HomeMy WebLinkAboutAgreement A-19-386 with Valley Health Team Inc.pdf-1-
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A G R E E M E N T
THIS AGREEMENT is made and entered into this _____ day of ______, 2019, by and between
the COUNTY OF FRESNO, a Political Subdivision of the State of California, hereinafter referred to as
"COUNTY", and Valley Health Team, Inc., a California corporation, whose address is 21890 S. Colorado
Avenue, San Joaquin, CA 93660, hereinafter referred to as "CONTRACTOR".
W I T N E S S E T H:
WHEREAS, COUNTY, through its Department of Public Health (Department), received
grant funds from the Centers for Disease Control and Prevention (CDC) to improve prevention and
management of heart disease and stroke through clinic-based strategies and community clinical linkages;
and
WHEREAS, COUNTY, through its Department, is in need of a federally qualified health
clinic to implement Fresno County’s Collaborating for Wellness strategies; and
WHEREAS, CONTRACTOR, has the facilities, equipment, resources, and personnel skilled
in the provision of such services; and
WHEREAS, CONTRACTOR, a federally qualified health clinic, is qualified and is willing to
provide such services, pursuant to the terms and conditions of this Agreement.
NOW, THEREFORE, in consideration of the mutual covenants, terms and conditions herein
contained, the parties hereto agree as follows:
1.OBLIGATIONS OF THE CONTRACTOR
A.CONTRACTOR shall perform all services and fulfill all responsibilities as identified
in the Clinic Subcontractor Scope of Work, Exhibit A, attached hereto and by this reference incorporated
herein.
B.CONTRACTOR shall work to maintain an open and cooperative relationship with
the Department’s Collaborating for Wellness program staff, community partners, and the program
evaluator, Central Valley Health Policy Institute.
C.CONTRACTOR shall prepare a semi-annual and year-end report with
documentation of deliverables to aid Fresno County in preparation of CDC reports.
Agreement No. 19-386
6th August
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2. TERM
The term of this Agreement shall be effective upon execution through and including
September 29, 2021. This Agreement may be extended for two (2) additional consecutive twelve (12)
month periods upon written approval of both parties no later than thirty (30) days prior to the first day of
the next twelve (12) month extension period. The Director of the Department of Public Health or his or
her designee is authorized to execute such written approval on behalf of COUNTY based on
CONTRACTOR’S satisfactory performance, and federal funding availability.
3. TERMINATION
A. Non-Allocation of Funds - The terms of this Agreement, and the services to be
provided hereunder, 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 the CONTRACTOR thirty (30) days advance written notice. Funding for
these services is provided by the US Department of Health and Human Services, Centers for Disease
Control and Prevention – Innovative State and Local Public Health Strategies to Prevent and Manage
Diabetes and Heart Disease and Stroke Program (Catalog of Federal Domestic Assistance Number
93.435).
B. Breach of Contract - The COUNTY may immediately suspend or terminate this
Agreement in whole or in part, where in the determination of the COUNTY there is:
1) An illegal or improper use of funds;
2) A failure to comply with any term of this Agreement;
3) A substantially incorrect or incomplete report submitted to the COUNTY;
4) Improperly performed service.
In no event shall any payment by the COUNTY constitute a waiver by the COUNTY of any
breach of this Agreement or any default which may then exist on the part of the CONTRACTOR. Neither
shall such payment impair or prejudice any remedy available to the COUNTY with respect to the breach or
default. The COUNTY shall have the right to demand of the CONTRACTOR the repayment to the
COUNTY of any funds disbursed to the CONTRACTOR under this Agreement, which in the judgment of
the COUNTY were not expended in accordance with the terms of this Agreement. The CONTRACTOR
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shall promptly refund any such funds upon demand.
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 for the period beginning upon
execution of this Agreement through and including September 29, 2019 be in excess of One Hundred
Ninety-Nine Thousand Nine Hundred Ninety-Nine Dollars and 95/100 ($199,999.95). In no event shall
actual services performed under this Agreement exceed Two Hundred Ninety-Nine Thousand Nine
Hundred Ninety-Nine Dollars and 27/100 ($299,999.27) during each of the following periods: September
30, 2019 through September 29, 2020 and September 30, 2020 through September 29, 2021. In no event
shall services performed under this Agreement be in excess of Two Hundred Ninety-Nine Thousand Nine
Hundred Ninety-Nine Dollars and 27/100 ($299,999.27) during each of the two (2) possible one (1) year
extensions. It is understood that all expenses incidental to CONTRACTOR'S performance of services
under this Agreement shall be borne by CONTRACTOR.
A. Payments by COUNTY shall be in arrears, for services provided during the
preceding 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.
B. COUNTY shall not be obligated to make any payments under this Agreement if
the request for payment is received by the COUNTY more than forty-five (45) days after this Agreement
has terminated or expired.
C. COUNTY agrees to pay CONTRACTOR and CONTRACTOR agrees to receive
compensation based upon actual expenditures incurred by CONTRACTOR for monthly program costs in
accordance with the budget identified in Exhibit B.
D. CONTRACTOR shall be held financially liable for any and all future
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disallowances/audit exceptions due to CONTRACTOR’s deficiency discovered through the State audit
process. At COUNTY’s election, the disallowed amount will be remitted within forty-five (45) days to
COUNTY upon notification or shall be withheld from subsequent payments to CONTRACTOR.
5. INVOICING
CONTRACTOR shall invoice COUNTY monthly, by the thirtieth (30th) day of each month
for the prior month’s expenditures, addressed to the County of Fresno, Department of Public Health,
Office of Health Policy and Wellness - 1817, P.O. Box 11867, Fresno, CA 93775-1800, Attention:
OHPW -1817 Staff Analyst. Invoices shall detail line items as specified in Exhibit B, including original
budget amount(s), current month’s expenses, year-to-date expenses, and budget balances. In addition,
invoices shall also include all relevant supporting documentation including but not limited to copies of
original statements, program expense receipts, payroll records and mileage claims.
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 the
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 the subject
thereof.
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 save COUNTY harmless from all
matters relating to payment of CONTRACTOR'S employees, including compliance with Social Security
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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 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 sub-contract 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’s fees and 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’s fees and
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 or a program of self-insurance, including but not limited to, an insurance pooling
arrangement or Joint Powers Agreement (JPA) throughout the term of the Agreement:
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A. Commercial General Liability
Commercial General Liability Insurance with limits of not less than Two Million
Dollars ($2,000,000.00) per occurrence and an annual aggregate of Four Million
Dollars ($4,000,000.00). This policy shall be issued on a per occurrence basis.
COUNTY may require specific coverages including completed operations,
products liability, contractual liability, Explosion-Collapse-Underground, fire legal
liability or any other liability insurance deemed necessary because of the nature of
this contract.
B. Automobile Liability
Comprehensive Automobile Liability Insurance with limits of not less than One
Million Dollars ($1,000,000.00) per accident for bodily injury and for property
damages. Coverage should include any auto 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 ($1,000,000.00) per occurrence, Three Million Dollars
($3,000,000.00) annual aggregate.
D. Worker's Compensation
A policy of Worker's Compensation insurance as may be required by the California
Labor Code.
E. Child Abuse/Molestation and Social Services Coverage
CONTRACTOR shall have either separate policies or an umbrella policy with
endorsements covering Child Abuse/Molestation and Social Services Liability
coverage or have a specific endorsement on their General Commercial liability
policy covering Child Abuse/Molestation and Social Services Liability. The policy
limits for these policies shall be One Million Dollars ($1,000,000) per occurrence
with a Two Million Dollars ($2,000,000) annual aggregate. The policies are to be
on a per occurrence basis.
