotiated application or
executed contract shall be approved in writing by Department prior to purchase of equipment.
Contractor shall submit to the Division Contract Management Unit assigned to the Contract a
written description including complete product specifications and need justification prior to
purchasing any item of unapproved equipment. If approved, Department will acknowledge
its approval by means of a written amendment or by written acceptance of Contractor's
Contract Revision Request, as appropriate.
Section 12.24 Property Inventory and Protection of Assets. Contractor shall maintain a
EF29-12425 General Provisions (Core Subrecipient 2007)
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or in part, in this Contract, or in any equipment purchased with funds from this Contract,
without the prior written consent of the Department.
Section 13.02 Lobbying. Contractor shall 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 the extension,
continuation, renewal, amendment, or modification of any contract (31 U.S.C.A. ~ 1352, as
amended, and UGMS). If at any time this Contract exceeds $100,000 of federal funds,
Contractor shall file with the Division Contract Management Unit assigned to the Contract a
declaration containing the name of any registrant under the Lobbying Disclosure Act of 1995
who has made lobbying contacts on behalf of Contractor in connection with the Contract, a
certification that none of the funds provided by Department have been or will be used for
payment to lobbyists, and disclosure of the names of any and all registered lobbyists with
whom Contractor has an agreement. Contractor shall require any person who requests or
receives a subcontract to file the same declaration, cenification, and disclosure with the
Division Contract Management Unit assigned to the Contract. Contractor shall file the
declaration, certification, and disclosure at the time of application for the contract; upon
execution of a contract unless Contractor previously filed a declaration, certification, or
disclosure form in connection with the award; and at the end of each calendar quarter in
which there occurs any event that materially affects the accuracy of the information contained
in any declaration, certification, or disclosure previously filed.
Section 13.03 Conflict of Interest. Contractor represents to the Department that it 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, but
are not limited to, an existing or potential business or personal relationship between
Contractor, its principal, or any affiliate or subcontractor with Department or HHSC, their
commissioners, officers or employees, or any other entity or person involved in any way in
any project that is the subject of this Contract. Contractor shall establish safeguards to
prohibit employees from using their positions fora purpose that constitutes or presents the
appearance of personal or organizational conflict of interest or personal gain.
Section 13.04 Transactions Between Related Parties. Contractor shall identify and report
to DSHS any transactions between Contractor and a related party that is part of the work that
the Department is purchasing under this Contract before entering into the transaction or
immediately upon discovery. Contractor shall submit to the Division Contract Management
Unit assigned to the Contract the name, address and telephone number of the related party,
how the party is related to the Contractor and the work the related party will perform under
the Contract. A related party is a person or entity related to the Contractor by blood or
marriage, common ownership or any association that permits either to significantly influence
or direct the actions or policies of the other. The Contractor, for purposes of reporting
transactions between related parties, includes the entity contracting with the Department
under this Contract as well as the chief executive officer, chief financial officer and program
director of the Contractor. Contractor shall comply with TEX. GOV'T CODE ch. 573.
Contractor shall maintain records and supply any additional information requested by the
Department, regarding a transaction between related parties, needed to enable the Department
to determine the appropriateness of the transaction pursuant to applicable state or federal law ,
EF29-12425 General Provisions (Core Subrecipient 2007)
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with Department and perform all actions necessary to transfer ownership of such property to
the Department or its designee, or otherwise affirm Department's ownership rights and
interest in such property. This provision shall survive the termination or expiration of the
Contract.
Section 13.07 Severability and Ambiguity. If any provision of this Contract is construed to
be illegal or invalid, the illegal or invalid provision will be deemed stricken and deleted to the
same extent and effect as if never incorporated, but all other provisions will continue. Parties
represent and agree that the language contained in this Contract is to be construed as jointly
drafted, proposed and accepted.
