HomeMy WebLinkAboutC2011-396 - 9/13/2011 - Approvedre
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DEPARTMENT OF STATE HEALTH SERVICES
This contract, number 2012 - 039103 (Contract), is entered into by and between the Department
of State Health Services (DSHS or the Department), an agency of the Statk of Texas, and
Government Entit (collectively, the Parties).
a
2. Total Amount of the Contract and Payment Method(s), The total amount of this Contract
is $241, 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 09/0112011 and ends on 08131/2012. 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:
2012 - 039103 -001 IMMUNIZATION BRANCH -LOCALS
c. General Provisions (Sub - recipient)
d. Solicitation Document(s) (NA), and
e. Contractor's response(s) to the Solicitation Document(s) (NA).
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.
2011 -396
Res 029204
09/13/11
DSHS INDEXED
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.
J
7. Conflicting 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 Attacbment(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 Identification Number: 1746000574.1027
9. Entire. Aueennent. The Parties acknowledge that this Contract is the entire agreement of
the Parties and that there are no agreements or understandings, written or oral, between them
with respect to the subject matter of this Contract, other than as set forth in this Contract.
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 ( -
By: Z O A AA Z &7 By
Sign re of A.0 orized Official Signature
1 9MOv
Date Date
Bob Burnette, C.P.M., CTPM A ss i UA v4 O t ki a
Printed Name and Title
Director, Client Services Contracting Unit {
Address
1100 WEST 49TH STREET
AUSTIN,. TEXAS 78756 City, State, Zip
(S 12) 45$ -7470
Telephone Number
Bob.Bumette@dshs.state.tx.us
E -mail Address for Official Correspondence
_ 4UTHO RU ED AjW astofo= �!
92648 -1 e h R. Hu
9,
41318tft City Attorney
3ECO7ARybb. PAt City Attomay
CONTRACT NO. 2012 -039103
PROGRAM ATTACHMENT NO. 001
PURCHASE ORDER NO. 00003768 10
CONTRACTOR: CORPUS CHRISTI- NUECES COUNTY PUBLIC HEALTH DISTRICT(' iTy�
DSHS PROGRAM: IMMUNIZATION BRANCH - LOCALS
TERM: 09/01/2011 THRU: 08/31 /2012
SECTION I. STATEMENT OF WORK:
Contractor shall implement and operate an immunization program for children, adolescents, and
adults, with special emphasis on accelerating interventions to improve the immunization coverage of
children two (2) years of age or younger (0 to 35 months of age). Contractor shall incorporate
traditional and non- traditional systematic approaches designed to eliminate barriers, expand
immunization capacity, and establish uniform operating policies, as described herein.
Contractor shall be enrolled as a provider in the Texas Vaccines for Children Program (TVFC)
by the effective date of this Renewal Program Attachment, and must adhere to the TVFC
Operations Manual and associated TVFC policy guidelines provided by DSHS (located at
btti)://www.dshs.state.tx.us/irmunize/tvfc/tvfc manual.shtm .
Contractor shall comply -with written policies and provided by DSHS in managing
vaccines supplied through the TVFC program., including guidelines for proper storage and
handling of vaccines and for safeguarding vaccine in the event of natural disaster. Contractor
shall comply with all requirements laid out in the final, approved Work Plan (Exhibit A).
Contractor will continue to use the current vaccine management system as described
in the TVFC Operations Manual until directed by DSHS to transition to a new
"provider choice" system. Contractor shall, as directed by DSHS, implement provider
choice in contractor's clinic(s) by the schedule provided by DSHS.
Contractor shall notify providers of changes to vaccine managements reporting, and
present updates and training to providers, as requested by DSHS. This would include
any transition to a "provider choice" system.
Contractor shall plan and implement community -based activities to accomplish the
required tasks as specified in the final, approved work plan (Exhibit A).
Contractor shall report all reportable conditions as specified in 25 Texas Administrative Code (TAC)
Part I § §97.1 -97.6 and § §97.101 - 97.102, and as otherwise required by law.
Contractor shall report all vaccine adverse event occurrences in accordance with the 1986
National Childhood Vaccine Injury Act (NCVIA) 42 U.S.C. § 300aa -25 (located at
http : / /vaers.hhs.gov /default.htm).
PROGRAM ATTACHMENT — Page 1
Contractor shall inform and educate the public about vaccines and vaccine - preventable diseases, as
described in the DSHS Immunization Contractors Guide for Local Health Departments.
Contractor shall work to promote a health care workforce within the Local Health Department's
service area (including Contractor's staff) that is knowledgeable about vaccines, vaccine safety,
vaccine - preventable diseases, and delivery of immunization services.
Contractor shall not deny vaccinations to recipients because they do not reside within
Contractor's jurisdiction or because of an inability to pay an administration fee.
Contractor shall comply with all applicable federal and state regulations and statutes, including but
not limited to:
• Human Resources Code §42.043, VTCA;
• Education Code § §38.001 - 38.002, VTCA;
• Health and Safety Code § §12.032, 81.023 and 161.001 - 161.009, VTCA;
• 25 TAC Chapter 97;
• 25 TAC, Chapter 96;
• 25 TAC, Chapter 100;
• 42 USC § §247b and 300 as -25; and
• Omnibus Budget Reconciliation Act of 1993, 26 USC §4980B.
Contractor shall comply with current applicable state and federal standards, policies and guidelines,
including but not limited to DSHS's Standards for Public Health Clinic Services, revised August 31,
2004 (located at http: / /www.dshs. state .tx.us /qmb /default.shtm4tpublic).
Contractor shall be responsible for conducting outreach regarding vaccinations for children (19
through 35 months of age in the Contractor's jurisdiction) included on the list distributed to
Contractor by DSHS. Lists are distributed at the start of each tri- annual reporting period (September
1, 2011, January 1, 2012, and May 1, 2012).
Contractor must receive written approval from DSHS before varying from applicable policies,
procedures, protocols, and/or work plans, and must update and disseminate its implementation
documentation to its staff involved in activities under this contract within forty -eight (48) hours of
making approved changes.
DSHS reserves the right, where allowed by legal authority, to redirect funds in the event of financial
shortfalls. DSHS will monitor Contractor's expenditures on a quarterly basis. If expenditures are
below what is projected in Contractor's total Renewal Program Attachment amount, as shown in
SECTION VII. BUDGET, Contractor's budget may be subject to a decrease for the remainder of the
Contract term. Vacant positions existing after ninety (90) days may result in a decrease in funds.
PROGRAM ATTACHMENT -- Page 2
SECTION IL PERFORMANCE MEASURES:
The following performance measure(s) will be used, in part, to assess Contractor's effectiveness in
providing the services described in this Renewal Program Attachment, without waiving the
enforceability of any of the terms of the Contract:
• LHDs shall investigate and document, in accordance with DSHS Texas Vaccine - Preventable
Disease Surveillance Guidelines (located at
http: / /www. dshs. state. tx. us /idcu/health/ vaccine_ preventable _diseases /resources /vpd_guide.p
df ) and NBS Data Entry Guidelines, at least 90% of suspected reportable vaccine -
preventable disease cases within thirty (30) days of notification.
• LHDs shall complete 100% of the follow -up activities, designated by DSHS, for TVFC
provider quality assurance site visits assigned by DSHS.
• LHDs shall contact and provide case management to 100% of the number of hepatitis B
surface antigen- positive pregnant women identified.
• LHDs shall contact 100% or 400 per FTE (whichever is fewer) families of children who are
not up -to -date on their immunizations according to the ImmTrac- generated list provided to
the LHD by DSHS at the beginning of each reporting period.
• LHDs shall review 100% of monthly biological reports, vaccine order forms (when
applicable), and temperature logs for accuracy to ensure the vaccine supply is within
established maximum stock levels.
• LHDs shall complete 100% of child -care facility and Head Start center assessments, in
accordance with the Immunization Population Assessment Manual, as assigned by DSHS.
• LHDs shall complete 100% of public and private school assessments, retrospective surveys,
and validation surveys, in accordance with the Immunization Population AssessmentManual,
as assigned by DSHS.
• LHDs shall implement provider choice as directed by DSHS according to the schedule
provided by DSHS.
Contractor shall utilize the AFIX (Assessment, Feedback, Incentives, and eXchange)
methodology, found in the Immunization Quality Assurance Tool Resource Manual, (located at
h!tg://www.dshs.state.tx.us/imrnunize/docs/ site visit. pd to conduct quality assurance site -
visits for all sub - contracted entities and non -local health department Women, Infant and
Children (WIC) clinics. Assessment shall be done using the DSHS Immunization Quality
Assurance Site Visit tool provided by DSHS and the Comprehensive Clinic Assessment
Software Application (Co- CASA), as specified by the DSHS Program. Contractor shall submit
assessment results to the designated DSHS Regional Immunization Program manager within
two (2) weeks after completion.
PROGRAM ATTACHMENT — Page 3
Contractor is required to complete and submit tri- annual reports, utilizing a format provided by
the DSHS Program:
Re ort Type
Reportina Period
Report Due Date
Pro atic
9/1/2011 — 12131/2011
1/30/2012
Programmatic
111/2012— 4/30/2012
5/30/2012
Programmatic
5/1/2012 — 8/31/2012
09/30/2012
Tri- annual reports should be submitted electronically to dshsimmunizationeontracts @dshs.state.tx.us
according to the time frames stated above.
SECTION M. SOLICITATION DOCUMENT:
NA
SECTION IV. RENEWALS:
DSHS may renew the Renewal Program Attachment for up to one (1) twelve -month term at DSHS's
sole discretion.
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. The
Form B -13 can be found at the following link http: / /www.dshs. state .tx.uLgrants /f`onns/b l3form.doc
Vouchers and supporting documentation should be mailed or submitted by fax or electronic mail to
the addresses /number below.
Department of State Health Services
Claims Processing Unit MC 1940
1100 West 49 Street
P. O. Box 149347
Austin, Texas 78714 -9347
The fax number for submitting State of Texas Purchase Voucher (Form B -13) to the Claims
Processing Unit is (512) 458 -7442. The email address is invoices@ dshs.state.tx.us
PROGRAM ATTACHMENT — Page 4
t
SECTION VII. BUDGET:
SOURCE OF FUNDS: CFDA #93.268 and STATE
SECTION VIII. SPECIAL PROVISIONS:
General Provision, Funding Article, Use of Funds Section, is revised to include:
Funds shall not be used for purchase of vaccines, inpatient care, construction of facilities, or
debt retirement.
• Travel expenses shall be reimbursed according to Contractor's written travel policy, as
submitted and approved with Contractor's FY2011 Application for Immunization Funds. If
no written travel policy was submitted, or if the submitted policy is not approved by DSHS,
travel expenses shall be reimbursed according to current state travel regulations located at
http: / /www. window. state .tx.us /comptrol/texastra.htrnl.
For immunization activities performed under this Renewal Program Attachment, General Provisions,
General Business Operations of Contractor Article, Overtime Compensation Section, is replaced
with the following paragraphs:
• Contractor is authorized to pay employees who are not exempt under the Fair Labor
Standards Act (FLSA), 29 USC, Chapter 8, §201 et seq., for overtime or compensatory
time at the rate of time and one -half per FLSA.
• Contractor is authorized to pay employees who are exempt under FLSA on a straight time
basis for work performed on a holiday or for regular compensatory time hours when the
taking of regular compensatory time off would be disruptive to normal business operations.
• Authorization for payment under this provision is limited to work directly related to
immunization activities and shall be in accordance with the amount budgeted in this
contract Attachment. Contractor shall document proper authorization or approval for any
work performed by exempt or non - exempt employees in excess of forty (40) hours per
work week.
• All revenues directly generated by this Renewal Program Attachment or earned as a result of
this Renewal Program Attachment during the term of this Renewal Program Attachment are
considered program income; including income generated through Medicaid billings for
immunization related clinic services. The Contractor shall use this program income to
further the scope of work detailed in this Renewal Program Attachment, and must keep
documentation to demonstrate such to DSHS's satisfaction. This program income may not
be used to take the place of existing local, state, or federal program funds.
PROGRAM ATTACHMENT — Page 5
General Provision, General Business Operations of Contractor Article, Property Inventory and
Protection of Assets Section, is revised to include:
All equipment used by Contractor which is provided by DSHS shall be accounted for as
public propefty. The DSHS Program will investigate equipment loss, destruction, or other
waste and may require (at its discretion) Contractor to replace or reimburse the DSHS
Program. This provision does not waive any other remedies legally available to DSHS
regarding contract breaches.
PROGRAM ATTACHMENT — Page 6
2012 - 039103 -001
Categorical Budget:
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Total reimbursements will not exceed $241,637.00
Financial status reports are due: 12/30/2011, 03/30/2012, 07/02/2012, 10/30/2012
{
Fiscal Year 2012 Department of State Health Services Contract
General Provisions
(Core/Subrecipient)
ARTICLE I COMPLIANCE AND REPORTING ........................................ ..............................5
Section 1.01
Compliance with Statutes and Rules . ..................................
Section 1.02
..............................5
Compliance with Requirements of Solicitation Document . ............................5
Section1.03
Section 1.04
Reporting . .............................................................................. ..............................5
Client Financial Eligibility
Section 1.05
................................................... ..............................5
Applicable Contracts Law and Venue for Disput es ........... ..............................5
Section 1.06
Applicable Laws and Regulations Regarding Funding Sources . ...................5
Section 1.07
Statutes and Standards of General Applicability . ............. ..............................6
Section 1.08
Applicability of General Provisions to Interagency and Interlocal Contracts.