Additional Requirements Relating to Insurance
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 COUNTY, its officers, agents and employees shall be excess only and not contributing with insurance
provided under CONTRACTOR's policies herein. This insurance shall not be cancelled or changed without
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a minimum of thirty (30) days advance written notice given to COUNTY.
CONTRACTOR hereby waives its right to recover from COUNTY, its officers, agents, and
employees any amounts paid by the policy of worker’s compensation insurance required by this
Agreement. CONTRACTOR is solely responsible to obtain any endorsement to such policy that may be
necessary to accomplish such waiver of subrogation, but CONTRACTOR’s waiver of subrogation under
this paragraph is effective whether or not CONTRACTOR obtains such an endorsement.
Within Thirty (30) days from the date CONTRACTOR signs and executes this Agreement,
CONTRACTOR shall provide certificates of insurance and endorsement 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, CA 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 for such worker’s compensation insurance the
CONTRACTOR has waived its right to recover from the COUNTY, its officers, agents and employees any
amounts paid under the insurance policy and that waiver does not invalidate the insurance policy; 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 COUNTY, its officers, agents and employees, shall be excess
only and not contributing with insurance provided under 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 issued by admitted insurers licensed to do business in the State of
California, and such insurance shall be purchased from companies possessing a current A.M. Best, Inc.
rating of A FSC VII or better.
11. AUDITS AND INSPECTIONS
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The 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. The CONTRACTOR shall, upon request by the
COUNTY, permit the COUNTY to audit and inspect all of such records and data necessary to ensure
CONTRACTOR'S compliance with the terms of this Agreement.
If this Agreement exceeds ten thousand dollars ($10,000.00), CONTRACTOR shall be
subject to the examination and audit of the Auditor General for a period of three (3) years after final
payment under contract (Government Code Section 8546.7).
12. 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.
13. NON-DISCRIMINATION
During the performance of this Agreement, CONTTRACTOR 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, gender identity, gender expression, age, sexual orientation,
military status or veteran status pursuant to all applicable State of California and Federal statutes and
regulation.
14. 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 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
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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.
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.
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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.
15. LICENSES/CERTIFICATIONS
CONTRACTOR shall throughout the term of this Agreement maintain all necessary
licenses, permits, approvals, certificates, waivers and exemptions necessary for the provision of the
services hereunder and required by the laws and regulations of the United States of America, State of
California, Fresno County and any other applicable government agencies. CONTRACTOR shall notify
COUNTY immediately in writing of its inability to obtain or maintain such licenses, permits, approvals,
certificates, waivers and exemptions, irrespective of the pendency of any appeal related thereto. In addition,
CONTRACTOR shall comply with all other applicable laws, rules, or regulations, as any may now exist or
be hereafter changed.
16. PROPERTY OF COUNTY
All purchases over Five Thousand and No/100 Dollars ($5,000.00) and certain purchases
under Five Thousand and No/100 Dollars ($5,000.00) such as computers, printers, cameras and other
sensitive items made during the life of this Agreement shall be identified as fixed assets with an assigned
County of Fresno Accounting Inventory Number. These fixed assets shall be retained by the COUNTY, as
COUNTY property, in the event this Agreement is terminated or upon expiration of this Agreement.
CONTRACTOR agrees to participate in an annual inventory of all COUNTY fixed assets and shall be
physically present when fixed assets are returned to COUNTY possession at the termination or expiration
of this Agreement.
17. RECORDS
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Financial and statistical data shall be kept and reports made as required by 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. All such records shall be maintained through the end of this
Agreement. All records shall be considered property of COUNTY and shall be retained by COUNTY at the
termination or expiration of this Agreement.
18. REPORTS
CONTRACTOR shall submit to COUNTY within ten (10) calendar days all program reports
for the preceding month. 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. In
addition, CONTRACTOR shall provide written notification and explanation to the COUNTY within five (5)
days of any funds received from another source to conduct the same services covered by this Agreement.
19. COMPLIANCE WITH FEDERAL REGULATIONS
CONTRACTOR recognizes that COUNTY operates is Collaborating for Wellness
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.
20. PROHIBITION OF PUBLICITY
None of the funds, materials, property or services provided directly or indirectly under this
Agreement shall be used for CONTRACTOR’s advertising, fundraising or publicity (e.g., purchasing of
tickets/tables, silent auction donations, media promotions) for the purpose of self-promotion.
Notwithstanding the above, publicity of the services described in Section One (1) of this Agreement shall be
allowed as necessary to raise public awareness about the availability of such specific services when
approved in advance in writing by COUNTY’s OHPW Collaborating for Wellness Project Coordinator. Such
items include but are not limited to written/printed materials, materials posted on the internet, or the use of
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media (e.g., radio, television, billboards, newspapers), and any related expense. Documents prepared by
CONTRACTOR using funding under this Agreement for external release shall undergo appropriate review
and approval prior to release. Review may take up to thirty (30) business days. Materials, whether newly
developed or reprinted, shall include an appropriate acknowledgement/funding statement.
21. 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 Soyla R. Griffin, CEO. Department of Public Health Valley Health Team, Incorporated P.O. Box 11867 21890 S. Colorado Avenue Fresno, CA 93775 San Joaquin, CA 93660
All notices between the COUNTY and CONTRACTOR provided for or permitted under this
Agreement must be in writing and delivered either by personal service, by first-class United States mail, by
an overnight commercial courier service, or by telephonic facsimile transmission. A notice delivered by
personal service is effective upon service to the recipient. A notice delivered by first-class United States
mail is effective three COUNTY business days after deposit in the United States mail, postage prepaid,
addressed to the recipient. A notice delivered by an overnight commercial courier service is effective one
COUNTY business day after deposit with the overnight commercial courier service, delivery fees prepaid,
with delivery instructions given for next day delivery, addressed to the recipient. A notice delivered by
telephonic facsimile is effective when transmission to the recipient is completed (but, if such transmission is
completed outside of COUNTY business hours, then such delivery shall be deemed to be effective at the
next beginning of a COUNTY business day), provided that the sender maintains a machine record of the
completed transmission. For all claims arising out of or related to this Agreement, nothing in this section
establishes, waives, or modifies any claims presentation requirements or procedures provided by law,
including but not limited to the Government Claims Act (Division 3.6 of Title 1 of the Government Code,
beginning with section 810).
22. GOVERNING LAW
Venue for any action arising out of or related to this Agreement shall only be in Fresno
County, California.
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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.
23. 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 the agreement, the CONTRACTOR 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.
24. 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.
25. ENTIRE AGREEMENT
This Agreement, including Exhibits A through D constitute 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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Exhibit A - Collaborating For Wellness Clinic Subcontractor Scope of Work
Page 1 of 7
Strategy #1
Clinic sub-contractor will identify patients with undiagnosed or uncontrolled hypertension for referrals to interventions.
Activity Description Start
Quarter
End
Quarter
Deliverables
Activity 1.1
Clinic sub-contractor will review their electronic health
records (EHR) system to establish identification protocols
and referral procedures for patients with undiagnosed or
uncontrolled hypertension. Clinic will determine which best
practices, improved algorithms, workflows, etc., could be
implemented to better identify patients with undiagnosed
hypertension. This may include working with a technical
assistance (TA) provider/EHR consultant such as Intrepid
Ascent.
Implement new system at a minimum of 4 sites.
Y1Q4 Y1Q4 Submit to Fresno County Department of
Public Health (FCDPH):
-Narrative summary of how clinic
modified their EHR/protocols to improve
identification of undiagnosed
hypertensive, uncontrolled, or at-risk
hypertensive patients.
-Screenshot of new/modified EHR fields.
-Updated clinical guidelines/criteria for
managing hypertension.
Activity 1.2
Clinic sub-contractor staff will use new EHR tool to run
reports on a regular basis and identify patients for
interventions. Staff will track referrals and follow up using
the EHR system or other patient tracking software.
Y1Q4 Y2Q1 Submit to FCDPH:
-Sample report of patients (de-identified)
selected for intervention(s).
Exhibit A - Collaborating For Wellness Clinic Subcontractor Scope of Work
Page 2 of 7
Strategy #2
Clinic sub-contractor will engage non-physician team members (e.g., nurses, nurse practitioners, pharmacists, nutritionists,
physical therapists, social workers) in hypertension and cholesterol management in clinical settings.
Activity Description Start
Quarter
End
Quarter
Deliverables
Activity 2.1
Clinic sub-contractor will identify or recruit non-physician
team member(s) to engage patients in hypertension and
cholesterol management through the Rx for Health program.
Non-physician team members may include health educators,
medical assistants, patient navigators, clinical coordinators,
community health workers, dieticians, etc.
Y1Q4 Y5Q4 Submit to FCDPH:
-List of staff and titles who will work on
the Rx for Health program.
Activity 2.2
Rx for Health non-physician team members will attend
training to improve patient engagement skills. Training may
include Health Coach Training and/or motivational interview
training.
Y1Q4
Y5Q3 Submit to FCDPH:
-List of staff that attended trainings
including dates/times.
- Certificates from trainings attended by
non-physician team members to
improve engagement with patients.
Exhibit A - Collaborating For Wellness Clinic Subcontractor Scope of Work
Page 3 of 7
Strategy #3
Clinic sub-contractor will implement the Rx for Health Program at selected sites.
Activity Description Start
Quarter
End
Quarter
Deliverables
Activity 3.1
Clinic sub-contractor will become familiar with Rx for Health
Program community interventions. This may include the
following resources:
• Chronic Disease Self-Management Program (CDSMP)
• DASH Diet (Dietary Approaches to Stop Hypertension)
• Medication Therapy Management (MTM)
• Cooking Matters
• Smoking Cessation through 1-800-No-Butts
• Cardiac Rehabilitation
• United Way 211
• Check.Change.Control
• DPP
• Other
Partner organizations will arrange information sessions with
clinic staff, including providers, so they are comfortable with
all community referrals.
Y1Q4
Y4Q3 Submit to FCDPH:
-List of dates/times that community
organizations provided information to
clinic staff, including providers.
-List of staff that attended informational
sessions from partner organizations.
-List of any programs that patients were
referred to which are not listed.
Exhibit A - Collaborating For Wellness Clinic Subcontractor Scope of Work
Page 4 of 7
Activity 3.2
Clinic sub-contractor will work with the following
community organizations that are providing the
interventions, to accommodate patients when possible and
necessary:
-CDSMP – clinic staff will help to coordinate space to hold
the classes. Clinic will also provide staff to participate in at
least one class to demonstrate blood pressure self-
management.
-Cooking Matters – clinic staff will help coordinate cooking
classes and will participate in at least one class to
demonstrate blood pressure self-management.
-1-800-No-Butts – clinic staff will need to register to receive
an identification number so that staff can follow up to see
how many patients followed through with the referral.
-MTM – clinical staff (MA’s, Clinical coordinator, LVH/RN) will
work with patients and assist them with their medication
regiments. Pharmacist shall be included to help manage this
coordination.
-Cardiac rehabilitation – clinic staff will develop referral
methods to cardiac rehabilitation programs and will follow
up to determine health improvements.
Y1Q4 Y4Q3 Submit to FCDPH;
-Narrative description of how clinic staff
are working with community partners to
facilitate successful interventions.
-Copies of any meeting agendas with
community agencies, if any.
-Copies of any agreements/MOU’s with
community agencies, if any.
Exhibit A - Collaborating For Wellness Clinic Subcontractor Scope of Work
Page 5 of 7
-United Way 211 – clinic staff will work to develop referral
methods to United Way 211 for non-medical related
supportive services.
-Check.Change.Control - clinic staff will help coordinate with
the local American Heart Association patient education
sessions that teaches patients how to self-measure their
blood pressure.
Activity 3.3
Clinic sub-contractor staff will determine when a patient is
eligible for the Rx for Health program and monitor/report
the overall progress.
Y1Q4 Y5Q4 -Narrative summary of how referrals will
be made; by whom; how they will be
tracked; and how they will follow up.
Activity 3.4
Clinic sub-contractor will submit quarterly reports to
determine effectiveness of program.
Y1Q4 Y5Q4 Submit to FCDPH:
-Monthly reports of patients (de-
identified) participating in the Rx for
Health program that list their pertinent
information, such as gender, age,
ethnicity, BP readings, etc.
Exhibit A - Collaborating For Wellness Clinic Subcontractor Scope of Work
Page 6 of 7
Strategy #4
Ongoing activities.
Activity Description Start
Quarter
End
Quarter
Deliverables
Activity 4.1
Clinic sub-contractor will participate in national and state
meetings, webinars, and conferences as appropriate to
increase local knowledge and capacity on Rx for Health or
similar programs to increase knowledge and capacity.
Y1Q4 Y5Q4 Submit to FCDPH:
-List of events attended, including
dates.
-Copy of agenda from each event
attended.
Activity 4.2
Clinic sub-contractor will work with program evaluator to
identify agreed upon pertinent performance measures.
Y1Q4 Y5Q4 Submit to FCDPH:
-Copies of completed tools, reports,
and data collected for the program
evaluator.
Activity 4.3
Clinic sub-contractor staff will attend monthly program
meetings to share progress of program activities with local
health department and program evaluator.
Y1Q4 Y5Q4 Submit to FCDPH:
-List of monthly meetings attended
including meeting agendas.
Exhibit A - Collaborating For Wellness Clinic Subcontractor Scope of Work
Page 7 of 7
Activity 4.4
Clinic sub-contractor staff may attend virtual meetings/calls
organized by the Centers for Disease Control and Prevention
(CDC) when pertinent to clinic activities.
Y1Q4 Y5Q4 Submit to FCDPH:
-List of meetings attended with dates.
Activity 4.5
Clinic sub-contractor staff will become a Healthy Hearts CA
Member and attend quarterly Healthy Hearts CA calls.
Y1Q4 Y5Q4 Submit to FCDPH:
-Copies of agendas with dates.
Activity 4.6
Clinic sub-contractor staff will assist in identifying
appropriate spaces for patients and community to use for Rx
for Health classes/interventions.
Y1Q4 Y5Q4 Submit to FCDPH:
-List of classes with locations.
Activity 4.7
Clinic sub-contractor staff may attain BP Recognition
Program through the American Heart Association &
American Medical Association.
Y1Q4 Y5Q4 Submit to FCDPH:
-Copy of certificate showing BP
Recognition status.
Year 1
Collaborating for Wellness Program Exhibit B
Valley HealthTeam, Inc.
August 6, 2019 - September 29, 2019
2 sites 4 sites
PERSONNEL SALARIES:Annual Salary % FTE1 Benefit Rate2 Benefit Cost Sal & Ben
0001 Health Educator (June-Sep)-To be Hired 13,970.68$ 67%20%2,794.14$ 33,529.63$
0002 Health Educator (June-Sep)-To be Hired 13,970.68$ 33%20%2,794.14$ 33,529.63$
0003 Director of Health Education/Programs 7,500.00$ 10%20%1,500$ 18,000.00$
0004 Health Educator (June-Sep)-Romero, M 13,971.00$ 33%20%2,794.20$ 33,530.40$
0005 Health Educator (June-Sep)-Gutierrez, I 13,971.00$ 33%20%2,794.20$ 33,530.40$
Sub-Total 63,383$ 1.8 12,677$
SALARIES TOTAL 76,060.00$ 152,120.00$
1010 Rent/Lease Building 0
1011 Rent/Lease Equipment 0
1012 Utilities 0
1013 Building Maintenance 0
1014 Equipment Purchase 3,000.00$ 3,000.00$ 6,000
FACILITY/EQUIPMENT TOTAL 6,000.00$
1060 Telephone 600.00$ 600.00$ 1,200.00$
1062 Postage 200.00$ 200.00$ 400.00$
1063 Printing/Reproduction 2,000.00$ 2,000.00$ 4,000.00$
1066 Office Supplies & Equipment 1,200.00$ 1,200.00$ 2,400.00$
1071 Transportation of Clients -$ -$
1072 Staff Mileage/Vehicle Maintenance 1,796.50$ 1,796.50$ 3,593.00$
1074 Staff Training/Registration 1,600.00$ 1,600.00$ 3,200.00$
1076 Other - (Identify)-$
1077 Other - (Identify)-$
OPERATING EXPENSES TOTAL 14,793.00$
1081 External Audit 250.00$ 250.00$ 500
1082 Liability Insurance 250.00$ 250.00$ 500
FINANCIAL SERVICES TOTAL 1,000.00$
1090 0
1091 Translation Services 0
SPECIAL EXPENSES TOTAL 0
1190 Computers & Software 0
1191 Furniture & Fixtures 0
1192 Other - (Identify)0
FIXED ASSETS TOTAL 0
TOTAL DIRECT COSTS 173,913.00$
INDIRECT COSTS 3 Not to exceed 15% of total direct costs.26,086.95$
199,999.95$
SPECIAL EXPENSES (Consultant/Etc.):
Consultant (Network & Data Management)
FIXED ASSETS:
TOTAL PROGRAM EXPENSES YEAR 1 4
Budget Categories -
Line Item Description (Must be itemized)
FACILITIES/EQUIPMENT EXPENSES:
OPERATING EXPENSES:
FINANCIAL SERVICES EXPENSES:
Year 2
Collaborating for Wellness Program Exhibit B
Valley HealthTeam, Inc.
September 30, 2019 - September 29, 2020
2 sites 4 Sites
PERSONNEL SALARIES:Annual Salary % FTE1 Benefit Rate2 Benefit Cost Sal & Ben
0001 Health Educator 43,169$ 1%20%8,633.87$ 103,606.46$
0002 Health Educator 43,169$ 1%20%8,633.87$ 103,606.46$
0003 Director of Health Education/Programs 7,725$ 10%20%1,545.00$ 18,540.00$
0004 Title -$ -$
0005 Title -$ -$
Sub-Total 94,064$ 0.1 18,812.74$
SALARIES TOTAL 112,876.46$ 225,752.93$
1010 Rent/Lease Building 0
1011 Rent/Lease Equipment 0
1012 Utilities 0
1013 Building Maintenance 0
1014 Equipment Purchase 3,000 3,000 6,000.00$
FACILITY/EQUIPMENT TOTAL 6,000$
1060 Telephone 650 650 1,300.00$
1062 Postage 500 500 1,000.00$
1063 Printing/Reproduction 2,100 2,100 4,200.00$
1066 Office Supplies & Equipment 1,260 1,260 2,520.00$
1071 Transportation of Clients 0 -$
1072 Staff Mileage/Vehicle Maintenance 7,948 7,948 15,896.00$
1074 Staff Training/Registration 1,600 1,600 3,200.00$
1076 Other - (Identify)0 -$
1077 Other - (Identify)0 -$
OPERATING EXPENSES TOTAL 28,116$
1081 External Audit 250 250 500.00$
1082 Liability Insurance 250 250 500.00$
FINANCIAL SERVICES TOTAL 1,000$
1090 0
1091 Translation Services 0
SPECIAL EXPENSES TOTAL 0
1190 Computers & Software 0
1191 Furniture & Fixtures 0
1192 Other - (Identify)0
FIXED ASSETS TOTAL 0
TOTAL DIRECT COSTS 260,868.93$
INDIRECT COSTS 3 Not to exceed 15% of total direct costs.39,130.34$
299,999.27$
Budget Categories -
Line Item Description (Must be itemized)
FACILITIES/EQUIPMENT EXPENSES:
OPERATING EXPENSES:
FINANCIAL SERVICES EXPENSES:
SPECIAL EXPENSES (Consultant/Etc.):
Consultant (Network & Data Management)
FIXED ASSETS:
TOTAL PROGRAM EXPENSES YEAR 2 4
Year 3
Collaborating for Wellness Program Exhibit B
Valley HealthTeam, Inc.
September 30, 2020 - September 29, 2021
4 Sites
PERSONNEL SALARIES:Annual Salary % FTE1 Benefit Rate2 Benefit Cost Sal & Ben
0001 Health Educator 43,169$ 1%20%8,633.87$ 103,606.46$
0002 Health Educator 43,169$ 1%20%8,633.87$ 103,606.46$
0003 Director of Health Education/Programs 7,725$ 10%20%1,545.00$ 18,540.00$
0004 Title -$ -$
0005 Title -$ -$
Sub-Total 94,064$ 0.1 18,812.74$
SALARIES TOTAL 112,876.46$ 225,752.93$
1010 Rent/Lease Building 0
1011 Rent/Lease Equipment 0
1012 Utilities 0
1013 Building Maintenance 0
1014 Equipment Purchase 3,000 3,000 6,000.00$
FACILITY/EQUIPMENT TOTAL 6,000.00$
1060 Telephone 650 650 1,300.00$
1062 Postage 500 500 1,000.00$
1063 Printing/Reproduction 2,100 2,100 4,200.00$
1066 Office Supplies & Equipment 1,260 1,260 2,520.00$
1071 Transportation of Clients 0 -$
1072 Staff Mileage/Vehicle Maintenance 7,948 7,948 15,896.00$
1074 Staff Training/Registration 1,600 1,600 3,200.00$
1076 Other - (Identify)0 -$
1077 Other - (Identify)0 -$
OPERATING EXPENSES TOTAL 28,116.00$
1081 External Audit 250 250 500.00$
1082 Liability Insurance 250 250 500.00$
FINANCIAL SERVICES TOTAL 1,000.00$
1090 0
1091 Translation Services 0
SPECIAL EXPENSES TOTAL 0
1190 Computers & Software 0
1191 Furniture & Fixtures 0
1192 Other - (Identify)0
FIXED ASSETS TOTAL 0
TOTAL DIRECT COSTS 260,868.93$
INDIRECT COSTS 3 Not to exceed 15% of total direct costs.39,130.34$
299,999.27$
SPECIAL EXPENSES (Consultant/Etc.):
Consultant (Network & Data Management)
FIXED ASSETS:
TOTAL PROGRAM EXPENSES YEAR 3 4
Budget Categories -
Line Item Description (Must be itemized)
FACILITIES/EQUIPMENT EXPENSES:
OPERATING EXPENSES:
FINANCIAL SERVICES EXPENSES:
Extension I
Collaborating for Wellness Program Exhibit B
Valley HealthTeam, Inc.
September 30, 2021 - September 29, 2022
4 Sites
PERSONNEL SALARIES:Annual Salary % FTE1 Benefit Rate2 Benefit Cost Sal & Ben
0001 Health Educator 43,169$ 1%20%8,633.87$ 103,606.46$
0002 Health Educator 43,169$ 1%20%8,633.87$ 103,606.46$
0003 Director of Health Education/Programs 7,725$ 10%20%1,545.00$ 18,540.00$
0004 Title -$ -$
0005 Title -$ -$
Sub-Total 94,064$ 0.1 18,812.74$ 225,752.93$
SALARIES TOTAL 112,876.46$ 225,752.93$
1010 Rent/Lease Building 0
1011 Rent/Lease Equipment 0
1012 Utilities 0
1013 Building Maintenance 0
1014 Equipment Purchase 3,000 3,000 6,000.00$
FACILITY/EQUIPMENT TOTAL 6,000.00$
1060 Telephone 650 650 1,300.00$
1062 Postage 500 500 1,000.00$
1063 Printing/Reproduction 2,100 2,100 4,200.00$
1066 Office Supplies & Equipment 1,260 1,260 2,520.00$
1071 Transportation of Clients 0 -$
1072 Staff Mileage/Vehicle Maintenance 7,948 7,948 15,896.00$
1074 Staff Training/Registration 1,600 1,600 3,200.00$
1076 Other - (Identify)0 -$
1077 Other - (Identify)0 -$
OPERATING EXPENSES TOTAL 28,116.00$
1081 External Audit 250 250 500.00$
1082 Liability Insurance 250 250 500.00$
FINANCIAL SERVICES TOTAL 1,000.00$
1090 0
1091 Translation Services 0
SPECIAL EXPENSES TOTAL 0
1190 Computers & Software 0
1191 Furniture & Fixtures 0
1192 Other - (Identify)0
FIXED ASSETS TOTAL 0
TOTAL DIRECT COSTS 260,868.93$
INDIRECT COSTS 3 Not to exceed 15% of total direct costs.39,130.34$
299,999.27$
SPECIAL EXPENSES (Consultant/Etc.):
Consultant (Network & Data Management)
FIXED ASSETS:
TOTAL PROGRAM EXPENSES
Budget Categories -
Line Item Description (Must be itemized)
FACILITIES/EQUIPMENT EXPENSES:
OPERATING EXPENSES:
FINANCIAL SERVICES EXPENSES:
Extension II
Collaborating for Wellness Program Exhibit B
Valley HealthTeam, Inc.
September 30, 2022 - September 29, 2023
4 Sites
PERSONNEL SALARIES:Annual Salary % FTE1 Benefit Rate2 Benefit Cost Sal & Ben
0001 Health Educator 43,169.36$ 1%20%8,633.87$ 103,606.46$
0002 Health Educator 43,169.36$ 1%20%8,633.87$ 103,606.46$
0003 Director of Health Education/Programs 7,725.00$ 10%20%1,545.00$ 18,540.00$
0004 Title -$ -$
0005 Title -$ -$
Sub-Total 94,063.72$ 0.1 18,812.74$ 225,752.93$
SALARIES TOTAL 112,876.46$ 225,752.93$
1010 Rent/Lease Building -$
1011 Rent/Lease Equipment -$
1012 Utilities -$
1013 Building Maintenance -$
1014 Equipment Purchase 3,000.00$ 3,000.00$ 6,000.00$
FACILITY/EQUIPMENT TOTAL 6,000.00$
1060 Telephone 650.00$ 650.00$ 1,300.00$
1062 Postage 500.00$ 500.00$ 1,000.00$
1063 Printing/Reproduction 2,100.00$ 2,100.00$ 4,200.00$
1066 Office Supplies & Equipment 1,260.00$ 1,260.00$ 2,520.00$
1071 Transportation of Clients -$ -$
1072 Staff Mileage/Vehicle Maintenance 7,948.00$ 7,948.00$ 15,896.00$
1074 Staff Training/Registration 1,600.00$ 1,600.00$ 3,200.00$
1076 Other - (Identify)-$ -$
1077 Other - (Identify)-$ -$
OPERATING EXPENSES TOTAL 28,116.00$
1081 External Audit 250.00$ 250.00$ 500.00$
1082 Liability Insurance 250.00$ 250.00$ 500.00$
FINANCIAL SERVICES TOTAL 1,000.00$
1090 -$
1091 Translation Services -$
SPECIAL EXPENSES TOTAL -$
1190 Computers & Software -$
1191 Furniture & Fixtures -$
1192 Other - (Identify)-$
FIXED ASSETS TOTAL -$
TOTAL DIRECT COSTS 260,868.93$
INDIRECT COSTS 3 Not to exceed 15% of total direct costs.39,130.34$
299,999.27$
SPECIAL EXPENSES (Consultant/Etc.):
Consultant (Network & Data Management)
FIXED ASSETS:
TOTAL PROGRAM EXPENSES
Budget Categories -
Line Item Description (Must be itemized)
FACILITIES/EQUIPMENT EXPENSES:
OPERATING EXPENSES:
FINANCIAL SERVICES EXPENSES:
Exhibit C
General Terms and Conditions for Non-Research
Grant and Cooperative Agreements
Incorporation: The Department of Health and Human Services (HHS) grant recipients must
comply with all terms and conditions outlined in the Notice of Funding Opportunity (NOFO), their
Notice of Award (NOA), grants policy contained in applicable HHS Grants Policy Statements, 45
CFR Part 75, requirements imposed by program statutes and regulations, Executive Orders, 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 these general terms and
conditions of award and includes cooperative agreements.
Note: In the event that any requirement in the NOA, the NOFO, the HHS Grants Policy
Statement, 45 CFR Part 75, or applicable statutes/appropriations acts conflict, then statutes
and regulations take precedence.
FEDERAL REGULATIONS AND POLICIES
2 CFR Part 200 – Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards. https://www.ecfr.gov/cgi-bin/text-
idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl
45 CFR Part 75 – Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for HHS Awards. https://www.ecfr.gov/cgi-bin/text-
idx?node=pt45.1.75&rgn=div5
HHS Grants Policy and Regulations – https://www.hhs.gov/grants/grants/grants-policies-
regulations/index.html
Federal Funding Accountability and Transparency Act (FFATA) https://www.fsrs.gov/
Trafficking In Persons: Awards are subject to the requirements of the Trafficking Victims
Protection Act of 2000, as amended (22 U.S.C. Part 7104(g)).
https://www.gpo.gov/fdsys/browse/collectionUScode.action?collectionCode=USCODE&search
Path=Title+22%2FCHAPTER+78&oldPath=Title+22&isCollapsed=true&selectedYearFrom=20
00&ycord=3240
CDC Additional Requirements (AR) may apply. The NOFO will detail which specific ARs apply to
resulting awards. Links to full texts can be found at:
https://www.cdc.gov/grants/additionalrequirements/index.html.
FUNDING RESTRICTIONS AND LIMITATIONS
Cost Limitations as stated in Appropriations Acts. Recipients must follow applicable fiscal year
appropriations law in effect at the time of award. See AR-32 Appropriations Act, General
Requirements: https://www.cdc.gov/grants/additionalrequirements/ar-32.html.
CDC General Terms and Conditions for Non-research Awards, Revised: May 2018 Page 2
Exhibit C
Though Recipients are required to comply with all applicable appropriations restrictions,
please find below specific ones of note: CDC notes that the cited section for each below
provision may change annually.
A. Cap on Salaries (Division H,Title II, General Provisions, Sec. 202): 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. 210): None of the funds made available in
this title may be used, in whole or in part, to advocate or promote gun control.
C. Lobbying Restrictions (Div. H, Title V, Sec. 503):
• 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 presentation designed to support or defeat the
enactment of legislation before the Congress or any State or local legislature or
legislative body, except in presentation to 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.
• 503 (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 for
normal and recognized executive-legislative relationships or participation by an agency or
officer of a State, local or tribal government in policymaking and administrative processes
within the executive branch of that government.
• 503(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.
For additional information, see Additional Requirement 12 at
http://www.cdc.gov/grants/additionalrequirements/index.html.
D. Needle Exchange (Div. H, Title V, Sec. 520): 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. Blocking access to pornography (Div. H, Title V, Sec. 521): (a) None of the funds made
available in this Act may be used to maintain or establish a computer network unless such
CDC General Terms and Conditions for Non-research Awards, Revised: May 2018 Page 3
Exhibit C
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.
Cancel Year: 31 U.S.C. Part 1552(a) Procedure for Appropriation Accounts Available for
Definite Periods states the following: On September 30th of the 5th fiscal year after the period
of availability for obligation of a fixed appropriation account ends, the account shall be closed
and any remaining balances (whether obligated or unobligated) in the account shall be
canceled and thereafter shall not be available for obligation or expenditure for any purpose.
REPORTING REQUIREMENTS
Annual Federal Financial Report (FFR, SF-425): The Annual Federal Financial Report
(FFR) SF-425 is required and must be submitted no later than 90 days after the end of the
budget period via www.grantsolutions.gov. If more frequent reporting is required, the Notice
of Award terms and conditions will explicitly state the reporting requirement.
Failure to submit the required information in a timely manner may adversely affect the future
funding of this project. If the information cannot be provided by the due date, the recipient is
required to contact the Grants Management Specialist/Officer (GMS/GMO) identified in the
Notice of Award before the due date.
Electronic versions of the form can be downloaded at:
https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1.
Annual Performance Progress and Monitoring Reporting: The Annual Performance
Progress and Monitoring Report (PPMR) is due no later than 120 days prior to the end of the
budget period and serves as the continuation application for the follow-on budget period.
Submission instructions, due date, and format will be included in the guidance from the
assigned GMO/GMS via www.grantsolutions.gov.
Any change to the existing information collection noted in the award terms and conditions will
be subject to review and approval by the Office of Management and Budget (OMB) under the
Paperwork Reduction Act.
Data Management Plan: CDC requires recipients for projects that involve the collection or
generation of data with federal funds to develop, submit and comply with a Data
Management Plan (DMP) for each collection or generation of public health data undertaken
as part of the award and, to the extent consistent with law and appropriate, provide access to
and archiving/long-term preservation of collected or generated data. Additional information on
the Data Management and Access requirements can be found
at https://www.cdc.gov/grants/additionalrequirements/ar-25.html.
Audit Requirement Domestic Organizations (including US-based organizations
implementing projects with foreign components): An organization that expends $750,000 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 45 CFR Part 75. 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
CDC General Terms and Conditions for Non-research Awards, Revised: May 2018 Page 4
Exhibit C
period. The audit report must be sent to:
Federal Audit Clearing House Internet Data Entry System Electronic Submission:
https://harvester.census.gov/facides/(S(0vkw1zaelyzjibnahocga5i0))/account/login.aspx
AND
Office of Grants Services, Financial Assessment and Audit Resolution Unit
Electronic Copy to: OGS.Audit.Resolution@cdc.gov
Audit Requirement Foreign Organizations: An organization that expends $300,000 or
more in a fiscal year on its federal awards must have a single or program-specific audit
conducted for that year. The audit period is an organization’s fiscal year. The auditor shall be
a U.S.-based Certified Public Accountant firm, the foreign government's Supreme Audit
Institution or equivalent, or an audit firm endorsed by the U.S. Agency for International
Development's Office of Inspector General. The audit must be completed in English and in
US dollars, and 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:
Electronic Copy to: OGS.Audit.Resolution@cdc.gov (CDC Office of Grants Services)
After receipt of the audit report, CDC will resolve findings by issuing Final Management
Determination Letters.
Domestic and Foreign organizations: Audit requirements for Subrecipients to whom 45
CFR 75 Subpart F applies: The recipient must ensure that the subrecipients receiving CDC
funds also meet these requirements. The recipient 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 (45 CFR 75 Subpart F and HHS
Grants Policy Statement). The recipient may consider whether subrecipient audits
necessitate adjustment of the recipient's own accounting records. If a subrecipient is not
required to have a program-specific audit, the recipient is still required to perform adequate
monitoring of subrecipient activities. The recipient shall require each subrecipient to permit
the independent auditor access to the subrecipient's records and financial statements. The
recipient must include this requirement in all subrecipient contracts.
Required Disclosures for Federal Awardee Performance and Integrity Information
System (FAPIIS): Consistent with 45 CFR 75.113, applicants and recipients must disclose in
a timely manner, in writing to the CDC, with a copy to the HHS Office of Inspector General
(OIG), all information related to violations of federal criminal law involving fraud, bribery, or
gratuity violations potentially affecting the federal award. Subrecipients must disclose, in a
timely manner in writing to the prime recipient (pass through entity) and the HHS OIG, all
information related to violations of federal criminal law involving fraud, bribery, or gratuity
violations potentially affecting the federal award. Disclosures must be sent in writing to the
assigned GMS/GMO identified in the NOA, and to the HHS OIG at the following address:
U.S. Department of Health and Human Services
Office of the Inspector General
ATTN: Mandatory Grant Disclosures, Intake Coordinator
330 Independence Avenue, SW
Cohen Building, Room 5527
CDC General Terms and Conditions for Non-research Awards, Revised: May 2018 Page 5
Exhibit C
Washington, DC 20201
Fax: (202)-205-0604 (Include “Mandatory Grant Disclosures” in subject line) or
Email: MandatoryGranteeDisclosures@oig.hhs.gov
Recipients must include this mandatory disclosure requirement in all subawards and
contracts under this award.
Failure to make required disclosures can result in any of the remedies described in 45 CFR
75.371. Remedies for noncompliance, including suspension or debarment (See 2 CFR parts
180 and 376, and 31 U.S.C. 3321).
CDC is required to report any termination of a federal award prior to the end of the period of
performance due to material failure to comply with the terms and conditions of this award in
the OMB-designated integrity and performance system accessible through SAM (currently
FAPIIS) (45 CFR 75.372(b)). CDC must also notify the recipient if the federal award is
terminated for failure to comply with the federal statutes, regulations, or terms and conditions
of the federal award (45 CFR 75.373(b)).
In addition, if the total value of currently active grants, cooperative agreements, and
procurement contracts from all federal awarding agencies exceeds $10,000,000 for any
period of time during the period of performance of this federal award, the recipient must
maintain the currency of information reported to the System for Award Management (SAM)
and made available in the designated integrity and performance system (currently the
Federal Awardee Performance and Integrity Information System (FAPIIS)) about civil,
criminal, or administrative proceedings described in section 1 of this award term and
condition. This is a statutory requirement under section 872 of Public Law 110-417, as
amended (41 U.S.C. 2313). As required by section 3010 of Public Law 111-212, all
information posted in the designated integrity and performance system on or after April 15,
2011, except past performance reviews required for federal procurement contracts, will be
publicly available.