Section 13.08 Legal Notice. Any notice required or permitted to be given by the provisions
of this Contract shall be deemed to have been received by a Party on the third business day
after the date on which it was mailed to the Party at the address first given above (or at such
other address as the Party shall specify to the other Party in writing) or, if sent by certified
mail, on the date of receipt.
Section 13.09 Successors. The Contract shall be binding upon the Parties and their
successors and assignees, except as' expressly provided in this Contract.
Section 13.10 Headings. The articles and section headings used in the Contract are for
convenience of reference only and shall not be construed in any way to' define, limit or
describe the scope or intent of any provisions.
Section 13.11 Parties. The Parties represent to each other that they are entities fully familiar
with transactions of the kind reflected by this document, and are capable of understanding the
terminology and meaning of its terms and conditions and of obtaining independent legal
advice pertaining to this Contract.
Section 13.12 Survivability of Terms. Termination or expiration of this Contract 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 (c) by their nature would be intended to be
applicable following any such termination or expiration.
Section 13.13 Direct Operation. The Department may temporarily assume operations of a
Contractor's program or programs funded under this Contract when the continued operation
of the program by Contractor puts at risk the health and safety of clients andlor participants
served by the Contractor, and there are no reasonable alternatives available.
Section 13.14 Customer Service Information. If requested, Contractor shall supply such
information as required by the Department to comply with the provisions of TEX. Gov'T
CODE ch. 2114 regarding Customer Service surveys.
Section 13.15 Amendment. Parties agree that the Department may reduce funds pursuant to
the tenns of this Contract. Unless otherwise specified in these General Provisions, all other
amendments to this Contract must be in writing and agreed to by both Parties. Contractor's
request for certain budget revisions or other amendments must be submitted in writing,
including a justification for the request, to the Division Contract Management Unit assigned
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WAIVER BY DEPARTMENT OR THE STATE OF TEXAS OF ANY IMMUNITIES
FROM SUIT OR FROM LIABILITY THAT DEPARTMENT OR THE ST ATE OF TEXAS
MAY HAVE BY OPERATION OF LAW.
Section 13.19 Hold Harmless. Contractor, as an independent contractor, agrees to hold
Department, the State of Texas, individual state employees and officers, and the federal
government harmless and to indemnify them from any and all liability, suits, claims, losses,
damages and judgments, and to pay all costs, fees, 'and damages to the extent that such costs,
fees, and damages arise from performance or nonperformance of Contractor, its employees,
subcontractors, joint venture participants or agents under this Contract.
Section 13.20 Waiver. Acceptance by either party of partial performance or failure to
complain of any action, non-action or default under this Contract shall not constitute a waiver
of either party's rights under the Contract.
ARTICLE XIV BREACH OF CONTRACT AND REMEDIES FOR
NON-COMPLIANCE.
Section 14.01 Actions Constituting Breach of Contract. Actions or inactions that
constitute breach of contract include, but are not limited to, the following:
a) failure to properly provide the services and/or goods purchased under this
Contract;
b) failure to comply with any provision of this Contract:
c) failure to pay refunds or penalties owed to the Department;
d) failure to comply with a repayment agreement with the Department or agreed
Qrder issued by the Department;
e) failure by Contractor to provide a full accounting of funds expended under this
Contract;
it discovery of a material misrepresentation in any aspect of Contractor's
response to the Solicitation Document; or
g) any misrepresentation in the assurances and certifications in the Contractor's
application or response to the Solicitation Document or in this Contract.
Section 14.02 General Remedies and Sanctions. The Department will ~onitor Contractor
for both programmatic and financial compliance. The remedies set forth below are available
to the Department against Contractor and any entity that subcontracts with Contractor for
provision of services or goods. HHSC 010 may investigate, audit and impose or recommend
imposition of sanctions to Department for any breach of this Contract and may monitor
Contractor for financial compliance. The Department may impose one or more sanctions for
each item of noncompliance and will determine sanctions on a case-by-case basis. Contractor
is responsible for complying with all of the terms of this Contract. The listing of or use of
one or more of the remedies listed below does not relieve Contractor of any obligations under
the Contract. A state or federal statute, rule or regulation, or federal guideline will prevail
over the provisions of this Article unless the statute, rule, regulation, or guideline can be read
together with the provision(s) of this Article to give effect to both. If the Contractor breaches
this Contract by failing to comply with one or more of the terms of this Contract, including
EF29-12425 General Provisions (Core Subrecipient 2007)
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sanctions are pending resolution~
1) place Contractor on probation. Probation means that Contractor will be placed
on accelerated monitoring for a period not to exceed six (6) months at which time
items of noncompliance must be resolved or substantial improvement shown by
Contractor. Accelerated monitoring means more frequent or more extensive
monitoring will be performed by Department than would routinely be
accomp lished;
m) require Contractor to obtain technical or managerial assistance;
n) establish additional prior approvals for expenditure of funds by Contractor;
0) require additional, more detailed, financial and/or programmatic reports to be
submitted by Contractor;
p) demand repayment from Contractor;
q) reduce the 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 or to achieve local match, if required;
r) pursue a claim for damages as a result of breach of contract;
s) require removal of any officer or employee of the Contractor who has been
convicted of the misuse of state or federal funds, fraud or illegal acts that are in
contraindication to continued obligations undC?r this Contract, as determined by
DSHS;
t) withhold any payments to Contractor to satisfy any recoupment or penalty
imposed by DSHS, and take repayment from funds available under this Contract,
active or expired, in amounts necessary to fulfill Contractor's repayment
obligations;
u) . reduce the Contract term; -
v) recoup improper payments when it is verified that the Contractor has been
overpaid because of improper billing or accounting practices or failure to comply
with Contract terms; or
w) impose other remedies provided by law.
Section 14.03 Notice of Sanctions. Department will formally notify Contractor 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, if any, that must be taken before the actions will be removed and the time
allowed for completing the corrective actions, and the method, if any, of requesting
reconsideration of the sanctions imposed. Contractor is required to file, within fifteen (15)
calendar days of receipt of noti~e, a written response to Department acknowledging receipt of
such notice. If requested by the Department, the written response shall state how Contractor
shall correct the noncompliance or demonstrate in writing that the findings on which the
sanctions are based are either invalid or do not warrant thesanction(s). If Department
determines that a sanction is warranted, unless the sanction is subject to review under a
federal or state statute, regulation or guideline, Department's decision is final. Department
shall provide written notice to Contractor of Department's decision. If required by the
Department, Contractor shall take corrective action.
Section 14.04 Emergency Action. In an emergency, Department may immediately
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_.__."-----_.._------~,..--,.,---._."'--~.._..,.._._-~._'~--._------_.._,.,._----_.._-
ARTICLE XVI TERMINATION.
Section 16.01 Expiration of Contract or Program Attachment(s). Contractor's service
obligations set forth in each Program Attachment shall end upon the expiration date of that
Program Attachment unless extended or renewed by written amendment. Prior to completion
of the term of all Program Attachments, all or a part of this Contract may be terminated with
or without cause as set forth below.
Section 16.02 Effect of Termination. Termination is the permanent withdrawal of
Contractor's authority to obligate previously awarded funds before that authority would
otherwise expire or the voluntary relinquishment by Contractor of the authority to obligate
previously awarded funds. Contractor costs resulting from obligations incurred by Contractor
after termination of an award are not allowable unless expressly authorized by the notice of
termination. Upon termination of this Contract, Contractor shall cooperate with DSHS to the
fullest extent possible to ensure the orderly and safe transfer' of responsibilities under the
Contract to DSHS or other entity designated by DSHS. Upon termination of all or part ohhis
Contract, Department and Contractor 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 and for Contractor's
duty to cooperate with DSHS. Termination does not however constitute a waiver of an
remedies for breach of this Contract. In addition Contractor's obli ations to retain records
and maintain confidentiality of information shall survive this Contract.