Section 1.09
................................................................................................... ..............................7
Civil Rights Policies and Complaints . ................................. ..............................8
Section 1.10
Licenses, Certifications, Permits, Registrations and Approvals .....................8
ARTICLEH SERVICES ................................................................................... ..............................9
Section 2.01 Education to Persons in Residential Facilities .................... ..............................9
Section2.02 Disaster Services .................................................................... ..............................9
Section2.03 Consent to Medical Care of a Minor.. ................................. ..............................9
Section 2.04 Telemedicine Medical Services . ........................................... ..............................9
Section2.05 Fees for Personal Health Services ...................................... .............................10
Section 2.06 Cost Effective Purchasing of Medications. ........................ .............................10
Section 2.07 Services and Information for Persons with Limited English Proficiency. ..10
ARTICLEIII FUNDING ................................................................................... .............................10
Section 3.01 Debt to State and Corporate Status . .................................. .............................10
Section3.02 Application of Payment Due . .............................................. .............................10
Section3.03 Use of Funds . ........................................................................ .............................10
Section 3.04 Use for Match Prohibited . ................................................... .............................10
Section3.05 Program Income ................................................................... .............................10
Section3.06 Nonsupplanting . ................................................................... .............................11
ARTICLE IV PAYMENT METHODS AND RESTRICTIONS ................... .............................11
Section4.01 Payment Methods ................................................................. .............................11
Section4.02 Billing Submission ................................................................ .............................11
Section 4.03 Final Billing Submission ...................................................... .............................11
Section4.04 Working Capital Advance ................................................... .............................12
Section 4.05 Financial Status Reports ( FSRs) ... ............................... .....12
.. ...............................
Section4.06 Third Party Payors .............................................................. .............................12
ARTICLE V TERMS AND CONDITIONS OF PAYMENT ....................... .............................12
Section 5.01 Prompt Payment . ................................................................. .............................12
Section 5.02 Withholding Payments . ....................................................... .............................12
Section 5.03 Condition Precedent to Requesting Payment .................... .............................13
Section 5.04 Acceptance as Payment in Full . .......................................... .............................13
ARTICLE VI ALLOWABLE COSTS AND AUDIT REQUIREMENTS .... .............................13
General Provisions (Core Subrecipient) 2012
Fiscal Year 2012 Department of State Health Services Contract
General Provisions
(Core/Subrecipient)
Section6.01 Allowable Costs . ................................................................... .............................13
Section 6.02 Independent Single or Program- Specific Audit . ............... .............................14
Section6.03 Submission of Audit . ........................................................... ........•-- ..................14
ARTICLE VII CONFIDENTIALITY ........................................................... .............................15
Section 7.01 Maintenance of Confidentiality . ......................................... .............................15
Section 7.02 Department Access to PHI and Other Confidential Information .................. 15
Section 7.03 Exchange of Client - Identifying Information . .................... .............................15
Section 7.04 Security of Patient or Client Records ................................. .............................15
Section 7.05 HIV /AIDS Model Workplace Guidelines. .............. ........... .............................15
ARTICLE VIII RECORDS RETENTION ------------------------------------------------------------ Ir%
Section8.01 Retention ............................................................................. ................. ..............16
ARTICLE IX ACCESS AND INSPECTION .................................................. .............................16
Section9.01 Access . ................................................................................... .............................16
Section9.02 State Auditor's Office .......................................................... .............................16
Section9.03 Responding to Deficiencies . ................................................. .............................16
ARTICLE X NOTICE REQUIREMENTS .................................................... .............................17
Section 10.01 Child Abuse Reporting Requirement ................................... .............................17
Section10.02 Significant Incidents ............................................................ .............................17
Section10.03 Litigation ............................................................................... .............................17
Section10.04 Action Against the Contractor ............................................ .............................17
Section10.05 Insolvency . ............................................................................ .............................17
Section 10.06 Misuse of Funds and Performance Malfeasance ............... .............................18
Section 10.07 Criminal Activity and Disciplinary Action ........................ .............................18
Section 10.08 Retaliation Prohibited . ........................................................ .............................18
Section10.09 Documentation . .................................................................... .............................18
ARTICLE XI ASSURANCES AND CERTIFICATIONS ............................. .............................18
Section11.01 Certification .......................................................................... .............................18
Section 11.02 Child Support Delinquencies . ............................................. .............................19
Section11.03 Authorization ........................................................................ .............................19
Section 11.04 Gifts and Benefits Prohibited .............................................. .............................20
Section 11.05 Ineligibility to Receive the Contract ..................................... .............................20
Section11.06 Antitrust ................................................................................ .............................20
Section 11.07 Initiation and Completion of Work . ................................... .............................20
ARTICLE X11 GENERAL BUSINESS OPERATIONS OF CONTRACTOR .......................20
Section 12.01 Responsibilities and Restrictions Concerning Governing Body, Officers and
Employees. ............................................................................ .............................20
Section 12.02 Management and Control Systems ..................................... .............................21
Section12.03 Insurance . ............................................................................. .............................21
Section12.04 Fidelity Bond . ....................................................................... .............................21
Section 12.05 Liability Coverage . ............................................................... .............................21
General Provisions (Core Subrecipient) 2012 2
Fiscal Year 2012 Department of State Health Services Contract
General Provisions
(Core/Subrecipient)
Section
Overtime Compensation ...................................................... .............................22
Section12.07
Program Site .........................................................................
Section 12.08
.............................22
Cost Allocation Plan
Section12.09
. ........................................................... .............................22
No Endorsement
Section 1210
..................................................................... .............................22
Historically Underutilized Businesses ( HURs) .............................22
Section12.11
....................
Buy Texas ..............................................................................
Section 12.12
.............................23
Contracts with Subrecipient and Vendor Subcontractors . ..........................23
Section 12.13
Status of Subcontractors
Section 12.14
. .................................................... .............................23
Incorporation of Terms in Subrecipient Subcontracts . ... .............................23
Section 12.15
Independent Contractor .......................................................
Section12.16
.............................24
Authority to Bind. ....6 ........................... 6 ............................................................ 24
Section12.17
Tax Liability
Section13.12
. ........................................................................ .............................24
Section 12.18
Notice of Organizational Change . ...................................... .............................24
Section12.19
Quality Management ...........................................................
Section 12.20
.............................24
Equipment (Including Controlled Assets) Purchases . ...... .............................24
Section12.21
Supplies .................................................................................
Section 12.22
.............................25
Changes to Equipment List .................................................
Section 12.23
.............................25
Property Inventory and Protection of Assets . ...................
Section12.24
.............................25
Bankruptcy ...............................................:...........................
Section12.25
.............................25
Title to Property . ..................................................................
Section12.26
.............................25
Property Acquisitions ..........................................................
Section 12.27
.............................25
Disposition of Property . .......................................................
Section12.28
.............................25
Closeout of Equipment ........................................................
Section 12.29
.............................26
Assets as Collateral Prohibited
........................................... .............................26
ARTICLE X1II GENERAL TERMS----------------------------------- •---------------- - - - - -- 19
Section13.01
Assignment ............................................................................
Section 13.02
.............................26
Lobbying . ............................................................................... ............................26
Section 13.03
Conflict of Interest . ..............................................................
Section 13.04
.............................26
Transactions Between Related Parties. ...... ........................ .............................27
Section13.05
Intellectual Property . ...........................................................
Section 13.06
.............................27
Other Intangible Property . .................................................
Section 13.07
.............................28
Severability and Ambiguity . ............................................... .............................28
Section13.08
Legal Notice . .........................................................................
Section13.09
.............................28
Successors
. ............................................................................ .............................28
Section13.10
Headings ..................................................................................
Section13.11
.............................28
Parties ....................................................................................
Section13.12
.............................28
Survivability of Terms . ........................................................
Section13.13
.............................29
Direct Operation . .................................................................
Section 13.14
.............................29
Customer Service Information ...........................................
Section13.15
.............................29
Amendment . .........................................................................
Section 13.16
.............................29
Contractor's Notification of Change to Certain Contract Provisions. ........29
Section 13.17
Contractor's Request for Revision of Certain Contract Provisions. ...........30
Section13.18
Immunity Not. Waived . ........................................................
Section 13.19
.............................30
Hold Harmless and Indemnification
. ................................. .............................30
General Provisions (Core Subrecipient) 2012
3
Fiscal Year 2012 Department of State Health Services Contract
General Provisions
(Core/Subrecipient)
Section13.20 Waiver ................................................................................... .............................30
Section 13.21 Electronic and Information Resources Accessibility and Security Standards.
........................ ............................... ... ........ ............................... ..............................3 0
Section13.22 Force Majeure ...................................................................... .............................31
Section13.23 Interim Contracts ................................................................. .............................31
Section 13.24 Cooperation and Communication . ..................................... .............................31
ARTICLE XIV BREACH OF CONTRACT AND REMEDIES FOR NON - COMPLIANCE...
.................................................................................................. .............................31
Section 14.01 Actions Constituting Breach of Contract . ......................... .............................31
Section 14.02 General Remedies and Sanctions . ...................................... .............................32
Section14.03 Notice of Remedies or Sanctions ......................................... .............................33
Section14.04 Emergency Action . ............................................................... .............................34
ARTICLE XV CLAIMS AGAINST THE DEPARTMENT ....................... .............................34
Section15.01 Breach of Contract Claim . .................................................. .............................34
Section15.02 Notice ..................................................................................... .............................34
Section 15.03 Sole Remedy . ........................................................................ .............................34
Section 15.04 Condition Precedent to Suit ................................................ .............................35
Section15.05 Performance Not Suspended ............................................... .............................35
ARTICLE XVI TERMINATION AND TEMPORARY SUSPENSION ..... .............................35
Section 16.01 Expiration of Contract or Program Attachment(s) . ......... .............................35
Section16.02
Section 16.03
Section 16.04
Effect of Termination . ......................................................... .............................35
Acts Not Constituting Termination . ................................... .............................35
Termination or Temporary Suspension Without Cause .... .............................35
Section16.05
Section16.06
Termination For Cause . ...................................................... .............................36
Notice of Termination .......................................................... .............................37
ARTICLE XVII
VOID, SUSPENDED, AND TERMINATED CONTRACTS .........................37
Section17.01
Section 17.02
Void Contracts . .................................................................... .............................37
Effect of Void, Suspended, or Involuntarily Terminated Contract . ............37
Section17.03
Appeals Rights ...................................................................... .............................37
ARTICLE XVIII
CLOSEOUT .......................................................................... .............................37
Section 18.01
Section18.02
Section18.03
Section18.04
Section 18.05
Cessation of Services At Closeout ....................................... .............................37
Administrative Offset . ......................................................... .............................38
Deadline for Closeout .......................................................... .............................38
Payment of Refunds . ............................................................ .............................38
Disallowances and Adjustments . .................. ...38
General Provisions (Core Subrecipient) 2012 4
Fiscal Year 2012 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, rules, and executive orders, as such statutes, regulations,
rules, and executive orders currently exist and as they may be lawfully amended. The Department rules are
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, rules or
executive orders, the terms of this Contract will control. Contractor further agrees that, upon notification from
DSHS, Contractor shall comply with the terms of any contract provisions DSHS is required to include in its
contracts under legislation effective at the time of the effective date of this Contract or during the term of this
Contract.
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 Contractor's response to the Solicitation Document. The Parties agree that any
misrepresentation contained in Contractor's response to the Solicitation Document constitutes 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 any 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 Financial 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 will 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 will 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; will 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, and Uniform Grant Management Standards (UGMS), as revised
by federal circulars and incorporated in UGMS by the Governor's Budget, Planning and Policy Division.
UGMA and UGMS can be located through web links on the DSHS website at
hqp: / /www.dshs. state .tx.us /contracts/links.shtm 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 awarding agency's
Common Rule, and the U.S. Health and Human Services Grants Policy Statement, both of which may be
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located through web links on the DSHS website at blt For
contracts funded by block grants, Contractor shall comply with Tex. Gov. Code Chapter 2105.