1. Proceedings About Which You Must Report
Submit the information required about each proceeding that:
a. Is in connection with the award or performance of a grant, cooperative agreement,
or procurement contract from the federal government;
b. Reached its final disposition during the most recent five year period; and
c. If one of the following:
(1) A criminal proceeding that resulted in a conviction, as defined in paragraph 4
of this award term and condition;
(2) A civil proceeding that resulted in a finding of fault and liability and payment
of a monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or more;
(3) An administrative proceeding, as defined in paragraph 4 of this award term
and condition, that resulted in a finding of fault and liability and your payment of either a
monetary fine or penalty of $5,000 or more or reimbursement, restitution, or damages in
excess of $100,000; or
(4) Any other criminal, civil, or administrative proceeding if:
(i) It could have led to an outcome described in paragraph 1.c.(1), (2), or (3) of
this award term and condition;
(ii) It had a different disposition arrived at by consent or compromise with an
acknowledgement of fault on your part; and
CDC General Terms and Conditions for Non-research Awards, Revised: May 2018 Page 6
Exhibit C
(iii) The requirement in this award term and condition to disclose information
about the proceeding does not conflict with applicable laws and regulations.
2. Reporting Procedures
Enter in the SAM Entity Management area the information that SAM requires about each
proceeding described in section 1 of this award term and condition. You do not need to
submit the information a second time under assistance awards that you received if you
already provided the information through SAM because you were required to do so under
federal procurement contracts that you were awarded.
3. Reporting Frequency
During any period of time when you are subject to this requirement in section 1 of this
award term and condition, you must report proceedings information through SAM for the
most recent five year period, either to report new information about any proceeding(s) that
you have not reported previously or affirm that there is no new information to report.
Recipients that have federal contract, grant, and cooperative agreement awards with a
cumulative total value greater than $10,000,000 must disclose semiannually any information
about the criminal, civil, and administrative proceedings.
4. Definitions
For purposes of this award term and condition:
a. Administrative proceeding means a non-judicial process that is adjudicatory in nature
in order to make a determination of fault or liability (e.g., Securities and Exchange
Commission Administrative proceedings, Civilian Board of Contract Appeals proceedings,
and Armed Services Board of Contract Appeals proceedings). This includes proceedings at
the federal and state level but only in connection with performance of a federal contract or
grant. It does not include audits, site visits, corrective plans, or inspection of deliverables.
b. Conviction, for purposes of this award term and condition, means a judgment or
conviction of a criminal offense by any court of competent jurisdiction, whether entered upon
a verdict or a plea, and includes a conviction entered upon a plea of nolo contendere.
c. Total value of currently active grants, cooperative agreements, and procurement
contracts includes—
(1) Only the federal share of the funding under any federal award with a recipient cost
share or match;
(2) The value of all expected funding increments under a federal award and options,
even if not yet exercised.
GENERAL REQUIREMENTS
Travel Cost: In accordance with HHS Grants Policy Statement, travel costs are allowable
when the travel will provide a direct benefit to the project or program. To prevent
disallowance of cost, the recipient is responsible for ensuring travel costs are clearly stated in
their budget narrative and are applied in accordance with their organization's established
travel policies and procedures. The recipient’s established travel policies and procedures
must also meet the requirements of 45 CFR Part 75.474.
Food and Meals: Costs associated with food or meals are allowable when consistent with
applicable federal regulations and HHS policies. See
https://www.hhs.gov/grants/contracts/contract-policies-regulations/efficient-
spending/index.html. In addition, costs must be clearly stated in the budget narrative and be
CDC General Terms and Conditions for Non-research Awards, Revised: May 2018 Page 7
Exhibit C
consistent with organization approved policies. Recipients must make a determination of reasonableness
and organization approved policies must meet the requirements of 45 CFR Part 75.432.
Prior Approval: All requests which require prior approval, must bear the signature (or electronic
authorization) of the authorized organization representative. The recipient must submit these requests
no later than 120 days prior to the budget period’s end date.
Additionally, any requests involving funding issues must include an itemized budget and a narrative
justification of the request.
The following types of requests are examples of actions that require prior approval, unless an expanded
authority, or conversely a high risk condition, is explicitly indicated in the NOA.
• Use of unobligated funds from prior budget period (Carryover)
• Lift funding restriction
• Significant redirection of funds (i.e., cumulative changes of 25% of total award)
• Change in scope
• Implement a new activity or enter into a sub-award that is not specified in the approved
budget
• Apply for supplemental funds
• Extensions to period of performance
Templates for prior approval requests can be found at:
http://www.cdc.gov/grants/alreadyhavegrant/priorapprovalrequests.html.
Additional information on the electronic grants administration system CDC non-research awards
utilize, Grants Solutions, can be found at: https://www.cdc.gov/grants/grantsolutions/index.html.
Key Personnel: In accordance with 45 CFR Part 75.308, CDC recipients must obtain prior approval from
CDC for (1) change in the project director/principal investigator, authorized organizational representative or
other key persons specified in the NOFO, application or award document; and (2) the disengagement from
the project for more than three months, or a 25 percent reduction in time devoted to the project, by the
approved project director or principal investigator.
Inventions: Acceptance of grant funds obligates recipients to comply with the standard patent rights
clause in 37 CFR Part 401.14.
Publications: Publications, journal articles, etc. produced under a CDC grant supported project must
bear an acknowledgment and disclaimer, and include the award number. For example:
This publication (journal article, etc.) was supported by Grant or Cooperative Agreement
number 5UXXXXXXX, 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
CDC General Terms and Conditions for Non-research Awards, Revised: May 2018 Page 8
Exhibit C
in whole or in part with federal money, all awardees receiving federal funds, including and not
limited to state and local governments and recipients 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, to 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 the 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 article 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: If a conference/meeting/seminar is
funded by a grant, cooperative agreement, sub-grant and/or a contract, the recipient 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 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 not
CDC General Terms and Conditions for Non-research Awards, Revised: May 2018 Page 9
Exhibit C
authorized 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).
Additionally, the CDC logo cannot be used by the recipient without the express, written
consent of CDC. The Program Official/Project Officer identified in the NOA can assist with
facilitating such a request. It is the responsibility of the recipient 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 recipient must ensure
written consent is received. Further, the HHS and CDC logo cannot be used by the recipient
without a license agreement setting forth the terms and conditions of use.
Equipment and Products: To the greatest extent practical, 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 recipient 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 recipient may use its own property management standards and procedures, provided it
observes provisions in applicable grant regulations found at 45 CFR Part 75.
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 III of the E-Government Act of 2002, PL 107-347.
FISMA applies to CDC recipients only when recipients 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 recipient 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 recipient 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. For the full text of the requirements under Federal Information Security
Management Act (FISMA), Title III of the E-Government Act of 2002 Pub. L. No. 107-347,
please review the following website: https://www.gpo.gov/fdsys/pkg/PLAW-
107publ347/pdf/PLAW -107publ347.pdf.
Pilot Program for Enhancement of Contractor Employee Whistleblower Protections:
Recipients 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 (NDAA) for Fiscal Year (FY) 2013 (Pub. L. 112-
239, enacted January 2, 2013), applies to this award.
CDC General Terms and Conditions for Non-research Awards, Revised: May 2018 Page 10
Exhibit C
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,” “recipient,” “subgrant,”
or “subrecipient”):
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
(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.
CDC General Terms and Conditions for Non-research Awards, Revised: May 2018 Page 11
Exhibit C
(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.
PAYMENT INFORMATION
Fraud Waste or Abuse: The HHS Office of the Inspector General (OIG) maintains a toll-free
number (1-800-HHS-TIPS [1-800-447-8477]) for receiving information concerning fraud, waste,
or abuse under grants and cooperative agreements. Information also may be submitted by e-
mail to hhstips@oig.hhs.gov or by mail to Office of the Inspector General, Department of
Health and Human Services, Attn: HOTLINE, 330 Independence Ave., SW, Washington DC
20201. Such reports are treated as sensitive material and submitters may decline to give their
names if they choose to remain anonymous.
Automatic Drawdown (Direct/Advance Payments): Payments under CDC awards will be
made available through the Department of Health and Human Services (HHS) Payment
Management System (PMS), under automatic drawdown, unless specified otherwise in the
NOA. Recipients must comply with requirements imposed by the PMS on-line system.
Questions concerning award payments or audit inquiries should be directed to the payment
management services office.
PMS Website: https://pms.psc.gov/
PMS Phone Support: +1(877)614-5533
PMS Email Support: PMSSupport@psc.gov
Payment Management System Subaccount: Funds awarded in support of approved
activities will be obligated in an established subaccount in the PMS. Funds must be used in
support of approved activities in the NOFO and the approved application. All award funds must
be tracked and reported separately.
Exchange Rate: All requests for funds contained in the budget, shall be stated in U.S.
CDC General Terms and Conditions for Non-research Awards, Revised: May 2018 Page 12
Exhibit C
dollars. Once an award is made, CDC will generally not compensate foreign recipients for
currency exchange fluctuations through the issuance of supplemental awards.
Acceptance of the Terms of an Award: By drawing or otherwise obtaining funds from PMS,
the recipient acknowledges acceptance of the terms and conditions of the award and is
obligated to perform in accordance with the requirements of the award. If the recipient cannot
accept the terms, the recipient should notify the Grants Management Officer within thirty (30)
days of receipt of the NOA.
Certification Statement: By drawing down funds, the recipient certifies that proper financial
management controls and accounting systems, to include personnel policies and procedures,
have been established to adequately administer federal awards and funds drawn down.
Recipients must comply with all terms and conditions in the NOFO, outlined in their NOA,
grant policy terms and conditions contained in applicable HHS Grant Policy Statements, and
requirements imposed by program statutes and regulations and HHS grants administration
regulations, as applicable; as well as any regulations or limitations in any applicable
appropriations acts.
CLOSEOUT REQUIREMENTS
Recipients must submit all closeout reports identified in this section within 90 days of the
period of performance end date. The reporting timeframe is the full period of performance.
Failure to submit timely and accurate final reports may affect future funding to the
organization or awards under the direction of the same Project Director/Principal Investigator
(PD/PI).
Final Performance Progress and Evaluation Report (PPER): This report should include
the information specified in the NOFO and is submitted upon solicitation from the GMS/GMO
via www.grantsolutions.gov. At a minimum, the report will include the following:
• Statement of progress made toward the achievement of originally stated aims;
• Description of results (positive or negative) considered significant; and
• List of publications resulting from the project, with plans, if any, for further
publication.
All manuscripts published as a result of the work supported in part or whole by the grant must
be submitted with the performance progress reports.
Final Federal Financial Report (FFR, SF-425): The FFR should only include those funds
authorized and actually expended during the timeframe covered by the report. The Final
FFR, SF-425 is required and must be submitted no later than 90 days after the period of
performance end date via www.grantsolutions.gov.
Electronic versions of the form can be downloaded at:
https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1.
The final report must indicate the exact balance of unobligated funds and may not reflect any
unliquidated obligations. Should the amount not match with the final expenditures reported to
the Department of Health and Human Services’ PMS, you will be required to update your
reports to PMS accordingly. Remaining unobligated funds will be de-obligated and returned
to the U.S. Treasury.
CDC General Terms and Conditions for Non-research Awards, Revised: May 2018 Page 13
Exhibit C
Equipment and Supplies - Tangible Personal Property Report (SF-428): A completed
Tangible Personal Property Report SF-428 and Final Report SF-428B addendum must be
submitted, along with any Supplemental Sheet SF-428S detailing all major equipment
acquired or furnished under this project with a unit acquisition cost of $5,000 or more.
Electronic versions of the forms can be downloaded by visiting:
https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1.
If no equipment was acquired under an award, a negative report is required.
The recipient must identify each item of equipment that it wishes to retain for continued use in
accordance with 45 CFR Part 75. The awarding agency may exercise its rights to require the
transfer of equipment purchased under the assistance award. CDC will notify the recipient if
transfer to title will be required and provide disposition instruction on all major equipment.
Equipment with a unit acquisition cost of less than $5,000 that is no longer to be used in
projects or programs currently or previously sponsored by the federal government may be
retained, sold, or otherwise disposed of, with no further obligation to the federal government.
CDC STAFF RESPONSIBILITIES
Roles and Responsibilities: Grants Management Specialists/Officers (GMO/GMS) and
Program Officials (PO) work together to award and manage CDC grants and cooperative
agreements. From the pre-planning stage to closeout of an award, grants management and
program staff have specific roles and responsibilities for each phase of the grant cycle.
Award specific terms and conditions will include contact information for the PO/GMO/GMS.
Program Official: The PO is the federal official responsible for monitoring the programmatic,
scientific, and/or technical aspects of grants and cooperative agreements including:
• The development of programs and NOFOs to meet the CDC’s mission;
• Providing technical assistance to applicants in developing their applications, e.g.,
explanation of programmatic requirements, regulations, evaluation criteria, and
guidance to applicants on possible linkages with other resources;
• Providing technical assistance to recipients in the performance of their project; and
• Post-award monitoring of recipient performance such as review of progress reports,
review of prior approval requests, conducting site visits, and other activities
complementary to those of the GMO/GMS.
For Cooperative Agreements, substantial involvement is required from CDC. The PO is the
federal official responsible for the collaboration or participation in carrying out the effort under
the award. Substantial involvement will be detailed in the NOFO and award specific terms
and conditions and may include, but is not limited to:
• Review and approval of one stage of work before work can begin on a subsequent
stage;
• Review and approval of substantive programmatic provisions of proposed subawards
or contracts (beyond existing federal review of procurement or sole source policies);
• Involvement in the selection of key relevant personnel;
• CDC and recipient collaboration or joint participation; and
• Implementing highly prescriptive requirements prior to award limiting recipient
discretion with respect to scope of services, organizational structure, staffing, mode of
operation, and other management processes.
CDC General Terms and Conditions for Non-research Awards, Revised: May 2018 Page 14
Exhibit C
Grants Management Officer: The GMO is the only official authorized to obligate federal
funds and is responsible for signing the NOA, including revisions to the NOA that change the
terms and conditions. The GMO serves as the counterpart to the business officer of the
recipient organization. The GMO is the federal official responsible for the business and other
non-programmatic aspects of grant awards including:
• Determining the appropriate award instrument, i.e., grant or cooperative agreement;
• Determining if an application meets the requirements of the NOFO;
• Ensuring objective reviews are conducted in an above-the-board manner and
according to guidelines set forth in grants policy;
• Ensuring recipient compliance with applicable laws, regulations, and policies;
• Negotiating awards, including budgets;
• Responding to recipient inquiries regarding the business and administrative aspects
of an award;
• Providing recipients with guidance on the closeout process and administering the
closeout of grants;
• Receiving and processing reports and prior approval requests such as changes in
funding, budget redirection, or changes to the terms and conditions of an award; and
• Maintaining the official grant file and program book.
Grants Management Specialist: The GMS is the federal staff member responsible for the
day-to-day management of grants and cooperative agreements. The GMS is the primary
contact of recipients for business and administrative matters pertinent to grant awards. Many
of the functions described in the GMO section are performed by the GMS, on behalf of the
GMO.
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: