HomeMy WebLinkAboutAgreement A-15-548 with PHI.pdf
COUNTY OF FRESNO
Fresno, CA
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AGREEMENT
THIS AGREEMENT is made and entered into this _______ day of ________________, 2015,
by and between the COUNTY OF FRESNO, a Political Subdivision of the State of California,
hereinafter referred to as "COUNTY", and Public Health Institute, a California Non-Profit
Organization, whose address is 555 12th Street, Oakland, California, 94607, hereinafter referred to as
"CONTRACTOR".
W I T N E S S E T H:
WHEREAS, COUNTY, through its Department of Public Health, is in need of a qualified
agency to provide services and administration for program activities to build healthy environments to
be completed under the Department’s Partnerships to Improve Community Health (PICH) Program;
and
WHEREAS, COUNTY, seeks to increase access to smoke-free and tobacco-free environments
through reduced advertising in retail environments; and
WHEREAS, COUNTY, seeks to increase access to healthy food and beverage options for
adults and children through sales and distribution of produce at school sites to the community; and
WHEREAS, COUNTY, seeks to increase access to preventative services through increased
insurance coverage of lifestyle intervention programs and clinical-community linkages; and
WHEREAS, CONTRACTOR, has the facilities, capacity and personnel skilled in the provision
of such services, and the ability to establish and oversee subcontracts for services; and
WHEREAS, CONTRACTOR, through its Cultiva La Salud program, has established
partnerships required to engage with community groups to implement PICH program initiatives; and
WHEREAS, CONTRACTOR, is qualified and is willing to provide such services, pursuant to
the terms and conditions of this Agreement.
NOW, THEREFORE, in consideration of their mutual covenants and conditions, the parties
hereto agree as follows:
1. RESPONSIBILITIES
A. CONTRACTOR shall perform all services and fulfill all responsibilities as set
forth in the Scope of Work, attached hereto as Exhibit A and by this reference incorporated herein.
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B. CONTRACTOR shall perform all services and fulfill all responsibilities as
specified in the COUNTY’s Request for Proposals (RFP) No. 952-5369 dated July 30, 2015,
Addendum No. One (1) to COUNTY’s RFP No. 952-5369 dated August 14, 2015, Addendum No.
Two (2) to COUNTY’s RFP No. 952-5369 dated August 14, 2015, Addendum No. Three (3) to
COUNTY’s RFP No. 952-5369 dated August 24, 2015 (collectively referred to herein as COUNTY’s
Revised RFP), and CONTRACTOR’s Response to said Revised RFP dated September 8, 2015, all
incorporated herein by reference and made part of this Agreement. In the event of any inconsistency
among these documents, the inconsistency shall be resolved by giving precedence in the following
order of priority: 1) to this Agreement, including all Exhibits, 2) to the Revised RFP, 3) to the
CONTRACTOR’s Response to the Revised RFP. A copy of COUNTY’s Revised RFP No. 952-5369
and CONTRACTOR’s Response thereto shall be retained and made available during the term of this
Agreement by COUNTY’s DPH Office of Policy, Planning and Communication (OPPC)
administrative unit.
2. TERM
This Agreement shall become effective on the 1st day of November, 2015 and shall
terminate on the 29th day of September, 2017.
This Agreement shall be extended for one (1) additional twelve (12) month period upon
the same terms and conditions herein set forth, unless written notice of nonrenewal is given by either
CONTRACTOR or COUNTY or COUNTY’s DPH Director, or designee, not later than sixty (60)
days prior to the close of the current Agreement term.
3. TERMINATION
A. Non-Allocation of Funds - The terms of this Agreement, and the services to be
provided thereunder, are contingent on the approval of funds by the appropriating government agency.
Should sufficient funds not be allocated, the services provided may be modified, or this Agreement
terminated at any time by giving CONTRACTOR thirty (30) days advance written notice.
B. Breach of Contract - COUNTY may immediately suspend or terminate this
Agreement in whole or in part, where in the determination of COUNTY there is:
1) An illegal or improper use of funds;
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2) A failure to comply with any term of this Agreement;
3) A substantially incorrect or incomplete report submitted to COUNTY;
4) Improperly performed service.
In no event shall any payment by COUNTY constitute a waiver by COUNTY of any
breach of this Agreement or any default which may then exist on the part of CONTRACTOR. Neither
shall such payment impair or prejudice any remedy available to COUNTY with respect to the breach
or default. COUNTY shall have the right to demand of CONTRACTOR the repayment to COUNTY
of any funds disbursed to CONTRACTOR under this Agreement, which in the judgment of COUNTY
were not expended in accordance with the terms of this Agreement. CONTRACTOR shall promptly
refund any such funds upon demand or, at COUNTY’s option, such repayment shall be deducted from
future payments owing to CONTRACTOR under this Agreement.
C. Without Cause - Under circumstances other than those set forth above, this
Agreement may be terminated by COUNTY upon the giving of thirty (30) days advance written notice
of an intention to terminate to CONTRACTOR.
4. COMPENSATION
COUNTY agrees to pay CONTRACTOR and CONTRACTOR agrees to receive
compensation at the rates as identified in Exhibit B, attached hereto and incorporated herein by this
reference. In no event shall actual services performed under this Agreement be in excess of One
Million, Seven Hundred Ninety-Six Thousand, Six Hundred Forty-Three and No/100 Dollars
($1,796,643) during the period beginning November 1, 2015 through September 29, 2016. In no event
shall actual services performed under this Agreement be in excess of One Million, Three Hundred Ten
Thousand, Twenty-Five and No/100 Dollars ($1,310,025) during the period September 30, 2016
through September 29, 2017. In no event shall actual services performed under this Agreement be in
excess of One Hundred Ninety-Nine Thousand, Eight Hundred Seventy-Nine and No/100 Dollars
($199,879) during the period September 30, 2017 through September 29, 2018. It is understood that
all expenses incidental to CONTRACTOR's performance of actual services under this Agreement
shall be borne by CONTRACTOR.
Payments by COUNTY shall be in arrears, for services provided during the preceding
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month, within forty-five (45) days after receipt and verification of CONTRACTOR's invoices by
COUNTY's Department of Public Health. If CONTRACTOR should fail to comply with any
provision of this Agreement, COUNTY shall be relieved of its obligation for further compensation.
5. INVOICING
CONTRACTOR shall invoice COUNTY monthly, in duplicate, addressed to the County
of Fresno, Department of Public Health, Office of Policy, Planning and Communication, P.O. Box.
11867, Fresno, CA 93775, Attention: PICH Staff Analyst.
CONTRACTOR shall include the following information on invoices submitted: contract
number, invoice number, remittance details, expenditure start and end dates, and transaction analysis
showing all itemized expenditures for the billing period.
CONTRACTOR shall submit copies of program activity records with the monthly
invoice, in accordance with the requirements set forth in Paragraph 14 of this Agreement.
6. INDEPENDENT CONTRACTOR
In performance of the work, duties, and obligations assumed by CONTRACTOR under
this Agreement, it is mutually understood and agreed that CONTRACTOR, including any and all of
CONTRACTOR's officers, agents, and employees will at all times be acting and performing as an
independent contractor, and shall act in an independent capacity and not as an officer, agent, servant,
employee, joint venturer, partner, or associate of the COUNTY. Furthermore, COUNTY shall have
no right to control or supervise or direct the manner or method by which CONTRACTOR shall
perform its work and function. However, COUNTY shall retain the right to administer this
Agreement so as to verify that CONTRACTOR is performing its obligations in accordance with the
terms and conditions thereof. CONTRACTOR and COUNTY shall comply with all applicable
provisions of law and the rules and regulations, if any, of governmental authorities having jurisdiction
over matters which are directly or indirectly the subject of this Agreement.
Because of its status as an independent contractor, CONTRACTOR shall have
absolutely no right to employment rights and benefits available to COUNTY employees.
CONTRACTOR shall be solely liable and responsible for providing to, or on behalf of, its employees
all legally-required employee benefits. In addition, CONTRACTOR shall be solely responsible and
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save COUNTY harmless from all matters relating to payment of CONTRACTOR's employees,
including compliance with Social Security, withholding, and all other regulations governing such
matters. It is acknowledged that during the term of this Agreement, CONTRACTOR may be
providing services to others unrelated to the COUNTY or to this Agreement.
7. MODIFICATION
Any matters of this Agreement may be modified from time to time by the written
consent of all the parties without, in any way, affecting the remainder.
Notwithstanding the above, changes to line items in the budget, attached hereto as
Exhibit B, that do not exceed ten percent (10%) of the maximum compensation payable to the
CONTRACTOR, may be made with the written approval of COUNTY’s Department of Public Health
Director, or designee. Said budget line item changes shall not result in any change to the maximum
compensation amount payable to CONTRACTOR, as stated herein.
8. NON-ASSIGNMENT
Neither party shall assign, transfer or subcontract this Agreement nor their rights or
duties under this Agreement without the prior written consent of the other party.
9. HOLD-HARMLESS
CONTRACTOR agrees to indemnify, save, hold harmless, and at COUNTY's request,
defend the COUNTY, its officers, agents and employees from any and all costs and expenses,
including attorney fees and court costs, damages, liabilities, claims and losses occurring or resulting to
COUNTY in connection with the performance, or failure to perform, by CONTRACTOR, its officers,
agents or employees under this Agreement, and from any and all costs and expenses, including
attorney fees and court costs, damages, liabilities, claims and losses occurring or resulting to any
person, firm or corporation who may be injured or damaged by the performance, or failure to perform,
of CONTRACTOR, its officers, agents or employees under this Agreement.
10. INSURANCE
Without limiting the COUNTY's right to obtain indemnification from CONTRACTOR
or any third parties, CONTRACTOR, at its sole expense, shall maintain in full force and effect the
following insurance policies throughout the term of this Agreement:
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A. Commercial General Liability
Commercial General Liability Insurance with limits of not less than One Million
Dollars ($1,000,000) per occurrence and an annual aggregate of Two Million
Dollars ($2,000,000). This policy shall be issued on a per occurrence basis.
COUNTY may require specific coverage including completed operations,
product liability, contractual liability, Explosion, Collapse, and Underground
(XCU), fire legal liability or any other liability insurance deemed necessary
because of the nature of the Agreement.
B. Automobile Liability
Comprehensive Automobile Liability Insurance with limits for bodily injury of
not less than Two Hundred Fifty Thousand Dollars ($250,000) per person, Five
Hundred Thousand Dollars ($500,000) per accident and for property damages of
not less than Fifty Thousand Dollars ($50,000), or such coverage with a
combined single limit of Five Hundred Thousand Dollars ($500,000). Coverage
should include owned and non-owned vehicles used in connection with this
Agreement.
C. Professional Liability
If CONTRACTOR employs licensed professional staff (e.g. Ph.D., R.N.,
L.C.S.W., M.F.C.C.) in providing services, Professional Liability Insurance with
limits of not less than One Million Dollars ($1,000,000) per occurrence, Three
Million Dollars ($3,000,000) annual aggregate.
