HomeMy WebLinkAboutC2008-332 - 9/9/2008 - ApprovedTEXAS DEPARTMENT OF STATE HEALTH SERVICES
DAVID L. LAKEY, M.D.
COMMISSIONER
September 24, 2008
Angel R. Escobar, Interim City Manager
Corpus Christi Nueces County Public Health District
1201 Leopard St
Corpus Christi TX 78401
Dear Mr. Escobar:
1100 West 49th Street • Austin, Texas 78756
P.O. Box 149347 • Austin, Texas 78714-9347
t-888-963-7111 • www.dshsstate.tx.us
TTY: t-800-735-2989
~tE~E~~ED
SEP 2 ~ 20D8
nITM~'S OFFIGE
Enclosed is an approved copy of your Department of State Health Services (DSHS) contract.
Please file it with the office of record for your agency.
The provisions of this contract require submittal of quarterly financial reports no later than 30
days after the end of the first three quarters and a final report no later than 60 days after the end
of the contract term. Attached are preprinted Financial Status Reports (FSR 269a) for the entire
term of your contract. Please forward the FSR forms to the person in your agency
responsible for completion of financial reports. If this is a contract amendment, FSRs are
provided only for the remaining term of your contract. These reports are required regardless of
whether or not expenses are incurred.
DSHS will not pay for reimbursements submitted/postmarked more than 60 days after the end of
the contract Attachment term. Additional information regarding this policy is available on the
DSHS website at htto://www.dshs.state.tx.us.
Please reference the DSHS contract and attachment number in all future correspondence. If you
have questions, please contact Janet Childers at 512-458-7111 ext. 6386 or via email at
j anet.childers(7a,dshs.state.tx.us
' cerely,
Bob Burnette, Director
Client Service Contracting Unit
Enclosures
2008-332
09/09/08
Res. 027826
Tx. Dept. Of St. Health Svcs. al Employment Opportunity Employer and Provider
DEPARTMENT OF STATE HEALTH SERVICES
This contract, number 2008-028046 (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
CORPUS CHRISTI-NUECES COUNTY PUBLIC HEALTH DISTRICT (CITY)
(Contractor), a Government Entitv. (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 $230.351.00, and the payment method(s) shall be as specified in the Program Attachments.
3. Funding Obligation. 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 08/01/2008 and ends on 07/31/2009. DSHS
has the option, in its sole discretion, to renew the Contract as 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 Forming Contract. The Contract consists of the following:
a. Core Contract (this document)
b. Program Attachments:
2008-028046-001 CPS-BIOTERRORISM PREPAREDNESS-LAB
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-t
7. Conflictin¢ 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: CITY OF CORPUS CHRISTI
Address: PO BOX 9277
CORPUS CHRISTI, TX 78469-9277
Vendor IdentiTication Number: 17460005741027
9. Entire A¢reement. The Parties acknowledge that this Contract is the entire agreement of
the Parties and that there aze 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.
92646-1
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 CORPUS CHRISTI-NUECES COUNTY PUBLIC
HEALTH DISTRICT (CITY)
By. By: r ,~ /r.E,
Signature of Authorized Official Signatur
q~24 /0~ ,y/~y/og
Date Date
i _ ~~//
Bob Bumette, C.P.M., CTPM ~- a bar f~ ~ /~
Print d Name and Title U
Director, Client Services Contracting Unit
1100 WEST 49TH STREET
AUSTIN, TEXAS 78756
I~u~o,par~ ~~
Address
I~YDIUS Ch ~ ,TCI 7841
City, State, Zip
(512)458-7470
Bob.Burnette@dshs.state.tx.us
. Qo2 $a(o Au1MURiLF~
Rr couaa~.._Qq-~ og
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SECQFTARV
L3(~I~~ ~I~-3~0
Telephone Number
E-mail Address for Official Correspondence
t0
(ant City Attorney
pity Attorney
A11'EST - _
ARPAAU,ryn (;Hand '~"'~'-
92648-1
Fiscal Year 2009 Department of State Health Services Contract
General Provisions
(Core/Subrecipient)
TABLE OF CONTENTS
ARTICLE I COMPLIANCE AND REPORTING ......................................................................1
01
Section 1 Compliance with Statutes and Rules ...................................................................1
.
Section 1.02 Compliance with Requirements of Solicitation Document ...............................1
Section 1.03 Reporting ...............................................................................................................1
Section 1.04 Client Eligibility ....................................................................................................1
05
tion 1
S plicable Contracts Law and Venue for Disputes ...........................................i
A
.
ec
Section 1.06 p
Applicable Laws and Regulations Regarding Funding Sources ......................1
07
Section 1 Statutes and Standards of General Applicability ..............................................2
.
Section 1.08 Applicability of General Provisions to Interagency and Interlocal Contracts..
4
..........................................................................................
Section 1.09 Civil Rights Policies and Complaints ..................................................................5
ARTICLE II SERVICES .................................................................................................................5
Section 2
01 Education to Persons in Residential Facilities ....................................................5
.
Section 2.02 Disaster Services ....................................................................................................5
03
Section 2 Consent to Medical Care of a Minor ...................................................................5
.
04
Section 2 Telemedicine Medical Services ............................................................................6
.
05
Section 2 Fees for Personal Health Services .......................................................................6
.
06
Section 2 Cost Effective Purchasing of Medications ..........................................................6
.
Section 2.07 Services and Information for Persons with Limited English Proficiency.......6
ARTICLE III FUNDING ..................................................................................................................7
01
Section 3 Debt to State and Corporate Status ....................................................................7
.
02
Section 3 Application of Payment Due ................................................................................7
.
Section 3.03 Use of Funds ..........................................................................................................7
04
Section 3 Use for Match Prohibited .....................................................................................7
.
Section 3.05 Program Income ....................................................................................................7
Section 3.06 Nonsupplanting .....................................................................................................8
ARTICLE IV PAYMENT METHODS AND RESTRICTIONS ..................................................8
Section 4.01 Payment Methods ..................................................................................................8
Section 4.02 Billing Submission .................................................................................................8
Section 4
03 Final Billing Submission .......................................................................................8
.
Section 4
04 Wonting Capital Advance ....................................................................................8
.
05
Section 4 Financial Status Reports (FSRs) ..........................................................................9
.
Section 4.06 Third Party Payors ...............................................................................................9
ARTICLE V TERMS AND CONDITIONS OF PAYMENT ......................................................9
9
Section 5.01 Prompt Payment ...................................................................................................
Section 5.02 Withholding Payments .........................................................................................9
Section 5.03 Condition Precedent to Requesting Payment ...................................................10
General Provisions (Core Subrecipient 2009) Table of Contents 6/5/08 Page 1 of 4
Section 5.04 Acceptance as Payment in Full .......................................................................... 10
Section 5.05 No Fee or Profit ................................................................................................... 10
ARTICLE VI ALLOWABLE COSTS AND AUDIT REQUIREMENTS ................................. 10
Section 6.01 Allowable Costs ................................................................................................... 10
Section 6.02 Independent Single or Program-Specific Audit ............................................... 11
Section 6.03 Submission of Audit ............................................................................................ 12
ARTICLE VII CONFH)ENTIALITY ........................................................................................ 12
Section 7.01 Maintenance of Confidentiality .............................:...........................................12
Section 7.02 Department Access to PHI and Other Confidential Information ..................12
Section 7.03 Exchange of Client-Identifying Information ....................................................12
Section 7.04 Security of Patient or Client Records ................................................................13
Section 7.05 HIV/AIDS Model Workplace Guidelines .........................................................13
ARTICLE VIH RECORDS RETENTION ..................................................................................13
Section 8.01 Retention ..............................................................................................................13
ARTICLE IX ACCESS AND INSPECTION ...............................................................................14
Section 9.01 Access ...................................................................................................................14
Section 9.02 State Auditor's Office .........................................................................................14
Section 9.03 Responding to Deficiencies .................................................................................14
ARTICLE X NOTICE REQUIREMENTS .................................................................................14
Section 10.01 Child Abuse Reporting Requirement ................................................................ 14
Section 10.02 Significant Incidents ........................................................................................... 15
Section 10.03 Litigation .............................................................................................................. 15
Section 10.04 Action Against the Contractor ........................................................................... 15
Section 10.05 Insolvency ............................................................................................................ 15
Section 10.06 Misuse of Funds ................................................................................................... 15
Section 10.07 Criminal Activity and Disciplinary Action ....................................................... 16
Section 10.08 Retaliation Prohibited ........................................................................................ 16
Section 10.09 Documentation .................................................................................................... 16
ARTICLE XI ASSURANCES AND CERTIFICATIONS ..........................................................16
Section 11.01 Cert~cation ......................................................................................................... 16
Section 11.02 Child Support Delinquencies ............................................................................. 17
Section 11.03 Authorization ....................................................................................................... 17
Section 11.04 Gifts and Benefits Prohibited ............................................................................. 18
Section 11.05 Ineligibility to Receive the Contract .................................................................. 18
Section 11.06 Antitrust ............................................................................................................... 18
Section 11.07 Initiation and Completion of Work ................................................................... 18
ARTICLE XII GENERAL BUSINESS OPERATIONS OF CONTRACTOR ....................... 18
Section 12.01 Responsibilities and Restrictions Concerning Governing Board, Officers and
Employees. ............................................................................................................................... 18
Section 12.02 Management and Control Systems .................................................................... 19
General Provisions (Core Subrecipient 2009) Table of Contents 6/5/08 Page 2 of 4
Section 12.03
Section 12.04
Section 12.05
Section 12.06
Section 12.07
Section 12.08
Section 12.09
10
n 12
ti
S Insurance .............................................................................................................20
Fidelity Bond .......................................................................................................20
Liability Coverage ...............................................................................................20
Overtime Compensation .....................................................................................20
Program Site ........................................................................................................20
Cost Allocation Plan ...........................................................................................20
Reporting for Unit Rate and Fee For Service Contracts .................................21
Historically Underutilized Businesses (HUBs) .................................................21
.
o
ec
Section 12.11
12
tion 12
S Buy Texas .............................................................................................................21
Contracts with Subrecipient Subcontractors ...................................................21
.
ec
Section 12.13
Section 12.14
Section 12.15
Section 12.16
Section 12.17
18
n 12
ti
S Status of Subcontractors ....................................................................................22
Incorporation of Terms ......................................................................................22
Independent Contractor .....................................................................................22
Authority to Bind ................................................................................................22
Tax Liability ........................................................................................................22
Notice of Organizational Change ......................................................................23
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ec
o
Section 12.19
Section 12.20
Section 12.21
22
tion 12
S Quality Management ..........................................................................................23
Equipment (Including Controlled Assets) Purchases ......................................23
Supplies ................................................................................................................23
Changes to Equipment List ................................................................................23
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ec
12
23
ti
S erty Inventory and Protection of Assets ...................................................23
Pro
.
on
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Section 12.24
Section 12.25
Section 12.26
Section 12.27
Section 12.28
Section 12.29 p
Bankruptcy ..........................................................................................................24
Title to Property ..................................................................................................24
Property Acquisitions .........................................................................................24
Disposition of Property .......................................................................................24
Closeout of Equipment .......................................................................................24
Assets as Collateral Prohibited ..........................................................................24
ARTICLE XIII GENERAL TERMS ............................................................................................25
Section 13.01
Section 13.02
Section 13.03
04
tion 13
S Assignment ...........................................................................................................25
Lobbying ..............................................................................................................25
Conflict of Interest ..............................................................................................25
Transactions Between Related Parties ..............................................................25
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ec
Section 13.05
Section 13.06
07
tion 13
S Intellectual Property ...........................................................................................26
Other Intangible Property .................................................................................27
Severability and Ambiguity ...............................................................................27
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ec
Section 13.08
Section 13.09
Section 13.10
Section 13.11
Section 13.12
Section 13.13
14
tion 13
S Legal Notice .........................................................................................................27
Successors ............................................................................................................27
Headings ...............................................................................................................27
Parties ...................................................................................................................27
Survivability of Terms ........................................................................................27
Direct Operation .................................................................................................27
Customer Service Information ..........................................................................28
.
ec
Section 13.15
Section 13.16
Section 13.17
Section 13.18 Amendment .........................................................................................................28
Contractor's Notification of Change to Certain Contract Provisions...........28
Contractor's Request for Revision of Certain Contract Provisions ..............28
Immunity Not Waived ........................................................................................29
General Provisions (Core Subrecipient 2009) Table of Contents 6/5/08 Page 3 of 4
Section 13.19 Hold Harmless and Indemnitication .................................................................29
Section 13.20 Waiver ..................................................................................................................29
Section 13.21 Technology Accessibility ....................................................................................29
ARTICLE XIV BREACH OF CONTRACT AND REMEDIES FOR NON-COMPLIANCE...
...............................................................................................................................30
Section 14.01 Actions Constituting Breach of ContraM .........................................................30
Section 14.02 General Remedies and Sanctions ......................................................................30
Section 14.03 Notice of Remedies or Sanctions ........................................................................32
Section 14.04 Emergency Action ...............................................................................................33
ARTICLE XV CLAIMS AGAINST THE DEPARTMENT ....................................................33
Section 15.01 Breach of Contract Claim ..................................................................................33
Section 15.02 Notice ....................................................................................................................33
Section 15.03 Sole Remedy ........................................................................................................34
Section 15.04 Condition Precedent to Suit ...............................................................................34
Section 15.05 Performance Not Suspended ..............................................................................34
ARTICLE XVI TERMINATION ..................................................................................
34
...............
Section 16.01 Expiration of Contract or Program Attachment(s) .........................................34
Section 16.02 Effect of Termination .........................................................................................34
Section 16.03 Acts Not Constituting Termination ...................................................................34
Section 16.04 Termination Without Cause ..............................................................................35
Section 16.05 Termination For Cause ......................................................................................35
Section 16.06 Notice of Termination .........................................................................................36
ARTICLE XVII VOH), SUSPENDED, AND TERMINATED CONTRACTS .........................36
Section 17.01 Void Contracts ....................................................................................................36
Section 17.02 Effect of Void, Suspended, or Involuntarily Terminated Contract ...............36
Section 17.03 Appeals Rights .....................................................................................................37
ARTICLE XVIII CLOSEOUT AND CONTRACT RECONCILIATION ................................37
Section 18.01 Cessation of Services At Closeout ...................................................................... 37
Section 18.02 Administrative Offset ......................................................................................... 37
Section 18.03 Deadline for Closeout ......................................................................................... 37
Section 18.04 Payment of Refunds ............................................................................................ 37
Section 18.05 Disallowances and Adjustments ........................................................................ 37
Section 18.06 Contract Reconciliation ...................................................................................... 37
General Provisions (Core Subrecipient 2009) Table of Contents 6/5/08 Page 4 of 4
Fiscal Year 2009 Department of State Health Services 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 of the Department's rules of general applicability
and other applicable state and federal statutes, regulations and rules as such statutes, regulations and.
rules currently exist and as they may be lawfully amended. The Department rules aze located in the
Texas Administrative Code, Title 25 (Rules). 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 this 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, certifications and program requirements of the
Solicitation Document, if any, (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 and shall provide any other information requested by the
Department in the format required by DSHS. 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/or the imposition of sanctions and
remedies, and, if appropriate, emergency action; and may adversely affect evaluation of Contractor's
future contracting opportunities with the Department.
Section 1.04 Client Eligibility. Where applicable, Contractor shall use financial eligibility criteria,
financial assessment procedures and standards developed by the Department to determine client
eligibility.
Section 1.05 Applicable Contracts Law and Venue for Disputes. Regarding all issues related to
contract formation, performance, interpretation, and any issues that may arise in any dispute between
the Parties, this Contract shall be governed by, and construed in accordance with, the laws of the
State of Texas. In the event of a dispute between the Parties, venue for any suit shall be Travis
County, Texas.
Section 1.06 Applicable Laws and Regulations Regarding Funding Sources. Where applicable,
federal statutes and regulations, including federal grant requirements applicable to funding sources,
shall apply to this Contract. Contractor agrees to comply with applicable laws, executive orders,
regulations and policies as well as Office of Management and Budget (OMB) Circulars, the Uniform
Grant and Contract Management Act of 1981 (UGMA), Tex. Gov. Code Chapter 783, as amended,
and Uniform Grant Management Standards (UGMS), as amended, by revised federal circulars and
incorporated in UGMS by the Governor's Budget, Planning and Policy Division. UGMA is located
on the Internet at http•//tlo2 tlc state.tx.us/statutes/stan~tes.html; the UGMS are located on the
General Provisions (Core Subrecipient 2009) 6/5/08 Page 1 of 38
Intemet at htta~//www governor.state tx.us/divisions/state rp ants/fuidelines/tiles/UGMS062004 doc.
Contractor also shall comply with all applicable federal and state assurances contained in UGMS,
Part III, State Uniform Administrative Requirements for Grants and Cooperative Agreements §_.14.
If applicable, Contractor shall comply with the Federal awazding agency's Common Rule, as
specified on the Intemet at htto://Whitehouse.eov/omb/erants/chart.html, and the U.S. Health and
Human Services Grants Policy Statement located on the Internet at
htto://www.hhs.eov/¢rantsneddocs/HHSGPS 107.doc. For contracts funded by block grants,
Contractor shall comply with Tex. Gov. Code Chapter 2105.
Section 1.07 Statutes and Standards of General Applicability. It is Contractor's responsibility to
review and comply with all applicable statutes, rules, regulations, executive orders and policies. To
the extent applicable to Contractor, Contractor agrees to comply with the following:
a) the Following statutes, rules, regulations, and DSHS policy (and any of their subsequent
amendments) that collectively prohibit discrimination on the basis of race, color, national
origin, limited English proficiency, sex, sexual orientation (where applicable), disabilities,
age, substance abuse, political belief or religion: 1) Title VI of the Civil Rights Act of 1964,
42 USCA §§ 2000d et seq.; 2) Title IX of the Education Amendments of 1972, 20 USCA §§
1681-1683, and 1685-1686; 3) Section 504 of the Rehabilitation Act of 1973, 29 USCA §
794(a); 4) the Americans with Disabilities Act of 1990, 42 USCA §§ 12101 et seq.; 5) Age
Discrimination Act of 1975, 42 USCA §§ 6101-6107; 6) Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970, 42 USCA § 290dd (b)(1);
7) 45 CFR Parts 80, 84, 86 and 91; 8) U.S. Department of Labor, Equal Employment
Opportunity E.O. 11246, as amended and supplemented; 9) Tex. Lab. Code Chapter 21; 10)
Food Stamp Act of 1977 (7 USC § 200 et seq.; 11) Executive Order 13279, 45 CFR Part 87 or
7 CFR Part 16 regarding equal treatment and opportunity for religious organizations; and 12)
DSHS Policy AA-5018, Non-discrimination Policy for DSHS Programs;
b) Drug Abuse Office and Treatment Act of 1972, 21 USCA §§ 1101 et seq., relating to drug
abuse;
c) Public Health Service Act of 1912, §§ 523 and 527, 42 USCA § 290dd-2, and 42 CFR Part 2,
relating to confidentiality of alcohol and drug abuse patient records;
d) Title VIII of the Civil Rights Act of 1968, 42 USCA §§ 3601 et seq., relating to
nondiscrimination in housing;
e) hnmigration Reform and Control Act of 1986, 8 USCA § 1324a, regazding employment
verification;
f) Pro-Children Act of 1994, 20 USCA §§ 6081-6084, regazding the non-use of all tobacco
products;
g) National Reseazch Service Awazd Act of 1971, 42 USCA §§ 289a-I et seq., and 6601 (PL 93-
348 and PL 103-43), as amended, regazding human subjects involved in research;
h) Hatch Political Activity Act, 5 USCA §§ 1501-1508 and 7321-26, which limits the political
activity of employees whose employment is funded with federal funds;
i) Fair Labor Standazds Act, 29 USCA §§ 201 et seq., and the Intergovernmental Personnel Act
of 1970, 42 USCA §§ 4701 et seq., as applicable, concerning minimum wage and maximum
hours;
j) Tex. Gov. Code Chapter 469, pertaining to eliminating architectural barriers for persons with
disabilities;
General Provisions (Core Subrecipient 2009) 6/5/08 Page 2 of 38
k)
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9
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Texas Workers' Compensation Act, Tex. Lab. Code, Chapters 401-406 and 28 Tex. Admin.
Code Part 2, regazding compensation for employees' injuries;
The Clinical Laboratory Improvement Amendments of 1988, 42 USC § 263a, regazding the
regulation and certification of clinical laboratories;
The Occupational Safety and Health Administration Regulations on Blood Borne Pathogens,
29 CFR § 1910.1030, or Title 25 Tex. Admin. Code Chapter 96 regarding safety standazds for
handling blood borne pathogens;
Laboratory Animal Welfare Act of 1966, 7 USC §§ 2131 et seq., pertaining to the treatment
of laboratory animals;
environmental standards pursuant to the following: 1) Institution of environmental quality
control measures under the National Environmental Policy Act of 1969, 42 USC §§ 4321-
4347 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 (PL 93-234); 5) Assurance of project consistency with
the approved State Management program developed under the Coastal Zone Management Act
of 1972, 16 USC §§ 1451 et seq.; 6) Federal Water Pollution Control Act, 33 USC §1251 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 §§ 1531 et seq.; 9) Conformity of Federal actions to state clean
air implementation plans under the Clean Air Act of 1955, 42 USC §7401 et seq.; 10) Wild
and Scenic Rivers Act of 1968 (16 USC §§ 1271 et seq.) related to protecting certain rivers
system; and 11) Lead-Based Paint Poisoning Prevention Act (42 USC §§ 4801 et seq.)
prohibiting the use of lead-based paint in residential constmction or rehabilitation;
Intergovernmental Personnel Act of 1970 (42 USC §§4278-4763) regazding personnel merit
systems for programs specified in Appendix A of the federal Office of Program
Management's Standards for a Merit System of Personnel Administration (5 CFR Part 900,
Subpart F);
Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies
Act of 1970 (PL 91-646), relating to fair treatment of persons displaced or whose property is
acquired as a result of Federal or federally-assisted programs;
Davis-Bacon Act (40 USC §§ 276a to 276a-7), the Copeland Act (40 U.S.C. § 276c and 18
USC § 874), and the Contract Work Hours and Safety Standards Act (40 USC §§ 327-333),
regazding labor standazds for federally-assisted construction subagreements;
s) National Historic Preservation Act of 1966, §106 (16 USC § 470), Executive Order 11593,
and the Archaeological and Historic Preservation Act of 1974 (16 USC §§ 469a-1 et seq.)
regarding historic property to the extent necessary to assist DSHS in complying with the Acts;
t) financial and compliance audits in accordance with Single Audit Act Amendments of 1996
and OMB Circular No. A-133, "Audits of States, Local Governments, and Non-Profit
Organizations;" and
General Provisions (Core Subrecipient 2009) 6/5/08 Page 3 of 38
u) requirements of any other applicable state and federal statutes, executive orders, regulations,
rules and policies.
If this Contract is funded by a grant or cooperative agreement, additional state or federal
requirements found in the Notice of Grant Awazd aze imposed on Contractor and incorporated herein
by reference.
Section I.O8 Applicability of General Provisions to Interagency and Interlocal Contracts.
Certain sections or portions of sections of these General Provisions shall not apply to Contractors that
aze State agencies or units of local government; and certain additional provisions shall apply to such
Contractors.
a) The following sections or portions of sections of these General Provisions shall not apply to
interagency or interlocal contracts:
1) Hold Harmless and Indemnification, Section 13.19;
2) Independent Contractor, Section 12.15 (delete the third sentence in its entirety; delete the
word "employees" in the fourth sentence; the remainder of the section applies);
3) Insurance, Section 12.03;
4) Liability Coverage, Section 12.05;
5) Fidelity Bond, Section 12.04;
6) Historically Underutilized Businesses, Section 12.10 (Contractor, however, shall comply
with HUB requirements of other statutes and rules specifically applicable to that entity);
7) Debt to State and Corporate Status, Section 3.01;
8) Application of Payment Due, Section 3.02; and
9) Article XV Claims against the Department (This Article is inapplicable to interagency
contracts only).
b) The following additional provisions shall apply to interagency contracts:
1) This Contract is entered into pursuant to the authority granted and in compliance with the
provisions of the Interagency Cooperation Act, Tex. Gov. Code Chapter 771.
2) The Parties hereby certify that (1) the services specified aze necessary and essential for the
activities that aze properly within the statutory functions and programs of the affected
agencies of State government; (2) the proposed arrangements serve the interest of efficient
and economical administration of the State government; and (3) the services, supplies or
materials contracted for aze not required by Section 21 of Article 16 of the Constitution of
the State of Texas to be supplied under contract given to the lowest responsible bidder.
3) DSHS certifies that it has the authority to enter into this Contract granted in Tex. Health &
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, Tex. 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
General Provisions (Core Subrecipient 2009) 6/5/08 Page 4 of 38
Department, whether that date is prior to or after the date of any ratification by Contractor's
governing boazd.
Section 1.09 Civii Rights Policies and Complaints. Upon request, Contactor shall provide the
Health and Human Services Commission (HHSC) Civil Rights Office with copies of all Contractor's
civil rights policies and procedures. Contractor must notify HHSC's Office of Civil Rights of any
civil rights complaints received relating to performance under this Contract no more than ten (10)
calendaz days after Contractor's receipt of the claim. Notice must bedirected to -
HHSC Civil Rights Office
701 W. 51st St., Mail Code W206
Austin, Texas 78751
Toll-free phone (888) 388-6332
Phone (512) 438-4313
TTY Toll-free (877) 432-7232
Fax (512) 438-5885
ARTICLE II SERVICES
Section 2.01 Education to Persons in Residential Facilities. If applicable, Contractor shall ensure
that all persons, who aze 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 calendaz day after the date
a person who is twenty-two (22) yeazs of age or younger is placed in 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, declazed 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 azeas: corrununity evacuation; health and medical assistance; assessment
of health and medical needs; health surveillance; medical caze personnel; health and medical
equipment and supplies; patient evacuation; in-hospital care and hospital facility status; food, deng,
and medical device safety; worker health and safety; mental health and substance abuse; public health
information; vector control and veterinazy services; and victim identification and mortuazy services.
Disaster services shall be carried out in the manner most responsive to the needs of the emergency, be
cost effective, and be least intensive on the primary services of the Contractor.
Section 2.03 Consent to Medical Care of a Minor. 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 informed consent to treatment
is obtained pursuant to Tex. Fam. Code, Chapter 32 relating to consent to treatment of a child by a
General Provisions (Core Subrecipient 2009) 6/5/08 Page 5 of 38
non-pazent or child or pursuant to other state law. If requirements of federal law relating to consent
directly conflict with Tex. Fam. 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 aze implemented in accordance with written procedures
and using protocol approved by the Contractor's medical director and utilizing equipment that
complies with the equipment standazds as required by the Department. Procedures of telemedicine
service provision must include the following requirements:
a) clinical oversight by the Contractor's medical director or designated physician responsible for
medical leadership;
b) contraindication considerations for telemedicine use;
c) qualified staff members to ensure the safety of the individual being served by telemedicine at
the remote site;
d) safeguards to ensure confidentiality and privacy in accordance with state and federal laws;
e) use by credentialed licensed providers providing clinical caze within the scope of their
licenses;
f) demonstrated competency in the operations of the system by all staff members who are
involved in the operation of the system and provision of the services prior to initiating the
protocol;
g) priority in scheduling the system for clinical caze of individuals;
h) quality oversight and monitoring of satisfaction of the individuals served; and
i) management of information and documentation for telemedicine services that ensures timely
access to accurate information between the two sites.
Telemedicine Medical Services does not include chemical dependency treatment services provided
by electronic means under Rule §448.911.
Section 2.05 Fees for Personal Health Services. Contractor may develop a system and schedule
of fees for personal health services in accordance with the provisions of Tex. Health & Safety Code §
12.032, DSHS Rule § 1.91 covering Fees for Personal Health Services, and other applicable laws or
grant requirements. The amount of a fee shall not exceed the actual cost of providing the services.
No patient may be denied a service due to inability to pay.
Section 2.06 Cost Effective Purchasing of Medications. If medications aze funded under this
Contract, Contractor shall make needed medications available to clients at the lowest possible prices
and use the most cost effective medications purchasing arrangement possible.
Section 2.07 Services and Information for Persons with Limited English Proficiency.
Contractor agrees to take reasonable steps to provide services and information both orally and in
writing, in appropriate languages other than English, in order to ensure that persons with limited
English proficiency are effectively informed and can have meaningful access to programs, benefits,
and activities. Contractor shall identify and document on the client records the primary
language/dialect of a client who has limited English proficiency and the need for translation or
interpretation services and shall not require a client to provide or pay for the services of a translator
or interpreter. Contractor shall make every effort to avoid use of any persons under the age of 18 or
General Provisions (Core Subrecipient 2009) 6/5/08 Page 6 of 38
any family member or friend of the client as an interpreter for essential communications with a client
with limited English proficiency unless the client has requested that person and the use of such a
person would not compromise the effectiveness of services or violate the client's confidentiality and
the client is advised that a free interpreter is available.
ARTICLE III FUNDING
Section 3.01 Debt to State and Corporate Status. Pursuant to Tex. Gov. Code § 403.055, the
Department will not approve and the State Comptroller will not issue payment to Contractor if
Contractor is indebted to the State for any reason, including a tax delinquency. Contractor, if a
corporation, certifies by execution of this Contract that it is current and will remain current in its
payment of franchise taxes to the State of Texas or that it is exempt from payment of franchise taxes
under Texas law (Tex. Tax Code §§ 171.001 et seq., as amended). Contractor, if a corporation,
further certifies that it is and will remain in good standing with the Secretary of State's office. A
false statement regazding franchise tax or corporate status is a material breach of this Contract. If
franchise tax payments become delinquent during the Contract term, all or part of the payments under
this Contract may be withheld until Contractor's delinquent franchise tax is paid in full.
Section 3.02 Application of Payment Due. Contractor agrees that any payments due under this
Contract will be applied towazds any debt of Contractor, including but not limited to delinquent taxes
and child support that is owed to the State of Texas.
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 duectly 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 duetted 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 considered 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 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,
General Provisions (Core Subrecipient 2009) 6/5/08 Page 7 of 38
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 aze the
subject of this Contract) but rather shall use funds from this Contract to supplement existing state or
local funds currently available for a particulaz 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 provisions of the Program
Attachment(s), 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 acceptable submission of a request for reimbursement; or
b) unit rate/fee for service. This payment method is based on a specified rate(s) or fee(s) for a
specified unit(s) of service, as stated in the Program Attachment(s) and acceptable submission
of all required forms and/or deliverable(s).
Section 4.02 Billing Submission. Contractors shall bill the Department in accordance with the
Program Attachment(s) in the form and format prescribed by DSHS. Unless otherwise specified in
the Program Attachment(s), Contractor shall submit requests for reimbursement or payment monthly
within thirty (30) calendaz days following the end of the month covered by the bill.
Section 4.03 Final Billing Submission. Unless otherwise provided by the Department, Contractor
shall submit a reimbursement or payment request as a final close-out bill not later than sixty (60)
calendaz days following the end of the term of the Program Attachment for goods received and
services rendered during the term. If necessary to meet this deadline, Contractor may submit
reimbursement or payment requests by facsimile transmission. Reimbursement or payment requests
received in DSHS's offices more than sixty (60) calendaz days following the end of the applicable
term will not be paid. Consideration of requests for an exception will be made on a case-by-case
basis, subject to the availability of funding, and only for an extenuating circumstance, such as, a
catastrophic event, natural disaster, or criminal activity that substantially interferes with normal
business operations, or causes damage or destruction of a place of business and/or records. A written
statement describing the extenuating circumstance and the last request for reimbursement must be
submitted for review and approval to the DSHS Accounting Section.
Section 4.04 Working Capital Advance. If allowed under this Contract, a single one-time
working capital advance per term of the Program Attachment may be granted at the Department's
discretion. Contractor must submit documentation to the Division Contract Management Unit
General Provisions (Core Subrecipien[ 2009) 6/5/08 Page 8 of 38
assigned to the Program Attachment to justify the need for a working capital advance. The working
capital advance must be liquidated as directed by the Department. The requirements for the
documentation justifying the need for an advance and the directions for liquidating the advance aze
found in the Contractor's Financial Procedures Manual located at
htto•//www dshs state.tx.us/contracts.
Section 4.05 Financial Status Reports (FSRs). Except as otherwise provided in these General
Provisions or in the terms of the Program Attachment(s), for contracts with categorical budgets,
Contractor shall submit quarterly FSRs to Accounts Payable by the thirtieth calendaz day of the
month following the end of each quarter of the Program Attachment term for Department review and
financial assessment. The final FSR must be submitted not later than sixty (60) days following the
end of the applicable term.
Section 4.06 Third Party Payors. A third party payor is any person or entity who has the legal
responsibility for paying for all or part of the services provided, including commercial health or
liability insurance carriers, Medicaid, or other federal, state, local, and private funding sources.
Except as provided in this Contract, Contractor shall screen all clients and shall not bill the
Department for services eligible for reimbursement from third party payors. Contractor shall: (a)
enroll as a provider in Children's Health Insurance Plan and Medicaid if providing approved services
authorized under this Contract that maybe covered by those programs, and bill those plans for the
covered services; (b) provide assistance to individuals to enroll in such programs when the screening
process indicates possible eligibility for such programs; (c) allow clients that aze otherwise eligible
for Department services, but cannot pay a deductible required by a third party payor, to receive
services up to the amount of the deductible and to bill the Department for the deductible; (d) not bill
the Department for any services eligible for third party reimbursement until all appeaPs t Y P Y party
payors have been exhausted; (e) maintain appropriate documentation from the third art a or
reflecting attempts to obtain reimbursement; (fj bill all third party payors for services provided under
this Contract before submitting any request for reimbursement to Department; and (g) provide third
party billing functions at no cost to the client.
ARTICLE V TERMS AND CONDITIONS OF PAYMENT
Section 5.01 Prompt Payment. Upon receipt of a timely, undisputed invoice pursuant to this
Contract, Department will pay Contractor. Payments and reimbursements aze contingent upon a
signed Contract and will not exceed the total amount of authorized funds under this Contract.
Contractor is entitled to payment or reimbursement only if the service, work, and/or product has been
authorized by the Department and performed or provided pursuant to this Contract. If those
conditions are met, Department will make payment in accordance with the Texas prompt payment
law (Tex. Gov. Code Chapter 2251). Contractor must comply with Tex. Gov. Code Chapter 2251
regazding 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 is 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
General Provisions (Core Subrecipient 2009) 6/5/08 Page 9 of 38
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 Departrnent.
Section 5.04 Acceptance as Payment in Full. Except as permitted in the Fees for Personal Health
Services section, Contractor shall accept reimbursement or payment from DSHS as payment in full
for services or goods provided to clients, and Contractor agrees to not seek additional reimbursement
or payment for services or goods from clients.
Section 5.05 No Fee or Profit. Except as provided in Section 2.05, Fees for Personal Health
Services, Contractor shall not chazge a fee or make a profit with respect to the Contract. A fee or
profit is considered to be an amount in excess of actual allowable costs that aze incurred in
conducting an assistance program.
ARTICLE VI ALLOWABLE COSTS AND AUDIT REQUIREMENTS
Section 6.01 Allowable Costs. For services satisfactorily performed pursuant to this Contract,
DSHS will reimburse Contractor for allowable costs. Contractor must have incurred a cost within the
applicable term to be eligible for reimbursement under this Contract and prior to claiming
reimbursement. DSHS shall determine whether costs submitted by Contractor aze allowable and
reimbursable. If DSHS has paid funds to Contractor for unallowable or ineligible costs, DSHS will
notify Contractor in writing, and Contractor shall return the funds to DSHS within thirty (30)
calendaz days of the date of this written notice. DSHS may withhold all or part of any payments to
Contractor to offset reimbursement for any ineligible expenditures that Contractor has not refunded to
DSHS, or if financial status report(s) required under the Financial Status Reports section are not
submitted by the date(s) due. DSHS may take repayment from funds available under any term of this
Contract, active or expired, in amounts necessazy to fulfill Contractor's repayment obligations.
Applicable cost principles, audit requirements, and administrative requirements include:
Applicable Entity Applicable Cost
Princi les Audit
Re uirements Administrative
Re uirements
State, Local and OMB Circular OMB Circular UGMS, OMB
Tribal Governments A-87 A-133 and UGMS Circular A-102, and
applicable Federal
awazding agency
common rule
Educational OMB Circular OMB Circular OMB Circulaz A-110
Institutions A-21 A-133 and UGMS and applicable Federal
awazding agency
common rule
General Provisions (Core Subrecipient 2009) 6/5/08 Page 10 of 38
Non-Profit OMB Circulaz OMB Circulaz
A-133 and UGMS uvrvro, ~~•„'
Circulaz A-110 and
Organizations A-122 applicable Federal
awazding agency
common rnle
For-profit 48 CFR Part 31, Program audit UGMS and applicabl
dera] awazding
F
Organization other Contract Cost
i
l conducted by an
inde ndent
Pe e
agency common rule
than a hospital and an
organization named in es
p
Princ
Procedures, or certified public
OMB Circular A-122 uniform cost accountant in
accordance with
as not subject to that accounting
Standazds that Governmental
Circulaz. comply with cost Auditing
principles Standazds.
acceptable to the
federal or state
A chart of applicable common rules is located on the Internet at
htto //www Whitehouse eov/omb/erants/chart.html. OMB Circulars will be applied with the
modifications prescribed by UGMS wrth effect given to whichever provision imposes the more
stringent requirement in the event of a conflict.
Section 6.02 Independent Single or Program-Specific Audit. If Contractor within Contractor's
fiscal yeaz expends a total amount of at least $500,000 in state funds awazded or at least $500,000 in
federal funds awazded, 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, P
L 98-502, 98 Stat. 2327, and the Single Audit Act Amendments of 1996, P L 104-156, 110 Stat.
1396. The $500,000 federal threshold amount includes federal funds passed through by way of state
agency awards. The HHSC Office of Inspector General (OIG) will notify the Contractor to complete
the Single Audit Detemtination Registration Form. If Contractor fails to complete the Single Audit
Determination Form within thirty (30) days after notification by OIG to do so, Contractor shall be
subject to DSHS sanctions and remedies for non-compliance with this Contract. The audit shall be
Circulaz sGovernment Auditing Standazds 1 and Un'form Grant Managenment Standazds (UGMS)
located on the Internet at
htt ://www. overnor.state.tx.us/divisions/state rants/ uidelines/files/UGMS062004.doc. Contractor
shall procure audit services in compliance with this section, state procurement procedures, as well as
with the provisions of UGMS. Contractor, unless Contractor is a governmental entity, shall
competitively re-procure independent single audit services every five (5) years and shall not use the
same lead or coordinating audit partner (having primazy responsibility For the audit) to conduct the
independent audit for more than five (5) consecutive yeazs. Procurement of audit services must
comply with the procurement Standazds of 45 CFR Part 74 or 92, as applicable, including obtaining
6/5/08 Page 11 of 38
General Provisions (Core Subrecipient 2009)
competition and making positive efforts to use small, minority-owned, and women-owned business
enterprises.
Section 6.03 Submission of Audit. Within thirty (30) calendar days of receipt of the audit reports
required by this section, Contractor shall submit one copy to the Department's Contract Oversight
and Support Section, and one copy to the Texas Health and Human Services Commission (HHSC),
Office of Inspector General (OIG), at the following addresses:
Department of State Health Services
Contract Oversight and Support, Mail Code 1326
P.O. Box 149347
Austin, Texas 78714-9347
Texas Health and Human Services Commission
Office of Inspector General
Compliance/Audit, Mail Code 1326
P.O. Box 85200
Austin, Texas 78708-5200
If Contractor fails to submit the audit report as required by this section within thirty (30) days of
receipt by Contractor of an audit report, Contractor shall be subject to DSHS sanctions and remedies
for non-compliance with this Contract.
ARTICLE VII CONFIDENTIALITY
Section 7.01 Maintenance of Confidentiality. Contractor must maintain the privacy and
confidentiality of information and records received during or related to the performance of this
Contract, including patient and client records that contain protected health information (PHI), and any
other information that discloses confidential personal information or identifies any client served by
DSHS, in accordance with applicable federal and state laws and Rules, including but not limited to 7
CFR Part 246; 42 CFR Part 2; 45 CFR Parts 160 and 164 (Health Insurance Portability and
Accountability Act [HIPAA]); Tex. Health & Safety Code Chapters 12, 47, 81; 82, 85, 88, 92, 161,
181, 241, 245, 251, 534, 576, 577, 596, 611, and 773; and Tex. Occ. Code Chapters 56 and 159 and
all applicable Rules.
Section 7.02 Department Access to PHI and Other ConSdential Information. Contractor shall
cooperate with Department to allow Department to request, collect and receive PHI and other
confidential information under this Contract, without the consent of the individual to whom the PHI
relates, for funding, payment and administration of the grant program, and for purposes permitted
under applicable state and federal confidentiality and privacy laws.
Section 7.03 Exchange of Client-Identifying Information. Except as prohibited by other law,
Contractor and DSHS shall exchange PHI without the consent of clients in accordance with 45 CFR §
164.504(e)(3)(i)(B), Tex. Health & Safety Code § 533.009 and Rule Chapter 414, Subchapter A or
other applicable laws or rules. Contractor shall disclose information described in Tex. Health &
General Provisions (Core Subrecipient 2009) 6/5/08 Page 12 of 38
Safety Code § 614.017(a)(2) relating to special needs offenders, to an agency described in Tex.
Health & Safety Code § 614.017(c) upon request of that agency, unless Contractor documents that
the information is not allowed to be disclosed under 45 CFR Part 164 or other applicable law.
Section 7.04 Security of Patient or Client Records. Contractor must maintain patient and client
records incompliance with state and federal law relating to security and retention of medical or
mental health and substance abuse patient records. Department may require Contractor to transfer
original or copies of patient and client records to Department, without the consent or authorization of
the patient or client, upon termination of this Contract or a Program Attachment to this Contract, as
applicable, or if the caze and treatment of the individual patient or client is transferred to another
entity. Prior to providing services funded under this Contract to a patient or client, Contractor shall
attempt to obtain consent from the patient or client to transfer copies of patient or client records to
another entity funded by DSHS upon termination of this Contract or a Program Attachment to this
Contract, as applicable, or if caze or treatment is transferred to another DSHS-funded contractor.
Section 7.05 HIV/AIDS Model Workplace Guidelines. If providing direct client care, services,
or programs, Contractor shall implement Department's policies based on the HN/AIDS (human
irmunodeficiency virus/acquired immunodeficiency syndrome) Model Workplace Guidelines for
Businesses, State Agencies, and State Contractors, Policy No. 090.021, and Contractor shall educate
employees and clients concerning HN and its related conditions, including AIDS, in accordance with
the Tex. Health & Safety Code § 85.112-114. A link to the Model Workplace Guidelines can be
found at htta //www dshs state tx us/hivstd/nolicv/ndf/090021.pdf.
ARTICLE VIII RECORDS RETENTION
Section 8.01 Retention. Contractor shall retain records in accordance with applicable state and
federal statutes and regulations. At a minimum, Contractor shall retain and preserve all other records,
including financial records that aze generated or collected by Contractor under the provisions of this
Contract, for a period of four (4) years after the temtination of this Contract. If services are funded
through Medicaid, the federal retention period, if more than four (4) years, shall apply. Contractor
shall retain all records pertaining to this Contract that are the subject of litigation or an audit until the
litigation has ended or all questions pertaining to the audit are resolved. Legal requirements for
Contractor may extend beyond the retention schedules established in this section. Contractor shall
retain medical records in accordance with Tex. Admin. Code Title 22, Part 9, § 165.1(b) and (c) or
other applicable statutes and regulations governing medical information. Contractor shall ensure that
this provision concerning records retention is included in any subcontract it awazds. If Contractor
ceases business operations, it shall ensure that records relating to this Contract aze securely stored and
aze accessible by the Department upon Department's request for at least four (4) yeazs from the date
Contractor ceases business or from the termination date of this Contract, whichever is sooner.
Contractor shall provide the name and address of the party responsible for storage of records to the
Division Contract Management Unit assigned to the Program Attachment.
General Provisions (Core Subrecipient 2009) 6/5/08 Page 13 of 38
ARTICLE IX ACCESS AND INSPECTION
Section 9.01 Access. In addition to any right of access azising by operation of law, Contractor, and
any of Contractor's affiliate or subsidiazy organizations or subcontractors shall permit the
Department or any of its duly authorized representatives, as well as duly authorized federal, state or
local authorities, including the Comptroller General of the United States, OIG, and the State
Auditor's Office (SAO), unrestricted access to and the right to examine any site where business is
conducted or client services are performed, and all records (including client and patient records, if
any), books, papers or documents related to this Contract. If deemed necessazy by the Department or
the OIG, for the purpose of investigation or hearing, Contractor shall produce original documents
related to this Contract. Further, Contractor shall 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 HHSC 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
shall ensure that this provision concerning the right of access to, and examination of, information
related to this Contract is included in any subcontract it awazds.
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 SAO. The
Contractor understands that the acceptance of funds under this Contract acts as acceptance of the
authority of the SAO, 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 SAO considers relevant to the investigation or audit. Contractor shall
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 awazds.
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 shall
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 these General
Provisions.
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: HIV/STD;
Family Planning (Titles V, X and XX); Primary Health Care; Maternal and Child Health; and WIC
General Provisions (Core Subrecipient 2009) 6/5/08 Page 14 of 38
Nutrition Services. Contractor shall make a good faith effort to comply with child abuse reporting
guidelines and requirements in Tex. Fam. Code Chapter 261 relating to investigations of reports of
child abuse and neglect. Contractor shall develop, implement and enforce a written policy that
includes at a minimum the Department's Child Abuse Screening, Documenting, and Reporting Policy
for Contractors/Providers and train all staff on reporting requirements. Contractor shall use the
DSHS Child Abuse Reporting Form as required by the Department located at
www dshs state tx us/childabusereuortine. Contractor shall retain reporting documentation on site
and make it available for inspection by DSHS.
Section 10.02 Significant Incidents. In addition to notifying the appropriate authorities, Contractor
shall report to the Division Contract Management Unit assigned to the Program Attachment
significant incidents involving substantial disruption of program operation or potentially affecting
Department-funded clients or participants within seventy-two (72) hours of discovery.
Section 10.03 Litigation. Contractor shall notify the Division Contract Management Unit assigned
to the Program Attachment of litigation related to or affecting this Contract and to which Contractor
is a party within seven (7) calendaz days of becoming awaze of such a proceeding. This includes, but
is not limited to an action, suit or proceeding before any court or governmental body, including
environmental and civil rights matters, professional liability, and employee litigation. Notification
shall include the names of the parties, nature of the litigation and remedy sought, including amount of
damages, if any.
Section 10.04 Action Against the Contractor. Contractor shall notify the Division Contract
Management Unit assigned to the Program Attachment if Contractor has had a contract suspended or
terminated for cause by any local, state or federal department or agency or nonprofit entity within
three (3) working days of the suspension or termination. Such notification shall include the reason
for such action; the name and contact information of the local, state or federal department or agency
or entity; the date of the contract; and the contract or case reference number. If the Contractor, as an
organization, has surrendered its license or has had its license suspended or revoked by any local,
state or federal department or agency or non-profit entity, it shall disclose this information within
three (3) working days of the surrender, suspension or revocation to the Division Contract
Management Unit assigned to the Program Attachment by submitting a one page description that
includes the reason(s) for such action; the name and contact information of the local, state or federal
department or agency or entity; the date of the license action; and a license or case reference number.
Section 10.05 Insolvency. Contractor shall notify in writing the Division Contract Management
Unit assigned to the Program Attachment of Contractor's insolvency, incapacity, or outstanding
unpaid obligations to the Internal Revenue Service (IRS) or Texas Workforce Commission (TWC)
within three (3) working days of the date of detemtination that Contractor is insolvent or
incapacitated, or the date Contractor discovered an unpaid obligation to the IRS or TWC. Contractor
shall notify in writing the Division Contract Management Unit assigned to the Program Attachment
of its plan to seek bankruptcy protection within three (3) working days of such action by the
Contractor's board of directors.
Section 10.06 Misuse of Funds. Contractor shall report to the Division Contract Management Unit
assigned to the Program Attachment and to the SAO, any knowledge of debarment, suspected fraud,
program abuse, possible illegal expenditures, unlawful activity, or violation of financial laws, rules,
General Provisions (Core Subrecipient 2009) 6/5/08 Page 15 of 38
policies, and procedures related to performance under this Convact. Contractor shall make such
report no later than three (3) working days from the date that the Contractor has knowledge or reason
to believe such activity has taken place. Contractor shall make the report to the SAO at (800) TX-
AUDIT, or by Internet at htto://www.sao.state.tx.us.
Section 10.07 Criminal Activity and Disciplinary Action. Contractor affirms that no person who
has an ownership or controlling interest in the organization or who is an agent or managing employee
of the organization has been placed on community supervision, received deferred adjudication, is
presently indicted for or has been convicted of a criminal offence related to any financial matter,
federal or state program or felony sex crime. Contractor shall notify in writing the Division Contract
Management Unit assigned to the Program Attachment 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 indicted for or 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 that the Contractor has
knowledge or reason to believe such activity has taken place. Contractor shall ensure that any person
who engaged, or was alleged to have engaged, in an activity subject to reporting under this section is
prohibited from performing direct client services or from having direct contact with clients, unless
otherwise directed by DSHS.
Section 10.08 Retaliation Prohibited. Contractor shall not retaliate against any person who reports
a violation of, or cooperates with an investigation regazding, any applicable law, rule, or standazd 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 disqualified under 2 CFR §376.935 or ineligible for participation in federal or state
assistance programs;
b) neither it, nor its principals, aze presently debarred, suspended, proposed for debarment,
declazed ineligible, or 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;
General Provisions (Core Subrecipient 2009) 6/5/08 Page 16 of 38
e) it is in good standing with all state and/or federal agencies that have a contracting or
regulatory relationship with Contractor;
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;
g) neither it, nor its principals have within the three-yeaz period preceding this Contract, has
been convicted of or had a civil judgment rendered against them for commission of Fraud or a
criminal offence in connection with obtaining, attempting to obtain, or performing a private or
public (federal, state or local) transaction or contract under a private or public transaction,
violation of federal or state antitrust statutes (including those proscribing price fixing between
competitors, allocation of customers between competitors and bid rigging), or commission of
embezzlement, theft, forgery, bribery, falsification or destruction of records, making false
statements or false claims, tax evasion, obstruction of justice, receiving stolen property or any
other offense indicating a lack of business integrity or business honesty that seriously and
directly affects the present responsibility of Contactor or its principals;
h) neither it, nor its principals is presently indicted or otherwise criminally or civilly chazged by
a governmental entity (federal, state or local) with the commission of any of the offenses
enumerated in subsection g) of this section; and
i) neither it, nor its principals within athree-yeaz period preceding this Contract has had one or
more public transaction (federal, state or local) terminated for cause or default.
Contractor shall include the certifications in this section, without modification (except as required to
make applicable to the subcontractor), in all subcontracts and solicitations for subcontracts. 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 Program Attachment. If
Contractor's status with respect to the items certified above changes during the term of this Contract,
Contractor shall immediately notify the Division Contract Management Unit assigned to the Program
Attachment.
Section 11.02 Child Support Delinquencies. As required by Tex. Fam. Code § 231.006, a child
support obligor who is more than thirty (30) calendaz days delinquent in paying child support and a
business entity in which the obligor is a sole proprietor, partner, shazeholder, or owner with an
ownership interest of at least twenty-five percent (25%) is not eligible to receive payments from state
funds under a contract to provide property, materials, or services or receive astate-funded grantor
loan. If applicable, Contractor agrees to maintain its eligibility to receive payments under this
Contract, certifies that it is not ineligible to receive the payments specified in this Contract, and
acknowledges that this Contract may be terminated and payment may be withheld if this certification
is inaccurate.
Section 11.03 Authorization. Contractor certifies that it possesses legal authority to contract for the
services set forth in this Contract and that a resolution, motion or similaz action has been duly
adopted or passed as an official act of the Contractor's governing body, authorizing the binding of the
organization under this Contract including all understandings and assurances contained in this
Contract, and directing and authorizing the person identified as the authorized representative of the
6/5/08 Page 17 of 38
General Provisions (Core Subrecipient 2009)
Contractor to act in connection with this Contract and to provide such additional information as may
be required.
Section 11.04 Gifts and Benefits Prohibited. Contractor certifies that it has not given, offered to
give, nor intends to give at any time hereafter, any economic opportunity, present or future
employment, gift, loan, gratuity, special discount, trip, favor, service or anything of monetazy value
to a DSHS or HHSC official or employee in connection with this Contract.
Section 11.05 Ineligibility to Receive the Contract. (a) Pursuant to Tex. Gov. Code § 2155.004
and federal law, Contractor is ineligible to receive this Contract if this Contract includes financial
participation by a person who received compensation from DSHS to participate in developing,
drafting or preparing the specifications, requirements, statement(s) of work or Solicitation Document
on which this Contract is based. Contractor certifies that neither Contractor, nor its employees, nor
anyone acting for the Contractor has received compensation from DSHS for participation in the
development, drafting or prepazation of specifications, requirements or statement(s) of work for this
Contract or in the Solicitation Document on which this Contract is based; (b) Pursuant to Tex. Gov.
Code §§ 2155.006 and 2261.053, Contractor is ineligible to receive this Contract, if the Contractor or
any person who would have financial participation in this Contract has been convicted of violating
federal law, or been assessed a federal civil or administrative penalty, in connection with a contract
awazded by the federal government for relief, recovery or reconstruction efforts as a result of
Hurricanes Rita or Katrina or any other disaster occurring after September 24, 2005; (c) Contractor
certifies that the individual or business entity named in this Contract is not ineligible to receive the
specified Contract under Tex. Gov. Code §§ 2155.004, 2155.006 or 2261.053, and acknowledges that
this Contract may be terminated and payment withheld if these certifications are inaccurate.
Section 11.06 Antitrust. Pursuant to 15 USCA Sec. 1, et seq. and Tex. Bus. & Comm. Code §
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 regazding a 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.
Section 11.07 Initiation and Completion of Work. Contractor certifies that it shall initiate and
complete the work under this Contract within the applicable time frame prescribed in this Contract.
ARTICLE XII GENERAL BUSINESS OPERATIONS OF CONTRACTOR
Section 12.01 Responsibilities and Restrictions Concerning Governing Board, Officers and
Employees. Contractor and its governing boazd 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-
profitorganizations. Each member of Contractor's governing boazd shall be personally accountable
General Provisions (Core Subrecipient 2009) 6/5/08 Page 18 of 38
for all funds and materials received from Department. Within thirty (30) days of the beginning of the
term of each Contract (including each renewal of the Contract, if any), each member of Contractor's
board shall sign a statement affirming his or her acknowledgement of personal accountability for
Contract funds on a form supplied by Department. New'members of the boazd shall sign the
statement within thirty (30) days of becoming a boazd member. Contractor shall maintain the signed
form for inspection by DSHS. The responsibility of Contractor's govenng boazd shall also include
accountability for 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 boazd shall
ensure sepazation of powers, duties, and functions of boazd members and staff. Staff members,
including the executive director, shall not serve as voting members of the Contractor's governing
board. No member of Contractor's governing boazd, or officer or employee of Contractor shall vote
for, confirm or act to influence the employment, compensation or change in status of any person
related within the second degree of affinity or the third degree of consanguinity (as defined in Tex.
Gov. Code Chapter 573) to the member of the governing body or the officer or any employee
authorized to employ or supervise such person. This prohibition does not prohibit the continued
employment of a person who has been continuously employed for a period of two (2) yeazs prior to
the election, appointment or employment of the officer, employee, or governing body member related
to such person in the prohibited degree. These restrictions shall also apply to the governing boazd,
officers and employees of Contractor's subcontractors. 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 12.02 Management and Control Systems. Contractor shall comply with all the
requirements of the Department's Contractor's Financial Procedures Manual, and any of its
subsequent amendments, which is available at the Department's web site:
htt~•//www dshs state.tx.us/contracts. Contractor shall maintain an appropriate contract
administration system to insure that all terms, conditions, and specifications aze 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. Those requirements shall include at a minimum:
a) financial planning, including the development of budgets that adequately reflect all functions
and resources necessazy to carry out authorized activities and the adequate determination of
costs;
b) financial management systems that include accurate accounting records that aze accessible
and identify the source and application of funds provided under each Program Attachment of
this Contract, original source documentation substantiating that costs aze specifically and
solely allocable to the Program Attachment and are traceable from the transaction to the
general ledger; and
c) effective internal and budgetazy controls; comparison of actual costs to budget; determination
of reasonableness, allowableness, and allocability of costs; timely and appropriate audits and
resolution of any findings; billing and collection policies; and a mechanism capable of billing
and making reasonable efforts to collect from clients and third parties.
General Provisions (Core Subrecipient 2009) 6/5/08 Page 19 of 38
Section 12.03 Insurance. Contractor shall maintain insurance or other means of replacing assets
purchased with Department funds.
Section 12.04 1Hlidelity Bond. Contractor is required to carry a fidelity bond or insurance coverage
equal to the amount of funding provided under this Contract up to $100,000 that covers each
employee of Contractor handling funds under this Contract, including person(s) authorizing payment
of such funds. The fidelity bond or insurance shall provide for indemnification of losses occasioned
by (1) any fraudulent or dishonest act or acts committed by any of Contractor's employees, either
individually or in concert with others, and/or (2) failure of Contractor 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.
Section 12.05 Liability Coverage. Contractor shall also maintain liability insurance coverage,
referred to in Tex. Gov. Code § 2261.102, as "director and officer liability coverage," where
Contractor is a legal entity that is requued to have dierectors and/or officers. This provision applies to
entities that aze organized asnon-profit corporations under the Texas Non-Profit Corporation Act;
for-profit corporations organized under the Texas Business Corporations Act; and any other legal
entity that is required under Texas law to have directors and/or officers. Contractor shall maintain
liability insurance coverage in an amount not less than the total value of this Contract and that is
sufficient to protect the interests of Department in the event an actionable act or omission by a
director or officer of Contractor damages Department's interests.
Section 12.06 Overtime Compensation. Except as provided in this section, Contractor shall not use
any of the funds provided by this Contract to pay the premium portion of overtime. Contractor 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 employee's normal rate of pay
for hours worked in excess of normal working hours. Funds provided under this Contract maybe
used to pay the premium portion of overtime only under the following conditions: 1) with the prior
approval of DSHS; 2) temporarily, in the case of an emergency or an occasional operational
bottleneck; 3) when employees aze performing indirect functions, such as administration,
maintenance, or accounting; 4) in performance of tests, laboratory procedures, or similaz operations
that aze continuous in nature and cannot reasonably be interrupted or otherwise completed; or 5)
when lower overall cost to DSHS will result.
Section 12.07 Program Site. All Contractors shall ensure that the location where services are
provided is in compliance with all applicable local, state and federal zoning, building, health, fire,
and safety standazds.
Section 12.08 Cost Allocation Plan. Contractor shall submit a Cost Allocation Plan in the format
provided in the Department's Contractor's Financial Procedures Manual to the Department's
Contract Oversight and Support Section, at Mail Code 1326, P.O. Box 149347, Austin, Texas 78714-
9347, except under the circumstance where a 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 yeaz, by signing this Contract, Contractor certifies
Genera] Provisions (Core Subrecipient 2009) 6/5/08 Page 20 of 38
that its current Cost Allocation Plan for the current yeaz is the same as that submitted to DSHS for the
previous yeaz. In the event that the Cost Allocation Plan changes during the Contract term, Contractor
must submit a new Cost Allocation Plan to the Contract Oversight and Support Section within thirty
(30) calendar days after the effective date of the change. Cost Allocation Plan must comply with the
guidelines provided in the Department's Contractor's Financial Procedures Manual located at
http•//www dshs.state.tx.us/contracts.
Section 12.09 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
htto•//www dshs state tx.us/contracts.
Section 12.10 Historically Underutilized Businesses (HUBS). If Contractor was not required to
submit a HUB subcontracting plan and if subcontracting is permitted under this Program Attachment,
Contractor is encouraged to make a good faith effort to consider subcontracting with HUBS as set
forth in Tex. Gov. Code Chapter 2161 and 34 Tex. Admin. Code § 20.14 et seq. Contractors may
obtain a list of HUBS at h~•//www window state tx us/nrocurement/nroe/ttub. 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 this Contract.
Contractor agrees to make a good faith effort to subcontract with HUBS during the performance of
this Contract and shall report HUB subcontract activity to the Department's HUB Coordinator by the
15th day of each month for the prior month's activity, if there was any such activity, in accordance
with 34 Tex. Admin. Code § 20.16(c).
Section 12.11 Buy Texas. Contractor shall purchase products and materials produced in Texas when
the products and materials are available at a price and time compazable to products and materials
produced outside of Texas as required by Tex. Gov. Code § 2155.4441.
Section 12.12 Contracts with Subrecipient 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 or exceeding $100,000, 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;
c) measurable method and rate of payment and total amount of contract;
d) cleazly defined and executable termination clause;
e) beginning and ending dates that coincide with the dates of the applicable Program
Attachment(s) or that cover a term within the beginning and ending dates of the applicable
Program Attachment(s);
f) access to inspect the work and the premises on which any work is performed, in accordance
with the Access and Inspection Article in these General Provisions; and
g) a copy of these General Provisions and a copy of the Statement of Work and any other
provisions in the Program Attachment(s) applicable to the subcontract.
Contractor is responsible to DSHS for the performance of any subcontractor. Contractor shall
monitor subcontractors for both financial and programmatic performance and shall maintain pertinent
General Provisions (Core Subrecipient 2009) 6/5/08 Page 21 of 38
records that shall be available for inspection by DSHS. Contractor shall ensure that subcontractors are
fully aware of the requirements placed upon them by state/federal statutes, rules, and regulations and
under this Contract. Contractor shall not contract with a subcontractor, at any tier, that is debarred or
suspended or excluded from or ineligible for participation in federal assistance programs.
Section 12.13 Status of Subcontractors. Contractor shall include in all its contracts with
subcontractors, the certifications stated in the Assurances and Certifications Article of these General
Provisions. Contractor shall also require all subcontractors to certify that they aze not delinquent on
any repayment agreements; have not had a required license or certification revoked; and have not had
a contract terminated by the Department. Contractors shall further require that subcontractors certify
that they have not voluntarily surrendered within the past three (3) yeazs any license issued by the
Department.
Section 12.14 Incorporation of Terms. Contractor shall ensure that all written agreements with
subrecipient subcontractors incorporate the tetras of this Contract, and provide that the subcontractor
is subject to audit by DSHS, HHSC and the SAO.
Section 12.15 Independent Contractor. Contractor is an independent contractor. Contractor shall
direct and be responsible for the performance of its employees, subcontractors, joint venture
participants or agents. Contractor is not an agent or employee of the Department or the State of
Texas for any purpose whatsoever. For purposes of this Contract, Contractor acknowledges that its
employees, subcontractors, joint venture participants or agents will not be eligible for unemployment
compensation from the Department or the State of Texas.
Section 12.16 Authority to Bind. The person or persons signing and executing this Contract on
behalf of Contractor, or representing themselves as signing and executing this Contract on behalf of
Contractor, warrant and guazantee that they have been duly authorized by Contractor to execute this
Contract for Contractor and to validly and legally bind Contractor to all of its terms.
Section 12.17 Tax Liability. Contractor shall comply with all state and federal tax laws and is
solely responsible for filing all required state and federal tax forms and making all tax payments. In
the event that the Department discovers that Contractor has failed to remain current on a liability to
the IRS, this Contract will be subject to remedies and sanctions under this Contract, including
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.
General Provisions (Core subrecipient 2009) 6/5/08 Page 22 of 38
Section 12.18 Notice of Organizational Change. Contractor shall submit written notice to the
Division Contract Management Unit assigned to the Program Attachment within ten (10) 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 this Contract in accordance with the
Amendments section of these General Provisions.
Section 12.19 Quality Management. Contractor shall comply with quality management
requirements as dtrected by the Department.
Section 12.20 Equipment (Including Controlled Assets) Purchases. Equipment means an article
of nonexpendable, tangible personal property having a useful lifetime of more than one yeaz and an
acquisition cost of $5,000 or more, and "controlled assets." Controlled assets include firearms
regazdless of the acquisition cost, and the following assets with an acquisition cost of $500 or more:
desktop and laptop computers, non-portable printers and copiers, emergency management equipment,
communication devices and systems, medical and laboratory equipment, and media equipment.
Contractors on a cost reimbursement payment method shall inventory all equipment. If the 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 or Program Attachment term, as applicable.
Failure to initiate the purchase of equipment may result in loss of availability of funds for the
purchase of equipment. Requests to purchase previously approved equipment after the first quarter of
the Program Attachment must be submitted to the Division Contract Management Unit assigned to
the Program Attachment.
Section 12.21 Supplies. Supplies aze defined as consumable items necessary to carry out the
services under this Contract including medical supplies, drugs, janitorial supplies, office supplies,
patient educational supplies, softwaze, and any items of tangible personal property other than those
defined as equipment above.
Section 12.22 Changes to Equipment List. All items of equipment purchased with funds under this
Contract shall be itemized in Contractor's equipment list as finally approved by the Department in the
executed Contract. Any changes to the approved equipment list in the executed Contract must be
approved in writing by Department prior to purchase of equipment. Contractor shall submit to the
Division Contract Management Unit assigned to the Program Attachment, a written description
including complete product specifications and need justification prior to purchasing any item of
unapproved equipment. If approved, Depaztment will acknowledge its approval by means of a
written amendment or by written acceptance of Contractor's Contract Revision Request, as
appropriate.
Section 12.23 Property Inventory and Protection of Assets. Contractor shall maintain a
nonexpendable personal property (equipment and controlled assets) inventory and submit an annual
cumulative report to the Department's Contract Oversight and Support Section, Mail Code 1326, P.O.
Box 149347 Austin, Texas 78714-9347, no later than October 15th of each yeaz. The form for this
report (Form GC-11) is located on the DSHS website at
http•//www dshs state tx.us/contracts/forms.shtm. Contractor shall administer a program of
General Provisions (Core Subrecipient 2009) 6/5/08 Page 23 of 38
maintenance, repair, and protection of assets under this Contract so as to assure their full availability
and usefulness. In the event Contractor is indemnified, reimbursed, or otherwise compensated for
any loss of, destruction of, or damage to the assets provided under this Contract, Contractor shall use
the proceeds to repair or replace those assets.
Section 12.24 Bankruptcy. In the event of bankruptcy, Contractor shall sever Department property,
equipment, and supplies in possession of Contractor from the bankruptcy, and title shall revert to
Department.
Section 12.25 Title to Property. At the conclusion of the contractual relationship between the
Department and the Contractor, for any reason, title to any remaining equipment and supplies
purchased with funds under this Contract reverts to Department. Title may be transferred to any
other party designated by Department. The Depaztment may, at its option and to the extent allowed
by law, transfer the reversionary interest to such property to Contractor.
Section 12.26 Property Acquisitions. Department funds may not be used to purchase buildings or
real property. Any costs related to the initial acquisition of the buildings or real property aze not
allowable.
Section 12.27 Disposition of Property. Contractor shall follow the procedures in the American
Hospital Association's (AHA's) "Estimated Useful Lives of Depreciable Hospital Assets" in
disposing, at any time during or after the Contract term, of equipment or controlled assets purchased
with the Department funds, except when federal or state statutory requirements supersedes or when
the equipment requires licensure or registration by the state, or when the acquisition price of the
equipment or controlled asset is equal to or greater than $10,000. All other equipment and controlled
assets not listed in the AHA reference (other than equipment that requires licensure or registration or
that has an acquisition cost equal to or greater than $10,000) shall be controlled by the requirements
of UGMS. If, prior to the end of the useful life, any item of equipment is no longer needed to
perform services under this Contract, or becomes inoperable, or if the equipment requires licensure or
registration or had an acquisition price equal to or greater than $10,000, Contractor shall request
disposition approval and instrnctions in writing from the Division Contract Management Unit
assigned to the Program Attachment. After an item reaches the end of its useful life, Contractor must
ensure that disposition of any equipment is in accordance with Generally Accepted Accounting
Principles, and any applicable federal guidance.
Section 12.28 Closeout of Equipment. At the end of the term of a Program Attachment that has no
additional renewals or that will not be renewed (Closeout), Contractor shall submit to the Division
Contract Management Unit assigned to the Program Attachment, an inventory of property purchased
with Department funds and request disposition instructions for such property. All property purchased
with Department funds shall be secured by the Contractor at the time of Closeout and shall be
returned to the Department as required by the Department's disposition instructions or at the request
of the Department at the Contractor's expense.
Section 12.29 Assets as Collateral Prohibited. Contractors on a cost reimbursement payment
method shall not encumber property purchased with Department funds without prior written approval
from the Department.
General Provisions (Core Subrecipient 2009) 6/5/08 Page 24 of 38
ARTICLE XIII GENERAL TERMS
Section 13.01 Assignment. Contractor shall not transfer, assign, or sell its interest, in whole 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 comply with Tex. Gov Code § 556.0055, which prohibits
contractors who receive state funds from using those funds to pay lobbying expenses. Further,
Contractor shall not use funds paid under this Contract to pay any person for influencing or
attempting to influence an officer or employee of any federal or state agency, a member of Congress,
an officer or employee of Congress, or an employee of a member of Congress in connection with the
awazding of any contract or the extension, continuation, renewal, amendment, or modification of any
contract (31 USCA § 1352, as amended, and UGMS). If at any time this Contract exceeds $100,000
of federal funds, Contractor shall fi]e with the Division Contract Management Unit assigned to the
Program Attachment a declazation 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
this 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 file the declaration, certification, and disclosure at the
time of application for this Contract; upon execution of this Contract unless Contractor previously
filed a declaration, certification, or disclosure form in connection with the awazd; 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 declazation, certification, or disclosure previously filed. Contractor shall
require any person who requests or receives a subcontract to File the same declazation, certification,
and disclosure with the Division Contract Management Unit assigned to the Program Attachment:
Contractor shall also comply, as applicable, with the lobbying restrictions and requirements in OMB
Circulazs A-122 Attachment B pazagraph 25; A-87 Attachment B section 27; A-110 section_.27 and
A-21 pazagraphs 17 and 24. Contractor shall include this provision in any subcontracts.
Section 13.03 Conflict of Interest. Contractor represents to the Department that it does not have nor
shall it knowingly acquire any financial or other interest that would conflict in any manner with the
performance of its obligations under this Contract. Potential conflicts of interest include, but aze not
limited to, an existing or potential business or personal relationship between Contractor, its principal
(or a member of the principal's immediate family), or any affiliate or subcontractor and 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 for a 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
Program Attachment 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 this Contract. A related
General Provisions (Core Subrecipient 2009) 6/5/08 Page 25 of 38
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 drrector of the Contractor. Contractor shall comply with Tex. Gov.
Code Chapter 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, regulations or circulars, which may include 45 CFR part 74, OMB Circ. No. A-110, 2 CFR §
215.42, and UGMS.
Section 13.05 Intellectual Property. Tex. Health & Safety Code § 12.020 authorizes DSHS to
protect intellectual property developed as a result of this Contract.
a) "Intellectual property" means created property that may be protected under copyright, patent,
or trademazk/service mazk law.
b) For purposes of this Contract intellectual property prepazed for DSHS use, or a work specially
ordered or commissioned through a contract for DSHS use is "work made for hire." DSHS
owns works made for hire unless it agrees otherwise by contract. To the extent that title and
interest to any such work may not, by operation of ]aw, vest in DSHS, or such work may not
be considered a work made for hire, Contractor irrevocably assigns the rights, title and
interest therein to DSHS. DSHS shall have the right to obtain and hold in its name any and all
patents, copyright, registrations or other such protections as may be appropriate to the subject
matter, and any extensions and renewals thereof. Contractor must give DSHS and the State of
Texas, as well as any person designated by DSHS and the State of Texas, all assistance
required to perfect the rights defined herein without chazge or expense beyond those amounts
payable to Contractor for goods provided or services rendered under this Contract.
c) If federal funds aze used to finance activities supported by this Contract that result in the
production of intellectual property, the federal awazding agency reserves aroyalty-free,
nonexclusive, and irrevocable license to reproduce, publish, or otherwise use, and to authorize
others to use, for federal government purposes (1) the copyright in any intellectual property
developed under this Contract, including any subcontract; and (2) any rights of copyright to
which a Contractor purchases ownership with contract funds. Contractor shall place an
acknowledgment of federal awazding 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 agrant-supported activity. An acknowledgment shall be
to the effect that "This publication was made possible by grant number _ from federal
awazdine aeencv)" or "The project described was supported by grant number from
(federal awazdine aeencv)" and "Its contents aze solely the responsibility of the authors and
do not necessarily represent the official views of the (federal awazding a eg ncv)."
d) In the event the terms of a federal grant awazd the copyright to Contractor, DSHS reserves a
royalty-free, nonexclusive, worldwide and irrevocable license to reproduce, publish or
otherwise use, and to authorize others to use, for DSHS, public health, and state governmental
noncommercial purposes (1) the copyright, trademark, service mazk, 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 softwaze,
in any work developed under a grant, subgrant, or contract under a grant or subgrant; and (2)
General Provisions (Core Subrecipient 2009) 6/5/08 Page 26 of 38
any rights of copyright, service or trade mazks or patents to which a grantee, subgrantee or a
Contractor purchases ownership with contract funds.
e) If the results of the contract performance aze subject to copyright law, the Contractor cannot
publish those results without prior review and approval of DSHS. Contractor shall submit
requests for review and approval to the Division Contract Management Unit assigned to the
Program Attachment.
Section 13.06 Other Intangible Property. At the conclusion of the contractual relationship
between Department and the Contractor, for any reason, Department shall have the sole ownership
rights and interest in all non-copyrightable intangible property that was developed, produced or
obtained by Contractor as a specific requirement under this Contract or under any grant that funds
this Contract, such as domain names, URLs, etc. Contractor shall cooperate 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 temrination or expiration of this 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. This 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 this 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 aze entities fully familiaz with
transactions of the kind reflected by this document, and aze 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 or a Program
Attachment 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 [emanation 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
General Provisions (Core Subrecipient 2009) 6/5/08 Page 27 of 38
program by Contractor puts at risk the health and safety of clients and/or participants served by the
Contractor, and there aze no reasonable alternatives available.
Section 13.14 Customer Service Information. If requested, Contractor shall supply such
infonnation as required by the Department to comply with the provisions of Tex. Gov. Code Chapter
2114 regazding Customer Service surveys.
Section 13.15 Amendment. Parties agree that the Department may unilaterally reduce funds
pursuant to the terms of this Contract without the written agreement of Contractor. All other
amendments to this Contract must be in writing and agreed to by both Parties, except as otherwise
specified in the Contractor's Notification of Change to Certain Contract Provisions section or the
Contractor's Request for Revision to Certain Contract Provisions section of this Article. 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 to the Program
Attachment; and if a budget revision or amendment is requested during the last quarter of the
Contract or Program Attachment term, as applicable, Contractor's written justification must include a
reason for the delay in making the request. Revision or amendment requests may be granted at the
discrefion of DSHS. Except as otherwise provided in this Article, Contractor shall not perform or
produce, and DSHS shall not pay for the performance or production of, different or additional goods,
services, work or products except pursuant to an amendment of this Contract that is executed in
compliance with this section; and DSHS may not waive any term, covenant, or condition of this
Contract unless by amendment or otherwise in compliance with this section.
Section 13.16 Contractor's Notification of Change to Certain Contract Provisions.
The following changes may be made to this Contract without a written amendment or the
Department's prior approval:
a) contractor's contact person and contact information;
b) contact information for key personnel, as stated in Contractor's response to the Solicitation
Document, if any;
c) cumulative budget line item transfers that exceed 10% among direct cost categories, other
than the equipment category, of cost reimbursement contract Program Attachments of less
than $100.000, provided that the total budget amount is unchanged;
d) minor corrections or clarifications to the Contract language that in no way alter the Contract
scope of work, objectives or performance measures; and
e) a change in the Contractor's share of the budget concerning non-DSHS funding other than
program income and match, regardless of the amount of the change, provided that in changing
the budget, Contractor is not supplanting DSHS funds.
Contractor within ten days shall notify in writing the Division Contract Management Unit assigned to
the Program Attachment of any change enumerated in this section. The notification may be by letter,
fax or email.
Section 13.17 Contractor's Request for Revision of Certain Contract Provisions. A Contractor's
Revision Request is an alternative method for amending certain specified provisions of this Contract
that is initiated by the Contractor, but must be approved by DSHS. The following changes to this
Contract may be made through a Contractor's Revision Request, rather than through the amendment
process described in the Amendment section of this Article:
General Provisions (Core Subrecipient 2009) 6/5/08 Page 28 of 38
a) cumulative budget line item transfers among direct cost categories, other than the equipment
category, that exceed 10% of Program Attachments of $100,000 or more, provided that the
total budget amount is unchanged;
b) line item transfer to other categories of funds for direct payment to trainees for training
allowances;
c) change in clinic hours or location;
d) change in equipment list substituting an item of equipment equivalent to an item of equipment
on the approved budget, (For example, purchase of XYZ brand computer instead of approved
ABC brand computer with essentially identical features as the XYZ computer);
e) changes in the equipment category of a previously approved equipment budget (other than
acquisition of additional equipment, which requires an amendment to this Contract);
f) changes specified in applicable OMB Circular cost principles as requiring prior approval,
regazdless of dollaz threshold (e.g., foreign travel expenses, overtime premiums, membership
fees); and
g) changes to community sites, independent school districts or schools, in substance abuse
Program Attachments.
ht order to request a revision of any of the enumerated provisions, Contractor shall obtain a Contract
Revision Request form from the DSHS website and complete the form as directed by the Department.
Two copies of the completed form must be signed by Contractor's representative who is authorized to
sign contracts on behalf of Contractor, and both original, signed forms must be submitted to the
Division Contract Management Unit assigned to the Program Attachment. Any approved revision
will not be effective unless signed by the DSHS Drrector of Client Services Contracting Unit. A
separate Contractor Revision Request is required for each Program Attachment to be revised.
Circumstances of a requested contract revision may indicate the need for an amendment described in
the Amendment section of this Article rather than a contract revision under this section.
Section 13.18 Immunity Not Waived. THE PARTIES EXPRESSLY AGREE THAT NO
PROVISION OF THIS CONTRACT IS IN ANY WAY INTENDED TO CONSTTTUTE A
WAIVER BY DEPARTMENT OR THE STATE OF TEXAS OF ANY IMMUNTTIES FROM SUTT
OR FROM LIABILTTY THAT DEPARTMENT OR THE STATE OF TEXAS MAY HAVE BY
OPERATION OF LAW.
Section 13.19 Hold Harmless and Indemnification. Contractor, as an independent contractor,
agrees to hold Depaztment, 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 this Contract.
Section 13.21 Technology Accessibility. If performance under this Contract includes the
development, modification or maintenarice of a website or other electronic 'information resources for
General Provisions (Core Subrecipient 2009) 6/5/08 Page 29 of 38
DSHS or for the public on behalf of DSHS, Contractor expressly acknowledges that state funds may
not be expended in connection with the purchase of electronic information resources unless those
resources meet certain statutory and regulatory requirements relating to accessibility by persons with
visual, hearing, motor/physical, and cognitive learning disabilities as defined by Section 508 of the
Rehabilitation Act of 1973, as amended. Accordingly, Contractor represents and warrants to DSHS
that the electronic information resources provided by Contractor to DSHS for purchase aze capable,
either by virtue of features included within the technology or because they aze readily adaptable by
use with other technology, of -
a) providing equivalent access for effective use;
b) presenting information, including prompts used for interactive communications; and
c) being integrated into networks for obtaining, retrieving, and disseminating information.
For purposes of this section, the phrase "equivalent access" means a substantially similaz ability to
communicate with or make use of the electronic information resource, either directly by features
incorporated within the technology or by other reasonable means jointly agreed to by DSHS and
Contractor, such as assistive devices or services that would constitute reasonable accommodations
under the federal Americans with Disabilities Act or similaz state or federal laws. Examples of
methods by which equivalent access might be provided include, but are not limited to, keyboazd
alternatives to mouse commands and other means of navigating graphical displays, information
retrieval provided in an enhanced auditory fashion, voice commands, touch screen capacity, and
customizable display appeazance. Electronic information resources under this Contract must comply
with 1 Tex. Admin. Code Chapters 206 and 213, as applicable.
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 aze 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, including failure to comply with all
applicable statutes, rules or regulations;
c) failure to pay refunds or penalties owed to the Department;
d) failure to comply with a repayment agreement with the Department or agreed order issued by
the Department;
e) failure by Contractor to provide a full accounting of funds expended under this Contract;
f) discovery of a material misrepresentation in any aspect of Contractor's response to the
Solicitation Document;
g) any misrepresentation in the assurances and certifications in the Contractor's application or
response to the Solicitation Document or in this Contract; or
h) Contractor is on or is added to the Excluded Parties List System (EPLS).
Section 14.02 General Remedies and Sanctions. The Department will monitor Contractor for both
programmatic and financial compliance. The remedies set forth below aze available to the
Department against Contractor and any entity that subcontracts with Contractor for provision of
General Provisions (Core Subrecipient 2009) 6/5/08 Page 30 of 38
services or goods. HHSC OIG may investigate, audit and impose or recommend imposition of
sanctions to Department for any breach of this Cotttract and may monitor Contractor for financial
compliance. The Department may impose one or more remedies or 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
or sanctions listed below does not relieve Contractor of any obligations under this 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 but not limited to compliance with applicable
statutes, rules or regulations, the Department may take one or more of the actions listed below:
a) terminate this Contract or a Program Attachment of this Contract as it relates to a specific
program type. In the case of termination, the Department will inform Contractor of the
termination no less than thirty-one (31) calendaz days before the effective date of the
termination in a notice of termination. The notice of termination will state the effective date
of the termination, the reasons for the termination, and, if applicable, alert the Contractor of
the opportunity to request a hearing on the termination pursuant to Tex. Gov. Code Chapter
2105 regazding administration of Block Grants. The Contractor agrees that it shall not make
any claim for payment or reimbursement for services provided from the effective date of
ternrination;
b) suspend all or part of this Contract. Suspension is, depending on the context, either (1) the
temporary withdrawal of Contractor's authority to obligate funds pending corrective action by
Contractor or its subcontractor(s) or pending a decision to terminate or amend this Contract,
or (2) an action taken by a suspending official in accordance with Department rules to
immediately exclude a person from participating in contract transactions for a period of time,
pending completion of an investigation and such legal or debarment proceedings as may
ensue. Contractor may not bill DSHS for services performed during suspension, and
Contractor's costs resulting from obligations incurred by Contractor during a suspension are
not allowable unless expressly authorized by the notice of suspension;
c) deny additional or future contracts or renewals with Contractor;
d) reduce funding if the Contractor Fails to provide services or goods consistent with
performance expectations described in this Contract;
e) disallow costs and credit for matching funds, if any, for all or part of the activities or action
not in compliance;
f) temporarily withhold cash payments. Temporarily withholding cash payments means the
temporary withholding of a working capital advance, if applicable, or reimbursements or
payments to Contractor for proper charges or obligations incurred, pending resolution of
issues of noncompliance with conditions of this Contract or indebtedness to the United States
or to the State of Texas;
g) permanently withhold cash payments. Permanent withholding of cash payment means that
Department retains funds billed by Contractor for (I) unallowable, undocumented, disputed,
inaccurate, improper, or erroneous billings; (2) material failure to comply with Contract
provisions; or (3) indebtedness to the United States or to the State of Texas;
General Provisions (Care Subrecipien[ 2009) 6/5/08 Page 31 of 38
h) declare this Contract void upon the Department's determination that this Contract was
obtained fraudulently or upon the Department's determination that this Contract was illegal or
invalid from this Contract's inception and demand repayment of any funds paid under this
Contract;
i) request that Contractor be removed from the Centralized Master Bidders List (CMBL) or any
other state bid list, and barred from participating in future contracting opportunities with the
State of Texas;
j) delay execution of a new contract or contract renewal with Contractor while other imposed or
proposed sanctions aze pending resolution;
k) 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 accomplished;
1) require Contractor to obtain technical or managerial assistance;
m) establish additional prior approvals for expenditure of funds by Contractor;
n) require additional or more detailed, financial and/or programmatic reports to be submitted by
Contractor;
o) demand repayment from Contractor when it is verified that the Contractor has been overpaid,
e.g., because of disallowed costs, payments not supported by proper documentation, improper
billing or accounting practices, or failure to comply with Contract terms;
p) reduce the funding amount for failure to achieve or maintain the proposed level of service, to
expend funds appropriately and at a rate that will make full use of the award, or to provide
services or to achieve local match, if required;
q) pursue a claim for damages as a result of breach of contract;
r) require removal of any officer, boazd member or employee of the Contractor who has been
convicted of the misuse of state or federal funds, fraud or illegal acts that aze in
contraindication to continued obligations under this Contract, as reasonably determined by
DSHS;
s) withhold any payments to Contractor to satisfy any recoupment, liquidated damages, or any
penalty permitted by statute and imposed by DSHS, and take repayment from funds available
under this Contract, active or expired, in amounts necessazy to fulfill Contractor's repayment
obligations;
t) reduce the Contract term;
u) recoup improper payments when it is verified that the Contractor has been overpaid, e.g.,
because of disallowed costs, payments not supported by proper documentation, improper
billing or accounting practices or failure to comply with Contract terms;
v) assess liquidated damages; or
w) impose other remedies or penalties permitted by statute.
Section 14.03 Notice of Remedies or Sanctions. Department will formally notify Contractor in
writing when a remedy or sanction is imposed (with the exception of accelerated monitoring, which
maybe unannounced), stating the nature of the remedies and 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
General Provisions (Core Subrecipient 2009) 6/5/08 Page 32 of 38
reconsideration of the remedies and sanctions imposed. Other than in the case of repayment or
recoupment, Contractor is required to file, within fifteen (15) calendaz days of receipt of notice, 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 remedies or sanction(s) aze based are either
invalid or do not warrant the remedies or sanction(s). If Department determines that a remedy or
sanction is warranted, unless the remedy or sanction is subject to review under a federal or state
statute, regulation, mle, 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. If DSHS determines that repayment is warranted, DSHS will issue a demand letter
to Contractor for repayment. If full repayment is not received within the time limit stated in the
demand letter, and if recoupment is available, DSHS will recoup the amount due to DSHS from funds
otherwise due to Contractor.
Section 14.04 Emergency Action. In an emergency, Department may immediately terminate or
suspend all or part of this Contract, temporarily or permanently withhold cash payments, deny
contract renewal or future contract awazds, or delay contract execution by delivering written notice to
Contractor, by any verifiable method, stating the reason for the emergency action. An "emergency"
is defined as the following:
a) Contractor is noncompliant and the noncompliance has a direct adverse impact on the public
or client health, welfaze or safety. The direct adverse impact may be programmatic or
financial and may include 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 scope of work or performance measures; or
b) Contractor is expending funds inappropriately.
Whether Contractor's conduct or noncompliance is an emergency will be determined by Depanment
on a case-by-case basis and will be based upon the nature of the noncompliance or conduct.
ARTICLE XV CLAIMS AGAINST THE DEPARTMENT
Section 15.01 Breach of Contract Claim. The process for a breach of contract claim against the
Department provided for in Tex. Gov. Code Chapter 2260 and implemented in Department Rules §§
1.431-1.447 shall be used by DSHS and Contractor to attempt to resolve any breach of contract claim
against DSHS.
Section 15.02 Notice. Contractor's claims for breach of this Contract that the Parties cannot resolve
in the ordinary course of business shall be submitted to the negotiation process provided in Tex. Gov
Code Chapter 2260, subchapter B. To initiate the process, Contractor shall submit written notice, as
required by subchapter B, to DSHS's Office of General Counsel. The notice shall specifically state
that the provisions of Chapter 2260, subchapter B, aze being invoked. A copy of the notice shall also
be given to all other representatives of DSHS and Contractor. Subchapter B is a condition precedent
to the filing of a contested case proceeding under Tex. Gov. Code Chapter 2260, subchapter C.
General Provisions (Core Subrecipient 2009) 6/5/08 Page 33 of 38
Section 15.03 Sole Remedy. The contested case process provided in Tex. Gov. Code Chapter 2260,
subchapter C, is Contractor's sole and exclusive process for seeking a remedy for any and all alleged
breaches of contract by DSHS if the Parties aze unable to resolve their disputes under this Article.
Section 15.04 Condition Precedent to Suit. Compliance with the contested case process provided
in Tex. Gov. Code Chapter 2260, subchapter C, is a condition precedent to seeking consent to sue
from the Legislature under Tex. Civ. Prac. & Rem. Code Chapter 107. Neither the execution of this
Contract by DSHS nor any other conduct of any representative of DSHS relating to this Contract
shall be considered a waiver of sovereign immunity to suit.
Section 15.05 Performance Not Suspended. Neither the occurrence of an event nor the pendency
of a claim constitutes grounds for the suspension of performance by Contractor, in whole or in part.
ARTICLE XVI TERNIINATION
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 awazded funds before that authority would otherwise expire or the
voluntary relinquishment by Contractor of the authority to obligate previously awazded funds.
Contractor's costs resulting from obligations incurred by Contractor after termination of an awazd aze
not allowable unless expressly authorized by the notice of termination. Upon termination of this
Contract or Program Attachment, as applicable, Contractor shall cooperate with DSHS to the fullest
extent possible to ensure the orderly and safe transfer of responsibilities under this Contract or
Program Attachment, as applicable, to DSHS or other entity designated by DSHS. Upon termination
of all or part of this Contract, Department and Contractor will be discharged from any further
obligation created under the applicable terms of this Contract or the Program Attachment, as
applicable, except for the equitable settlement of the respective accrued interests or obligations
incuned prior to termination and for Contractor's duty to cooperate with DSHS. Termination does
not, however, constitute a waiver of anv remedies for breach of this Contract. In addition.
Contractor's obligations 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 awazded 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
General Provisions (Core Subrecipient 2009) 6/5/08 Page 34 of 38
competing or noncompeting continuation, renewal, extension, or supplemental awazd; or (4) voiding
of a contract upon determination that the awazd was obtained fraudulently, or was otherwise illegal or
invalid from inception.
Section 16.04 Termination Without Cause.
a) Either Party may terminate this Contractor a Program Attachment, as applicable, with at least
thirty (30) calendar days prior written. notice to the other Party, except that if Contractor seeks
to terminate a Contract or Program Attachment that involves residential client services,
Contractor must give the Department at least ninety (90) calendaz days prior written notice
and must submit a transition plan to ensure client services aze not disrupted.
b) The Parties may terminate this Contract or a Program Attachment by mutual agreement.
c) Either Party may terminate this Contract or a Program Attachment with at least thirty (30)
calendaz days prior written notice to the other Party in the event funds become unavailable
through lack of appropriations, budget cuts, transfer of funds between programs or health and
human services agencies, amendments to the Appropriations Act, health and human services
consolidations, or any disruption of current appropriated funding for this Contract or Program
Attachment.
d) Department may terminate this Contract or a Program Attachment 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) calendaz days written notice to the other Party. Department 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 thirty (30) calendaz days written notice to
Contractor. Such conduct may include one or more of the following:
a) a court of competent jurisdiction finds that Contractor has failed to adhere to any laws,
ordinances, rules, regulations or orders of any public authority having jurisdiction;
b) Contractor fails to communicate with Department or fails to allow its employees or those of
its subcontractor to communicate with Department as necessazy for the performance of this
Contract;
c) Contractor breaches a standazd of confidentiality with respect to the services provided under
this Contract;
d) Department determines that Contractor is without sufficient personnel or resources to perform
under this Contract or that Contractor is otherwise unable or unwilling to fulfill any of its
requirements under this Contract or exercise adequate control over expenditures or assets;
e) Department determines that Contractor, its agent or another representative offered or gave a
gratuity (e.g., entertainment or gift) to an official or employee of DSHS or HHSC for the
purpose of obtaining a contract or favorable treatment;
t1 Department determines that this Contract includes financial participation by a person who
received compensation from DSHS to participate in developing, drafting or preparing the
specifications, requirements or statement(s) of work or Solicitation Document on which this
Contract is based in violation of Tex. Gov. Code § 2155.004;
g) Contractor appears to be financially unstable. Indicators of financial instability may include
one or more of the following:
1) Contractor fails to make payments;
2) Contractor makes an assignment for the benefit of its creditors;
General Provisions (Core Subrecipient 2009) 6/5/08 Page 35 of 38
3) Contractor admits in writing its inability to pay its debts generally as they become due;
4) if judgment for the payment of money in excess of $50,000 (that is not covered by
insurance) is rendered by any court or governmental body against Contractor, and
Contractor does not (a) dischazge the judgment or (b) provide for its dischazge in
accordance with its terms, or (c) procure a stay of execution within thirty (30) calendaz
days from the date of entry of the judgment, and within the thirty (30)-day period or a
longer period during which execution of the judgment has been stayed, appeal from the
judgment and cause the execution to be stayed during such appeal while providing such
reserves for the judgment as may be required under generally accepted accounting
principles;
5) a writ or warrant of attachment or any similaz process is issued by any court against all or
any material portion of the property of Contractor, and such writ or warrant of attachment
or any similaz process is not released or bonded within thirty (30) calendaz days afrer 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) calendaz 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 standazds.
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 shall attempt to resolve any issues related to the anticipated
termination in good faith 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
General Provisions (Core Subrecipient 2009) 6/5/08 Page 36 of 38
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 Tex. Gov. Code § 2105.302, 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 Tex. Gov. Code Chapter 2001.
ARTICLE XVIII CLOSEOUT AND CONTRACT RECONCILIATION
Section 18.01 Cessation of Services At Closeout. Upon expiration of this Contract or Program
Attachment, as applicable, (and any renewals of this Contract or Program Attachment) on its own
terms, Contractor shall cease services under this Contract or Program Attachment and shall cooperate
with DSHS to the fullest extent possible to ensure the orderly and safe transfer of responsibilities
under this Contract to DSHS or other entity designated by DSHS. Upon receiving notice of Contract
or Program Attachment termination or non-renewal, the Contractor agrees to immediately begin to
transition recipients of services to alternative service providers, as needed. Contractor also agrees to
completely cease providing services under this Contract or Program Attachment by the date specified
in the termination ornon-renewal notice. Contractor shall not bill DSHS for services performed after
ternination or expiration of this Contract or Program Attachment, or incur any additional expenses
once this Contract or Program Attachment is terminated or has expired. Upon termination, expiration
ornon-renewal of this Contract or a Program Attachment, Contractor shall immediately initiate
Closeout activities described in this Article.
Section 18.02 Administrative Offset. The Department shall have the right to administratively offset
amounts owed by Contractor against billings.
Section 18.03 Deadline for Closeout. Contractor shall submit all financial, performance, and other
Closeout reports required under this Contract within sixty (60) calendar days after the Contract or
Program Attachment end date. Unless otherwise provided under the Final Billing Submission section
of the Payment Methods and Restrictions Article, the Department is not liable for any claims that aze
not received within sixty (60) calendar days after the Contract or Program Attachment end date.
Section 18.04 Payment of Refunds. Any funds paid to the Contractor in excess of the amount to
which the Contractor is Finally determined to be entitled under the terms of this Contract constitute a
debt to the Department and will result in a refund due. Contractor shall pay any refund amount due
within the time period established by the Department.
Section 18.05 Disallowances and Adjustments. The Closeout of this Contract or Program
Attachment does not affect the Department's right to disallow costs and recover funds on the basis of
a later audit or other review or the Contractor's obligation to return any funds due as a result of later
refunds, corrections, or other transactions.
Section 18.06 Contract Reconciliation. If Contractor is required to annually reconcile multi-yeaz
contracts, Contractor, within sixty (60) calendar days after the end of each year of this Contract, shall
General Provisions (Core Subrecipient 2009) 6/5/08 Page 37 of 38
submit to the Division Contract Management Unit assigned to the Program Attachment all financial
and reconciliation reports required by Department in forms as determined by Department. Required
reconciliation forms and reports may include the following: Cash Match Participation Form, In-kind
Match Participation Form, Program Income Report, Equipment Inventory, Controlled Items
Inventory, Contractor's Release Agreement, and Reconciliation Refund Remittance Form. Any
additional forms or reports required by Department shall be posted on the DSHS website prior to the
reconciliation period. Unless otherwise directed by Department, all forms and reports must be
submitted in hard copies, with original signatures if required, to DSHS by the due date.
General Provisions (Core Subrecipient 2009) 6/5/08 Page 38 of 38
CONTRACT N0.2008-028046
PROGRAM ATTACHMENT NO.001
PURCHASE ORDER NO. 0000340481
CONTRACTOR: CORPUS CHRISTI-NUECES COUNTY PUBLIC HEALTH
DISTRICT (CITY)
DSHS PROGRAM: CPS-BIOTERRORISM PREPAREDNESS-LAB
TERM: 08/01/2008 THRU:07/31/2009
SECTION I. STATEMENT OF WORK:
• Contractor shall perform activities in support of the Center for Disease Control
and Prevention (CDC) Budget period 9 Cooperative Agreement Work Plan for
Public Health Emergency Preparedness (Funding Opportunity AA154) designed
to upgrade and integrate state and local public health jurisdictions' preparedness
for and response to biotenorism, outbreaks of infectious disease, and other public
health threats and emergencies; and
• The Contractor shall assist DSHS in the implementation of DSHS's Assistant
Secretary for Prepazedness and Response (ASPR), Hospital Prepazedness
Program (CFDA Number 93.889) to enhance the ability of hospitals and health
Gaze systems to prepaze for and respond to bioterrorism and other public health
emergencies.
Contractor shall conduct activities at the local level as stated in the FY2009 Public Health
Emergency Prepazedness Workplan for Laboratory Response Network (LRN)
Laboratories.
Contractor shall:
• Maintain a confirmatory biotenorism testing laboratory with a staff trained and
proficient in CDCs LRN biothreat protocols;
• Test samples from identified service azea for biothreat agents and toxins. Once
biologic agent is identified, Contractor shall be prepared to test for other
infectious agents and for other public health threats and emergencies;
• Test food samples for pathogenic microbes using Bacteriological Analytical
manual and DSHS protocols;
• Maintain extensive collaboration with all hospitals located in the identified
service azea to plan for response activities for biothreats;
• Maintain extensive collaboration with local law enforcement, hazardous material
and other emergency responders. In addition, Contractor shall prepare Standazd
Operating Procedures and Standard Operating Guidelines (SOPS/SOGs) covering
interaction with these agencies in the event of an emergency or incident;
ATTACHMENT -Page 1
• Upon request provide copies of all new or revised SOPs/SOGs related to
prepazedness to DSHS with quarterly report;
• Utilize DSHS's provided Public Health Laboratory Information System (PHLIS)
for reporting biothreat testing and results. This reporting shall include sample and
laboratory data as well as the final report;
• Present laboratory-oriented training to hospitals and reference laboratories in the
identified service area on the LRN sentinel protocols to include packaging and
shipping of both biological and chemical samples according to published CDC
protocols;
• Maintain a system for safe specimen transport from local laboratories;
• Explore the capabilities and needs of sentinel laboratories;
• Prepaze current information during an incident;
• Submit a quarterly report according to DSHS guidelines; and
• Provide LRN surge capability plan.
Contractor's laboratory microbiologist shall be responsible for training other Contractor
laboratory staff in setting up and performing all diagnostic and reference testing for select
biologic agents; monitoring and evaluating biothreat incidents, outbreaks of infectious
disease and other public health threats and emergencies; communicating with all other
laboratories within the service azea as defined by DSHS; and interacting with DSHS and
CDC.
Contractor shall comply with all applicable federal and state laws, rules, and regulations
including, but not limited to, the following:
• Public Law 107-188, Public Health Security and Bioterrorism Preparedness and
Response Act of 2002;
• Public Law 107-188, Regulation of Certain Biological Agents and Toxins;
• Public Law 109-417, Pandemic and All-Hazazds Prepazedness Act of 2006; and
• Chapter 81, Texas Health and Safety Code.
Contractor shall comply with all applicable regulations, standards and guidelines in effect
on the beginning date of this Program Attachment.
The following documents aze incorporated by reference and made a part of this Program
Attachment:
• Centers for Disease Control and Prevention (CDC) Guidance for Public Health
Emergency Prepazedness (Funding Opportunity Number AA154;
Announcement Number 99051)
httns://www.dshs.state.tx.us/comnrep/CDC%20FY%2007.doc;
• FY2009 Assistant Secretary for Prepazedness and Response (ASPR) Hospital
Preparedness Program (CFDA Number 93.889)
http://www.hhs.gov/aspr/opeo/hpp/
• FY09 Public Health Emergency Prepazedness Workplan for Laboratory
Response Network (LRN) Laboratories;
• Contractor's FY09 Applicant Information and Budget Detail; and
ATTACHMENT -Page 2
• CDCs Local Emergency Prepazedness and Response Inventory.
Contractor shall notify DSHS in advance of Contractor's plans to participate in or
conduct local exercises, in a format specified by DSHS. Contractor shall participate in
statewide exercises planned by DSHS as needed to assess the capacity of Contractor to
respond to bioterrorism, other outbreaks of infectious disease, and other public health
threats and emergencies. Contractor shall prepaze after-action reports, documenting and
correcting any identified gaps or weaknesses in prepazedness plans identified during
exercises, in a forrnat specified by DSHS.
Contractor shall cooperate with DSHS to coordinate all planning, training and exercises
performed under this Program Attachment with the Governor's Division of Emergency
Management of the State of Texas, or other points of contact at the discretion of the
division, to ensure consistency and coordination of requirements at the local level and
eliminate duplication of effort between the various domestic prepazedness funding
sources in the state.
In the event of a public health emergency involving a portion of the state, Contractor
shall mobilize and dispatch staff or equipment that were purchased with funds from this
Program Attachment and that are not performing critical duties in the jurisdiction served
to the affected area of the state upon receipt of a written request from DSHS.
Contractor shall inform DSHS in writing if it shall not continue performance under this
Program Attachment within thirty (30) days of receipt of an amended standard(s) or
guideline(s). DSHS may terminate the Program Attachment immediately or within a
reasonable period of time as determined by DSHS.
Contractor shall develop, implement, and maintain a timekeeping system for accurately
documenting staff time and salary expenditures for all staff funded through this Program
Attachment, including partial FTEs and temporary staff.
SECTION H. PERFORMANCE MEASURES
Contractor shall complete the PERFORMANCE MEASURES as stated in the attached
Exhibit A.
Contractor shall provide reports as requested by DSHS to satisfy information-sharing
requirements set forth in Texas Government Code, Sections 421 .071 and 421.072 (b) and
(c).
Contractor shall provide services in the following counties: Aransas, Bee, Calhoun,
Goliad, Jackson, Jim Wells, Kleberg, Live Oak, Nueces, Refugio, San Patricio, Victoria
SECTION III. SOLICITATION DOCUMENT:
N/A
ATTACHMENT -Page 3
SECTION IV. RENEWALS:
Renewals are permitted on a one-year basis, at DSHS's discretion, and dependent upon
funding availability, through FY 09.
SECTION V. PAYMENT METHOD:
Cost Reimbursement
Funding is further detailed in the attached Categorical Budget and, if applicable,
Equipment List.
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. Vouchers and supporting documentation should be mailed or
submitted by fax or electronic mail to the addresses/number below:
Claims Processing Unit, MC1940
Texas Department of State Health Services
1100 West 49`h Street
PO Box 149347
Austin, TX 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
invoicesna,dshs.state.tx.us.
SECTION VII. BUDGET:
SOURCE OF FUNDS: CFDA# 93.283 & 93.889
SECTION VIII. SPECIAL PROVISIONS:
General Provisions, Terms and Conditions of Payment Article, is revised to include:
DSHS will monitor Contractor's billing activity and expenditure reporting on a
quarterly basis. Based on these reviews, DSHS may reallocate funding between
contracts to maximize use of available funding.
General Provisions, Allowable Costs and Audit Requirements Article, is amended to
include the following:
ATTACHMENT -Page 4
For the purposes of this Program Attachment, Funds may not be used for reseazch, reimbursen
of pre-award costs, purchase vehicles of any kind, new construction, or to purchase incentive iten
General Provisions, General Business Operations of Contractor Article, Overtime
Compensation Section, is not applicable to this Program Attachment.
ATTACHMENT -Page 5
2008-028046-001
Categorical Budget:
''f1 S > ;. ..,ys ~ x~a ~v r ,~ .. s ,1 ~~F~3~~c~"~1tQY~~'
FRINGE BENEFITS $24,014.00
EQUIPMENT $46,952.00
CONTRACTUAL $0.00
' "`,tea -- y~~' "~ ~ :<r~ ~ u- ~~~ '~ -sx~~ ~ b-.+~ ~¢ t ~ '},r~~ *'
I m: Qa
4' h !~/!~'My~1~
,
S
yTrv"W.~',h ~c htq "~~ F{..
4T+ :
..
`
~
~
~
~f rv.
y.~
-
1
A~''~
"vik~
. t~r'ss
~ {v-w^'.
:YT
fi
x S
~~
~'
.' ~Z
'Yt, i"i#i ..
,,,,
.
3. µ
,.
v.""
rD :}s3
~.aiY.
&?
TOTAL DIRECT CHARGES $230,351.00
#
am
°si` °C~~+k~ i .t.~ ~ F
~~ i
~ se ~. ° "'`~''~,
~~g~.a-~'~t~ ~'~' "~"K' 3~
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~ H~A?~,
~
~
,,
~,
,y ,
'~
~
~SkY ~
~, t k'
L
TOTA $230,351.00
yy
'ASS~
y
~.
y~~'eu'~
1 ~ ?4~ i
~,4 '4i f'~
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4 '
1€~~~~~V b
•~ }~ ~"~ l k (1~"':
$
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.
!
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.Y
3 s._ . A.J C.?? ( tY r ~.. AS ~~v~E~a X~+J:.d4+ 3.~Y .3~. v, e a y
-.
CONTRACTOR SHARE $0.00
~~
i
4 _ ~,
~~l~~i
Total reimbursements will not exceed $230,351.00
Financial status reports are due: 12/01/2008, 03/02/2009, 06/01/2009, 10/01/2009
Equipment List Attached.
Deparhnent of State Health Services
Financial Status Report
FSR269A
1100 West 49'" Street
Austin, Texas 78756-3199
Fiscal Division/Accotmts Payable
Phone (512)458-7435
Contractor Name: CORPUS CHRISTI-NUECES
COUNTY PUBLIC HEALTH DISTRICT CITY DSHS Program: CPS/BIO-LAB
DSHS Contract #: 2008-028046
Payee Account #: Attachment #: 001
Payee Vendor ID: 17460005741027 Basis: [ ]Cash [ ]Accrual
Payee Name: CITY OF CORPUS CHRISTI
Address: PO BOX 9277
City, ST, Zip: CORPUS CHRISTI, TX 78469-9277 Contract Term:
From: 08/01/2008
Period Covered in Report:
From: 11/01/2008
To: 07/31/2009
To: 01/31/2009
PO Number: 0000340481 Final Report [ ]Yes [ ] No
Project Cost per General Ledger
(i)
Budget Categories (ii)
Approved Budget (iii)
This Period (iv)
Cumulative (v)
Remaining Budget
Balance ii minus iv
a. Personnel 80,045.00
b. Fringe Benefits 24,014.00
c. Travel 26,928.00
d. Equipment 46,952.00
e. Supplies 27,512.00
f. Contractual 0.00
g. Other 24,900.00
h. Total Direct Charges 230,351.00
i. Indirect Charges 0.00
j. Total Chazges 230,351.00
Less: k. Program Income Collected
1. Non-DSHS Funding ( ) (
( )
)
m. ADVANCE: Received (Col. iii)/Repaid (Col. iv)
Balance Owed (Col. v)
n. Total Reimbursement Requested
o. Total Reimbursement Received ( )
Prepared By: Title: Phone #:
CERTIFICATION: I certify to the best of my knowledge and belief that this report is correct and complete and that all outlays
an¢ unli uidated obli ations are for the oses set forth in the award documents.
Signature of Au[horiud Certifying Official Dale Submitted
Typed or Printed Name and Title of Certifying Official Telephone:
DSHS Fonn GC-4a (269a) Revised 6/04
Department of State Health Services
Financial Status Report
FSR269A
1100 West 49a' Street
Austin, Texas 78756-3199
Fiscal Division/Accounts Payable
Phone (512)458-7435
Contractor Name: CORPUS CHRISTI-NUECES
COUNTY PUBLIC HEALTH DISTRICT CITY DSHS Program: CPS/BIO-LAB
DSHS Contract #: 2008-028046
Payee Account #: Attachment #: 001
Payee Vendor ID: 17460005741027 Basis: [ ]Cash [ ] Accmal
Payee Name: CITY OF CORPUS CHRISTI
Address: PO BOX 9277
City, ST, Zip: CORPUS CHRISTI, TX 78469-9277 Contract Term:
From: 08/01/2008
Period Covered in Report:
From: 02/01/2009
To: 07/31/2009
To: 04/30/2009
PO Number: 0000340481 Final Report [ ]Yes [ ] No
Project Cost per General Ledger
(i)
Budget Categories (ii)
Approved Budget (iii)
This Period (iv)
Cumulative (v)
Remaining Budget
Balance ii minus iv
a. Personnel 80,045.00
b. Fringe Benefits 24,014.00
c. Travel 26,928.00
d. Equipment 46,952.00
e. Supplies 27,512.00
f Contractual 0.00
g. Other 24,900.00
h. Total Direct Charges 230,351.00
i. Induect Charges 0.00
j. Total Charges 230,351.00
Less: k. Program Income Collected
1. Non-DSHS Funding ( ) (
( )
)
m. ADVANCE: Received (Col. iii)/Repaid (Col. iv)
Balance Owed (Coh v)
n. Total Reimbursement Requested
o. Total Reimbursement Received ( )
Prepared By: Title: Phone #:
CERTIFICATION: I certify to the best of my knowledge and belief that this report is correct and complete and that all outlays
and unli uidated obli ations are for the oses set forth in the awazd documents.
Signature oCAuthoriud Certifying Official Date Submitted
/ /
Typed or Printed Name and Title of Certifying Official Telephone:
DSHS Form GC-0a (269a) Revised 6/04
Department of State Health Services
Financial Status Report
FSR269A
1100 Wes[ 49'" Street
Austin, Texas 78756-3199
Fiscal Division/Accoants Payable
Phone(512~158-7435
Contractor Name: CORPUS CHRISTI-NUECES
COUNTY PUBLIC HEALTH DISTRICT CITY DSHS Program: CPS/BIO-LAB
DSHS Contract #: 2008-028046
Payee Account #: Attachment #: 001
Payee Vendor ID: 17460005741027 Basis: [ ]Cash [ ]Accrual
Payee Name: CITY OF CORPUS CHRISTI
Address: PO BOX 9277
City, ST, Zip: CORPUS CHRISTI, TX 78469-9277 Contract Term:
From: 08/01/2008
Period Covered in Report:
From: 05/01/2009
To: 07/31/2009
To: 07/31/2009
PO Number: 0000340481 Final Report [ ]Yes [ ] No
Project Cost per General Ledger
(i)
Budget Categories (ii)
Approved Budget (iii)
This Period (iv)
Cumulative (v)
Remaining Budget
Balance ii minus iv
a. Persommel 80,045.00
b. Fringe Benefits 24,014.00 `
c. Travel 26,928.00
d. Equipment 46,952.00
e. Supplies 27,512.00
E Contractual 0.00
g. Other 24,900.00
h. Total Duect Charges 230,351.00
i. Induect Charges 0.00
j. Total Charges 230,351.00
Less: k. Program Income Collected
1. Non-DSHS Funding ( ) (
( )
)
m. ADVANCE: Received (Col. iii)/Repaid (Col. iv)
Balance Owed (Col. v)
n. Total Reimbursement Requested
o. Total Reimbursement Received ( )
Prepazed By: Title: Phone #:
CERTIFICATION: I certify to the best of my knowledge and belief that this report is correct and complete and that all outlays
and unli uidated obli ations are for the oses set forth in the award documents.
Signature of Authoriud Certifying Official Date Submitted
/ /
Typed or Printed Name and Title of Certifying Otricial Telephone:
DSHS Form GC-4a (269a) Revised 6/04
Department of State Health Services
Financial Status Report
FSR269A
] 100 West 49'° Street
Austin, Texas 78756-3199
Fiscal Division/Accoants Payable
Phone (512)458-7435
Contractor Name: CORPUS CHRISTI-NUECES
COUNTY PUBLIC HEALTH DISTRICT CI DSHS Program: CPSBIO-LAB
DSHS Contract #: 2008-028046
Payee Accoun[ #: Attachment #: 001
Payee Vendor ID: 17460005741027 Basis: [ ]Cash [ ]Accrual
Payee Name: CITY OF CORPUS CHRISTI
Address: PO BOX 9277
City, ST, Zip: CORPUS CHRISTI, TX 78469-9277 Contract Term:
From: 08/01/2008
Period Covered in Report:
From: 08/01/2008
To: 07/31/2009
To: 10/31/2008
PO Number: 0000340481 Final Report [ ]Yes [ ] No
Project Cost per General Ledger
(i)
Budget Categories (ii)
Approved Budge[ (iii)
This Period (iv)
Cumulative (v)
Remaining Budget
Balance ii minus iv
a. Personnel 80,045.00
b. Fringe Benefits 24,014.00
c. Travel 26,928.00
d. Equipment 46,952.00
e. Supplies 27,512.00
f Contractual 0.00
g. Otlrer 24,900.00
h. Total Direct Charges 230,351.00
i. Induect Charges 0.00
j. Total Charges 230,351.00
Less: k. Program Income Collected
1. Non-DSHS Funding ( ) (
( )
)
m. ADVANCE: Received (Col. iii)/Repaid (Col. iv)
Balance Owed (Col. v)
n. Total Reimbursement Requested
o. Total Reimbursement Received
Prepared By: (
itle: )
hone #:
CERTIFICATION: I certify to the best of my knowledge and belief that this report is correct and complete and that all outlays
and unli uidated obli ations are for the oses set forth in the award documents.
Signature of Authorized Certifying Official Date Submitted
Typed or Pdn[ed Name and Tile of Certifying OCficial Telephone:
DSHS Forth GC-4a (269a) Revised 6/04