Section 1.07 Statutes and Standards of General Applicability. Contractor is responsible for reviewing
and complying with all applicable statutes, rules, regulations, executive orders and policies_ To the extent
applicable to Contractor, Contractor shall coraply with the following:
a) the following statutes, rules, regulations, and DSHS policy (and any of their subsequent amendments)
that collectively prohibit discrimination, exclusion from or limitation of participation in
programs, benefits or activities or denial of any aid, care, service or other benefit 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 USC §§ 2000d et seq.; 2) Title 1X of the Education Amendments of 1972, 20 USC §§ 1681-
1683, and 1685 -1686; 3) Section 504 of the Rehabilitation Act of 1973, 29 USC § 794(a); 4) the
Americans with Disabilities Act of 1990, 42 USC §§ 12101 et seq.; 5) Age Discrimination Act of
1975, 42 USC §§ 6101 -6107; 6) Comprehensive Alcohol Abuse and Alcoholism Prevention,
Treatment and Rehabilitation Act of 1970, 42 USC § 290dd (b)(1); 7) 45 CFR Parts 80, 84, 86 and 91;
8) U.S. Department of Labor, Equal Employment Opportunity E.O. 11246; 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; 12) Drug Abuse
Office and Treatment Act of 1972, 21 USC §§ 1101 et seq., relating to drug abuse; 13) Public Health
Service Act of 1912, §§ 523 and 527, 42 USC § 290dd -2, and 42 CFR Part 2, relating to
confidentiality of alcohol and drug abuse patient records; 14) Title VIII of the Civil Rights Act of
1968, 42 USC §§ 3601 et seq., relating to nondiscrimination in housing; and 15) DSHS Policy AA_
5018, Non- discrimination Policy for DSHS Programs;
b) Immigration Reform and Control Act of 1986, 8 USC § 1324a, regarding employment verification;
c) Pro - Children Act of 1994, 20 USC §§ 6081 -6084, and the Pro- Children Act of 2001, 20 USC § 7183,
regarding the non -use of all tobacco products;
d) National Research Service Award Act of 1971, 42 USC §§ 289a -1 et seq., and 6601 (PL 93 -348 and
PL 103 -43), regarding human subjects involved in research;
e) Hatch Political Activity Act, 5 USC §§ 1501 -1508 and 7324 -28, which limits the political activity of
employees whose employment is funded with federal funds;
f) Fair Labor Standards Act, 29 USC §§ 201 et seq., and the Intergovernmental Personnel Act of 1970,
42 USC §§ 4701 et seq., as applicable, concerning minimum wage and maximum hours;
g) Tex. Gov. Code Chapter 469, pertaining to eliminating architectural barriers for persons with
disabilities;
h) Texas Workers' Compensation Act, Tex. Lab. Code Chapters 401-406 and 28 Tex. Admin. Code Part
2, regarding compensation for employees' injuries;
i) The Clinical Laboratory Improvement Amendments of 1988, 42 USC § 263a, regarding the regulation
and certification of clinical laboratories;
j) 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 standards for handling blood
borne pathogens;
k) Laboratory Animal Welfare Act of 1966, 7 USC §§ 2131 et seq., pertaining to the treatment of
laboratory animals;
1) 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 1 1738 (40 CFR Part 32), "Providing for
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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
tlic approved State Management program developed under the C.oastai 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 Safe7Drinking 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 construction or
rehabilitation;
M) Intergovernmental Personnel Act of 1970 (42 USC § §4278 -4763) regarding 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);
n) 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;
o) 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), regarding labor
standards for federally- assisted construction subagreements;
p) 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 -i et seq.) regarding historic
property to the extent necessary to assist DSHS in complying with the Acts;
q) 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;"
r) Trafficking Victims Protection Act of 2000, Section 106(g) (22 USC § 7104);
s) Executive Order, Federal Leadership on Reducing Text Messaging While Driving, October 1, 2009, if
required by a federal funding source of the Contract; and
t) requirements of any other applicable state and federal statutes, executive orders, regulations, rules and
policies.
If this Contract is funded by a federal grant or cooperative agreement, additional state or federal requirements
found in the Notice of Grant Award are imposed on Contractor and incorporated herein by reference.
Contractor may obtain a copy of any applicable Notice of Grant Award from the contract manager assigned to
the Program Attachment.
Section 1.08 Applicability of General Provisions to Interagency and Interlocal Contracts. Certain
sections or portions of sections of these General Provisions will not apply to Contractors that are State
agencies or units of local government; and certain additional provisions will apply to such Contractors.
a) The following sections or portions of sections of these General Provisions will 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;
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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 will 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 are necessary and essential for the
activities that are 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
are 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; and
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 will 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 will be from current revenues available to DSHS; and
3) Each Party represents that it has been authorized to enter into this Contract.
d) Contractor agrees that Contract Revision Requests (pursuant to the Contractor's Request for Revision
to Certain Contract Provisions section), when signed by a duly authorized representative of
Contractor, will be effective as of the effective date specified by the Department, whether that date is
prior to or after the date of any ratification by Contractor's governing body.
Section 1.09 Civil 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 shall notify HHSC's Office of Civil Rights of any civil rights complaints received
relating to performance under this Contract no more than ten (10) calendar days after Contractor's receipt of
the claim. Notice must be directed 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
Section 1.10 Licenses, Certifications, Permits, Registrations and Approvals. Contractor shall obtain
and maintain all applicable licenses, certifications, permits, registrations and approvals to conduct its business
and to perform the services under this Contract. Failure to obtain or any revocation, surrender, expiration,
non- renewal, inactivation or suspension of any such license, certification, permit, registration or approval
constitutes grounds for termination of this Contract or other remedies the Department deems appropriate.
Contractor shall ensure that all its employees, staff and volunteers obtain and maintain in active status all
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licenses, certifications, permits, registrations and approvals required to perform their duties under this Contract
and shall prohibit any person who does not hold a current, active required license, certification, permit,
registration or approval from performing services under this Contract.
ARTICLE H . _ SERVICES
Section 2.01 Education to Persons in Residential Facilities. If applicable, Contractor shall ensure that all
persons, who are housed in Department - licensed and/or - funded residential facilities and who are twenty -two
(22) years of age or younger, have access to educational services as required by Tex. Educ. Code § 29.012.
Contractor shall notify the local education agency or local early intervention program as prescribed by Tex.
Educ. Code § 29.012 not later than the third calendar day after the date a person who is twenty -two (22) years
of age or younger is placed 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, declared as a state disaster by the Governor, or as a
federal disaster by the appropriate federal official, Contractor may be called upon to assist DSHS in providing
services, as appropriate, in the following areas: community evacuation; health and medical assistance;
assessment of health and medical needs; health surveillance; medical care personnel; health and medical
equipment and supplies; patient evacuation; in- hospital care and hospital facility status; food, drug, and
medical device safety; worker health and safety; mental health and substance abuse; public health information;
vector control and veterinary services; and victim identification and mortuary services. Contractor shall carry
out disaster services in the manner most responsive to the needs of the emergency, be cost - effective, and be
least intrusive on Contractor's primary services.
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,
Contractor shall not provide treatment of a minor unless informed consent to treatment is obtained pursuant to
Tex. Fam. Code Chapter 32, relating to consent to treatment of a child by a non - parent or child or pursuant to
other state Iaw. If requirements of federal law relating to consent directly conflict with Tex. Fam. Code
Chapter 32, federal law supersedes state law.
Section 2.04 Telemedicine Medical Services. Contractor shall ensure that if Contractor or its
subcontractor uses telemedicine/telepsychiatry that the services are implemented in accordance with written
procedures and using a protocol approved by Contractor's medical director and using equipment that complies
with the equipment standards as required by the Department. Procedures for providing telemedicine service
must include the following requirements:
a) clinical oversight by 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 care 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 care 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
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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 must not exceed the actual cost of providing the services. No client may be denied a service
due to inability to pay.
Section 2.06 Cost Effective Purchasing of Medications. If medications are 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 shall
take reasonable steps to provide services and information, both orally and in writing, in appropriate languages
other than English, 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
eighteen (18) or 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 using the 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.). 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 regarding 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 towards 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 shall expend Department funds only for the provision of approved
services and for reasonable and allowable expenses directly related to those services.
Section 3.04 Use for Match Prohibited. Contractor shall not use funds provided through this Contract for
matching purposes in securing other funding unless directed or approved by the Department in writing.
Section 3.05 Program, Income. Gross income directly generated from Department funds through a project
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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, Contractor shall use the addition alternative, as provided in
UGMS § _.25(g)(2), for the use of program income to further the program objectives of the state or federal
statute under which the Program Attachment was made, and Contractor shall spend the program income on the
same Program Attae; anent 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, the Contractor's
Financial Procedures Manual located at httg: / /www,dshs.state.tx.us /contracts /cfpm.shtm and the provisions of
the Program Attachment(s). Contractor shall expend program income during the Program Attachment term
and may not carry forward to any succeeding term. Contractor shall refund program income not expended in
the term in which it is earned to DSHS. DSHS may base future funding levels, in part, upon Contractor's
proficiency in identifying, billing, collecting, and reporting program income, and in using it for the purposes
and under the conditions specified in this Contract.
Section 3.06 Nonsupplanting. Contractor shall not supplant (i.e., use funds from this Contract to replace
or substitute existing funding from other sources that also supports the activities that are the subject of this
Contract) but rather shall use funds from this Contract to supplement existing state or local funds currently
available for a particular activity. Contractor shall make a good faith effort to maintain its current level of
support. Contractor may be required to submit documentation substantiating that a reduction in state or 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 Attachment will 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 fixed price or a specified rate(s) or fee(s)
for delivery of a specified unit(s) of service, as stated in the Program Attachment(s) and acceptable
submission of all required documentation, forms and/or reports.
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) or permitted under the Third Party Payors section of this Article, Contractor shall submit
requests for reimbursement or payment monthly within thirty (30) calendar days following the end of the
month covered by the bill. Contractor shall maintain all documentation that substantiates billing submissions
and make the documentation available to DSHS upon request.
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) calendar 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)
calendar 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
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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 contract manager assigned to the Program Attachment to justify the need for a
working capital advance. Contractor shall liquidate the worUng capital advance as directed by the
Department. The requirements for the documentation justifying the need for an advance and the directions for
liquidating the advance are found in the Contractor's Financial Procedures Manual located at
http://www.dshs.state.tx.us/contracts/cfpm.shtm
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 last business day of the month following the end of each quarter of
the Program Attachment term for Department review and financial assessment. Contractor shall submit the
final FSR no later than sixty (60) calendar 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. Third party payors include, but are not limited
to, 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 Program and Medicaid if providing approved services authorized
under this Contract that may be covered by those programs, and bill those programs 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 who are 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 appeals to third party payors have been exhausted, in which case the thirty (30) -day
requirement in the Billing Submission section will be extended until all such appeals have been exhausted; (e)
maintain appropriate documentation from the third party payor reflecting attempts to obtain reimbursement; (f)
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 are 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 snake payment in
accordance with the Texas prompt payment law (Tex. Gov. Code Chapter 2251). Contractor shall comply
with Tex. Gov. Code Chapter 2251 regarding its prompt payment obligations to subcontractors. Payment of
invoices by the Department will not constitute acceptance or approval of Contractor's performance, and all
invoices and Contractor's performance are 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, disallowed costs, or overpayments that Contractor has
not refunded to Department, or if financial status report(s) required by the Department are not submitted by the
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date(s) due. Department may take repayment (recoup) from funds available under this Contract in amounts
necessary to fulfill Contractor's repayment obligations.
Section 5.03 Condition Precedent to Requesting Payment. Contractor shall disburse program income,
rebates, refunds, contract settlements, audit recoveries, and interest earned on such funds before requesting
cash payments- including any advance payments from Department. -`
Section 5.04 Acceptance as Payment in Full. Except as permitted in the Fees for Personal Health
Services section of the Services Article of these General Provisions or under 25 Tex. Admin. Code § 444.413,
Contractor shall accept reimbursement or payment from DSHS as payment in full for services or goods
provided to clients or participants, and Contractor shall not seek additional reimbursement or payment for
services or goods from clients or participants or charge 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 are incurred in conducting
an assistance program.
ARTICLE VI ALLOWABLE COSTS AND AUDIT REQUIREMENTS
Section 6.01 Allowable Cots. For services satisfactorily performed, and sufficiently documented,
pursuant to this Contract, DSHS will reimburse Contractor for allowable costs. Contractor must have incurred
a cost prior to claiming reimbursement and within the applicable term to be eligible for reimbursement under
this Contract. DSHS will determine whether costs submitted by Contractor are allowable and eligible for
reimbursement. 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) calendar days of the
date of this written notice. DSHS may withhold all or part of any payments to Contractor to offset
reimbursement for any unallowable or 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 due
date(s). DSHS may take repayment (recoup) from funds available under this Contract in amounts necessary to
fulfill Contractor's repayment obligations. Applicable cost principles, audit requirements, and administrative
requirements include-
Applicable Entity
Applicable Cost
Audit Requirements
Administrative
Principles
Requirements
State, Local and Tribal
OMB Circular A -87
OMB Circular
UGMS, OMB Circular
Governments
(2 CFR, Part 225)
A -133 and UGMS
A -102, and applicable
Federal awarding
agency common rule
Educational Institutions
OMB Circular A -21
OMB Circular
OMB Circular A -110 (2
(2 CFR, Part 220);
A -133
CM Part 215) and
and UGMS, as
applicable Federal
applicable
awarding agency
common rule; and
UGMS, as applicable
Non -Profit
OMB Circular
OMB Circular
UGMS; OMB Circular
Organizations
A -122 (2 CFR, Part
A -133 and UGMS
A -110 (2 CFR, Part
230)
215) and applicable
Federal awarding
agency common rule
For -profit Organization
48 CFR Part 31,
OMB Circular A-
UGMS and a plicable
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other than a hospital and
Contract Cost
133 and UGMS
Federal awarding
an organization named
Principles
agency common rule
in OMB Circular A -122
Procedures, or
(2 CFR Part, 230) as not
uniform cost
subject to that circular.
accounting standards
that comply with
cost principles
acceptable to the
federal or state
awarding a ency
A chart of applicable Federal awarding agency common rules is located through a weblink on the DSHS
website at hqp://www.dshs.state.tx.us/contracts/links.shtm. OMB Circulars will be applied with the
modifications prescribed by UGMS with 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
year expends a total amount of at least $500,000 in federal funds awarded, Contractor shall 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. If Contractor within Contractor's fiscal year expends a total amount of at least
$500,000 in state funds awarded, Contractor must have a single audit or program - specific audit in accordance
with UGMS, State of Texas Single Audit Circular. For - profit Contractors whose expenditures meet or exceed
the federal and/or state expenditure thresholds stated above shall follow the guidelines in OMB Circular A -133
or UGMS, as applicable, for their program - specific audits. The HHSC Office of Inspector General (OIG) will
notify Contractor to complete the Single Audit Determination Registration Form. If Contractor fails to
complete the Single Audit Determination Form within thirty (30) calendar days after notification by GIG to do
so, Contractor shall be subject to DSHS sanctions and remedies for non - compliance with this Contract. The
audit must be conducted by an independent certified public accountant and in accordance with applicable
OMB Circulars, Government Auditing Standards, and UGMS, which is accessible through a web link on the
DSHS website at http://www.dshs.state.tx.usleontracts/links.shtm. 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 state governmental entity, shall competitively re- procure independent single
audit services at least every five (5) years and shall not use the same lead auditor or coordinating audit partner
(having primary responsibility for the audit) to conduct the independent audit for more than five (5)
consecutive years.