D. Worker's Compensation
A policy of Worker's Compensation Insurance as may be required by the
California Labor Code.
CONTRACTOR shall obtain endorsements to the Commercial General Liability
insurance naming the County of Fresno, its officers, agents, and employees, individually and
collectively, as additional insured, but only insofar as the operations under this Agreement are
concerned. Such coverage for additional insured shall apply as primary insurance and any other
insurance, or self-insurance, maintained by the COUNTY, its officers, agents and employees shall be
excess only and not contributing with insurance provided under the CONTRACTOR's policies herein.
This insurance shall not be cancelled or changed without a minimum of thirty (30) days advance
written notice given to COUNTY.
Within thirty (30) days from the date CONTRACTOR executes this Agreement,
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CONTRACTOR shall provide certificates of insurance and endorsements as stated above for all of the
foregoing policies, as required herein, to the County of Fresno, Department of Public Health, P.O. Box
11867, Fresno, California, 93775, Attention: Contracts Section – 6th Floor, stating that such insurance
coverage have been obtained and are in full force; that the County of Fresno, its officers, agents and
employees will not be responsible for any premiums on the policies; that such Commercial General
Liability insurance names the County of Fresno, its officers, agents and employees, individually and
collectively, as additional insured, but only insofar as the operations under this Agreement are
concerned; that such coverage for additional insured shall apply as primary insurance and any other
insurance, or self-insurance, maintained by the COUNTY, its officers, agents and employees, shall be
excess only and not contributing with insurance provided under the CONTRACTOR’s policies herein;
and that this insurance shall not be cancelled or changed without a minimum of thirty (30) days
advance, written notice given to COUNTY.
In the event CONTRACTOR fails to keep in effect at all times insurance coverage as
herein provided, the COUNTY may, in addition to other remedies it may have, suspend or terminate
this Agreement upon the occurrence of such event.
All policies shall be with admitted insurers licensed to do business in the State of
California. Insurance purchased shall be from companies possessing a current A.M. Best, Inc. rating
of A FSC VII or better.
11. CONFIDENTIALITY
All services performed by CONTRACTOR under this Agreement shall be in strict
conformance with all applicable Federal, State of California and/or local laws and regulations relating
to confidentiality.
12. DATA SECURITY
For the purpose of preventing the potential loss, misappropriation or inadvertent access,
viewing, use or disclosure of COUNTY data including sensitive or personal client information; abuse
of COUNTY resources; and/or disruption to COUNTY operations, individuals and/or agencies that
enter into a contractual relationship with the COUNTY for the purpose of providing services under
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this Agreement must employ adequate data security measures to protect the confidential information
provided to CONTRACTOR by the COUNTY, including but not limited to the following:
A. CONTRACTOR-Owned Mobile, Wireless, or Handheld Devices
CONTRACTOR may not connect to COUNTY networks via personally-owned
mobile, wireless or handheld devices, unless the following conditions are met:
1) CONTRACTOR has received authorization by COUNTY for
telecommuting purposes;
2) Current virus protection software is in place;
3) Mobile device has the remote wipe feature enabled; and
4) A secure connection is used.
B. CONTRACTOR-Owned Computers or Computer Peripherals
CONTRACTOR may not bring CONTRACTOR-owned computers or computer
peripherals into the COUNTY for use without prior authorization from the COUNTY’s Chief
Information Officer, and/or designee(s), including but not limited to mobile storage devices. If data is
approved to be transferred, data must be stored on a secure server approved by the COUNTY and
transferred by means of a Virtual Private Network (VPN) connection, or another type of secure
connection. Said data must be encrypted.
C. COUNTY-Owned Computer Equipment
CONTRACTOR or anyone having an employment relationship with the
COUNTY may not use COUNTY computers or computer peripherals on non-COUNTY premises
without prior authorization from the COUNTY’s Chief Information Officer, and/or designee(s).
D. CONTRACTOR may not store COUNTY’s private, confidential or sensitive
data on any hard-disk drive, portable storage device, or remote storage installation unless encrypted.
E. CONTRACTOR shall be responsible to employ strict controls to ensure the
integrity and security of COUNTY’s confidential information and to prevent unauthorized access,
viewing, use or disclosure of data maintained in computer files, program documentation, data
processing systems, data files and data processing equipment which stores or processes COUNTY
data internally and externally.
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F. Confidential client information transmitted to one party by the other by means of
electronic transmissions must be encrypted according to Advanced Encryption Standards (AES) of
128 BIT or higher. Additionally, a password or pass phrase must be utilized.
G. CONTRACTOR is responsible to immediately notify COUNTY of any
violations, breaches or potential breaches of security related to COUNTY’s confidential information,
data maintained in computer files, program documentation, data processing systems, data files and
data processing equipment which stores or processes COUNTY data internally or externally.
H. COUNTY shall provide oversight to CONTRACTOR’s response to all incidents
arising from a possible breach of security related to COUNTY’s confidential client information
provided to CONTRACTOR. CONTRACTOR will be responsible to issue any notification to
affected individuals as required by law or as deemed necessary by COUNTY in its sole discretion.
CONTRACTOR will be responsible for all costs incurred as a result of providing the required
notification.
13. NON-DISCRIMINATION
During the performance of this Agreement, CONTRACTOR shall not unlawfully
discriminate against any employee or applicant for employment, or recipient of services, because of
race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical
condition, genetic information, marital status, sex, gender, sexual orientation, gender identity, gender
expression, age, or military or veteran status pursuant to all applicable State of California and Federal
statutes and regulations.
14. RECORDS
A. Program Activity Records – CONTRACTOR shall maintain accurate records
and program documentation of all completed activities throughout the Agreement term. These may
include, but are not limited to, meeting dates, attendance logs, meeting minutes, invoices and back-up
documentation, which may include receipts, agendas, and event flyers. CONTRACTOR shall submit
copies of program activity records with the monthly invoice.
B. Financial Records – CONTRACTOR shall maintain accurate accounting records
of its costs and operating expenses throughout the Agreement term and reports made as required by
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the COUNTY’s Department of Public Health Director and the Centers for Disease Control and
Prevention (CDC). All such records shall be available for inspection by the designated Auditors of
COUNTY or CDC at reasonable times during normal business hours. Upon expiration of this
Agreement, CONTRACTOR shall prepare and submit to COUNTY a final cost report relative to
services provided under this Agreement.
All records shall be retained through the end of the Agreement term. All records shall
be considered the property of the COUNTY and shall be retained by the COUNTY at the termination
of this Agreement.
15. REPORTS
CONTRACTOR shall submit to the COUNTY’s Department of Public Health PICH
Project Coordinator, or designee, a detailed summary of all program activities completed monthly. In
addition, CONTRACTOR shall also furnish to COUNTY such statements, records, reports, data and
other information as COUNTY may request pertaining to matters covered by this Agreement. In the
event that CONTRACTOR fails to provide such reports or other information required hereunder, it
shall be deemed sufficient cause for COUNTY to withhold monthly payments until there is
compliance.
16. COMPLIANCE WITH FEDERAL REGULATIONS
CONTRACTOR recognizes that COUNTY operates its PICH Program with the use of
federal funds, and that the use of these funds imposes certain requirements on the COUNTY and its
subcontractors. CONTRACTOR shall adhere to all applicable federal requirements, including those
identified in Exhibit C, attached hereto and by this reference incorporated herein.
17. REFERENCES TO LAWS AND RULES
In the event any law, regulation or policy referred to in this Agreement is amended
during the term thereof, the parties hereto agree to comply with the amended provision as of the
effective date of such amendment.
18. DISCLOSURE OF SELF-DEALING TRANSACTIONS
This provision is only applicable if the CONTRACTOR is operating as a corporation (a
for-profit or non-profit corporation) or if during the term of this Agreement, the CONTRACTOR
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changes its status to operate as a corporation.
Members of the CONTRACTOR’s Board of Directors shall disclose any self-dealing
transactions that they are a party to while CONTRACTOR is providing goods or performing services
under this agreement. A self-dealing transaction shall mean a transaction to which the
CONTRACTOR is a party and in which one or more of its directors has a material financial interest.
Members of the Board of Directors shall disclose any self-dealing transactions that they are a party to
by completing and signing a Self-Dealing Transaction Disclosure Form, attached hereto as Exhibit D
and incorporated herein by reference, and submitting it to the COUNTY prior to commencing with the
self-dealing transaction or immediately thereafter.
19. AUDITS AND INSPECTIONS
CONTRACTOR shall at any time during business hours, and as often as the COUNTY
may deem necessary, make available to the COUNTY for examination all of its records and data with
respect to the matters covered by this Agreement. CONTRACTOR shall, upon request by the
COUNTY, permit the COUNTY to audit and inspect all such records and data necessary to ensure
CONTRACTOR's compliance with the terms of this Agreement.
If this Agreement exceeds Ten Thousand and No/100 Dollars ($10,000.00),
CONTRACTOR shall be subject to the examination and audit of the State Auditor for a period of
three (3) years after final payment under contract (Government Code Section 8546.7).
20. NOTICES
The persons and their addresses having authority to give and receive notices under this
Agreement include the following:
COUNTY CONTRACTOR
Director, County of Fresno Chief Financial Officer
Department of Public Health Public Health Institute
P.O. Box 11867 555 12th Avenue, 10th Floor
Fresno, CA 93775 Oakland, CA 94607
Any and all notices between the COUNTY and the CONTRACTOR provided for or
permitted under this Agreement or by law shall be in writing and shall be deemed duly served when
personally delivered to one of the parties, or in lieu of such personal service, when deposited in the
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United States Mail, postage prepaid, addressed to such party.
21. GOVERNING LAW
The parties agree that for the purposes of venue, performance under this Agreement is to
be in Fresno County, California.
The rights and obligations of the parties and all interpretation and performance of this
Agreement shall be governed in all respects by the laws of the State of California.
22. SEVERABILITY
The provisions of this Agreement are severable. The invalidity or unenforceability of
any one provision in the Agreement shall not affect the other provisions.
23. ENTIRE AGREEMENT
This Agreement, including all Exhibits, constitutes the entire agreement between the
CONTRACTOR and COUNTY with respect to the subject matter hereof and supersedes all previous
Agreement negotiations, proposals, commitments, writings, advertisements, publications, and
understanding of any nature whatsoever unless expressly included in this Agreement.
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1 IN WITNESS WHEREOF, the patties hereto have executed this Agreement as of the day and
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year first hereinabove written.
CONTRACTOR:
PUBLIC HEALTH INSTITUTE
. ·' \D d ..