Section 16.03 . Acts Not Constituting Termination. Termination does not include: (1)
withdrawal of funds awarded on the basis of the Contractor's underestimate of the
unobligated balance in a prior period; (2) withdrawal of the unobligated balance at the
expiration of the term of a Program Attachment; (3) refusal to extend a Program Attachment
or award additional funds to make a competing or noncompeting continuation, renewal,
extension, or supplemental award; or (4) voiding of a contract upon determination that the
award was obtained fraudulently, or was otherwise illegal or invalid from inception.
Section 16.04 Termination Without Cause.
a) Either Party may terminate this Contract with at least thirty (30) calendar days
prior written notice to the other Party, except that if Contractor seeks to terminate
a Contract that involves residential client services, Contractor must give the
Department at least ninety (90) calendar days prior written notice and must submit
a transition plan to ensure client services are not disrupted.
b) The Parties may terminate this Contract by mutual agreement.
c) Either Party may terminate this Contract with at least thirty (30) calendar days
prior written notice to the other Party in the event state and/or federal funding for
this Contract is terminated, limited, suspended, withdrawn, or discontinued.
d) Department may terminate this Contract immediately when, in the sole
determination of Department, termination is in the best interest of the State of
Texas.
Section 16.05 Termination For Cause. Either Party may terminate for material breach of
this Contract with at least thirty (30) calendar days written notice to the other Party.
EF29-12425 General Provisions (Core Subrecipient 2007)
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5. writ or warrant of attachment or any similar process shall be issued by any court
against all or any material portion of the property of Contractor, and such writ or warrant of
attachment or any similar process is not released or bonded within thirty (30) calendar days
after its entry;
6. Contractor is adjudicated bankrupt or insolvent;
7. Contractor files a case under the Federal Bankruptcy Code or seeks relief under any
provision of any bankruptcy, reorganization, arrangement, insolvency, readjustment of debt,
dissolution, receivership or liquidation law of any jurisdiction, whether now or hereafter in
effect, or consents to the filing of any case or petition against it under any such law;
8. any property or portion of the property of Contractor is sequestered by court order
and the order remains in effect for more than thirty (30) calendar days after Contractor
obtains knowledge thereof;
9. a petition is filed against Contractor under any state reorganization, arrangement,
insolvency, readjustment of debt, dissolution, receivership or liquidation law of any
jurisdiction, whether now or hereafter in effect, and such petition is not dismissed within
thirty (30) calendar days;
10. Contractor consents to the appointment of a receiver, trustee, or liquidator of
Contractor or of all or any part of its property; or
(h) Contractor's management system does not meet the UGMS management standards.
Section 16.06 Notice of Termination. Either party may deliver written notice of intent to
terminate by any verifiable method. If either Party gives notice of its intent to terminate all or
a part of this Contract, Department and Contractor will attempt to resolve any issues related
to the anticipated termination in good fai~h during the notice period.
ARTICLE XVII VOID, SUSPENDED, AND TERMINATED
CONTRACTS.
Section 17.01 Void Contracts. Department may hold this Contract void upon determination
that the award was obtained fraudulently or was otherwise illegal or invalid from its
inception.
Section 17.02 Effect of Void, Suspended, or Involuntarily Terminated Contract. A
Contractor who has been a party to a contract with DSHS that has been found to be void,
suspended, or terminated for cause is not eligible for expansion of current contracts, if any, or
new contracts or renewals until the Department has determined that Contractor has
satisfactorily resolved the issues underlying the suspension or termination. Additionally, if
this Contract is found to be void, any amount paid is subject to refund.
Section 17.03 Appeals Rights. Pursuant to Gov. Code ~21 05.302, after receiving notice
from the Department of termination of a contract with DSHS funded by block grant funds,
Contractor may request an administrative hearing under Gov. Code Chapter 2001.
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CONTRACT NO. 2008-023731-
PROGRAM ATTACHMENT NO. 001
PURCHASE ORDER NO. 0000331441
CONTRACTOR: PARIS-LAMAR COUNTY HEALTH DEPARTMENT
DSHS PROGRAM: IMMUNIZA nON BRANCH - LOCALS
TERM: 09/01/2007
THRU: 08/31/2008
SECTION 1. STATEMENT OF WORK:
Contractor shall implement an immunization program for children, adolescents, and
adults, with special emphasis on accelerating interventions to improve the immunization
coverage of children two (2) years of age or younger (up to 35 months of age).
Contractor shall incorporate traditional and non-traditional systematic approaches
designed to eliminate barriers, expand immunization delivery, and establish uniform
policies.
Contractor shall be enrolled as a provider in the Texas Vaccines for Children Program
(TVFC) and adhere to the TVFC Operations Manual (and associated policy guidelines
provided by DSHS).
Contractor shall report all reportable conditions as specified in 25 Texas Administrative
Code (TAC) Part 19997.1 - 97.6 and 9997.101 - 97.102.
Contractor shall report all vaccine adverse event occurrences in accordance with the
National Childhood Vaccine Injury Act of 1986.
Contractor shall inform and educate the public about vaccines and vaccine-preventable
diseases.
Contractor shall consult DSHS Immunization Branch Public Information, Education and
Training Group prior to developing educational, promotional, or incentive materials
including, but not limited to brochures, posters, television and radio ads, outdoor
advertising, bus ads, banners, campaign or branding logos related to immunizations,
ImmTrac, TVFC or associated programs. Contractor shall not develop educational
materials that duplicate materials already developed by DSHS. Contractor shall not
modify DSHS-supplied forms and publications. Educational materials developed under
this contract must be approved by DSHS prior to development, production or printing.
Contractor shall develop policies and plans that support individual and community-based
immunization strategies and evaluate the effectiveness, accessibility, and quality of
personal and population-based immunization services and program activities.
ATTACHMENT - Page 1
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Contractor shall work to promote a health care workforce that is knowledgeable about
vaccines, vaccine safety, vaccine-preventable diseases, and delivery of immunization
servIces.
Contractor shall comply with written policies and procedures provided by DSHS in
managing vaccines supplied through the TVFC program, including guidelines for proper
storage and handling of vaccines and for safeguarding vaccine in the event of natural
disaster.
Contractor shall implement DSHS's new vaccine management system, the Pharmacy
Inventory Control System (PICS), as the system becomes available throughout the state
in Fiscal Year 2008. Implementation will include using PICS in Contractor clinics,
promoting the use of the system in non-health department TVFC provider offices, and
performing updates to the system on behalf of TVFC provider offices that submit
monthly doses administered and vaccine accounting reports in hardcopy.
Contractor shall maintain an accurate, up-to-date list of clinics and sites where public
sector (free or low cost) immunization services are offered in the jurisdiction served by
the Contractor.
Contractor shall not charge a fee for vaccines supplied through the TVFC program. All
TVFC-supplied vaccines shall be used solely for purposes of this Program Attachment
and shall not be sold.
In accordance with 25 T AC S 1.91, Contractor shall not collect vaccine administration
fees from Medicaid and Children's Health Insurance Program (CHIP) recipients. Vaccine
administration fees collected from non-Medicaid patients shall not exceed those
established in Section Two, Part Four of the TVFC Operations Manual. Fee schedules
shall not be based on vaccine type, formulation, or dose in series.
Contractor shall not deny vaccinations to recipients because they do not reside within
Contractor's jurisdiction or because of an inability to pay an administration fee.
All equipment and vaccine used by Contractor which are provided by DSHS shall be
accounted for as public property. The DSHS Program will investigate equipment or
vaccine loss, destruction, spoilage, or other waste and may require (at its discretion)
Contractor to replace or reimburse the DSHS Program. This provision does not waive
any other remedies legally available to DSHS regarding contract breaches.
Contractor shall provide to the DSHS Program periodic electronic data transfers of all
vaccines administered in a format that is compatible for inclusion in the statewide
immunization registry, ImmTrac, and in accordance with the schedule provided by
DSHS.
Contractor shall comply with all applicable federal and state regulations and statutes,
including but not limited to:
A TT ACHMENT - Page 2
. Human Resources Code 942.043, VTCA;
· Education Code SS38.001-38.002, VTCA;
· Health and Safety Code SI2.032, SS81.023 and 161.001-161.009, VTCA;
. 25 TAC Chapter 97;
. 25 TAC, Chapter 96;
. 25 T AC, Chapter 100;
. 42 USC 99247b and 300 aa-25; and
· Omnibus Budget Reconciliation Act of 1993,26 USC S4980B.
Contractor shall comply with current applicable state and federal standards, policies and
guidelines, including but not limited to (the following documents incorporated by
reference and made a part of this Program Attachment):
· DSHS's Standards for Public Health Clinic Services, revised August 31, 2004,
http://www.dshs.state.tx.us/qmb/ default.shtm#public;
. DSHS's Vaccine-Preventable Disease Surveillance guidelines,
http://www.dshs.state.tx.us/immunize/vpd _ main.shtm;
. DSHS' s TVFC Operations Manual,
http://www.dshs.state.tx.us/immunize/tvfc/tvfc _manual. shtm;
. Centers for Disease Control and Prevention's Advisory Committee on
Immunization Practices (ACIP) guidelines, including the statement:
"Immunization of Health-Care Workers",
http://www.cdc.gov/nip/ACIP/default.htm; and,
. Standards for Child and Adolescent Immunization Practices, October 2, 2003,
recommended by the National Vaccine Advisory Committee, approved by the
United States Public Health Service, and endorsed by the American Academy of
Pediatrics, http://www .cdc. gov /nip/publications/pink! appendices/H/standards-
pediatric.pdf.
Contractor shall be responsible for conducting outreach to children 19 through 35 months
of age in the Contractor's service area who are included on the list that will be distributed
at the start of each tri-annual reporting period (September 1, 2007, January 1,2008, and
May 1, 2008).
Contractor shall comply with all requirements in the attached Exhibit A.
Contractor shall:
. Utilize a variety of methods to identify and contact the families of children for
whom consent has been granted to be included in ImmTrac, but who do not
have complete immunization records in the registry;
. Provide information to clients, families, and providers on the purpose of
ImmTrac and the importance of maintaining complete immunization histories
in the registry;
. Enter records of newly identified vaccinations into ImmTrac;
. Maintain documentation of all contacts and education provided;
A TT ACHMENT - Page 3
. Present ImmTrac information to providers, schools, and other community
groups;
. Present Pharmacy Inventory Control System (PICS) information to providers;
and
. Provide technical assistance to providers as requested by providers when PICS
is implemented within the Contractor's service area.
SECTION II. PERFORMANCE MEASURES:
The following performance measure(s) will be used, in part, to assess Contractor's
effectiveness in providing the services described in this Program Attachment, without
waiving the enforceability of any of the terms of the Contract:
Contractor shall submit the monthly reports of doses administered and the monthly
biological order form in a format provided by DSHS and in accordance with the
instructions provided to Contractor ~y DSHS.
Contractor shall implement an immunization reminder and recall system to notify
parents or guardians of children less than 36 months of age when immunizations are
"due or past due. The notifications may be automated or manual and may consist of
mail or telephone contacts.
Contractor shall utilize the AFIX (Assessment, Feedback, Incentives, and eXchange)
methodology to conduct quality assurance site-visits for all sub-contracted entities
and non-local health department Women, Infant and Children (WI C) clinics.
Assessment shall be done using the DSHS Immunization Quality Assurance Site
Visit tool and the Comprehensive Clinic Assessment Software Application (Co-
CASA), as specified by the DSHS Program. Contractor shall submit assessment
results to the appropriate DSHS Regional Immunization Program manager within
two (2) weeks after completion.
Contractor shall recruit and enroll providers into the Texas Vaccines for Children
(TVFC) program and recruit and register providers to use the statewide registry
(ImmTrac) to look up child records at every visit, and also to report immunizations
administered as required by law.
Contractor shall address the following Objectives, as detailed in the final approved work
plan:
1. Develop a comprehensive plan to assure that immunization services and
ACIP-recommended vaccines are available to medically underserved and/or
under-immunized children and adults living in areas where coverage is low
("pockets of need");
2. Work with local WIC programs for assessment of children's immunization
status and referral of under-vaccinated WIC enrollees for vaccination at their
ATTACHMENT - Page 4
medical home;
3. Establish collaborations with a variety of community-based organizations and
human service agencies (internal and external to your Local Health
Department [LHD]) to promote best practices, specific activities, and special
projects to increase vaccination coverage levels for children 0 through 35
months;
4. Ensure that expired, wasted, and unaccounted for vaccines do not exceed 5%
for DTaP, Hib, hepatitis B, IPV, MMR, PCV7, varicella, hepatitis A, and
combination vaccines in LHD clinics;
5. Effectively utilize ImmTrac in LHD clinics;
6. Increase the number of registered provider sites actively reporting
immunizations to ImmTrac;
7. Promote the effective use of ImmTrac by private providers;
8. Increase the number of children less than six (6) years of age who participate
in ImmTrac;
9. Ensure that ImmTrac data are complete, current, and accurate;
10. Increase TVFC provider enrollment;
11. Actively educate public and private providers on vaccine recommendations,
the Standards for Child and Adolescent Immunization Practices and the
Standards for Adult Immunization Practices, reporting of vaccine-preventable
diseases, recordkeeping, the use of Vaccine Information Statements (VIS), the
TVFC program, and the ImmTrac registry;
12. Complete 100% of quality assurance follow-up visits assigned by DSHS
Austin or Health Service Region Staff;
13. Provide immunization services and ACIP-recommended vaccines as described
in this contract;
14. Promote adult immunization among adults in the general population and
among health care workers;
15. Conduct educational, promotional, and outreach activities for the general
public to enhance immunization awareness;
16. Investigate and document at least 90% of reportable suspected vaccine-
preventable disease cases within thirty (30) days of notification in accordance
with DSHS's Vaccine-Preventable Disease (VPD) Surveillance Guidelines;
17. Implement a comprehensive Perinatal Hepatitis B program that accomplishes
the following:
a. Increase by at least 5% the number of hepatitis B surface antigen-
positive (HBsAg+) pregnant women identified;
b. Increase by at least 5% the number of infants born to HBsAg+
pregnant women that are identified;
c. Increase by at least 5% the number of these infants that receive one (1)
dose of hepatitis B vaccine and HBIO within twelve (12) hours of birth
and no later than seven (7) days after birth;
d. Increase by at least 5% the number of these infants that complete the
hepatitis B vaccine series and receive post-vaccination serologic
testing; and,
e. Increase by at least 5% the number of susceptible household and
A TT ACHMENT - Page 5
sexual contacts of HBsAg+ pregnant women that complete the
hepatitis B vaccine series.
18. Assure that rubella susceptible women identified in the Contractor's public
health clinics are offered MMR;
19. Complete 100% of child-care facility and Head Start assessments assigned by
DSHS; and,
20. Complete 100% of public and private school assessments and retrospective
and validation surveys assigned by DSHS.
Contractor is required to complete and submit the following tri-annual reports utilizing a
format provided by the DSHS Program:
Re ort T e
Programmatic
Pro rammatic
Programmatic/Final
Re ortin Period
9/1/07 - 12/31/07
1/1/08 - 4/30/08
5/1/08 - 8/31/08
Re ort Due Date
1/30/08
5/30/08
10/15/08
Tn-annual reports should be submitted electronically to the appropriate DSHS Regional
Immunization Program Manager identified on the reporting form.
Contractor must receive written approval from DSHS before varying from applicable
policies, procedures, protocols, and/or work plans, and must update and disseminate its
implementation documentation to its staff involved in activities under this contract within
forty-eight (48) hours of making approved changes.
SECTION III. SOLICITATION DOCUMENT:
N/A
SECTION IV. RENEWALS:
N/A
SECTIONV. PAYMENT METHOD:
Cost reimbursement.
SECTION VI. BILLING INSTRUCTIONS:
Contractor shall request payment using the State of Texas Purchase Voucher (Form B-13)
and acceptable supporting documentation for reimbursement of the required
services/deliverables. V ouchers and supporting documentation should be mailed or
submitted by fax or electronic mail to the addresses/number below.
A TT ACHMENT - Page 6
Department of State Health Services
Claims Processing Unit, MC 1940
1100 West 49th Street
PO BOX 149347
Austin, Texas 78714-9347
The fax number for submitting State of Texas Purchase Voucher (Form B-13) to the
Claims Processing Unit is (512) 458-7442. The email address is
invoices@dshs.state.tx.us.
SECTION VII. SPECIAL PROVISIONS:
General Provision, FUNDING Article, Use of Funds Section, is revised to include:
Funds shall not be used for purchase of vaccines, inpatient care, construction of
facilities, or debt retirement.
Travel expenses shall be reimbursed according to Contractor's written travel policy,
as approved by DSHS. If no written travel policy was submitted, travel expenses
shall be reimbursed according to current state travel regulations. In no case shall
reimbursement exceed the_ reimbursement for hotel, per diem and mileage allowed
under the current Appropriations Act.
For immunization activities performed under this Program Attachment, General
Provisions, GENERAL BUSINESS OPERATIONS of CONTRACTOR Article,
Overtime Compensation Section, is replaced with the following paragraphs:
Contractor is authorized to pay employees who are not exempt under the Fair
Labor Standards Act (FLSA), 29 USC, Chapter 8, ~201 et seq., for overtime or
compensatory time at the rate oftime and one-half per FLSA.
Contractor is authorized to pay employees who are exempt under FLSA on a
straight time basis for work performed on a holiday or for regular compensatory
time hours when the taking of regular compensatory time off would be disruptive
to normal business operations.
Authorization for payment under this provision is limited to work directly related
to immunization activities and shall be in accordance with the amount budgeted in
this contract Attachment. Contractor shall document proper authorization or
approval for any work performed by exempt or non-exempt employees in excess
of forty (40) hours per work week.
SECTION VIII. BUDGET:
SOURCE OF FUNDS: CFDA # 93.268 and STATE
A TT ACHMENT - Page 7
2008-023731-001
Categorica I Budget:
FRINGE BENEFITS
$15,633.00
EQUIPMENT
$0.00
CONTRACTUAL
$0.00
TOTAL DIRECT CHARGES
$94,786.00
TOTAL
$94,786.00
CONTRACTOR SHARE
$18,480.00
Total reimbursements will not exceed $94,786.00
Financial status reports are due: 12/28/2007, 03/28/2008, 06/30/2008, 10/31/2008
CONTRACT NO. 2008-023731-
PROGRAM ATTACHMENT NO. 001
PURCHASE ORDER NO. 0000331441
EXHIBIT A
STRATEGIES TO INCREASE VACCINE COVERAGE LEVELS
IMPLEMENT A TION PLAN
Contractor shall implement all final, approved work plans, including the approved 2007 Annual
Plan and the Strategy Implementation Planes) (final approved versions of SIP plans as sent to
you by DSHS on November 8, 2006).
EXHIBIT A - Page 1