Section 6.03 Submission of Audit. Within thirty (30) calendar days of receipt of the audit reports
required by the Independent Single or Program- Specific Audit section, Contractor shall submit one copy to the
Department's Contract Oversight and Support Section, and one copy to the OIG, at the following addresses:
Department of State Health Services Office of Inspector General
Contract Oversight and Support, Mail Code 1326 Compliance/Audit, Mail Code 1326
P.O. Box 149347 P.O_ Box 85200
Austin, Texas 78714 -9347 Austin, Texas 78708 -5200
Health and Human Services Commission
If Contractor fails to submit the audit report as required by the Independent Single or Program- Specific Audit
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section within thirty (30) calendar 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, rules and regulations, 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 and regulations.
Section 7.02 Department Access to PHI and Other Confidential 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 & 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 shall maintain patient and client records
in compliance with state and federal law relating to security and retention of medical or mental health and
substance abuse patient and client 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 care 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 care or treatment is transferred to another DSHS -
funded contractor.
Section 7.05 MV/AIDS Model Workplace Guidelines. If providing direct client care, services, or
programs, Contractor shall implement Department's policies based on the HIV /AIDS (human
immunodeficiency viruslacquired immunodeficiency syndrome) Model Workplace Guidelines for Businesses,
State Agencies, and State Contractors, Policy No. 090.021, and Contractor shall educate employees and clients
concerning HIV 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
hqR://www.dshs.state.tx.us/hivstd/pohcv/Xolicies.shtm
ARTICLE VIII RECORDS RETENTION
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Section 8.01 Retention. Contractor shall retain records in accordance with applicable state and federal
statutes, rules and regulations. At a minimum, Contractor shall retain and preserve all other records, including
financial records that are generated or collected by Contractor under the provisions of this Contract, for a
period of four (4) years after the termination of this Contract. If services are funded through Medicaid, the
federal retention period, if more than four (4) years, will apply. Contractor shall retain all records pertaining to
ties 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, rules and regulations governing medical
information. Contractor shall include this provision concerning records retention in any subcontract it awards.
If Contractor ceases business operations, it shall ensure that records relating to this Contract are securely
stored and are accessible by the Department upon Department's request for at least four (4) years from the date
Contractor ceases business or from the date this Contract terminates, whichever is sooner. Contractor shall
provide, and update as necessary, the name and address of the party responsible for storage of records to the
contract manager assigned to the Program Attachment.
ARTICLE IX ACCESS AND INSPECTION
Section 9.01 Access. In addition to any right of access arising by operation of law, Contractor, and any of
Contractor's affiliate or subsidiary organizations or subcontractors shall 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 financial records, client and patient records, if any, and Contractor's personnel records and
governing body personnel records), books, papers or documents related to this Contract; and the right to
interview members of Contractor's governing body, staff, volunteers, participants and clients concerning the
Contract, Contractor's business and client services. If deemed necessary by the Department or the OIG, for
the purpose of investigation or hearing, Contractor shall produce original documents related to this Contract.
The Department and HHSC will have the right to audit billings both before and after payment, and all
documentation that substantiates the billings. Payments will not foreclose the right of Department and HHSC
to recover excessive or illegal payments. Contractor shall make available to the Department information
collected, assembled or maintained by Contractor relative to this Contract for the Department to respond to
requests that it receives under the Public Information Act. Contractor shall include this provision concerning
the right of access to, and examination of, sites and information related to this Contract in any subcontract it
awards.
Section 9.02 State Auditor's Office. Contractor shall, upon request, make all records, books, papers,
documents, or recordings related to this Contract available for inspection, audit, or reproduction during normal
business hours to any authorized representative of the SAO. 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. Contractor shall 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. The SAO's authority to
audit funds will apply to Contract funds disbursed by Contractor to its subcontractors, and Contractor shall
include this provision concerning the SAO's authority to audit and the requirement to cooperate, in any
subcontract Contractor awards.
Section 9.03 Responding to Deficiencies. Any deficiencies identified by DSHS or HHSC upon
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examination of Contractor's records or during an inspection of Contractor's site(s) will be conveyed in writing
to Contractor. Contractor shall submit, by the date prescribed by DSHS, a resolution to the deficiency
identified in a site inspection, program review or management or financial audit to the satisfaction of DSHS or,
if directed by DSHS, a corrective action plan to resolve the deficiency. 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 Remedics 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: Human Immunodeficiency
Virus /Sexually Transmitted Diseases (HIV /STD); Family Planning (Titles V, X and XX); Primary Health
Care; Maternal and Child Health; and Women, Infants and Children (WIC) 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/childabusgrepoqLng- 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 contract manager assigned to the Program Attachment significant incidents involving substantial
disruption of Contractor's program operation, or affecting or potentially affecting the health, safety or welfare
of Department- funded clients or participants within seventy-two (72) hours of discovery.
Section 10.03 Litigation. Contractor shall notify the contract manager assigned to the Program Attachment
of litigation related to or affecting this Contract and to which Contractor is a party within seven (7) calendar
days of becoming aware 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 must 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 contract manager 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 must 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 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 contract
manager 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 contract manager 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
General Provisions (Core Subrecipient) 2012 17
Fiscal Year 2012 Department of State Health Services Contract
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determination 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 contract manager assigned to the Program
Attachment of its plan to seek bankruptcy protection within three (3) working days of such action by
Contractor's governing body.
Section 10.06 Misuse of Funds and Performance Malfeasanee. Contractor s'h& report to the contract
manager assigned to the Program Attachment, any knowledge of debarment, suspected fraud, program abuse,
possible illegal expenditures, unlawful activity, or violation of financial laws, rules, policies, and procedures
related to performance under this Contract. Contractor shall make such report no later than three (3) working
days from the date that Contractor has knowledge or reason to believe such activity has taken place.
Additionally, if this Contract is federally funded by the Department of Health and Human Services (HHS),
Contractor shall report any credible evidence that a principal, employee, subcontractor or agent of Contractor,
or any other person, has submitted a false claim under the False Claims Act or has committed a criminal or
civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, or similar misconduct
involving those funds. Contractor shall make this report to the HHS Office of Inspector General at
http:// www.oig.lihs.gov /fraud/hotline/ no later than three (3) working days from the date that Contractor has
knowledge or reason to believe such activity has taken place.
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 offense related to any financial matter, federal or state program or
felony sex crime. Contractor shall notify in writing the contract manager 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 providing services under this Contract 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 Contractor has
knowledge or reason to believe such activity has taken place. Contractor shall not permit any person who
engaged, or was alleged to have engaged, in an activity subject to reporting under this section to perform direct
client services or have 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 regarding, any applicable law, rule, regulation or standard to
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 required
under these General Provisions.
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, are presently debarred, suspended, proposed for debarment, declared
General Provisions (Core Subrecipient) 2012 18
Fiscal Year 2012 Department of State Health Services Contract
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ineligible, or voluntarily excluded from participation in this transaction by any federal or state
department or agency in accordance with 2 CPR Parts 376 and 180 (parts A -I), 45 CFR Part 76 (or
comparable federal regulations);
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 juiigiient in a suit against Contractor fof collection of the balance of
a debt;
e) it is in good standing with all state and/or federal agencies that have a contracting or regulatory
relationship with Contractor;
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(3) -year period preceding this Contract, has been
convicted of or had a civil judgment rendered against them for commission of fraud or a criminal
offense 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 charged 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 a three(3) -year 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 Article, 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 contract
manager assigned to the Program Attachment. If Contractor's status with respect to the items certified in this
Article changes during the term of this Contract, Contractor shall immediately notify the contract manager
assigned to the Program Attachment.
Section 11.02 Child Support Delinquencies. As required by Tex. Fain. Code § 231.006, a child support
obligor who is more than thirty (30) calendar days delinquent in paying child support and a business entity in
which the obligor is a sole proprietor, partner, shareholder, or owner with an ownership interest of at least
twenty -five percent (25 %n) is not eligible to receive payments from state funds under a contract to provide
property, materials, or services or receive a state - funded grant or loan. If applicable, Contractor shall 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 described in this Contract and that a resolution, motion or similar action has been duly adopted or
passed as an official act of 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 Contractor to act in connection with this Contract and
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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 monetary value to a DSHS or H14SC official or
employee in e(yanection 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 Contractor has received
compensation from DSHS for participation in the development, drafting or preparation 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 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 awarded 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 USC § 1, et seq. and Tex. Bus. & Comm. Code § 15.01, et seq.
Contractor certifies that neither Contractor, nor anyone acting for Contractor has violated the antitrust laws of
this state or federal antitrust laws, nor communicated directly or indirectly regarding a bid with any competitor
or any other person engaged in Contractor's 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 III GENERAL BUSINESS OPERATIONS OF CONTRACTOR
Section 12.01 Responsibilities and Restrictions Concerning Governing Body, Officers and Employees.
Contractor and its governing body shall bear full responsibility for the integrity of the fiscal and programmatic
management of the organization. This provision applies to all organizations, including Section 501(c)(3)
organizations as defined in the Internal Revenue Service Code as not - for - profit organizations. Each member
of Contractor's governing body shall be accountable for all funds and materials received from Department.
The responsibility of Contractor's governing body shall also include accountability for compliance with
Department Rules, policies, procedures, and applicable federal and state laws and regulations; and correction
of fiscal and programm deficiencies identified through self-evaluation and Department's monitoring processes.
Further, Contractor's governing body shall ensure separation of powers, duties, and functions of governing
body members and staff. Staff members, including the executive director, shall not serve as voting members
of Contractor's governing body. No member of Contractor's governing body, 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
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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) years 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 also apply to the governing body, officers and employees of Contractor's
subcontractors. Ignorance of any Contract provisions or other requirements contained or referred to in this
Contract will 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 aII 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: http: / /www,dshs. state.tx.us /contracts /cfpm.shtm Contractor shall
maintain an appropriate contract administration system to ensure that all terms, conditions, and specifications
are met. Contractor shall develop, implement, and maintain financial management and control systems that
meet or exceed the requirements of UGMS and adhere to procedures detailed in Department's Contractor's
Financial Procedures Manual. Those requirements and procedures include, at a minimum, the following:
a) financial planning, including the development of budgets that adequately reflect all functions and
resources necessary to carry out authorized activities and the adequate determination of costs;
b) financial management systems that include accurate accounting records that are accessible and identify
the source and application of funds provided under each Program Attachment of this Contract, and
original source documentation substantiating that costs are specifically and solely allocable to the
Program Attachment and are traceable from the transaction to the general ledger; and
c) effective internal and budgetary 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.
Section 12.03 Insurance. Contractor shall maintain insurance or other means of repairing or replacing
assets purchased with Department funds. Contractor shall repair or replace with comparable equipment any
such equipment not covered by insurance that is lost, stolen, damaged or destroyed. If any insured equipment
purchased with DSHS funds is lost, stolen, damaged or destroyed, Contractor shall notify the contract manager
assigned to the Program Attachment to obtain instructions whether to submit and pursue an insurance claim.
Contractor shall use any insurance proceeds to repair the equipment or replace the equipment with comparable
equipment or remit the insurance proceeds to DSHS.
Section 12.04 Fidelity Bond. For the benefit of DSHS, 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 must 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. The
bond or insurance acquired under this section must include coverage for third party property and include
DSHS as a loss payee or equivalent designation. Contractor shall notify, and obtain prior approval from, the
DSHS Contract Oversight and Support Section before settling a claim on the fidelity bond or insurance.
Section 12.05 Liability Coverage. For the benefit of DSHS, Contractor shall at all times maintain liability
insurance coverage, referred to in Tex. Gov. Code § 2261.102, as "director and officer liability coverage" or
similar coverage for all persons in management or governing positions within Contractor's organization or
with management or governing authority over Contractor's organization (collectively "responsible persons ").
Contractor shall maintain copies of liability policies on site for inspection by DSHS and shall submit copies of
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policies to DSHS upon request. This section applies to entities that are organized as non - profit corporations
under the Texas Non - Profit Corporation Act; for - profit corporations organized under the Texas Business
Corporations Act; and any other legal entity. 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 responsible person damages Department's interests. Contractor
shall notify, and obtain prior-approval from, the DSHS Oversight and Support Section - settling
a claim on the insurance.