By 1), '1-e,fd*"''7 <2--;{J'q~ ~--
Print Name: 1 ~6. M£~""_o.,·~ M t:t~elftJS
{
Title: L~ie~ 0 --0~-:f\'C-~
Chairman of
12 Date: oc,.T.oB2"L -:f-. 2Ut r.:;-__
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Chief Financial Officer
Title:-------------
Secretary (of Corporation), or
any Assistant Secretary, or
ChiefFinancial Officer, or
any Assistant Treasurer
Date: __ t. o_._-:r-__ ,_IS' _____ _
Mailing Address:
Public Health Institute
Cultiva La Salud
555 till Avenue, lOth Floor
Oakland, CA 94607
Phone #: (51 0) 285-5655
Contact: Tamar Dorfinan, Chief Financial Officer
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COUNTY OF FRESNO:
..
By~~~~~~~~~~~-v
Chainnan, Board of Supervisors
BERNICE E. SEIDEL, Clerk
Board of Supervisors
By -:i,.Jt, ~ ~'+'-• ~
Date: \ () \ 'J-l \ 2-·0 Is:=
PLEASE SEE ADDITIONAL
SIGNATURE PAGE ATTACHED
COUNTY OF FRESNO
Fre~no, CA
Exhibit A
Page 1 of 13
Partnerships to Improve Community Health (PICH) Scope of Work
The Fresno County Department of Public Health is identified as “FCDPH.” Public Health Institute is the Lead Contractor and is identified
as “PHI.” Subcontractors are Youth Leadership Institute “YLI”, Food Commons Fresno “FCF”, Fresno Metro Ministry “FMM” and Cultiva
La Salud or “Cultiva”. Consultants will include ChangeLab Solutions, identified as “CLS” and Berkeley Media Studies Group, identified as
“BMSG”.
Year 1
Initiative 1: Storefront Advertising
Project Period Objective (PPO)
Increase the number of people with improved access to smoke-free and/or tobacco-free environments from 0 to 528, 090 by
September 2017.
PPO Description
The retail environment is the tobacco industry’s main point of entry into local communities, and where the bulk of its advertising and
promotional budgets are spent. Tobacco retail stores are more densely distributed in low income and communities of color, and rural
areas tend to have the lowest tobacco prices and the highest amount of tobacco promotions and ads. Tobacco advertising and
promotions have an even greater effect on youth than peer pressure, and exposure increases the likelihood that youth will start to
smoke. Exposure to tobacco marketing has also been shown to prevent current users from quitting. In Fresno County, tobacco retail
store observation survey data that was collected in the summer of 2013 found that of the stores surveyed, 189 (48.0%) displayed
tobacco advertisements, 200 (50.8%) displayed alcoholic beverage advertisements and 197 (50.0%) displayed sugary drink
advertisements on storefront windows. Only 20 (5.1%) of the stores displayed healthy beverage advertisements (such as, water or 100%
juice) and 8 (2.0%) displayed fruit and vegetables advertisements on storefront windows. The survey also documented that the cities
focused on for this intervention had excessive advertising. For example, in the City of Kingsburg 46.2% of stores had more than 33% of
storefront windows and clear doors covered by signs; in the City of Parlier 42.1% of stores had more than 33% of storefront windows and
clear doors covered by signs; in the City of Fresno 40% of stores had more than 33% of storefront windows and clear doors covered by
signs; in the City of Firebaugh 35.7% of stores had storefront windows covered by signs.
The Fresno County Department of Public Health (the Department) will reduce unhealthy storefront and outdoor advertising at Fresno
County tobacco retailer locations to reduce the appeal of tobacco products. A reduction in the initiation of tobacco use in youth will
decrease tobacco-related illnesses. The Department will educate and inform community members, retailers, and decision makers and
provide technical assistance in the development and implementation of the proposed solution. An estimated 528, 090 people will be
reached in a minimum of three communities including: the Cities of Kingsburg, Fresno, Parlier and Firebaugh. The City of Fresno is the
largest city in the County and the majority of tobacco retailers approximately half of all tobacco retailers in the County of Fresno are
located in the City of Fresno.
Exhibit A
Page 2 of 13
Annual Objective 1 (AO1) Year 1
Increase the number of communities with point of sale communication strategies that reduce storefront window and outdoor
advertising of any sort, including tobacco to reduce appeal of tobacco products in retail environments from 0 to 1 by
September 2016.
Year 1 AO1 Description
Youth Leadership Institute in partnership with the FCDPH will work with partners to reduce the appeal of tobacco products in retail
environments. Utilize the assessment of the Healthy Stores for a Healthy Community Workgroup to identify 2-4 local target communities
in Fresno County. In year one, the goal is for at least one city (City of Kingsburg) in Fresno County, to adopt a practice that reduces
storefront window and outdoor advertising of any sort, including tobacco, for alcohol/tobacco retailers. This will be accomplished through
approved activities to educate and inform the community member, leaders, and retailers of the current advertising practices, the effects
that unhealthy advertising has on youth health behaviors such as smoking initiation, and co-benefits of reducing advertising (safety,
improved community aesthetics, etc.). Educate community members on industry marketing tactics to help people critically assess the
advertising they see around them.
Year 1 AO1 Target Reach: 11,382
Activity Activity Name Description Responsible Party Deliverables
1.1.1 Target
Communitie
Identify two local target communities in Fresno County using the 2014
analysis by the Healthy Stores for a Healthy Community Workgroup.
FCDPH Written report of analysis
1.1.2 Public Opinion
Surveys
Revise the previously existing tobacco and storefront advertising public
opinion survey. Collect 200 public opinion surveys at community events,
health fairs, swap meets, etc. in the targeted jurisdiction. The public opinion
survey will assess such elements as: demographics (gender, age, ethnicity,
smoking/electronic cigarettes use status); concerns and knowledge related to
youth exposure to unhealthy advertising and its impact on health behaviors
such as tobacco use; perception of safety in shopping in stores with excessive
signage verses stores with minimal signage; and support for the proposed
solution.
FCDPH & YLI Written report of data
analysis
1.1.3 Education and
outreach
Conduct eight presentations to community members and key leaders to
provide education on the impact of storefront advertising has on health
behaviors such as tobacco use and tobacco cessation, the Lee Law, and
possible solutions. This will include educational presentations to community
and philanthropic groups, council meetings, and city staff (such as, city
planner, police chief, code enforcement, etc.)
FCDPH & YLI Sign-in sheets, power point,
packet of information
provided
Exhibit A
Page 3 of 13
Activity Activity Name Description Responsible Party Deliverables
1.1.4 Retailer
Education
Provide education to retailers in the local jurisdiction on youth exposure to
unhealthy advertising and its impact on health behaviors such as tobacco use
and the importance of not selling tobacco products to minors. A retailer
training will be provided to local retailers on the provisions and purpose of the
new ordinance.
YLI Sign-in sheets, meeting
notes, packet of information
provided
1.1.5 Provide
Technical
Assistance
Provide ten hours of technical assistance to jurisdiction stakeholders in the
development and implementation of the proposed solution such as, the
development of model ordinance, etc.
YLI & CLS Technical assistance log,
technical assistance
materials developed, copy of
id di 1.1.6 Partner
Engagement
Collaborate with the Fresno County Tobacco Prevention Program to convene
at least 2 Healthy Stores for a Healthy Community Workgroup meetings.
Workgroup members will serve as an advisory board and provide feedback on
development of meeting and presentation materials, coordination for events
and trainings, and provide collaborative support.
FCDPH & YLI Meeting agenda,
meeting notes
1.1.7 Retailer and
Consumer
Assessments
Conduct an assessment of consumers to measure: the purchasing habits of
consumers; the condition of produce available at local stores; recommended
changes to stores most frequently visited; feelings about tobacco, alcohol, and
sugary drink advertisements posted at local stores.
Conduct an assessment of retailers to measure: types of products offered at
stores; willingness to sell healthy foods; incentives that can be provided to
help stores provide healthier options; willingness to move unhealthy products
such as, alcohol and tobacco products and sugary drinks to less visible
locations in the store; participation in Federal Food Assistance; programs;
advantages and/or disadvantages of removing sugary drink, tobacco and
alcohol advertising from inside and outside of store.
FCDPH & YLI Key Informant Interview
Survey Questions, Survey
Results PowerPoint
Presentation
Annual Objective 1 (AO1) Year 2
Increase the number of communities with point of sale communication strategies that reduce storefront window and outdoor
advertising of any sort, including tobacco to reduce appeal of tobacco products in retail environments from 1 to 2 by
September 2017.
Year 2 AO1 Description
Youth Leadership Institute in partnership with the FCDPH will work with partners to reduce the appeal of tobacco products in retail
environments. In year two of the grant, the goal is for at least two cities in Fresno County and/or the County of Fresno, to adopt a
Exhibit A
Page 4 of 13
practice that reduces storefront window and outdoor advertising of any sort, including tobacco, for alcohol/tobacco retailers. This will be
accomplished through approved activities to educate and inform the community and decision makers of the current advertising practices,
the effects of advertising (particularly on youth), and co-benefits of reducing advertising (safety, improved community aesthetics, etc.).
Educate community members on industry marketing tactics to help people critically assess the advertising they see around them.
Year 2 AO1 Target Reach: 494,665
Activity Activity Name Description Responsible Party Deliverables
1.1.1 Public Opinion
Surveys
Collect 500 public opinion surveys at community events, health fairs, swap
meets, etc. in the targeted community. The public opinion survey will assess
such elements as: demographics (gender, age, ethnicity, smoking/electronic
cigarettes use status); concerns and knowledge related to youth exposure to
unhealthy advertising and its impact on health behaviors such as tobacco
use; perception of safety in shopping in stores with excessive signage verses
stores with minimal signage; and support for the proposed solution.
YLI Written report of analysis
and selection
1.1.2 Education and
Outreach
Conduct 16 educational presentations to community members and key
leaders to provide education on the impact of storefront advertising has on
health behaviors such as tobacco use and tobacco cessation, the Lee Law,
and possible solutions. This will include educational presentations to
community and philanthropic groups, council meetings, and city staff (such
as, city planner, police chief, code enforcement, etc.)
FCDPH, BMSG
& YLI
Sign-in sheets, power point,
packet of information
provided
1.1.3 Retailer
Education
Provide education to retailers in the local community on youth exposure to
unhealthy advertising and its impact on health behaviors such as tobacco use
and the importance of not selling tobacco products to minors. A retailer
training will be provided to local retailers on the provisions and purpose of the
new ordinance.
YLI Sign-in sheets, meeting
notes, packet of information
provided
1.1.4 Provide
Technical
Assistance
Provide ten hours of technical assistance to community stakeholders in the
development and implementation of the proposed solution such as, the
development of model ordinance.
YLI & CLS Technical assistance log,
technical assistance
materials, ordinance
1.1.5 Partner
Engagement
Collaborate with the Fresno County Tobacco Prevention Program to convene
at least 4 Healthy Stores for a Healthy Community Workgroup meetings.
Workgroup members will serve as an advisory board and provide feedback
on development of meeting and presentation materials, coordination for
events and trainings, and provide collaborative support.
FCDPH & YLI Meeting agenda,
meeting notes
Initiative 2: Farm to Table
Project Period Objective (PPO)
Increase the number of people with improved access to environments with healthy food and beverage options from 0 to 45,480
by September 2017.
PPO Description
There is growing evidence that what individuals choose to consume is influenced by what is available locally. In Fresno County, there are
more than five times as many fast-food restaurants and convenience stores as supermarkets. Research also documents that small food
stores such as, corner stores and convenience stores, predominantly sell highly processed foods that are high in fat and are low in
nutrients and tend to sell little fresh produce, whole grains, and low-fat dairy products. Furthermore, convenience stores and other small
stores that sell unhealthy snack foods are more likely to be located in low-income neighborhoods and often are near schools. Small food
stores are also more likely to be located near schools with more Hispanic and African American students, even after accounting for
students’ poverty level. Access to grocery stores or markets can limit families’ choices of food options. Many families are limited to what
is available in corner stores or fast food outlets in the neighborhood. In order to find a wider variety of produce at more affordable prices,
residents have to drive –if able – to larger communities with supermarkets or big box stores.
A survey conducted in 2013 at 394 local retail stores in Fresno County reveals that only 28.8% of stores sold non-fat or low-fat milk (1%),
28.3% sold whole wheat bread, 20.9% sold 4 or more types of fresh fruit and 21.2% sold 4 or more types of fresh vegetables. The quality
of the fresh fruit and vegetables available at surveyed retail stores was mixed. A total of 42.7% of surveyed Fresno County stores offered
all or mostly good quality fresh fruit, and 40.9% offered all or mostly good quality fresh vegetables.
In Fresno County over 350 crops are grown, many of them grown nowhere else in the nation, at least not commercially. However, food
deserts and lack of access to transportation severely impact access to healthy foods and beverages for thousands of Fresno County
residents. The United States Department of Agriculture Food Access Research Atlas identifies 93 census tracks (46.5%) in Fresno County
identified as low-income census tracks with a significant number or share of residents living more than one-half mile (urban) or 10 miles
(rural) from the nearest grocery store. The Fresno County Department of Public Health (the Department) will increase access and
consumption to fruits and vegetables in neighborhood locations including school sites by increasing the availability of fresh produce.
Affordable and convenient access to healthy foods will encourage the consumption of fresh local produce that will result in improved
health of the community due to improved dietary conditions.
Fresno County and the Farm to Table Workgroup will work with local farmers, and school districts to build and strengthen infrastructure in
order to increase access to fresh produce. School sites can select one or both models: food recovery or community supported agriculture
(CSA). Food recovery involves recovering perishable whole produce that would otherwise go to waste and redistributing it to the
community at no cost. The CSA model involves purchasing produce at the district’s lowered cost and selling it at a low cost to community
members. The CSA model was proven effective in a school district in a neighboring county. All activities will target local school sites
located in low-access areas. An estimated 45,480 residents will have increased access and consumption to fresh fruits and vegetables.
Annual Objective 1 (AO1) Year 1
Increase the number of neighborhood locations that offer fresh fruits and vegetables for purchase to local residents with low
access to produce from 0 to 3 by September 2016.
Year 1 AO1 Description
Food Commons Fresno, Fresno Metro Ministry and the Fresno County Department of Public Health will increase access and
consumption of fruits and vegetables for residents living in low-access areas through the implementation of a food distribution hub at
local school sites. FCDPH and the Farm to Table Work group will work with local farmers and school districts to build and strengthen
infrastructure to increase access and consumption to fruits and vegetables at low or no cost. In year one, the goal is for at least three
school sites, located within low-access areas, in the Fresno Unified School District to implement a Farm to Table program. This will be
accomplished through approved activities such as partner collaboration, identifying participating school sites, developing an online
purchasing tool and hosting a vendor showcase. Additional activities include surveying market preference of produce for the targeted
community and promoting the program through various media outlets.
Year 1 AO1 Target Reach: 15,160
Activity Activity Name Description Responsible Party Deliverables
2.1.1 Partner
Collaboration
Collaborate with community partners such as: nutrition center staff, food
service directors, farmers and school staff to implement Farm to Table
program to increase access and consumption of fruits and vegetables.
Convene at least 5 Farm to Table workgroup meetings.
Workgroup members will serve as an advisory board and provide feedback on
development of meeting and presentation materials, coordination for events
and trainings, and provide collaborative support.
FCDPH, PHI,
FCF & FMM
Meeting agenda and notes
2.1.2 Vendor
Showcase
Host at least one Farm to Table Vendor Showcase to connect Fresno County
school districts to local distributors and farmers to facilitate farm to table
process.
FCDPH & FCF Sign-in sheet, pictures of
vendor showcase, meeting
notes
2.1.3 Identify School
Sites
Confirm participating school sites located within low-access areas and
establish logistical processes such as method of distribution, ordering and
payment.
FCDPH, FMM &
FCF
Roster of school sites and
logistical plan
2.1.4 Online
Purchasing Tool
Develop and finalize draft of an online purchasing tool (i.e. mobile app or
website) that the targeted population can use to order and/or purchase
produce.
FCF Draft of mobile app or
website
2.1.5 Technical
Assistance
Provide at least 5 hours of technical assistance to school sites, local
distributors, farmers and other staff to implement distribution method.
FCF & CLS Technical assistance log
2.1.6 Market
preference
Survey the targeted community members near selected school sites within
food deserts to determine market preference of produce. Share results with
school food service directors and distributors to guide purchase of produce for
distribution.
FCF & FMM Survey instrument and
results
2.1.7 Program
promotion
Promote program through the use of flyers, school site newsletters, recorded
phone messages, social media platforms, and other media resources (such
as radio, newspaper, movie theater) as appropriate. Messages will be
composed in appropriate languages (English, Spanish, Hmong).
BMSG, FCF & FMM Copies of promotional
materials
Annual Objective 1 (AO1) Year 2
Increase the number of neighborhood locations that offer fresh fruits and vegetables for purchase to local residents with low
access to produce from 3 to 6 by September 2017.
Year 2 AO1 Description
Food Commons Fresno, Fresno Metro Ministry and the Fresno County Department of Public Health will increase access and
consumption of fruits and vegetables for residents living in low-access areas through the implementation of a food distribution hub at
local school sites. FCDPH and the Farm to Table Work group will work with local farmers, distributers, and school districts to build and
strengthen infrastructure to increase access and consumption to fruits and vegetables at low or no cost. In year two, the goal is for an
additional three school sites, located within low-access areas, in rural Fresno County to implement a Farm to Table program. This will be
accomplished through approved activities such as partner collaboration, identifying participating school sites, developing an online
purchasing tool and hosting a vendor showcase. Additional activities include surveying market preference of produce for the targeted
community and promoting the program through various media outlets.
Year 2 AO1 Target Reach: 15,160
Activity Activity Name Description Responsible Party Deliverables
2.1.1 Partner
Collaboration
Collaborate with community partners such as: nutrition center staff, food
service directors, farmers and school staff to implement Farm to Table
program to increase access and consumption of fruits and vegetables.
Convene at least 5 Farm to Table workgroup meetings.
Workgroup members will serve as an advisory board and provide feedback on
development of meeting and presentation materials, coordination for events
and trainings, and provide collaborative support.
FCDPH, PHI,
FCF & FMM
Meeting agenda and notes
2.1.2 Vendor
Showcase
Host at least two Farm to Table Vendor Showcase to connect Fresno County
school districts to local distributors and farmers to facilitate farm to table
process.
FCF Sign-in sheet, pictures of
vendor showcase, meeting
notes
2.1.3 Identify School
Sites
Identify and confirm additional school sites located within low-access areas
and logistical processes such as method of distribution, ordering and
payment.
FCDPH, & FCF Roster of school sites and
logistical plan
2.1.4 Online
Purchasing Tool
Refine online purchasing tool (mobile app or website) to address any
deficiencies.
FCF List of updates
2.1.5 Technical
Assistance
Provide at least 5 hours of technical assistance to school sites, local
distributors, farmers and other staff to implement distribution method.
FCF Technical assistance log
2.1.6 Market
preference
Survey the targeted community members near new additional
selected school sites within food deserts to determine market
FCF & FMM Survey instrument and
results
2.1.7 Program
promotion
Promote program through the use of flyers, school site newsletters,
recorded phone messages, social media platforms, and other media
BMSG, FCF & FMM Copies of promotional
materials
Initiative 3: Rx for Health
Project Period Objective (PPO)
Increase the number of people with improved opportunities for chronic disease prevention, risk reduction or management
through improved clinical referral programs from 0 to 363,214 by September 2017.
PPO Description
Studies show that people who lead a physically active life, engage in chronic condition self-management programs, and are in good
physical condition have a lower mortality rate and a longer life expectancy. Several types of interventions for the promotion of self-care
and physical activity (PA) in Primary Care have been reported. Programs that combine written instructions, with several training sessions,
an exercise program and strategies to change behavior increased effectiveness. Various authors have stressed the importance of patient
referral to professionals who specialize in the design of healthy exercise programs outside the healthcare environment, making use of the
local resources available in each area as a strategy for effective integration of the promotion of exercise in Primary Care. Growing
evidence exists that educational and supportive interventions directed at helping patients to change risky behaviors or become better
self-managers, improve outcomes across a range of chronic illnesses.
The Fresno County Department of Public Health will increase the number of people with improved opportunities for chronic disease
prevention, risk reduction or management through improved clinical referral programs. In Year 1 of the grant, the Department with work
with one managed care plan (CalViva Health) to reduce financial barriers to patient participation in lifestyle interventions through
increased insurance coverage offered by one local managed care plan. A second managed care plan will also be engaged in the process
in Year 1 but the majority of the focus will be on CalViva Health.
In Year 2 of the grant, the Department will work with Anthem Blue Cross to reduce financial barriers to patient participation in lifestyle
interventions through increased insurance coverage offered. Additionally, in Years 2 and 3, the Department will utilize local resources to
integrate the promotion of lifestyle interventions in Federally Qualified Health Centers and rural health clinic sites. This program will be
called “Prescription for Health” (RX for Health System) Referrals will result in increased utilization of Take Off Pounds Sensibly Clubs,
tobacco cessation (the California Smokers’ Helpline provides free tobacco cessation counseling to California residents), and Chronic
Disease Self-Management Program workshops. The RX for Health System will include training and support for clinicians, changes to
electronic medical record to track referrals, and relationships with communities to track referral outcomes. Provider outreach and
orientation trainings will be followed by a pilot implementation that will test the system to track referrals. Chronic Disease Self-
Management workshop leader trainings will increase the capacity of the health clinic site staff to provide chronic disease prevention self-
management workshops. Workshops classes provided by health clinic site staff and not funded by the grant will provide for sustainability
for the program. Referral, patient participation and physician feedback will contribute to prevention and successful management of
chronic illness. An estimated 363,214 patients will be provided with coverage for participation in lifestyle interventions benefits. The
number of patients reached through referrals through the “Prescription for Health Program” will be identified in Year 2 of the grant.
Annual Objective 1 (AO1) Year 1
Increase the number of managed care plans that provide reimbursement for lifestyle intervention programs (such as, Take Off
Pounds Sensibly Clubs and Chronic Disease Self-Management Program workshops) from 0 to 1 by September 2016.
Year 1 AO1 Description
Cultiva La Salud in partnership with the Fresno County Department of Public Health will increase the number of Lifestyle Intervention
Programs that are covered by managed care plans. An assessment of managed care plans reimbursement strategies for Lifestyle
Intervention Programs will establish a baseline for this intervention. Educational presentations and planning meetings with managed
care plan staff will provide a pathway for systematic change. An estimated 242,542 patients will be impacted among the one-targeted
managed care plan.
Year 1 AO1 Target Reach: 254,000
Activity Activity Name Description Responsible Party Deliverables
3.1.1 Managed Care
Plan Assessment
Assess current fiscal reimbursement strategies for lifestyle interventions by
managed care plans and establish a baseline of which Lifestyle Intervention
Programs are covered. Conduct a cross plan comparison to identify gaps and
potential funding mechanisms.
FCDPH &
Cultiva
Assessment Results
3.1.2 Educational
Materials
Develop supportive materials needed to facilitate negotiation with managed
care plan and clinics.
Cultiva & BMSG Educational materials
developed
3.1.3 Managed Care
Plan and Clinic
Outreach
Conduct at least three meetings with managed care plan Chief Executive
Officers, Regional Directors, Medical Directors, and other staff about how the
increase in coverage for lifestyle intervention programs can prevent and
manage chronic illness.
FCDPH &
Cultiva
Talking points, meeting
notes, agendas
3.1.4 Secure Coverage Document the support of the managed care plan to provide coverage of
lifestyle intervention programs (such as, Take Off Pounds Sensibly Clubs, and
Chronic Disease Self-Management Program workshops).
Cultiva Documentation of Coverage
3.1.5 Provider
Champions
Work with Fresno County Health Officer and clinics to identify healthcare
provider champions to assist in promotion of the RX for Health System.
FCDPH & Cultiva List of recruited healthcare
providers, recruitment
talking points
3.1.6 Health Clinics
Assessment
Conduct an assessment of current lifestyle intervention program referral
practices at the federally qualified health centers/rural health clinics in Fresno
County.
Cultiva & CSV Assessment Results
3.1.7 Technical
Assistance
Provide five hours of technical assistance to the targeted managed care plan
to help facilitate the adoption and implementation of a new policy.
Cultiva & CLS Technical Assistance Log
Annual Objective 1 (AO1) Year 2
Increase the number of managed care plans that provide reimbursement for lifestyle intervention programs (such as, Take Off
Pounds Sensibly Clubs, tobacco cessation, and Chronic Disease Self-Management Program workshops) from 1 to 2 by
September 2017.
Year 2 AO1 Description
Cultiva La Salud in partnership with the Fresno County Department of Public Health will increase the number of Lifestyle Intervention
Programs (such as, Take Off Pounds Sensibly Clubs and Chronic Disease Self-Management Program workshops that are covered by
managed care plans. An assessment of managed care plans reimbursement strategies for Lifestyle Intervention Programs will establish
a baseline for this intervention.
Educational presentations and planning meetings with managed care plan staff will provide a pathway for systematic change. An
estimated 337,364 patients will be impacted among the one-targeted managed care plan.
Year 2 AO1 Target Reach: 337,364
Activity Activity Name Description Responsible Party Deliverables
3.1.1 Educational
Materials
Develop supportive materials needed to facilitate negotiation with managed
care plan and clinics.
Cultiva Educational materials
developed
3.1.2 Managed Care
Plan Outreach
Conduct at least three meetings with managed care plan Chief Executive
Officers, Regional Directors, and other staff about how the increase in
coverage for lifestyle intervention programs can prevent and manage chronic
illness.
FCDPH &
Cultiva
Talking points, agendas,
meeting notes
3.1.3 Secure Coverage Document the support of the managed care plan to provide coverage of
lifestyle intervention programs (such as, Take Off Pounds Sensibly Clubs, and
Chronic Disease Self-Management Program workshops).
Cultiva Documentation of Coverage
3.1.4 Technical
Assistance
Provide five hours of technical assistance to the targeted managed care plan
to help facilitate the adoption and implementation of a new policy.
Cultiva & CLS Technical Assistance Log
Annual Objective 2 (AO2) Year 2
Increase the number of primary care clinics that have adopted a Prescription for Health Referral System from 0 to 8 by
September 2016.
Year 2 AO2 Description
Clinica Sierra Vista in partnership with the Fresno County Department of Public Health will increase "Prescription for Health System"
patient referral to local resources to integrate the promotion of lifestyle interventions in Primary Care, specifically Federally Qualified
Health Center sites. Referrals will result in increased utilization of Take Off Pounds Sensibly (TOPS) Clubs, tobacco cessation services,
and Chronic Disease Self-Management Program workshops. The Prescription for Health System will include training and support for
clinicians, changes to electronic medical record to track referrals, and relationships with communities to track referral outcomes. Provider
outreach and orientations followed by a pilot implementation will test the system to track referrals and facilitate provider feedback.
Chronic Disease Self-Management Program workshop leader trainings will increase the capacity of the Federally Qualified Health
Center staff to provide chronic disease prevention self-management workshops, a foundation for patients to engage in other prevention
referral activities. Chronic Disease Self-Management Program (CDSMP) classes provided by Federally Qualified Health Center staff not
funded by the grant will provide for sustainability for the program. Financial barriers to patient participation in lifestyle interventions will
be reduced through increased insurance coverage. Referral, patient participation and physician feedback will contribute to prevention
and successful management of chronic illness. An estimated 25,850 patients will be reached at 8 Federally Qualified Health Center/
rural health clinic sites.
Year 2 AO2 Target Reach: 25,850
Activity Activity Name Description Responsible Party Deliverables
3.1.1 Develop
Prescription
for Health
Work with at least eight Federally Qualified Health Center/ rural health clinic
sites to develop tailored systems (electronic if possible) to provide and track
referrals for lifestyle intervention programs.
CSV Protocol of referral system
3.1.2 CDSMP
and TOPS
Accessibility
Work with current CDSMP program, TOPS Area Coordinator and Federally
Qualified Health Center/ rural health clinic sites to increase availability of
CDSMP classes and TOPS Clubs in locations accessible to clinic patients.
Provide training as needed to certify Federally Qualified Health Center/ rural
health clinic staff and community health workers as Chronic Disease Self-
Management Program workshop leaders.
FCDPH & CSV Sign-in sheets, training
materials
3.1.3 Orientation
Trainings
Work with clinic staff to develop orientation training on how to utilize the
new Prescription for Health referral system. A total of at least five trainings
will be conducted by clinic staff for other staff members.
CSV Sign-in sheets, training
materials
3.1.4 Track Referrals Work with clinic staff, TOPS Clubs, the California Smokers’ Helpline, CDSMP
to monitor the tracking system for referrals and patient participation. Make
adjustments as needed.
CSV Reports from tracking
system, meeting notes
Administrative
Activity Activity Name Description Responsible Party Deliverables
4.1.1 Establish
Subcontracts
Establish subcontracts within three months of execution of lead contract with
FCDPH.
PHI Copy of executed contracts
4.1.2 Monitor
Subcontracts
Monitor subcontracts to insure compliance with the agreements. Process
invoices.
PHI Copies of monthly invoices
from contractors and
documentation of payment.
4.1.3 Administrative
Meetings
Meet monthly with FCDPH. Include subcontractors quarterly. PHI & All
Subcontractors
Meeting agendas, sign-
in sheets
4.1.4 Training Attend training sessions, conferences, conference callas, and webinars on
specific content areas to augment the internal team’s skills and program
effectiveness.
PHI Copies of training agendas.
Document will be provided
with semi-annual progress
report.
4.1.5 Evaluation Work collaboratively with the contracted Evaluator in the implementation of the
Evaluation Plan including convening meetings with subcontractors and
community partners for planning and training, data collection, and facilitation of
data collection activities by staff and volunteers with subcontractors and
community partners.
PHI Meeting agendas, sign-
in sheets
4.1.6 Communication Work collaboratively with the Communication Coordinator (county staff) in the
implementation of the Communication Plan including convening meetings with
subcontractors and community partners for planning and training as
appropriate.
PHI & BMSG Meeting agendas, sign-
in sheets
4.1.7 Success Stories Submit a minimum of one success to DPH monthly that can be used for public
communication/media purposes.
PHI & BMSG Copy of communication
submitted to DPH
4.1.8 Progress Reports Submit progress bi-annual reports following guidelines from FCDPH and the
Centers Disease Control and Prevention. Submit electronic documentation of
deliverables.
PHI Semi-annual progress report
with supporting documents.
4.1.9 Invoicing Submit monthly Invoices to FCDPH by the fifth of each month. Backup
documentation includes timesheets, expenditure detail and copies of
respective receipts.
PHI Monthly invoices,
backup documentation
Exhibit B
PERSONNEL
Position Title and Name Annual Salary % FTE1 Req.2 Opt.3 Benefit Cost
Program Director, Genoveva Islas 102,743$ 5% 12.5% 22.5% 1,798$
Senior Advisor, Lynn Silver 183,300$ 10% 12.5% 22.5% 6,416$
Program Manager, TBD 73,500$ 100% 12.5% 22.5% 25,725$
Fiscal Coordinator, TBD 59,929$ 100% 12.5% 22.5% 20,975$
Communications Mngr., Brandie Banks-Bey 70,754$ 50% 12.5% 22.5% 12,382$
Administrative Assistant, Lucia Navarro 45,449$ 100% 12.5% 22.5% 15,907$
Health Educator, Jane Alvarado 67,175$ 20% 12.5% 22.5% 4,702$
Berkeley Media Studies Group 105,000$ 35% 12.5% 22.5% 12,863$
Policy Associate, TBD 62,150$ 100% 12.5% 22.5% 21,753$
Sub-Total (at % FTE)350,057$ 5.2 122,521$
Total Personnel 472,578$
CONSULTANTS
Consultants 85,185$
Total Consultants 85,185$
SUPPLIES
General Office Supplies 2,100$
Computer 5,000$
Total Supplies 7,100$
TRAVEL
In-state travel 4,404$
Out-of-state travel -$
Total Travel 4,404$
OPERATIONAL
Facilities 45,000$
Communications 9,000$
Equipment Maintenance 3,000$
Postage 600$
Reproduction & Printing 1,900$
IT Support 9,000$
Conference Meeting 12,435$
Total Operational 80,935$
SUBCONTRACTS
Healthy Retail (Youth Leadership Institute) 243,775$
Farm to Table (FCF +FMM)521,800$
Rx for Health (Clinica Sierra Vista)274,883$
Total Contractual 1,040,458$
Total Direct Costs 1,690,660$
Administrative (Indirect) Costs4 (16.3%)105,983$
TOTAL BUDGET5 1,796,643$
YEAR 1 BUDGET
Benefit Rate
35%
Notes
1: Full-time equivalent
2: Required benefit rate includes FICA
tax, disability insurance, unemployment
insurance, and workers' compensation.