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 may be used to pay the premium portion
of overtime only under the following conditions: 1) with the prior written approval of DSHS; 2) temporarily,
in the case of an emergency or an occasional operational bottleneck; 3) when employees are performing
indirect functions, such as administration, maintenance, or accounting; 4) in performance of tests, laboratory
procedures, or similar operations that are 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. Contractor shall provide services only in locations that are in compliance with
all applicable local, state and federal zoning, building, health, fire, and safety standards.
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, or by email to tnailto.coscau @dshs.state.tx.us no later than the 60 calendar day after the
effective date of the Contract, except when 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 year, by signing this Contract, Contractor certifies
that its current Cost Allocation Plan for the current year is the same as that submitted to DSHS for the
previous year. If the Cost Allocation Plan changes during the Contract term, Contractor shall 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 Plans must comply with the guidelines
provided in the Department's Contractor's Financial Procedures Manual located at
ht!p://www.dshs.state.tx.us/contracts/cfpm.shtm.
Section 12.09 No Endorsement. Other than stating the fact that Contractor has a contract with DSHS,
Contractor and its subcontractors are prohibited from publicizing the contractual relationship between
Contractor and DSHS, and from using the Department's name, Iogo or website link in any manner that is
intended, or that could be perceived, as an endorsement or sponsorship by DSHS or the State of Texas of
Contractor's organization, program, services or product, without the express written consent of DSHS.
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 in accordance with Tex. Gov.
Code Chapter 2161 and 34 Tex. Admin. Code § 20.14 et seq. Contractors may obtain a list of HUBS at
htt : / /www.window.state.tx.us/ rocurementl ro hub. If Contractor has filed a HUB subcontracting plan, the
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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 shall 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. Aumin. 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 comparable to products and materials produced outside
of Texas as required by Tex. Gov. Code § 2155.4441.
Section 12.12 Contracts with Subrecipient and Vendor Subcontractors. Contractor may enter into
contracts with Subrecipient subcontractors unless restricted or otherwise prohibited in a specific Program
Attachment(s). Prior to entering into a subrecipient agreement equaling or exceeding $100,000, Contractor
shall obtain written approval from DSHS_ Contractor shall establish written policies and procedures for
competitive procurement and monitoring of subcontracts and shall produce a subcontracting monitoring plan.
Contractor shall monitor subrecipient subcontractors for both financial and programmatic performance and
shall maintain pertinent records that must 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 by the provisions of this Contract.
Contracts with all subcontractors, whether vendor or subrecipient, must be in writing and include the
following:
a) name and address of all parties and the subcontractor's Vendor Identification Number (VIN) or
Employee Identification Number (EIN);
b) a detailed description of the services to be provided;
c) measurable method and rate of payment and total not -to- exceed amount of the contract;
d) clearly defined and executable termination clause; and
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).
Contractor is responsible to DSHS for the performance of any subcontractor. Contractor shall not contract
with a subcontractor, at any tier, that is debarred, suspended, or excluded from or ineligible for participation in
federal assistance programs; or if the subcontractor would be ineligible under the following sections of these
General Provisions: Ineligibility to Receive the Contract section (Assurances and Certifications Article); or the
Conflict of Interest or Transactions Between Related Parties sections (General Terms Article).
Section 12.13 Status of Subcontractors. Contractor shall require all subcontractors to certify that they are
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) years any license issued by the
Department.
Section 12.14 Incorporation of Terms in Subrecipient Subcontracts. Contractor shall include in all its
contracts with Subrecipient subcontractors and solicitations for subrecipient subcontracts, without modification
(except as required to make applicable to the subcontractor), (1) the certifications stated in the Assurances and
Certifications Article; (2) the requirements in the Conflicts of Interest section and the Transaction Between
Related Parties section of the General Terms Article; and (3) a provision granting to DSHS, SAO, OIG, and
the Comptroller General of the United States, and any of their representatives, the right of access to inspect
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the work and the premises on which any work is performed, and the right to audit the subcontractor in
accordance with the Access and Inspection Article in these General Provisions. Each subrecipient subcontract
contract must also include 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 shall ensure that all
written agreements with subrecipient subcontractors incorporate the terms of this Contract so that all terms,
conditions, provisions, requirements, duties and liabilities under this Contract applicable the services -
provided or activities conducted by a subcontractor are passed down to that subcontractor. No provision of this
Contract creates privity of contract between DSHS and any subcontractor of Contractor.
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 this Contract on behalf of Contractor, or
representing themselves as signing this Contract on behalf of Contractor, warrant and guarantee 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. If 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.
If the Contract is terminated under this section., the Department will not enter into a contract with Contractor
for three (3) years from the date of termination.
Section 12.18 Notice of Organizational Change. Contractor shall submit written notice to the contract
manager assigned to the Program Attachment within ten (10) business days of any change to the Contractor's
name; contact information; key personnel, officer, director or partner; organizational structure, such as merger,
acquisition or change in form of business; legal standing; or authority to do business in Texas. A change in
Contractor's name and certain changes in organizational structure require 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
directed 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 year and an acquisition
cost of $5,000 or more, and "controlled assets." Controlled assets include firearms regardless 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. Contractor shall initiate the purchase of all equipment
approved in writing by DSHS, in the first quarter of the Contract or Program Attachment term, as applicable.
Failure to timely initiate the purchase of equipment may result in the 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 contract manager assigned to the Program Attachment.
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Section 12.21 Supplies. Supplies are defined as consumable items necessary to cant' out the services under
this Contract including medical supplies, drugs, janitorial supplies, office supplies, patient educational
supplies, software, and any items of tangible personal property other than those defined as equipment above.
Section 12.22 Changes to Equipment List. All items of equipment purchased with funds under this
- Contract must be itemized in Contractor's equipment 3ist 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 the purchase of equipment. Contractor shall submit to the contract manager
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, Department will
acknowledge its approval by means of a written amendment or by written acceptance of Contractor's Contract
Revision Request, as appropriate.
Section 12.23 Property Inventory and Protection of Assets. Contractor shall maintain an inventory of
equipment and property described in the Other Intangible Property section of Article XIII and submit an
annual cumulative report of the equipment and other property on Form GC -1 I (Contractor's Property
Inventory 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 15 of each year. The report is Iocated on the
DSHS website at http: / /www.dshs. state .tx.us /contracts /forms.shtm Contractor shall maintain, repair, and
protect assets under this Contract to assure their full availability and usefulness. If Contractor is indemnified,
reimbursed, or otherwise compensated for any loss of, destruction of, or damage to the assets provided or
obtained 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 must revert to Department.
If directed by DSHS, Contractor shall return all such property, equipment and supplies to DSHS. Contractor
shall ensure that its subcontracts, if any, contain a specific provision requiring that in the event the
subcontractor's bankruptcy, the subcontractor must sever Department property, equipment, and supplies in
possession of the subcontractor from the bankruptcy, and title must revert to Department, who may require that
the property, equipment and supplies be returned to DSHS.
Section 12.25 Tittle to Property. At the conclusion of the contractual relationship between the Department
and 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
Department 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 must not be used to purchase buildings or real
property. Any costs related to the initial acquisition of the buildings or real property are 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 purchased with the Department funds, except when federal or
state statutory requirements supersede or when the equipment requires licensure or registration by the state, or
when the acquisition price of the equipment is equal to or greater than $5,000. All other equipment 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 $5,000) will 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
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than $5,000, Contractor shall request disposition approval and instructions in writing from the contract
.manager assigned to the Program Attachment. After an item reaches the end of its useful life, Contractor shall
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) or when a Program Attachment is otherwise
terminated, Contractor shall submit to the contract manager assigned to the Program Attachment, an inventory
of equipment purchased with Department funds and request disposition instructions for such equipment. All
equipment purchased with Department funds must be secured by Contractor at the time of Closeout or
termination of the Program Attachment and must be disposed of according to the Department's disposition
instructions, which may include return of the equipment to DSHS or transfer of possession to another DSHS
contractor, at Contractor's expense.
Section 12.29 Assets as Collateral Prohibited. Contractors on a cost reimbursement payment method shall
not encumber equipment purchased with Department funds without prior written approval from the
Department.
ARTICLE X111 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 Iobbying expenses. Further, Contractor
shall not use funds paid under this Contract, either directly or indirectly, to support the enactment, repeal,
modification, or adoption of any law, regulation or policy at any level of government, or to pay the salary or
expenses of any person related to any activity designed to influence legislation, regulation, policy or
appropriations pending before Congress or the state legislature, or 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 awarding of any contract or the extension,
continuation, renewal, amendment, or modification of any contract (31 USC § 1352 and UGMS). If at any
time this Contract exceeds $100,000 of federal funds, Contractor shall file with the contract manager assigned
to the Program Attachment a declaration containing the name of any registrant under the Lobbying Disclosure
Act of 1995 who has made lobbying contacts on behalf of Contractor in connection with 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 award; and at the end of each calendar quarter in which any event
occurs that materially affects the accuracy of the information contained in any declaration, certification, or
disclosure previously filed. Contractor shall require any person who requests or receives a subcontract to file
the same declaration, certification, and disclosure with the contract manager assigned to the Program
Attachment. Contractor shall also comply, as applicable, with the lobbying restrictions and requirements in 2
CFR Part 230 (OMB Circulars A -122), Appendix B paragraph 25; 2 CFR Part 225 (A -87) Appendix B section
24; 2 CFR §21527 (A -110) and 2 CFR Part 220 (A -21) Appendix A, subsection J.17 and J.28. Contractor
shall include this provision in any subcontracts.
Section 13.03 Conflict of Interest. Contractor represents to the Department that it and its - subcontractors, if
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any, do not have nor shall Contractor or its subcontractors knowingly acquire or retain, any financial or other
interest that would conflict in any manner with the performance of their obligations under this Contract.
Potential conflicts of interest include, but are not limited to, an existing or potential business or personal
relationship between Contractor (or subcontractor), its principal (or a member of the principal's immediate
family), or any affiliate or subcontractor and the Department or HHSC, their commissioners 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 and subcontractors and their employees from using their
positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of
interest or personal gain. If, at any time during the term of this Contract, Contractor or any of its
subcontractors has a conflict of interest or potential conflict of interest, Contractor shall disclose the actual or
potential conflict of interest to the contract manager assigned to the Program Attachment within ten (10) days
of when Contractor becomes aware of the existence of the actual or potential conflict of interest. Contractor
shall require each of its subcontractors to report to Contractor any conflict of interest or potential conflict of
interest the subcontractor has or may have within ten (10) days of when the subcontractor becomes aware of
the actual or potential conflict of interest.
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 contract manager assigned to the Program Attachment the name, address and telephone number
of the related party, how the party is related to Contractor and the work the related party will perform under
this Contract. A related party is a person or entity related to 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. Contractor, for purposes of reporting transactions between related parties, includes the entity
contracting with the Department under this Contract as well as the chief executive officer, chief financial
officer and program director of 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
trademark/service mark law.
b) For purposes of this Contract intellectual property prepared 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 law, 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 has the right
to obtain and hold in its name any and all patents, copyrights, registrations or other such protections as
may be appropriate to the subject matter, and any extensions and renewals thereof. Contractor shall
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 charge or expense beyond those
amounts payable to Contractor for goods provided or services rendered under this Contract.
c) If federal funds are used to finance activities supported by this Contract that result in the production of
intellectual property, the federal awarding agency reserves a royalty -free, nonexclusive, and
irrevocable license to reproduce, publish, or otherwise use, and to authorize others to use, for federal
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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 awarding agency grant
support and a disclaimer, as appropriate, on any publication written or published with such support
and, if feasible, on any publication reporting the results of or describing a grant- supported activity. An
acknowledgment must be to the sect that "This publication was - made possible by grant nuriibex "
from (federal awarding_ agency) or `The project described was supported by grant number
from federal awarding agency " and "Its contents are solely the responsibility of the authors
and do not necessarily represent the official views of the (federal awarding agency)
d) If the terms of a federal grant award 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 mark, and/or patent on an invention, discovery, or improvement to
any process, machine, manufacture, or composition of matter; products; technology; scientific
information; trade secrets; and computer software, in any work developed under a grant, subgrant, or
contract under a grant or subgrant; and (2) any rights of copyright, service or trade marks or patents to
which a grantee, subgrantee or a Contractor purchases ownership with contract funds.
e) If the results of the contract performance are subject to copyright law, Contractor cannot publish those
results without prior review and approval of DSHS. Contractor shall submit requests for review and
approval to the contract manager assigned to the Program Attachment.
Section 13.06 Other Intangible Property. At the conclusion of the contractual relationship between
Department and 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,
software licenses, etc. Contractor shall inventory all such non- copyrightable intangible property. 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 will survive the termination 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. The 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
will 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 specified by the Party to the other Party in writing or, if sent by certified
mail, on the date of receipt.
Section 13.09 Successors. This Contract will 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 will not be construed in any way to define, limit or describe the scope or intent of any
provisions.
Section 13.11 Parties. The Parties represent to each other that they are entities fully familiar with
transactions of the kind reflected by the contract documents, and are capable of understanding the terminology
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and meaning of their terms and conditions and of obtaining independent legal advice pertaining to this
Contract.
Section 13.12 Survivability of Terms. Terntination or expiration of this Contract or a Program Attachment
for any reason will not release either Party from any liabilities or obligations in this Contract that (a) the
P=k� - have expressly agreed will survive any such termination or expiration; of ('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. At the Department's discretion, the Department may temporarily assume
operations of a Contractor's program or programs funded under this Contract when the continued operation of
the program by Contractor puts at risk the health or safety of clients and/or participants served by Contractor.
Section 13.14 Customer Service Information. if requested, Contractor shall supply such information as
required by the Department to comply with the provisions of Tex. Gov. Code Chapter 2114 regarding
Customer Service surveys.
Section 13.15 Amendment. The 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 contract manager
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 other amendment requests may be granted at
the discretion of DSHS. Except as otherwise provided in this Article, Contractor shall not perform or produce,
and DSHS will 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 will not waive any term, covenant, or condition of this Contract unless by amendment or otherwise
in compliance with this Article.
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) cu mulati ve budget 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 scope of work,
objectives or performance measures; and
e) a change in 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 (10) calendar days shall notify in writing the contract manager assigned to the Program
Attachment of any change enumerated in this section. The notification may be by letter, fax or email.
Cumulative budget line item transfers of 10% or less among direct cost categories, other than equipment, of
cost reimbursement contracts of any amount do not require written amendment or prior approval or
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notification.
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 Contractor, but must be approved by DSHS. The following amendments to this Contract may be
made through a Contractor's - Revision Request; ratherthan through-thee amendment process described in the
Amendment section of this Article:
a) cumulative budget transfers among direct cost categories, other than the equipment category, that
exceed 10% of Program Attachments of $100,000 or mare provided that the total budget amount is
unchanged;
b) budget transfer to other categories of funds for direct payment to trainees for training allowances;
e) change in clinic hours or location;
d) change in the equipment list substituting an item of equipment equivalent to an item of equipment on
the approved budget;
e) changes in the equipment category of a previously approved equipment budget (other than acquisition
of additional equipment, which requires an amendment to this Contract); and
f) changes specified in applicable OMB Circular cost principles as requiring prior approval, regardless of
dollar threshold (e.g., foreign travel expenses, overtime premiums, membership fees.
In order to request a revision of any of the enumerated provisions, Contractor shall obtain a Contract Revision
Request form from the DSHS website available at state. tx.us/ ants /forms.shtm, and complete
the form as directed by the Department. Two copies of the completed form must be signed by Contractor's
representative who is authorized to sign contracts on behalf of Contractor, and both original, signed forms
must be submitted to the contract manager assigned to the Program Attachment. Any approved revision will
not be effective unless signed by the DSHS Director of the Client Services Contracting Unit. A separate
Contractor Revision Request is required for each Program Attachment to be revised. Circumstances of a
requested contract revision may indicate the need for an amendment described in the Amendment section of
this Article rather than a contract revision amendment under this section.
Section 13.1$ Immunity Not Waived. THE PARTIES EXPRESSLY AGREE THAT NO PROVISION OF
THIS CONTRACT IS IN ANY WAY INTENDED TO CONSTITUTE A WAVER BY DEPARTMENT OR
THE STATE OF TEXAS OF ANY IMMUNITIES FROM SUIT OR FROM LIABILITY 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 Department, the State of Texas, individual state employees and officers, and the federal government
harmless and to indemnify them from any and all liability, suits, claims, losses, damages and judgments; and
to pay all costs, fees, and damages to the extent that such costs, fees, and damages arise from performance or
nonperformance of Contractor, its employees, subcontractors, joint venture participants or agents under this
Contract.
Section 13.20 Waiver. Acceptance by either Party of partial performance or failure to complain of any
action, non - action or default under this Contract will not constitute a waiver of either Party's rights under this
Contract.
Section 13.21 Electronic and Information Resources Accessibility and Security Standards. As required
by 1 Tex. Admin. Code Chapters 213 and 206, as a state agency, DSHS must procure products that comply
with the State of Texas Accessibility requirements for Electronic and Information Resources specified in 1
Tex. Admin. Code Chapter 213 and Website Accessibility Standards /Specifications specified in 1 Tex. Admin.
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Code Chapter 206 (collectively EIR Standards) when such products are available in the commercial
marketplace or when such products are developed in response to a procurement solicitation. If performance
under this Contract includes the development, modification or maintenance of a website or other electronic and
information resources for DSHS or for the public on behalf of DSHS, Contractor certifies that the website or
other electronic and information resources comply with the EIR Standards. Contractor further certifies that any
- network hardware or software purchased or provided under this Contract-has undergo 7i, - idependent
certification testing for known and relevant vulnerabilities, in accordance with rules adopted by Department of
Information Resources.
Section 13.22 Force Majeure. Neither Party will be liable for any failure or delay in performing all or some
of its obligations, as applicable, under this Contract if such failure or delay is due to any cause beyond the
reasonable control of such Party, including, but not'limited to, extraordinarily severe weather, strikes, natural
disasters, fire, civil disturbance, epidemic, war, court order, or acts of God. The existence of any such cause of
delay or failure will extend the period of performance in the exercise of reasonable diligence until after the
cause of the delay or failure no longer exists and, if applicable, for any reasonable period of time thereafter
required to resume performance. A Party, within a period of time reasonable under the circumstances, must
inform the other by any reasonable method (phone, email, etc.) and, as soon as practicable, must submit
written notice with proof of receipt, of the existence of a force majeure event or otherwise waive the right as a
defense to non - performance.
Section 13.23 Interim Contracts. The Parties agree that the Contract and/or any of its Program
Attachments will automatically continue as an "Interim Contract" beyond the expiration date of the term of the
Contract or Program Attachment(s), as applicable, under the following circumstances: (1) on or shortly prior to
the expiration date of the Contract or Program Attachment, there is a state of disaster declared by the Governor
that affects the ability or resources of the DSHS contract or program staff managing the Contract to complete
in a timely manner the extension, renewal, or other standard contract process for the Contract or Program
Attachment; and (2) DSHS makes the determination in its sole discretion that an Interim Contract is
appropriate. under the circumstances. DSHS will notify Contractor promptly in writing if such a determination
is made. The notice will specify whether DSHS is extending the Contract or Program Attachment for
additional time for Contractor to perform or complete the previously contracted goods and services (with no
new or additional funding) or is purchasing additional goods and services as described in the Program
Attachment for the term of the Interim Contract, or both. The notice will include billing instructions and
detailed information on how DSHS will fund the goods or services to be procured during the Interim Contract
term. The Interim Contract will terminate thirty (30) days after the disaster declaration is terminated unless the
Parties agree to a shorter period of time.
Section 13.24 Cooperation and Communication. Contractor shall cooperate with Department staff and, as
applicable, other DSHS contractors, and shall promptly comply with requests from DSHS for information or
responses to DSHS inquiries concerning Contractor's duties or responsibilities under this Contract.
ARTICLE XIV BREACH OF CONTRACT AND REMEDIES FOR NON - COMPLIANCE
Section 14.01 Actions Constituting Breach of Contract. Actions or inactions that constitute breach of
contract include, but are not limited to, the following:
a) failure to properly provide the services and/or goods purchased under this Contract;
b) failure to comply with any provision of this Contract, including failure to comply with all applicable
statutes, rules or regulations;
c) failure to pay refunds or penalties owed to the Department;
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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 application or response to the
Solicitation Document;
g any misrepresentation in the assurances and certifications in 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 and sanctions in this section are available to the
Department against Contractor and any entity that subcontracts with Contractor for provision of services or
goods. HHSC O1G may investigate, audit and impose or recommend imposition of remedies or sanctions to
Department for any breach of this Contract 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 remedies or 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 in this section 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 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
following actions:
a) terminate this Contract or a Program Attachment of this Contract as it relates to a specific program
type. hi the case of termination, the Department will inform Contractor of the termination no less than
thirty (30) calendar days before the effective date of the termination in a notice of termination, except
for circumstances that require immediate termination as described in the Emergency Action section of
this Article. The notice of termination will state the effective date of the termination, the reasons for
the termination, and, if applicable, alert Contractor of the opportunity to request a hearing on the
termination pursuant to Tex. Gov. Code Chapter 2105 regarding administration of Block Grants.
Contractor shall not make any claim for payment or reimbursement for services provided from the
effective date of termination;
b) suspend all or part of this Contract. Suspension is an action taken by the Department in which the
Contractor is notified to temporarily (1) discontinue performance of all or part of the Contract, and/or
(2) discontinue incurring expenses otherwise allowable under the Contract as of the effective date of
the suspension, pending DSHS's determination to terminate or amend the Contract or permit the
Contractor to resume performance and/or incur allowable expenses. Contractor shall 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 with Contractor;
d) reduce the funding amount for failure to 1) provide goods and services as described in this Contract or
consistent with.Contract performance expectations, 2) achieve or maintain the proposed level of
service, 3) expend funds appropriately and at a rate that will make full use of the award, or 4) achieve
local match, if required;
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
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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
Departauent retains funds billed by Contractor for (1) 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;
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;
1) 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 are 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
conducted;
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 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) pursue a claim for damages as a result of breach of contract;
q) require Contractor to prohibit any employee or volunteer of Contractor from performing under this
Contract or having direct contact with DSHS - funded clients or participants, or require removal of any
employee, volunteer, officer or governing body member, if the employee, volunteer, officer or
member of the governing body has been indicted or convicted of the misuse of state or federal funds,
fraud or illegal acts that are in contraindication to continued obligations under this Contract, as
reasonably determined by DSHS;
r) withhold any payments to Contractor to satisfy any recoupment, liquidated damages, match
insufficiency, or any penalty (if the penalty is permitted by statute) imposed by DSHS, and take
repayment from funds available under this Contract in amounts necessary to fulfill Contractor's
payment or repayment obligations;
s) reduce the Contract term;
t) recoup improper payments when it is verified that 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;
u) assess liquidated damages;
v) demand repayment of an amount equal to the amount of any match Contractor failed to provide, as
determined by DSHS;
w) impose other remedies, sanctions or penalties permitted by statute.
Section 14.03 Notice of Remedies or Sanctions. Department will formally notify Contractor in writing
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when a remedy or sanction is imposed (with the exception of accelerated monitoring, which may be
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 reconsideration of the remedies and sanctions
imposed. Other than in the case of repayment or recoupment, Contractor is required to file, within fifteen (15)
calendar days of receipt of notice, a written response-to Department acknowledging receipt of such notice. If
requested by the Department, the written response must state how Contractor shall convect the noncompliance
(corrective action plan) or demonstrate in writing that the findings on which the remedies or sanction(s) are
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, rule, or guideline, Department's decision is final. Department will provide written notice to
Contractor of Department's decision. If required by the Department, Contractor shall submit a corrective
action plan for DSHS approval and take corrective action as stated in the approved corrective action plan. 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 under this
Contract.
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 future contract awards, 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 effect on the public or client
health, welfare or safety. The direct adverse effect may be programmatic or finances a cf7m include
nclude
failing to provide services, providing inadequate services, providing unnecessary services, or using
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 Department 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 §§ 4.11-
4.24 will 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 must 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 must specifically state that the provisions of Chapter
2260, subchapter B, are being invoked. A copy of the notice must 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.
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 are unable to resolve their disputes under this Article.
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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 will 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 TERMINATION AND TEMPORARY SUSPENSION
Section 16.01 Expiration of Contract or Program Attachment(s). Except as provided in the Survivability
of Terms section of the General Terms Article, Contractor's service obligations stated in each Program
Attachment will 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 under this Article.
Section 16.02 Effect of Termination. Termination is the permanent withdrawal of Contractor's authority to
obligate previously awarded funds before that authority would otherwise expire or the voluntary
relinquishment by Contractor of the authority to obligate previously awarded funds. Contractor's costs
resulting from obligations incurred by Contractor after termination of an award are not allowable unless
expressly authorized by the notice of termination. Upon termination of this Contract 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 another
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
incurred prior to termination and for Contractor's duty to cooperate with DSHS, and except as provided in the
Survivability of Terms section of the General Terms Article. Termination does not however, constitute a
waiver of any remedies for breach of this Contract. In addition, Contractor's obligations to retain records and
maintain confidentiality of information will survive this Contract.
Section 16.03 Acts Not Constituting Termination. Termination does not include the Department's (1)
withdrawal of funds awarded on the basis of Contractor's underestimate of the unobligated balance in a prior
period; (2) withdrawal of the unobligated balance at the expiration of the term of a program attachment; (3)
refusal to extend a program attachment or award additional funds to make a competing or noncompeting
continuation, renewal, extension, or supplemental award; (4) non - renewal of a contract or program attachment
at Department's sole discretion; or (5) voiding of a contract upon determination that the award was obtained
fraudulently, or was otherwise illegal or invalid from inception.
Section 16.04 Termination or Temporary Suspension Without Cause.
a) Either Parry may terminate this Contract or 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 shall give the
Department at least ninety (90) calendar days prior written notice and shall submit a transition plan to
ensure client services are not disrupted.
b) The Parties may terminate this Contract or a Program Attachment by mutual agreement.
c) DSHS may temporarily suspend or terminate this Contract or a Program Attachment if funds become
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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. Contractor will be notified in writing of any termination or temporary suspension or of
any cessation of temporary suspension. Upon notification of temporary suspension, Contractor shall
discontinue performance under the Contract as of the effective date of the suspension, for the duration
of the suspension.
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) calendar 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) calendar days written notice to Contractor. Such conduct may include one or more of
the following:
a) 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 necessary for the performance or oversight of this
Contract;
c) Contractor breaches a standard 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;
f) 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; or Department determines that Contractor was ineligible to
receive this Contract under Tex. Gov. Code §§ 2155.006 or 2261.053 related to certain disaster
response contracts;
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 for debts;
2) Contractor makes an assignment for the benefit of its creditors;
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)
discharge the judgment, or (b) provide for its discharge in accordance with its terms, or (c) procure
a stay of execution within thirty (30) calendar days from the date of entry of the judgment, or (d) if
the execution is stayed, 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 similar process is issued by any court against all or any
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material portion of the property of Contractor, and such writ or warrant of attachment or any
similar process is not released or bonded within thirty (30) calendar days after its issuance;
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 then 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 of the
sequestration;
9) a petition is filed against Contractor under any state reorganization, arrangement, insolvency,
readjustment of debt, dissolution, receivership or liquidation law of any jurisdiction then in effect,
and the petition is not dismissed within thirty (30) calendar days; or
10) Contractor consents to the appointment of a receiver, trustee, or liquidator of Contractor or of all
or any part of its property;
h) Contractor's management system does not meet the UGMS management standards; or
i) Any required license, certification, permit, registration or approval required to conduct Contractor's
business or to perform services under this Contract is not obtained or is revoked, is surrendered,
expires, is not renewed, is inactivated or is suspended.
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 void this Contract 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, or is suspended, or is terminated for
cause is not eligible for expansion of current contracts, if any, or new contracts or renewals until, in the case of
suspension or termination, 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 repayment.
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
Section 1 5.01 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 upon expiration or prior to expiration, as necessary, to ensure the orderly and safe transfer of
responsibilities under this Contract to DSHS or another entity designated by DSHS. Upon receiving notice of
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Contract or Program Attachment termination or non - renewal, Contractor shall immediately begin to effect an
orderly and safe transition of recipients of services to alternative service providers, as needed. Contractor also
shall completely cease providing services under this Contract or Program Attachment by the date specified in
the termination or non - renewal notice. Contractor shall not bill DSHS for services performed after termination
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 (with no renewal) or non-
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 has 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 are not received within sixty
(50) calendar days after the Contract or Program Attachment end date.
Section 18.04 Payment of Refunds. Any funds paid to Contractor in excess of the amount to which
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, which Contractor shall pay 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 Contractor's obligation to return any funds due as a result of later refunds, corrections, or other
transactions.
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IMM/LOCALS
DSHS Contract Number: 2012- 039103
CORPUS CHRISTI- NUECES COUNTY PUBLIC HEALTH
DISTRICT
EXHIBIT A
Contractors are required to perform all activities of the annual Work plan in compliance
With all documents referenced in this Work Plan.
I. PROGRAM PLANNING AND EVALUATION
General Requirement IA: Implement a comprehensive immunization program. Activities
under this requirement shall be conducted in accordance with the DSHS Immunization
Contractors Guide for Local Health Departments.
Activities IA:
• Adhere to Standards for Child and Adolescent Immunization Practices and Standards
for Adult Immunization Practices found at:
htt : / /www.cdc. ovlvaccinesl ubs/ inkbook/downloads /a endices/H/standards-
pediatric.pdf and
httr)://www.cdc-gov/vaccine s/ ubsf inkbook/downtoads /a endices/H/standards-
adult.pdf
• Maintain current policies in compliance with the DSHS Immunization Contractors
Guide for Local Health Departments and have them available to Contractor's staff.
• Maintain staffing levels to meet required activities of the contract.
• Lapse no more than 5% of total funded amount of the contract.
• Submit required tri- annual reports by January 30, May 30, and September 30 of each
contract term.
2, VACCINE MANAGEMENT
( hqp://www.dshs.state.tx.us/iinn - iunize/tvfc/tvfc manual.shtm
General Requirement 2A: Ensure that expired, wasted, and unaccounted -for vaccines do
not exceed 5% in Contractor's clinics. Activities under this requirement shall be conducted
in accordance with the DSHS Immunization Contractors Guide for Local Health
Departments and TVFC Operations Manual.
Activity 2A:
• Maintain storage and handling polices and procedures according to the TVFC
Operations Manual.
• Ensure that appropriate Vaccine Management plan is in place at each clinic location
and that it includes an updated Emergency Contingency Plan.
General Requirement 2B: Assist all other TVFC providers in local jurisdiction with
maintaining appropriate vaccine stock levels. Activities under this requirement shall be
conducted in accordance with the DSHS Immunization Contractors Guide for Local Health
Departments and TVFC Operations Manual.
Activities 2B:
• Evaluate maximum vaccine stock levels twice a year in all TVFC provider clinics
under Contractor's jurisdiction and assess providers' inventories when visiting
clinics. This activity will become part of the Electronic Vaccine Inventory (EVI)
system and local health departments will be advised if any assistance on this activity
is needed.
• Review 100% of all vaccine orders, monthly biological reports, and monthly
temperature logs for accuracy and to ensure that the vaccine supply requested is
within established guidelines. Review may be done from a paper report or on the EVI
system.
• If vaccine is available locally, conduct transfers and/or deliveries to support the
TVFC providers requesting assistance.
• Educate and assist all TVFC providers with TVFC Provider Choice, as directed by
DSHS
o To avoid the appearance of impropriety, the LHD must not involve
pharmaceutical manufacturer representative in provider choice trainings; or, the
LHD must not take any other actions which appear to have a connection between
activities sponsored under this contract and any other activities the LHD wishes
to conduct on its own which would involve pharmaceutical manufacturer
representatives giving presentations to providers.
• Offer provider updates, training and information as changes to vaccine management
occurs.
3. REGISTRIES
( http://www.dshs.state.tx.us/irnmunize/Droviders.shtm and
http://dshs.state.tx.us/inimunize/immtrac/default.shtm)
General Requirement 3A: Effectively utilize ImmTrac (the DSHS on -Iine immunization
registry) in Contractor's clinics. Activities under this requirement shall be conducted in
accordance with the DSHS Immunization Contractors Guide for .Local Health Departments.
Activities 3A:
• Search for the client's immunization history at every client encounter.
• Review the client's record for vaccines due and overdue according to the CDC
Recommended Schedules at http://www.cdc.gov/vaccines/recs/schedules/default.htm
• Report to ImmTrac all immunizations administered to children (younger than 18
years) and consented adults in Contractor's clinics, either directly into ImmTrac
online or through TWICES.
• Update demographic information as needed.
• Follow recommended guidelines for obtaining and submitting ImmTrac consent
forms according to the instructions found at
http: / /www.dshs. state. tx. us /immunize/docs /consent guidelines pdf
• Implement changes to the consent process as directed by DSHS.
• Offer updated Immunization History Report to the client or client's parent or
guardian at every client encounter.
• At every client encounter, compare all immunization histories (ImmTrac, TWICES,
validated patient -held records, clinic medical record) and enter into ImmTrac or
TWICES any historical immunizations not in ImmTrac.
General Requirement 3B: Work in good faith, and as described herein, to increase the
number of children less than six years of age who participate in ImmTrac. Activities under
this requirement shall be conducted in accordance with the DSHS Immunization Contractors
Guide for Local Health Departments.
Activity 3B:
• Verbally, and DSHS produced literature, inform parents presenting at
Contractor's clinics about ImmTrac and the benefits of inclusion in ImmTrac.
General Requirement 3C: Work in good faith, and as specified herein, to ensure hnmTrac-
registered private providers use ImmTrac effectively as defined in the DSHS Immunization
Contractors Guide for Local Health Departments. Activities under this requirement shall be
conducted in accordance with the DSHS Immunization Contractors Guide for Local Health
Departments,
Activities 3C:
• Provide orientation to all ImmTrac providers at least once a year and maintain
documentation of all technical assistance provided (e.g. telephone logs).
• Explain and demonstrate the effective use of ImmTrac according to the instructions
located in the DSHS Immunization Contractors Guide for Local Health Departments.
• Explain guidelines for obtaining and submitting ImmTrac consent forms according to
the instructions found at hqp://www.dshs.state.tx.us/inimunize/does/consent
Ruidelines.pdf
• Conduct follow -up with registered ImmTrac providers who are inactive or not using
ImmTrac effectively.
General Requirement 3D: Ensure that immTrac data, entered by Contractor's staff, is
complete, current, and accurate. Activities under this requirement shall be conducted in
accordance with the DSHS Immunization Contractors Guide for Local Health Departments.
Activities 31):
* Train Contractor's staff on ImmTrac data entry and quality standards.
* Update all demographic information, including address and telephone number, at
every client encounter.
4. PROVIDER QUALITY ASSURANCE
(h tLi)://www.dshs-state.tx.us/iinlilunize/tvfcltvfc manual.shtm)
General Requirement 4: Complete site visit follow -up assigned by DSHS Austin or
Health Service Region staff within prescribed timeframes outlined in the TVFC Operations
Manual.. Activities under this requirement shall be conducted in accordance with the DSHS
Immunization Contractors Guide for Local Health Departments.
Activities 4:
• Conduct site visit follow -up and submit results following the process described and
within deadlines established in the TVFC Operations Manual.
• Conduct site visits in 100% of subcontracted entities as listed in the Inter -Local
7
Application and non -Local Health Department WIC immunization clinics, if
applicable.
5. PERINATAL HEPATITIS B PREVENTION
http:l /wwry state. t s. us/ idcu /disease/heputitis/hepatitis ,b /per
Generai Requirement 5A: Ensure all pregnant women are screened far hepatitis B surface
antigen (HBsAg) and that all HBsAg positive pregnant women are reported to DSHS.
Activities under this requirement shall be conducted in accordance with the DSHS
Immunization Contractors Guide for Local Health Departments and Perinatal Hepatitis B
Prevention Manual.
Activity 5A:
• Develop a surveillance system that includes prenatal care providers, obstetrical
care providers, family practitioners, and labor and delivery facilities to assure all
HBsAg- positive pregnant women are reported to DSHS within one week of
diagnosis.
• Educate prenatal care providers routinely to screen pregnant women for HBsAg
status during each pregnancy, implement procedures for documenting HBsAg
screening results in prenatal care records and forward original laboratory results
to the delivery facility.
• Educate delivery hospitals to verify prenatal HBsAg test results of pregnant
women on admission for delivery and test for HBsAg at delivery.
General Requirement 5B: Ensure that all infants born to HBsAg- positive women and
women whose HBsAg status is unknown will receive the first dose of the hepatitis B vaccine
and hepatitis B immune globulin (HBIG) within 12 hours of birth. Activities under this
requirement shall be conducted in accordance with the DSHS Immunization Contractors
Guide for Local Health Departments and Perinatal Hepatitis B Prevention Manual.
Activity 511:
• Assure all labor and delivery facilities develop standing orders and policies to
administer the first dose of the hepatitis B vaccine and HBIG to at risk infants
within 12 hours of birth
• Identify labor and delivery facilities that do not have standing orders and/or
policies and educate providers to establish standing orders and policies to
administer to at -risk infants the first dose of the hepatitis B vaccine and HBIG
within 12 hours of birth
• Determine the number of newborns that do not receive the first dose of the
hepatitis B vaccine and/or the hepatitis B immune globulin and work with those
facilities to ensure all at -risk infants receive the hepatitis B vaccine series and
hepatitis B immune globulin within 12 hours of birth
• Report to DSHS all infants born to HBsAg ( +) women within fifteen (15)
calendar days of the event.
General Requirement 5C: Ensure that 100% of the number of identified infants born to
HBsAg- positive women will complete the hepatitis B vaccine series and post - vaccination
serology (PVS) testing or staff will document appropriately if lost to follow -up. Activities
under this requirement shall be conducted in accordance with the DSHS Immunization
Contractors Guide for Local Health Departments and Perinatal Hepatitis B Prevention
Manual.
Activity 5C:
• Administer or obtain from the provider or IMMTRAC the complete hepatitis B
vaccine series. Infants shall complete the hepatitis B vaccine series by 6 — 8
months of age if the infant receives a single antigen or Pediarix vaccine and by
15 months of age if the infant ieceives the Comvax series.
• Perform PVS testing or obtain from the provider or IMMTRAC PVS testing
results to determine immunity against hepatitis B. Post vaccine serology testing
shall be done by 9 —15 months of age if the infant received a single antigen or
Pediarix vaccine and by 18 months of age if the infant received the Comvax
vaccine series.
General Requirement 51): All reported HBsAg ( +) mothers shall be interviewed and names
and locating information of household contacts and sexual partners elicited for serologic
testing. Activities under this requirement shall be conducted in accordance with the DSHS
Immunization Contractors Guide for Local Health Departments and Perinatal Hepatitis B
Prevention Manual.
Activity 51):
• Household contacts and sexual partners shall be identified for each reported
HBsAg( +) mother
• Each identified contact and sexual partner shall be serologically tested to
determine susceptibility status
General Requirement 5E: 80% of all susceptible household and sexual contacts to HBsAg-
positive women will complete the hepatitis B vaccine series and post vaccine serology
testing or staff will document appropriately if lost to follow -up. Activities under this
requirement shall be conducted in accordance with the DSHS Immunization Contractors
Guide for Local Health Departments and Perinatal Hepatitis B Prevention Manual.
Activity 5E:
• Administer the hepatitis B vaccine series according to the Recommended Adult
Immunization Schedule to susceptible household contacts and sexual partner or
obtains vaccination data from the provider.
• Administer post vaccine serology testing 1 — 2 months after the last dose of the
vaccine series to determine status or obtain PVS results from the provider.
6. EDUCATION, INFORMATION, TRAINING, AND COLLABORATIONS
(htt :l /www.dshs.state.tx.us /immunize/ roviders.shtm
General Requirement 6A: Conduct educational, promotional, and outreach activities for the
general public to enhance immunization awareness, including distribution of DSHS - provided
materials. Activities under this requirement shall be conducted in accordance with the DSHS
Immunization Contractors Guide for Local Health Departments.
Activities 6A:
A
• Contractor will provide vaccine and immunization education to target audiences and
to the general public on the benefits of vaccination, the risk of vaccine - preventable
diseases, staying on the ACIP Recommended Immunization Schedule(s) and the
importance of not missing any vaccines.
• Inform and educate parents of infants, children, adolescents, adults (men and
women), grandparents, seniors, and healthcare providers and the general public about
vaccines for all age groups and vaccine - preventable diseases. Information should
include - the importance and benefits of being fully vaccinated, vaccine
recommendations, and the location(s) of community vaccination clinics.
• Conduct at least one monthly immunization education activity targeting one of the
target groups.
• Document the activity with the number & type of participants, and evaluate activity
by obtaining feedback from participants.
• Use national immunization observances as opportunities to conduct specific
education and promotional activities to give emphasis to the importance and benefits
of vaccines: National Infant Immunization Week (NIIW), National Immunization
Month (NIM), National Adult Immunization Week (NAIW), and National Influenza
Week (NIW).
• Develop and implement a written communications and customer service plan to
assure customers receive consistent, correct immunization information and services
in a courteous and friendly manner on a timely basis.
• Participate in special initiatives as directed by DSHS, such as the Dairy Queen
Coupon project, the Hallmark Card Governor's Program, and others.
• Participate in statewide media campaigns by distributing DSHS - developed and
produced public service announcements and materials to local television and radio
stations, newspapers, parent publications, university newspapers, high school
newspapers, and neighborhood newspapers.
• Promote www.hnmunizeTexas.com the Immunization Branch's website, The
Upshot, electronic newsletter, and the Vaccine Advisory, vaccine newsletter to
providers in the Contractor's jurisdiction.
• Promote and distribute immunization literature for the public to TVFC providers and
Contractor's clinics.
• Provide information to clients, families, and the general public on the purpose of
IrrunTrac, the benefits of ImmTrac participation, and the importance of maintaining a
complete immunization history in lmmTrac.
• Inform the general public about the Texas Vaccines for Children (TVFC) program
and the qualifications to participate in it.
• Distribute TVFC information and educational materials at venues where parents of
TVFC - eligible children might frequent.
• Inform and highly recommend to the medical community and local providers within
the Contractor's' jurisdiction on the annual CDC Epidemiology and Prevention of
Vaccine - Preventable Disease (EPI -VAC) training.
General Requirement 613: Educate, inform, and train the medical community and local
providers within Contractor's jurisdiction on Immunization activities listed below: Activities
under this requirement shall be conducted in accordance with the DSHS Immunization
Contractors Guide for Local Health Departments.
Activities 613:
• Provide training on TVFC requirements and updates (as described in the TVFC
Operations Manual) to TVFC providers annually at a minimum.
• Ensure that the TVFC providers have the most up -to -date, DSHS- produced
immunization information in their offices.
• Provide training, information, and technical assistance to promote the effective use of
ImmTrac by private providers (which includes education regarding the benefits of
ImmTrac participation).
• Educate private providers about the ImunTrac enrollment process and the statutory
requirement to report immunizations.
• As directed by DSHS identify first responders and their immediate family in the
community and inform them of the opportunity to be included in ImmTrac.
• Conduct educational training for hospital and health care providers within the
Contractor's jurisdiction, to increase mandatory screening and reporting of HBsAg-
positive women.
• Provide training on the prevention of Perinatal Hepatitis B to providers within the
Contractor's jurisdiction.
• Educate physicians, laboratories, hospitals, schools, child -care staff, and other health
providers on VPD reporting requirements.
• Educate and update providers on the most current Advisory Committee on
Immunization Practices (ACIP) recommendations for all age groups, as well as on
applicable regulatory vaccination requirements.
• Provide training relating to Standards for Child and Adolescent Immunization
Practices, and Standards for Adult Immunization Practices
ttp://www.cdc.gov/ vaccines / pubs /pinkbook/ downloads /Wpeendices/H/standards-
pediatric.pdf and
ht!p://www.cdc.gov/vaceines/ ubsl inkbook/downloads /a endicesfWstandards-
adult. d to all immunization providers within Contractor's jurisdiction.
• Inform all private providers on the federal requirement that the most current Vaccine
Information Statements (VIS) must be distributed to patients
(http: / /www.cdc.gov/ vaccines /pubs /vis /default.htm).
• Promote a health care workforce that is knowledgeable about vaccines, vaccine
recommendations, vaccine safety, vaccine - preventable diseases, and the delivery of
immunization services.
• Educate healthcare workers on the need to get themselves vaccinated.
• Provide information to community health care employers (hospitals, clinics, doctor's
offices, long -term care facilities) about the importance of vaccination of health care
workers.
• Educate private providers to send 1VIS surveys to the Contractor for research prior to
returning the survey to CDC, if applicable.
• Coordinate educational and other activities with local WIC programs to assure that
children participating in WIC are screened and referred to their "medical home" for
vaccination using a documented immunization history in accordance with the
Standards for Child and Adolescent Immunization Practices
( http://www.edc,gov/ vaccines /pubs /pinkbook/downloads /appendices /H/standards-
ediatric. d
• Offer educational opportunities to all WIC programs in the service area, including
information about on -line and satellite- broadcast continuing education opportunities
from the Centers for Disease Control and Prevention (CDC) Continuing Education
web site (http: / /www.cdc.gov /vaccines /ed/default.htm),
0
General Requirement 6C: Conduct outreach to targeted groups for the promotion of
best practices and special activities related to immunizations. Activities under this
requirement shall be conducted in accordance with the DSHS Immunization Contractors
Guide for Local Health Departments.
Activities 6C:
• Conduct outreach (including, but not limited to, the specific outreach described in the
DSHS Immunization Contractors Guide for Local Health Departments) to families of
children 19 to 35 months of age who are not up to date on their immunizations
according to ImmTrac; Iocate additional immunization histories; and enter history
data into ImmTrac.
• Collaborate with prenatal health care providers, birth registrars, hospital staff,
pediatricians, and other entities to educate parents, expectant parents, and providers
about IxnmTrac and the benefits of participation. Includes the dissemination of
DSHS educational materials as appropriate.
• Identify and contact families of children for whom ImmTrac consent has been
granted but who do not have complete immunization records in ImmTrac.
General Requirement 6D: Conduct recruitment to increase the number of ImmTrac
providers, TVFC providers, and Perinatal Hepatitis B providers. Activities under this
requirement shall be conducted in accordance with the DSHS Immunization Contractors
Guide for Local Health Departments.
Activities 6D:
• Conduct recruitment activities as defined in the TVFC Operations Manual with
providers on the DSHS - supplied provider recruitment list.
• Target adolescent health care providers for recruitment and emphasize adolescent
vaccine requirements and recommendations.
• Recruit new private provider sites for ImmTrac.
• Participate with DSHS regional staff in recruitment of hospitals and providers
conducting surveillance and reporting of Perinatal Hepatitis B.
General Requirement 6E: Establish collaborative efforts with appropriate community
entities regarding promoting immunizations and the reduction of vaccine - preventable
diseases. Activities under this requirement shall be conducted in accordance with the DSHS
Immunization Contractors Guide for Local Health Departments.
Activities 6E:
• Identify providers, hospitals, schools, child care facilities, social service agencies,
and community groups involved in promoting immunizations and reducing vaccine-
preventable diseases.
• List and maintain contact information of group members and collaborations and
identify the best practices they are promoting.
• Maintain written agreements and updates of group members and collaborations.
Document communications, group meetings and planning of activities that promote
the Best Practices identified in contract agreement. Documents are to be accessible
during site visits.
• Report new group members on the tri- annual report.
7. EPIDEMIOLOGY AND SURVEILLANCE
htt : /li state .tx.uslidccrlhealthlvacei►ze preventable diseases /resources /vnd guide u
General Requirement 7: Investigate and document at least 90 % of reportable suspected
vaccine - preventable disease cases within thirty (30) days of notification in accordance with
DSHS Texas Vaccine- Preventable Disease Surveillance Guidelines
ttp:llu .dshs.state.tx uslidculhealthlvaccine preventable diseaseslresourceslvpd guide.p
0 and National Electronic Disease Surveillance System (NEDSS)). Activities under this
requirement shall be conducted in accordance with the DSHS Immunization Contractors
Guide for Local Health Departments.
Activities 7:
• Adhere to the DSHS Vaccine - Preventable Disease (VPD) Surveillance Guidelines,
NEDSS Data Entry Guidelines, and Epi Case Criteria Guide
( h ttps:lltxnedss.dshs. state. tx. us: SQ PHINDoxlUserResources lEDiCaseGtiide.pdfl in
conducting this General Requirement and the associated activities.
• Complete all data entry into NEDSS Base System (NBS) following the NBS Data
Entry Guidelines.
( hops: / /txnedss.dshs. state. Ix. us :8009lPHINDoyUserResources /Data Entf.y Guidelin
es 2007.ndf • Verify and enter complete vaccination history in NBS on all VPD investigations with
case status of confirmed or probable. Complete vaccination history should be
assessed through ImmTrac, provider offices, school records, or patient records.
• Routinely review and follow up on all VPD laboratory reports received, including
electronic lab reports (ELRs) sent from DSHS through NBS and Health Alert
Network MAN).
• Report on steps taken by Contractor to ensure the completeness of VPD reporting
within Contractor's jurisdiction on triannual reports.
• All new VPD surveillance staff will attend Introduction to NBS training and
complete the certification process in order to gain access to the NBS system.
S. POPULATION ASSESSMENT
(Immunization Population Assessment Manual available on line at
ht!p://www.dsbs!state.tx.us/immuiiize/docs/school/2010-
201. 1 Po ulationAssessmentManual_ df (Reference Stock No. 11- 12550, Revised 09110)
General Requirement/Activity $A: When assigned by DSHS, complete 100% of child-
care facility and Head Start center assessments and child care audits. Activities under this
requirement shall be conducted in accordance with the DSHS Immunization Contractors
Guide for Local Health Departments and Population Assessment Manual.
General Requirement/Activity SB: When assigned by DSHS, complete 100% of public
and private school assessments, retrospective surveys, and validation surveys. Activities
under this requirement shall be conducted in accordance with the DSHS Immunization
Contractors Guide for Local Health Departments and Population Assessment Manual.
9. SERVICE DELIVERY
General Requirement 9: Provide immunization services and AC1P- recommended vaccines
in Contractor's clinics to children, adolescents and adults to maximize vaccine coverage
levels within Contractor's jurisdiction. Activities under this requirement shall be conducted
in accordance with the DSHS Immunization Contractors Guide for Local Health
Departments.
Activities 9:
• Ensure that all ACID- recommended vaccines are routinely available to patients who
want them.
• Recommend the simultaneous administration of all needed vaccines for the patient.
• Follow only medically supportable contraindications to vaccination.
• Verbally educate patients and parents /guardians about the benefits and risks of
vaccination, and distribute DSHS educational materials as applicable as part of this
conversation.
• Discuss, and attempt to schedule, the next immunization visit at each client
encounter.
• Explain the benefits of a "medical home" and assist the parent/guardian in obtaining
or identifying the child's medical home.
• Use a Rerninder/Recall system (manual, TWICES, lmmTrac, or other system).
• Establish "standing orders" for vaccination in Contractor's clinics, consistent with
legal requirements for standing order (including, but not limited to, those found in the
Texas Medical Practice Act).
• Implement an employee immunization policy according to CDC recommendations in
Contractor's clinics.
27 r
TEXAS DEPARTMENT OF STATE HEALTH SERVICES
CER'T`IFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS GRANTS LOANS AND COOPERATIVE
AGREEMENTS
The undersigned certifies, to the best of his or her knowledge and belief that:
(1) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to
any person for influencing or attempting to influence an officer or an employee of any agency, a
member of Congress, an officer or employee of Congress, or an employee of a member of Congress in
connection with the awarding of any federal contract, the making of any federal grant, the making of
any federal loan, the entering into of any cooperative agreement, and the extension, continuation,
renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a member of Congress,
an officer or employee of Congress, or an employee of a member of Congress in connection with this
federal contract, grant. loan, or cooperative agreement, the undersigned shall complete and submit
Standard Form LLL, 'Disclosure Form to Report Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants,
loans and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction
was made or entered into. Submission of this certification is a prerequisite for malting or entering into this
transaction imposed by Section I352, Title 31, U.S. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less that $10,000 and not more than $100,000 for each
such failure.
Signature
Print Name of Authorized Individual
2012 - 039103
Application or Contract Number
CORPUS CHRISTI- NUECES COUNTY
PUBLIC HEALTH DISTRICT
Organization Name
Date
CSCU # EF29 -12374 - Revised 08.10.07