3: Optional benefit rate includes
medical, dental and vision insurance;
retirement; and commuter benefits. This
rate shall not exceed 20% unless
requesting a waiver.
4: Not to exceed 15% of total direct
costs, not including contractual costs,
unless requesting a waiver.
5: Not to exceed $1,796,668
Page 1 of 3
Exhibit B
PERSONNEL
Position Title and Name Annual Salary % FTE1 Req.2 Opt.3 Benefit Cost
Project Director, Genoveva Islas 107,880$ 5% 12.5% 22.5% 1,888$
Program Manager, TBD 77,175$ 100% 12.5% 22.5% 27,011$
Fiscal Coordinator, TBD 62,925$ 100% 12.5% 22.5% 22,024$
Communications Mngr., Brandie Banks-Bey 74,292$ 50% 12.5% 22.5% 13,001$
Administrative Assistant, Lucia Navarro 47,721$ 100% 12.5% 22.5% 16,702$
Policy Associate, TBD 65,258$ 100% 12.5% 22.5% 22,840$
Sub-Total (at % FTE)295,619$ 4.55 103,466$
Total Personnel 399,085$
CONSULTANTS
Consultants 75,135$
Total Consultants 75,135$
SUPPLIES
General Office Supplies 1,949$
Total Supplies 1,949$
TRAVEL
In-state travel 2,800$
Total Travel 2,800$
OPERATIONAL
Facilities 41,769$
Communications 8,354$
Equipment Maintenance 2,785$
Postage 557$
Printing 1,835$
IT Costs 8,354$
Conference Meeting 3,050$
Total Operational 66,704$
SUBCONTRACTS
Healthy Retail (Youth Leadership Institute) 156,924$
Farm to Table (FCF + FMM)338,850$
Rx for Health (Clinical Sierra Vista)179,633$
Total Subcontracts 675,407$
Total Direct Costs 1,221,080$
Administrative (Indirect) Costs4 (16.3%)88,945$
TOTAL BUDGET5 1,310,025$
YEAR 2 BUDGET
Benefit Rate
35%
Notes
1: Full-time equivalent
2: Required benefit rate includes FICA
tax, disability insurance, unemployment
insurance, and workers' compensation.
3: Optional benefit rate includes
medical, dental and vision insurance;
retirement; and commuter benefits. This
rate shall not exceed 20% unless
requesting a waiver.
4: Not to exceed 15% of total direct
costs, not including contractual costs,
unless requesting a waiver.
5: Not to exceed $1,310,054
Page 2 of 3
Exhibit B
PERSONNEL
Position Title and Name Annual Salary % FTE1 Req.2 Opt.3 Benefit Cost
Project Director, Genoveva Islas 113,280$ 5% 12.5% 22.5% 1,982$
Program Manager, TBD 81,034$ 70% 12.5% 22.5% 19,853$
Fiscal Coordinator, TBD 66,071$ 70% 12.5% 22.5% 16,188$
Sub-Total (at % FTE)108,638$ 1.5 38,023$
Total Personnel 146,661$
SUPPLIES
General Office Supplies 634$
Total Supplies 634$
TRAVEL
In-state travel 210$
Total Travel 210$
OPERATIONAL
Facilities 13,572$
Communications 2,715$
Equipment Maintenance 905$
Postage 181$
Printing 1,272$
IT Costs 2,715$
Conference Meeting 3,000$
Total Operational 24,360$
Total Direct Costs 171,865$
Administrative (Indirect) Costs4 (16.3%)28,014$
TOTAL BUDGET5 199,879$
YEAR 3 BUDGET
Benefit Rate
35%
Notes
1: Full-time equivalent
2: Required benefit rate includes FICA
tax, disability insurance, unemployment
insurance, and workers' compensation.
3: Optional benefit rate includes
medical, dental and vision insurance;
retirement; and commuter benefits. This
rate shall not exceed 20% unless
requesting a waiver.
4: Not to exceed 15% of total direct
costs, not including contractual costs,
unless requesting a waiver.
5: Not to exceed $200,000
Page 3 of 3
Exhibit C
page 1 of 9
TERMS AND CONDITIONS
This award is based on the application submitted to, and as approved by, CDC on the above-titled
project and is subject to the terms and conditions incorporated either directly or by reference in the
following:
a. The grant program legislation and program regulation cited in this Notice of Award.
b. The restrictions on the expenditure of federal funds in appropriations acts to the extent those
restrictions are pertinent to the award.
c. 45 CFR Part 74 or 45 CFR Part 92 as applicable.
d. The HS Grants Policy Statement, including addenda in effect as of the beginning date of the
budget period.
e. This award notice, INCLUDING THE TERMS AND CONDITIONS CITED BELOW.
This award has been assigned the Federal Award Identification Number (FAIN) U58DP005567.
Recipients must document the assigned FAIN on each consortium/subaward issued under this award.
Treatment of Program Income:
Additional Costs
DP Special Terms and Conditions
Funding Opportunity Announcement (FOA) Number: CDC-RFA-DP14-1417 Award Number:
U58DP005567-01
Award Type: Cooperative Agreement
Applicable Cost Principles: 2 CFR Part 225 Cost Principles for State, Local, and Indian Tribal
Governments (OMB Circular A-87)
AWARD INFORMATION
Incorporation: The Centers for Disease Control and Prevention (CDC) hereby incorporates Funding
Opportunity Announcement number CDC-RFA-DP14-1417, entitled Partnerships to Improve
Community Health (PICH), and application dated July 21, 2014, as may be amended, which are hereby
made a part of this Non-Research award hereinafter referred to as the Notice of Award (NoA). The
Department of Health and Human Services (HHS) grant recipients must comply with all terms and
conditions outlined in their NoA, including grants policy terms and conditions contained in applicable
HHS Grants Policy Statements, and requirements imposed by program statutes and regulations and
HHS grant administration regulations, as applicable; as well as any requirements or limitations in any
applicable appropriations acts. The term grant is used throughout this notice and includes cooperative
agreements.
CLARIFICATION: The Statutory Authority of 42 USC 241 42 CFR 52 cited on the first page of this
Notice of Award is incorrect. The correct Statutory Authority for this grant under FOA DP14-1417 is:
This program is authorized under Sections 317 (k)(2) of the Public Health Service Act 42 U.S. Code
247b(k)(2).
Approved Funding: Funding in the amount of $1,585,154 is approved for the Year 01 budget period,
which is September 30, 2014 through September 29, 2015. All future year funding will be based on
satisfactory programmatic progress and the availability of funds.
Note: Refer to the Payment Information section for draw down and Payment Management System
(PMS) subaccount information.
Award Funding: Not funded by the Prevention and Public Health Fund
Exhibit C
page 2 of 9
Program Income: Any program income generated under this grant or cooperative agreement will be
used in accordance with the Addition alternative.
FUNDING RESTRICTIONS AND LIMITATIONS
Restrictions that must be considered while planning the programs and writing the budget are:
• Awardees may not use funds for research.
• Awardees may not use funds for clinical care.
• Awardees may use funds only for reasonable program purposes, including personnel, travel,
supplies, and services.
• Generally, awardees may not use funds to purchase furniture or equipment. Any such proposed
spending must be clearly identified in the budget
• Reimbursement of pre-award costs is not allowed.
• Other than for normal and recognized executive-legislative relationships, no funds may be used for:
publicity or propaganda purposes, for the preparation, distribution, or use of any material designed
to support or defeat the enactment of legislation before any legislative body the salary or expenses
of any grant or contract recipient, or agent acting for such recipient, related to any activity
designed to influence the enactment of legislation, appropriations, regulation, administrative action,
or Executive order proposed or pending before any legislative body
• See Additional Requirement (AR) 12 for detailed guidance on this prohibition and additional
guidance on lobbying for CDC awardees.
• The direct and primary recipient in a cooperative agreement program must perform a substantial
role in carrying out project outcomes and not merely serve as a conduit for an award to another
party or provider who is ineligible.
Cost Limitations as Stated in the Consolidated Appropriations Act, 2014, (Items A through G)
A. Cap on Salaries (Div. H, Title II, Sec. 203): None of the funds appropriated in this title shall be used
to pay the salary of an individual, through a grant or other extramural mechanism, at a rate in
excess of Executive Level II. Note: The salary rate limitation does not restrict the salary that an
organization may pay an individual working under an HHS contract or order; it merely limits the
portion of that salary that may be paid with Federal funds.
B. Gun Control Prohibition (Div. H, Title II, Sec. 217): None of the funds made available in this title may
be used, in whole or in part, to advocate or promote gun control.
C. Proper Use of Appropriations - Publicity and Propaganda (LOBBYING) FY2012 (Div. H, Title V, Sec.
503):
(a) No part of any appropriation contained in this Act or transferred pursuant to section 4002 of
Public Law 111-148 shall be used, other than for normal and recognized executive-legislative
relationships, for publicity or propaganda purposes, for the preparation, distribution, or use of
any kit, pamphlet, booklet, publication, electronic communication, radio, television, or video
p resentation designed to support or defeat the enactment of legislation before the Congress or
any State or local legislature or legislative body, except in presentation of the Congress or any
State or local legislature itself, or designed to support or defeat any proposed or pending
regulation, administrative action, or order issued by the executive branch of any State or local
government itself.
(b) No part of any appropriation contained in this Act or transferred pursuant to section 4002 of
Public Law 111-148 shall be used to pay the salary or expenses of any grant or contract
recipient, or agent acting for such recipient, related to any activity designed to influence the
enactment of legislation, appropriations, regulation, administrative action, or Executive order
proposed or pending before the Congress or any State government, State legislature or local
legislature or legislative body, other than normal and recognized executive legislative
Exhibit C
page 3 of 9
relationships or participation by an agency or officer of an State, local or tribal government in
policymaking and administrative processes within the executive branch of that government.
(c) The prohibitions in subsections (a) and (b) shall include any activity to advocate or promote
any proposed, pending or future Federal, State or local tax increase, or any proposed,
pending, or future requirement or restriction on any legal consumer product, including its
sale of marketing, including but not limited to the advocacy or promotion of gun control.
D. Needle Exchange (Div. H, Title V, Sec. 522): Notwithstanding any other provision of this Act, no
funds appropriated in this Act shall be used to carry out any program of distributing sterile needles
or syringes for the hypodermic injection of any illegal drug.
E. Restricts dealings with corporations with recent felonies (Div. E, Title VI, Sec. 623): None of the
funds made available by this Act may be used to enter into a contract, memorandum of
understanding, or cooperative agreement with, make a grant to, or provide a loan or loan guarantee
to any corporation that was convicted (or had an officer or agent of such corporation acting on behalf
of the corporation convicted) of a felony criminal violation under any Federal or State law within the
preceding 24 months, where the awarding agency is aware of the conviction, unless the agency has
considered suspension or debarment of the corporation, or such officer or agent and made a
determination that this further action is not necessary to protect the interests of the Government.
F. Restricts dealings with corporations with unpaid federal tax liability (Div. E, Title VI, Sec. 622, Div. H,
Title V, Sec. 518): None of the funds made available by this Act may be used to enter into a
contract, memorandum of understanding, or cooperative agreement with, make a grant to, or
provide a loan or loan guarantee to, any corporation that any unpaid Federal tax liability that has
been assessed, for which all judicial and administrative remedies have been exhausted or have
lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority
responsible for collecting the tax liability, where the awarding agency is aware of the unpaid tax
liability, unless the agency has considered suspension or debarment of the corporation and made a
determination that this further action is not necessary to protect the interests of the Government.
G. Blocking access to pornography (Div. H, Title V, Sec. 528):
(a) None of the funds made available in this Act may be used to maintain or establish a computer
network unless such network blocks the viewing, downloading, and exchanging of pornography;
(b) Nothing in subsection (a) shall limit the use of funds necessary for any Federal, State, tribal, or
local law enforcement agency or any other entity carrying out criminal investigations,
prosecution, or adjudication activities.
Rent or Space Costs: Grantees are responsible for ensuring that all costs included in this proposal to
establish billing or final indirect cost rates are allowable in accordance with the requirements of the
Federal award(s) to which they apply, including 2 CFR Part 200, Uniform Administrative Requirements,
Cost Principles, and Audit Requirements for Federal Awards; 2 CFR Part 225, Cost Principles for State,
Local, and Indian Tribal Governments (OMB Circular A- 87); and 2 CFR Part 230, Cost Principles for
Non-Profit Organizations (OMB Circular A-122). The grantee also has a responsibility to ensure sub-
recipients expend funds in compliance with applicable federal laws and regulations. Furthermore, it is
the responsibility of the grantee to ensure rent is a legitimate direct cost line item, which the grantee has
supported in current and/or prior projects and these same costs have been treated as indirect costs that
have not been claimed as direct costs. If rent is claimed as direct cost, the grantee must provide a
narrative justification, which describes their prescribed policy to include the effective date to the
assigned Grants Management Specialist (GMS) identified in the CDC Contacts for this award.
Trafficking In Persons: This award is subject to the requirements of the Trafficking Victims Protection
Act of 2000, as amended (22 U.S.C. Part 7104(g)).
REPORTING REQUIREMENTS
Exhibit C
page 4 of 9
Audit Requirement: Domestic Organizations: An organization that expends $500,000 or more in a
fiscal year in Federal awards shall have a single or program-specific audit conducted for that year in
accordance with the provisions of OMB Circular A-133. The audit period is an organization's fiscal
year. The audit must be completed along with a data collection form (SF- SAC), and the reporting
package shall be submitted within the earlier of 30 days after receipt of the auditor's report(s), or nine
(9) months after the end of the audit period. The audit report must be sent to:
Federal Audit Clearing House Internet Data Entry System
Electronic Submission:
https://harvester.census.gov/facides/ISIOvkw1zaelyzjibnahocga5iOll/accounUlogin.aspx
AND
Procurement & Grants Office, Risk Management & Compliance Activity
Electronic Copy to: PGO.Audit.Resolution@cdc.gov
After receipt of the audit report, the National External Audit Review Center will provide audit resolution
instructions. CDC will resolve findings by issuing Final Determination Letters.
Audit requirements for Subrecipients: The grantee must ensure that the subrecipients receiving CDC
funds also meet these requirements. The grantee must also ensure to take appropriate corrective
action within six months after receipt of the subrecipient audit report in instances of non-compliance
with applicable Federal law and regulations (2 CFR 200 Subpart F and HHS Grants Policy Statement).
The grantee may consider whether subrecipient audits necessitate adjustment of the grantee's own
accounting records. If a subrecipient is not required to have a program-specific audit, the grantee is still
required to perform adequate monitoring of subrecipient activities. The grantee shall require each
subrecipient to permit the independent auditor access to the subrecipient's records and financial
statements. The grantee must include this requirement in all subrecipient contracts.
Note: The standards set forth in 2 CFR Part 200 Subpart F will apply to audits of fiscal years beginning
on or after December 26, 2014.
Federal Funding Accountability and Transparency Act (FFATA): FFATA applies to new awards
that have been made and noncompeting continuations that were issued as new awards on or
after October 1, 2010. In accordance with 2 CFR Chapter 1, Part 170 Reporting Sub-Award And
Executive Compensation Information, Prime Awardees awarded a federal grant are required to
file a FFATA sub-award report by the end of the month following the month in which the prime
awardee awards any sub-grant equal to or greater than $25,000.
Pursuant to A-133 (see Section_.205(h) and Section_.205(i)), a grant sub-award includes the provision
of any commodities (food and non-food) to the sub-recipient where the sub-recipient is required to
abide by terms and conditions regarding the use or future administration of those goods. If the sub-
awardee merely consumes or utilizes the goods, the commodities are not in and of themselves
considered sub-awards.
Reporting of First-Tier Sub-awards
Applicability: Unless you are exempt (gross income from all sources reported in last tax return is
under $300,000), you must report each action that obligates $25,000 or more in Federal funds that
does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and
Reinvestment Act of 2009, Pub. L. 111-5) for a sub-award to an entity.
Reporting: Report each obligating action of this award term to http://www.fsrs.gov. For sub-award
Exhibit C
page 5 of 9
information, report no later than the end of the month following the month in which the obligation was
made. (For example, if the obligation was made on November 7, 2010, the obligation must be
reported by no later than December 31, 2010). You must report the information about each obligating
action that the submission instructions posted at http://www.fsrs.gov.
Total Compensation of Sub-recipient Executives: Unless you are exempt (gross income from all
sources reported in last tax return is under $300,000), for each first-tier sub-recipient under this
award, you must report the names and total compensation of each of the sub-recipient's five most
highly compensated executives for the sub-recipient's preceding completed fiscal year, if:
• In the sub-recipient's preceding fiscal year, the sub-recipient received
o 80 percent or more of its annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency Act,
as defined at 2 CFR Part 170.320 (and sub-awards); and
o $25,000,000 or more in annual gross revenues from Federal procurement contracts
(and subcontracts), and Federal financial assistance subject to the Transparency Act
(and sub-awards); and
o The public does not have access to information about the compensation of the
executives through periodic reports filed under section 13(a) or 15(d) of the Securities
Exchange Act of 1934 (15 U.S.C. Part 78m(a), 78o(d)) or section 6104 of the Internal
Revenue Code of 1986. (To determine if the public has access to the compensation
information, see the U.S. Security and Exchange Commission total compensation
filings at http://www.sec.gov/answers/execomp.htm).
You must report sub-recipient executive total compensation to the grantee by the end of the month
following the month during which you make the sub-award. For example, if a sub-award is
obligated on any date during the month of October of a given year (i.e., between October 1st and
31st), you must report any required compensation information of the sub-recipient by November
30th of that year.
Definitions:
• Entity means all of the following, as defined in 2 CFR Part 25 (Appendix A, Paragraph(C)(3)):
o Governmental organization, which is a State, local government, or Indian tribe;
o Foreign public entity;
o Domestic or foreign non-profit organization;
o Domestic or foreign for-profit organization;
o Federal agency, but only as a sub-recipient under an award or sub-award to a
non-Federal entity.
• Executive means officers, managing partners, or any other employees in management
positions.
• Sub-award: a legal instrument to provide support to an eligible sub-recipient for the performance
of any portion of the substantive project or program for which the grantee received this award.
The term does not include the grantees procurement of property and services needed to carry
out the project or program (for further explanation, see Sec. 210 of the attachment to OMB
Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations). A sub-
award may be provided through any legal agreement, including an agreement that the grantee
or a sub-recipient considers a contract.
• Sub-recipient means an entity that receives a sub-award from you (the grantee) under this
award; and is accountable to the grantee for the use of the Federal funds provided by the sub-
award.
• Total compensation means the cash and non-cash dollar value earned by the executive during
the grantee's or sub-recipient's preceding fiscal year and includes the following (for more
information see 17 CFR Part 229.402(c)(2)):
o Salary and bonus
o Awards of stock, stock options, and stock appreciation rights. Use the dollar amount
recognized for financial statement reporting purposes with respect to the fiscal year in
Exhibit C
page 6 of 9
accordance with the Statement of Financial Accounting Standards No. 123 (Revised
2004) (FAS 123R}, Shared Based Payments.
o Earnings for services under non-equity incentive plans. This does not include group life,
health, hospitalization or medical reimbursement plans that do not discriminate in favor
of executives, and are available generally to all salaried employees.
o Change in pension value. This is the change in present value of defined benefit and
actuarial pension plans.
o Above-market earnings on deferred compensation which is not tax-qualified.
o Other compensation, if the aggregate value of all such other compensation (e.g.
severance, termination payments, value of life insurance paid on behalf of the
employee, perquisites or property) for the executive exceeds $10,000.
GENERAL REQUIREMENTS
Travel Cost: In accordance with HHS Grants Policy Statement, travel costs are only allowable where
such travel will provide direct benefit to the project or program. There must be a direct benefit imparted
on behalf of the traveler as it applies to the approved activities of the NoA. To prevent disallowance of
cost, the grantee is responsible for ensuring that only allowable travel reimbursements are applied in
accordance with their organization's established travel policies and procedures. Grantees approved
policies must meet the requirements of 2 CFR Parts 200, 225 and 230, as applicable and 45 CFR Parts
74 and 92, as applicable.
Food and Meals: Costs associated with food or meals are allowable when consistent with OMB
Circulars and guidance, HHS Federal regulations, Program Regulations, HHS policies and guidance. In
addition, costs must be proposed in accordance with grantee approved policies and a determination of
reasonableness has been performed by the grantees. Grantee approved policies must meet the
requirements of 2 CFR- Parts 200, 225 and 230, as applicable and 45 CFR Parts 74 and 92, as
applicable.
Prior Approval: All requests, which require prior approval, must bear the signature of an authorized
official of the business office of the grantee organization as well as the principal investigator or program
or project director named on this NoA. The grantee must submit these requests by May 29, 2015 or no
later than 120 days prior to this budget period's end date. Any requests received that reflect only one
signature will be returned to the grantee unprocessed. Additionally, any requests involving funding
issues must include an itemized budget and a narrative justification of the request.
The following types of requests require prior approval.
• Use of unobligated funds from prior budget period (Carryover)
• Lift funding restriction, withholding, or disallowance
• Redirection of funds
• Change in scope
• Implement a new activity or enter into a sub-award that is not specified in the most recently
approved budget
• Apply for supplemental funds
• Response to the Objective/Technical Review Statement
• Change in key personnel
• Extensions
• Conferences or meetings that exceed cost threshold
Inventions: Acceptance of grant funds obligates grantees to comply with the standard patent rights
clause in 37 CFR Part 401. 14.
Publications: Publications, journal articles, etc. produced under a CDC grant support project must bear
Exhibit C
page 7 of 9
an acknowledgment and disclaimer, as appropriate, for example:
This publication (journal article, etc.) was supported by the Grant or Cooperative Agreement Number
U58DP005567, funded by the Centers for Disease Control and Prevention. Its contents are solely the
responsibility of the authors and do not necessarily represent the official views of the Centers for
Disease Control and Prevention or the Department of Health and Human Services.
Acknowledgment Of Federal Support: When issuing statements, press releases, requests for
proposals, bid solicitations and other documents describing projects or programs funded in whole or in
part with Federal money, all awardees receiving Federal funds, including and not limited to State and
local governments and grantees of Federal research grants, shall clearly state:
• percentage of the total costs of the program or project which will be financed with Federal
money
• dollar amount of Federal funds for the project or program, and
• percentage and dollar amount of the total costs of the project or program that will be financed
by non-governmental sources.
Copyright Interests Provision: This provision is intended to ensure that the public has access to the
results and accomplishments of public health activities funded by CDC. Pursuant to applicable grant
regulations and CDC's Public Access Policy, Recipient agrees to submit into the National Institutes of
Health (NIH) Manuscript Submission (NIHMS) system an electronic version of the final, peer-reviewed
manuscript of any such work developed under this award upon acceptance for publication, lo be made
publicly available no later than 12 months after the official date of publication. Also at the time of
submission, Recipient and/or the Recipient's submitting author must specify the date the final
manuscript will be publicly accessible through PubMed Central (PMC). Recipient and/or Recipient's
submitting author must also post the manuscript through PMC within twelve (12) months of the
publisher's official date of final publication; however the author is strongly encouraged to make the
subject manuscript available as soon as possible. The recipient must obtain prior approval from the
CDC for any exception to this provision.
The author's final, peer-reviewed manuscript is defined as the final version accepted for journal
publication, and includes all modifications from tile publishing peer review process, and all graphics and
supplemental material associated with the article. Recipient and its submitting authors working under
this award are responsible for ensuring that any publishing or copyright agreements concerning
submitted articles reserve adequate right to fully comply with this provision and the license reserved by
CDC. The manuscript will be hosted in both PMC and the CDC Stacks institutional repository system. In
progress reports for this award, recipient must identify publications subject to the CDC Public Access
Policy by using the applicable NIHMS identification number for up to three (3) months after the
publication date and the PubMed Central identification number (PMCID) thereafter.
Disclaimer for Conference/Meeting/Seminar Materials: Disclaimers for conferences/meetings, etc.
and/or publications: If a conference/meeting/seminar is funded by a grant, cooperative agreement, sub-
grant and/or a contract the grantee must include the following statement on conference materials,
including promotional materials, agenda, and internet sites:
Funding for this conference was made possible (in part) by the Centers for Disease Control and
Prevention. The views expressed in written conference materials or publications and by speakers and
moderators do not necessarily reflect the official policies of the Department of Health and Human
Services, nor does the mention of trade names, commercial practices, or organizations imply
endorsement by the U.S. Government.
Logo Use for Conference and Other Materials: Neither the Department of Health and Human
Services (HHS) nor the CDC logo may be displayed if such display would cause confusion as to the
funding source or give false appearance of Government endorsement. Use of the HHS name or logo is
Exhibit C
page 8 of 9
governed by U.S.C. Part 1320b-10, which prohibits misuse of the HHS name and emblem in written
communication. A non-federal entity is unauthorized to use the HHS name or logo governed by U.S.C.
Part 1320b-10. The appropriate use of the HHS logo is subject to review and approval of the HHS Office
of the Assistant Secretary for Public Affairs (OASPA). Moreover, the HHS Office of the Inspector
General has authority to impose civil monetary penalties for violations (42 CFR Part 1003). Accordingly,
neither the HHS nor the CDC logo can be used by the grantee without the express, written consent of
either the CDC Project Officer or the CDC Grants Management Officer. It is the responsibility of the
grantee to request consent for use of the logo in sufficient detail to ensure a complete depiction and
disclosure of all uses of the Government logos. In all cases for utilization of Government logos, the
grantee must ensure written consent is received from the Project Officer and/or the Grants Management
Officer.
Equipment and Products: To the greatest extent practicable, all equipment and products purchased
with CDC funds should be American-made. CDC defines equipment as tangible non- expendable
personal property (including exempt property) charged directly to an award having a useful life of more
than one year AND an acquisition cost of $5,000 or more per unit. However, consistent with grantee
policy, a lower threshold may be established. Please provide the information to the Grants Management
Officer to establish a lower equipment threshold to reflect your organization's policy.
The grantee may use its own property management standards and procedures, provided it observes
provisions of in applicable grant regulations and OMB circulars.
Federal Information Security Management Act (FISMA): All information systems, electronic or hard
copy, that contain federal data must be protected from unauthorized access. This standard also applies
to information associated with CDC grants. Congress and the OMB have instituted laws, policies and
directives that govern the creation and implementation of federal information security practices that
pertain specifically to grants and contracts. The current regulations are pursuant to the Federal
Information Security Management Act (FISMA), Title Ill of the E- Government Act of 2002, PL 107-347.
FISMA applies to CDC grantees only when grantees collect, store, process, transmit or use information
on behalf of HHS or any of its component organizations. In all other cases, FISMA is not applicable to
recipients of grants, including cooperative agreements. Under FISMA, the grantee retains the original
data and intellectual property, and is responsible for the security of these data, subject to all applicable
laws protecting security, privacy, and research. If/When information collected by a grantee is provided
to HHS, responsibility for the protection of the HHS copy of the information is transferred to HHS and it
becomes the agency's responsibility to protect that information and any derivative copies as required by
FISMA.
Pilot Program for Enhancement of Contractor Employee Whistleblower Protections: Grantees are
hereby given notice that the 48 CFR section 3.908, implementing section 828, entitled "Pilot Program for
Enhancement of Contractor Employee Whistleblower Protections," of the National Defense Authorization
Act (NOAA) for Fiscal Year (FY) 2013 (Pub. L. 112-239, enacted January 2, 2013), applies to this award.
Federal Acquisition Regulations
As promulgated in the Federal Register, the relevant portions of 48 CFR section 3.908 read as follows
(note that use of the term "contract," "contractor," "subcontract," or "subcontractor" for the purpose of
this term and condition, should be read as "grant," "grantee," "subgrant," or "subgrantee"):
3.908 Pilot program for enhancement of contractor employee whistleblower protections.
3.908-1 Scope of section.
(a) This section implements 41 U.S.C. 4712.
(b) This section does not apply to:
(1) DoD, NASA, and the Coast Guard; or
Exhibit C
page 9 of 9
(2) Any element of the intelligence community, as defined in section 3(4) of the National Security
Act of 1947 (50 U.S.C. 3003(4)). This section does not apply to any disclosure made by an
employee of a contractor or subcontractor of an element of the intelligence community if such
disclosure:
(i) Relates to an activity of an element of the intelligence community; or
(ii) Was discovered during contract or subcontract services provided to an element of the
intelligence community.
3.908-2 Definitions.
As used in this section-
"Abuse of authority" means an arbitrary and capricious exercise of authority that is inconsistent with the
mission of the executive agency concerned or the successful performance of a contract of such agency.
"Inspector General" means an Inspector General appointed under the Inspector General Act of 1978
and any Inspector General that receives funding from, or has oversight over contracts awarded for, or
on behalf of, the executive agency concerned.
3.908-3 Policy.
a) Contractors and subcontractors are prohibited from discharging, demoting, or otherwise
discriminating against an employee as a reprisal for disclosing, to any of the entities listed at
paragraph (b) of this subsection, information that the employee reasonably believes is evidence of
gross mismanagement of a Federal contract, a gross waste of Federal funds, an abuse of authority
relating to a Federal contract, a substantial and specific danger to public health or safety, or a
violation of law, rule, or regulation related to a Federal contract (including the competition for or
negotiation of a contract). A reprisal is prohibited even if it is undertaken at the request of an
executive branch official, unless the request takes the form of a non-discretionary directive and is
within the authority of the executive branch official making the request.
b) Entities to whom disclosure may be made.
1) A Member of Congress or a representative of a committee of Congress.
2) An Inspector General.
3) The Government Accountability Office.
4) A Federal employee responsible for contract oversight or management at the relevant agency.
5) An authorized official of the Department of Justice or other law enforcement agency.
6) A court or grand jury.
7) A management official or other employee of the contractor or subcontractor who has the
responsibility to investigate, discover, or address misconduct.
c) An employee who initiates or provides evidence of contractor or subcontractor misconduct in any
judicial or administrative proceeding relating to waste, fraud, or abuse on a Federal contract shall
be deemed to have made a disclosure.
3.908-9 Contract clause.
Contractor Employee Whistleblower Rights and Requirement to Inform Employees of Whistleblower
Rights (Sept. 2013)
a) This contract and employees working on this contract will be subject to the whistleblower rights and
remedies in the pilot program on Contractor employee whistleblower protections established at 41
U.S. C. 4712 by section 828 of the National Defense Authorization Act for Fiscal Year 2013 (Pub. L.
112-239) and FAR 3.908.
b) The Contractor shall inform its employees in writing, in the predominant language of the workforce,
of employee whistleblower rights and protections under 41 U.S.C. 4712, as described in section
3.908 of the Federal Acquisition Regulation.
c) The Contractor shall insert the substance of this clause, including this paragraph (c), in all
subcontracts over the simplified acquisition threshold.
Exhibit D
Page 1 of 2
SELF-DEALING TRANSACTION DISCLOSURE FORM
In order to conduct business with the County of Fresno (hereinafter referred to as “County”),
members of a contractor’s board of directors (hereinafter referred to as “County Contractor”), must
disclose any self-dealing transactions that they are a party to while providing goods, performing
services, or both for the County. A self-dealing transaction is defined below:
“A self-dealing transaction means a transaction to which the corporation is a party and in which one
or more of its directors has a material financial interest.”
The definition above will be utilized for purposes of completing this disclosure form.
INSTRUCTIONS
(1) Enter board member’s name, job title (if applicable), and date this disclosure is being made.
(2) Enter the board member’s company/agency name and address.
(3) Describe in detail the nature of the self-dealing transaction that is being disclosed to the
County. At a minimum, include a description of the following:
a. The name of the agency/company with which the Corporation has the transaction;
and
b. The nature of the material financial interest in the Corporation’s transaction that the
board member has.
(4) Describe in detail why the self-dealing transaction is appropriate based on applicable
provisions of the Corporations Code.
(5) Form must be signed by the board member that is involved in the self-dealing transaction
described in Sections (3) and (4).
Exhibit D
Page 2 of 2
(1) Company Board Member Information:
Name: Date:
Job Title:
(2) Company/Agency Name and Address:
(3) Disclosure (Please describe the nature of the self-dealing transaction you are a party to):
(4) Explain why this self-dealing transaction is consistent with the requirements of Corporations Code 5233 (a):
(5) Authorized Signature
Signature: Date: