HomeMy WebLinkAboutA-23-280 Pacific Clinics - ACT CalAIM Supersede.pdf Agreement No. 23-280
1 SERVICE AGREEMENT
2 This Service Agreement ("Agreement') is dated June 20, 2023 and is between
3 Pacific Clinics, a California Non-Profit, 501 (c)(3), Corporation ("Contractor"), and the County of
4 Fresno, a political subdivision of the State of California ("County").
5 Recitals
6 A. County, through its Department of Behavioral Health (DBH), is in need of a qualified
7 agency to operate a Mental Health Services Act (MHSA) funded Children/Youth Assertive
8 Community Treatment Program and provide integrated mental health and community support
9 services to youth ages 10-18 with serious emotional disturbance (SED) and at least one
10 diagnosis from the current Diagnostic and Statistical Manual of Mental Disorder (DSM).
11 B. County and Contractor entered into Agreement number 18-689, dated the 11th of
12 December, 2018 to provide Assertive Community Treatment (ACT) services, amended by
13 Agreement number 18-689-1 on the 8th of June, 2021 and later Superseded on 9th of August,
14 2022 by Agreement number 22-341 and shall hereinafter collectively be referred to as
15 Agreement 22-341.
16 C. Changes to the agreement are necessary due to the Department of Health Care
17 Services implementation of California Advancing and Innovating Medi-Cal (CaIAIM);
18 D. This Agreement shall replace, restate, and supersede Agreement No. 22-341 in its
19 entirety.
20 The parties therefore agree as follows:
21 Article 1
22 Contractor's Services
23 1.1 The Contractor shall perform all of the services provided in Exhibit A to this
24 Agreement, titled "Scope of Services." In addition, all services identified as Full Service
25 Partnership (FSP) services shall be performed in accordance with Exhibit B to this Agreement,
26 "Full Service Partnership Service Delivery Model."
27 1.2 Representation. The Contractor represents that it is qualified, ready, willing, and
28 able to perform all of the services provided in this Agreement.
1
1 1.3 Compliance with Laws. The Contractor shall, at its own cost, comply with all
2 applicable federal, state, and local laws and regulations in the performance of its obligations
3 under this Agreement, including but not limited to workers compensation, labor, and
4 confidentiality laws and regulations.
5 Contractor shall provide services in conformance with all applicable State and Federal
6 statutes, regulations and subregulatory guidance, as from time to time amended, including but
7 not limited to:
8 (A) California Code of Regulations, Title 9;
9 (B) California Code of Regulations, Title 22;
10 (C) California Welfare and Institutions Code, Division 5;
11 (D) United States Code of Federal Regulations, Title 42, including but not limited to
12 Parts 438 and 455;
13 (E) United States Code of Federal Regulations, Title 45;
14 (F) United States Code, Title 42 (The Public Health and Welfare), as applicable;
15 (G)Balanced Budget Act of 1997;
16 (H) Health Insurance Portability and Accountability Act (HIPAA); and
17 (1) Applicable Medi-Cal laws and regulations, including applicable sub-regulatory
18 guidance, such as Behavioral Health Information Notices (BHINs), Mental Health and
19 Substance Use Disorder Services Information Notices (MHSUDS INs), and provisions of
20 County's, state or federal contracts governing services for persons served.
21 In the event any law, regulation, or guidance referred to in this section 1.3 is amended
22 during the term of this Agreement, the parties agree to comply with the amended authority as of
23 the effective date of such amendment without amending this Agreement.
24 Contractor recognizes that County operates its mental health programs under an
25 agreement with DHCS, and that under said agreement the State imposes certain requirements
26 on County and its subcontractors. Contractor shall adhere to all State requirements, including
27 those identified in Exhibit C, "Behavioral Health Requirements", attached hereto and by this
28 reference incorporated herein and made part of this Agreement.
2
1 1.4 Meetings. Contractor shall participate in monthly, or as needed, workgroup meetings
2 consisting of staff from County's DBH to discuss service requirements, data reporting, training,
3 policies and procedures, overall program operations and any problems or foreseeable problems
4 that may arise. Contractor shall also participate in other County meetings, such as but not
5 limited to quality improvement meetings, provider meetings, Behavioral Health Board meetings,
6 bi-monthly contractor meetings, etc. Schedule for these meetings may change based on the
7 needs of the County.
8 1.5 Organizational Provider. Contractor shall maintain requirements as a Mental Health
9 Plan (MHP) organizational provider throughout the term of this Agreement, as described in
10 Article 17 of this Agreement. If for any reason, this status is not maintained, County may
11 terminate this Agreement pursuant to Article 7 of this Agreement.
12 1.6 Staffing. Contractor agrees that prior to providing services under the terms and
13 conditions of this Agreement, Contractor shall have staff hired and in place for program services
14 and operations or County may, in addition to other remedies it may have, suspend referrals or
15 terminate this Agreement, in accordance with Article 7 of this Agreement.
16 1.7 Credentialing and Recredentialing. Contractor and their respective staff must
17 follow the uniform process for credentialing and recredentialing of service providers established
18 by County, including disciplinary actions such as reducing, suspending, or terminating provider's
19 privileges. Failure to comply with specified requirements can result in suspension or termination
20 of an individual or provider.
21 Upon request, the Contractor must demonstrate to the County that each of its providers
22 are qualified in accordance with current legal, professional, and technical standards, and that
23 they are appropriately licensed, registered, waivered, and/or certified.
24 Contractor must not employ or subcontract with providers debarred, suspended or
25 otherwise excluded (individually, and collectively referred to as "Excluded") from participation in
26 Federal Health Care Programs, including Medi-Cal/Medicaid or procurement activities, as set
27 forth in 42 C.F.R. §438.610. See Article 12 below.
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1 Contractor is required to verify and document at a minimum every three years that each
2 network provider that delivers covered services continues to possess valid credentials, including
3 verification of each of the credentialing requirements as per the County's uniform process for
4 credentialing and recredentialing. If any of the requirements are not up-to-date, updated
5 information should be obtained from network providers to complete the re-credentialing process.
6 1.8 Criminal Background Check. Contractor shall ensure that all providers and/or
7 subcontracted providers consent to a criminal background check, including fingerprinting to the
8 extent required under state law and 42 C.F.R. § 455.434(a). Contractor shall provide evidence
9 of completed consents when requested by the County, DHCS or the US Department of Health &
10 Human Services (US DHHS).
11 1.9 Guiding Principles. Contractor shall align programs, services, and practices with
12 the vision, mission, and guiding principles of the DBH, as further described in Exhibit D, "Fresno
13 County Department of Behavioral Health Guiding Principles of Care Delivery", attached hereto
14 and by this reference incorporated herein and made part of this Agreement.
15 1.10 Clinical Leadership. Contractor shall send to County upon execution of this
16 Agreement, a detailed plan ensuring clinically appropriate leadership and supervision of their
17 clinical program. Recruitment and retaining clinical leadership with the clinical competencies to
18 oversee services based on the level of care and program design presented herein shall be
19 included in this plan. A description and monitoring of this plan shall be provided.
20 1.11 Timely Access. It is the expectation of the County that Contractor provide timely
21 access to services that meet the State of California standards for care. Contractor shall track
22 timeliness of services to persons served and provide a monthly report showing the monitoring or
23 tracking tool that captures this data. County and Contractor shall meet to go over this monitoring
24 tool, as needed but at least on a monthly basis. County shall take corrective action if there is a
25 failure to comply by Contractor with timely access standards. Contractor shall also provide
26 tracking tools and measurements for effectiveness, efficiency, and persons served satisfaction
27 as further detailed in Exhibit A.
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1 1.12 Electronic Health Record. Contractor may maintain its records in County's
2 electronic health record (EHR) system in accordance with Exhibit D, "Documentation Standards
3 for Persons Served Records", as licenses become available. The person served record shall
4 begin with registration and intake, and include person served authorizations, assessments,
5 plans of care, and progress notes, as well as other documents as approved by County. County
6 shall be allowed to review records of all and any services provided. If Contractor determines to
7 maintain its records in the County's EHR, it shall provide County's DBH Director, or his or her
8 designee, with a thirty (30) day notice. If at any time Contractor chooses not to maintain its
9 records in the County's EHR, it shall provide County's DBH Director, or designee, with thirty (30)
10 days advance written notice and Contractor will be responsible for obtaining its own system, at
11 its own cost, for electronic health records management.
12 Disclaimer
13 County makes no warranty or representation that information entered into the County's
14 DBH EHR system by Contractor will be accurate, adequate, or satisfactory for Contractor's own
15 purposes or that any information in Contractor's possession or control, or transmitted or
16 received by Contractor, is or will be secure from unauthorized access, viewing, use, disclosure,
17 or breach. Contractor is solely responsible for person served information entered by Contractor
18 into the County's DBH EHR system. Contractor agrees that all Private Health Information (PHI)
19 maintained by Contractor in County's DBH EHR system will be maintained in conformance with
20 all HIPAA laws, as stated in section 18.1, "Health Insurance Portability and Accountability Act."
21 1.13 Records. Contractor shall maintain records in accordance with Exhibit E,
22 "Documentation Standards for Client Records". All persons served's records shall be
23 maintained for a minimum of 10 years from the date of the end of this Agreement.
24 1.14 Access to Records. Contractor shall provide County with access to all
25 documentation of services provided under this Agreement for County's use in administering this
26 Agreement. Contractor shall allow County, CMS, the Office of the Inspector General, the
27 Controller General of the United States, and any other authorized Federal and State agencies to
28 evaluate performance under this Agreement, and to inspect, evaluate, and audit any and all
5
1 records, documents, and the premises, equipment and facilities maintained by the Contractor
2 pertaining to such services at any time and as otherwise required under this Agreement.
3 1.15 Quality Improvement Activities and Participation. Contractor shall comply with
4 the County's ongoing comprehensive Quality Assessment and Performance Improvement
5 (QAPI) Program (42 C.F.R. § 438.330(a)) and work with the County to improve established
6 outcomes by following structural and operational processes and activities that are consistent
7 with current practice standards.
8 Contractor shall participate in quality improvement (QI) activities, including clinical and
9 non-clinical performance improvement projects (PIPs), as requested by the County in relation to
10 State and Federal requirements and responsibilities, to improve health outcomes and
11 individuals' satisfaction over time. Other QI activities include quality assurance, collection and
12 submission of performance measures specified by the County, mechanisms to detect both
13 underutilization and overutilization of services, individual and system outcomes, utilization
14 management, utilization review, provider appeals, provider credentialing and re-credentialing,
15 and person served grievances. Contractor shall measure, monitor, and annually report to the
16 County its performance.
17 1.16 Rights of Persons Served. Contractor shall comply with applicable laws and
18 regulations relating to patients' rights, including but not limited to Wel. & Inst. Code 5325, Cal.
19 Code Regs., tit. 9, sections 862 through 868, and 42 C. F. R. § 438.100. The Contractor shall
20 ensure that its subcontractors comply with all applicable patients' rights laws and regulations.
21 Article 2
22 Reporting
23 2.1 Reports. The Contractor shall submit the following reports:
24 (A) Outcome Reports
25 Contractor shall submit to County clinical program performance outcome reports,
26 as requested.
27 Outcome reports and outcome requirements are subject to change at County's
28 discretion. Contractor shall provide outcomes as stated in Exhibit A and F.
6
1 (B) Staffing Report
2 Contractor shall submit monthly staffing reports due by the 10th of each month
3 that identify all direct service and support staff by first and last name, applicable
4 licensure/certifications, and full-time hours worked to be used as a tracking tool to
5 determine if Contractor's program is staffed according to the requirements of this
6 Agreement.
7 (C) Mental Health Services Act (MHSA) Reporting
8 Contractor shall adhere to MHSA reporting including but not limited to fiscal,
9 outcomes, and demographics as described in Exhibit A.
10 (D)Additional Reports
11 Contractor shall also furnish to County such statements, records, reports, data,
12 and other information as County may request pertaining to matters covered by this
13 Agreement. In the event that Contractor fails to provide such reports or other
14 information required hereunder, it shall be deemed sufficient cause for County to
15 withhold monthly payments until there is compliance. In addition, Contractor shall
16 provide written notification and explanation to County within five (5) days of any funds
17 received from another source to conduct the same services covered by this Agreement.
18 2.2 Monitoring. Contractor agrees to extend to County's staff, County's DBH and the
19 California Department of Health Care Services (DHCS), or their designees, the right to review
20 and monitor records, programs, or procedures, at any time, in regard to persons served, as well
21 as the overall operation of Contractor's programs, in order to ensure compliance with the terms
22 and conditions of this Agreement.
23
24 Article 3
25 County's Responsibilities
26 3.1 The County shall provide oversight and collaborate with Contractor, other County
27 Departments and community agencies to help achieve program goals and outcomes. In addition
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1 to contractor monitoring of program, oversight includes, but not limited to, coordination with
2 Department of Health Care Services (DHCS) in regard to program administration and outcomes.
3 County shall receive and analyze statistical outcome data from Contractor throughout
4 the term of contract on a monthly basis. County shall notify the Contractor when additional
5 participation is required. The performance outcome measurement process will not be limited to
6 survey instruments but will also include, as appropriate, persons served and staff surveys, chart
7 reviews, and other methods of obtaining required information.
8 Article 4
9 Compensation, Invoices, and Payments
10 4.1 The County agrees to pay, and the Contractor agrees to receive, compensation for
11 the performance of its services under this Agreement as described in Exhibit G to this
12 Agreement.
13 4.2 Specialty Mental Health Services Maximum Compensation. The maximum
14 compensation payable to the Contractor under this Agreement for the period of July 1, 2023
15 through June 30, 2024 for Specialty Mental Health Services is Four Million Two Hundred Eighty-
16 Eight Thousand Six Hundred Seventy and No/100 Dollars ($4,288,670.00), which is not a
17 guaranteed sum but shall be paid only for services rendered and received. The maximum
18 compensation payable to the Contractor under this Agreement for the period of July 1, 2024
19 through June 30, 2025 for Specialty Mental Health Services is Four Million Two Hundred Eighty-
20 Eight Thousand Six Hundred Seventy and No/100 Dollars ($4,288,670.00), which is not a
21 guaranteed sum but shall be paid only for services rendered and received.
22 4.3 Non-Medi-Cal Supports Maximum Compensation. The maximum compensation
23 payable to the Contractor under this Agreement for the period of July 1, 2023 through June 30,
24 2024 for Non-Medi-Cal Supports is Twelve Thousand and No/100 Dollars ($12,000.00). The
25 maximum compensation payable to the Contractor under this Agreement for the period of July
26 1, 2024 through June 30, 2025 for Non-Medi-Cal Supports is Twelve Thousand No/100 Dollars
27 ($12,000.00).
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1 4.4 Transition Optimization Funds. If Contractor opts to apply for transition
2 optimization funds, the maximum amount payable for transition optimization for the period of
3 July 1, 2023 through June 30, 2024 shall not exceed Two-Hundred Fifty Thousand and No/100
4 Dollars ($250,000.00) split among all current agreements between the Contractor and the
5 County for Medi-Cal billable specialty mental health and substance use disorder services as
6 further described in the Scope of Work/Services. All final invoices for transition optimization
7 funds shall be submitted by July 15, 2024. Invoices submitted thereafter, shall not be eligible for
8 payment.
9 4.5 Total Maximum Compensation. In no event shall the maximum contract amount for
10 all the services provided by the Contractor to County under the terms and conditions of this
11 Agreement be in excess of Eight Million Eight Hundred Fifty-One Thousand Three Hundred
12 Forty and No/100 Dollars ($8,851,340.00) during the entire term of this Agreement.
13 The Contractor acknowledges that the County is a local government entity and does so
14 with notice that the County's powers are limited by the California Constitution and by State law,
15 and with notice that the Contractor may receive compensation under this Agreement only for
16 services performed according to the terms of this Agreement and while this Agreement is in
17 effect, and subject to the maximum amount payable under this section. The Contractor further
18 acknowledges that County employees have no authority to pay the Contractor except as
19 expressly provided in this Agreement.
20 The Contractor will be compensated for performance of its services under this
21 Agreement as provided in this Article. The Contractor is not entitled to any compensation except
22 as expressly provided in this Agreement.
23 4.6 Rate Categories. The program service components for the Contractor(s) shall be
24 categorized under one or more of the following rate categories and as indicated on Exhibit G:
25 (A) Clinic-Site Based: Clinic-Site Based programs shall be defined as programs who
26 provide less than fifty percent (50%) of services in the field. In the field services are
27 those services that do not occur through telehealth and do not occur in designated sites
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1 in which the Contractor is afforded regular access. Designated sites shall be identified by
2 the Contractor and approved by County's DBH Director or designee in writing.
3 (B) Field Based: Field based programs shall be defined as programs that provide
4 more than fifty percent (50%) of services in the field.
5 (C) Full-Service Partnership/Assisted Outpatient Therapy/Therapeutic Behavioral
6 Health Services (FSP/AOT/TBS): FSP/AOT/TBS programs shall provide services in
7 accordance with level of care standards and general requirements as described in the
8 Scope of Work/Services, if applicable.
9 DBH shall continuously monitor the programs and analyze data to review accuracy of
10 rate categories assigned and may only reassign rate categories with the written agreement of
11 both parties pursuant to Article 25.
12 4.7 Specialty Mental Health Services Claiming. Contractor shall enter claims data into
13 the County's billing and transactional database system by the fifteenth (15th) of every month for
14 actual services rendered in the previous month. Contractor shall use Current Procedural
15 Terminology (CPT) or Healthcare Common Procedure Coding System (HCPCS) codes, as
16 provided in the DHCS Billing Manual available at
17 https://www.dhcs.ca.gov/services/MH/Pages/MedCCC-Library.aspx, as from time to time
18 amended.
19 Claims shall be complete and accurate and must include all required information
20 regarding the claimed services. Claims data entry into the County's electronic health record
21 system shall be the responsibility of Contractor. County shall monitor the volume of services,
22 billing amounts and service types entered into County's electronic health record/information
23 system. Any and all audit exceptions resulting from the provision and reporting of specialty
24 mental health services by Contractor shall be the sole responsibility of Contractor. Contractor
25 will comply with all applicable policies, procedures, directives, and guidelines regarding the use
26 of County's electronic health record/information system.
27 Contractor must provide all necessary data to allow County to bill Medi-Cal, and any
28 other third-party source, for services and meet State and Federal reporting requirements. The
10
1 necessary data can be provided by a variety of means, including but not limited to: 1) direct data
2 entry into County's electronic health record/information system; 2) providing an electronic file
3 compatible with County's electronic health record/information system; or 3) integration between
4 County's electronic health record/information system and Contractor's information system(s).
5 Contractor shall maximize the Federal Financial Participation (FFP) reimbursement by claiming
6 all possible Medi-Cal services and correcting denied services for resubmission as needed.
7 4.8 Applicable Fees. Contractor shall not charge any persons served or third-party
8 payers any fee for service unless directed to do so by the County's DBH Director or designee at
9 the time the individual is referred for services. When directed to charge for services, Contractor
10 shall use the uniform billing and collection guidelines prescribed by DHCS.
11 Contractor will perform eligibility and financial determinations, in accordance with DHCS'
12 Uniform Method of Determining Ability to Pay (UMDAP), for all individuals unless directed
13 otherwise by the County's DBH Director or designee.
14 Contractor shall not submit a claim to, or demand or otherwise collect reimbursement
15 from, the person served or persons acting on behalf of the person served for any specialty
16 mental health or related administrative services provided under this Contract, except to collect
17 other health insurance coverage, share of cost, and co-payments (Cal. Code Regs., tit. 9,
18 §1810.365(c).
19 The Contractor must not bill persons served, for covered services, any amount greater
20 than would be owed if the County provided the services directly as per and otherwise not bill
21 persons served as set forth in 42 C.F.R. § 438.106.
22 If a person served has dual coverage, such as other health coverage (OHC) or Federal
23 Medicare, Contractor will be responsible for billing the carrier and obtaining a payment/denial or
24 have validation of claiming with no response for ninety (90) days after the claim was mailed
25 before the service can be entered into the County's electronic health record/information system.
26 Contractor must report all third-party collections for Medicare, third-party or client-pay or private-
27 pay in each month. A copy of explanation of benefits or CMS 1500 form is required as
28 documentation. Contractor must comply with all laws and regulations governing the Federal
11
1 Medicare program, including, but not limited to: 1) the requirement of the Medicare Act, 42
2 U.S.C. section 1395 et seq; and 2) the regulation and rules promulgated by the Federal Centers
3 for Medicare and Medicaid Services as they relate to participation, coverage and claiming
4 reimbursement. Contractor will be responsible for compliance as of the effective date of each
5 Federal, State or local law or regulation specified.
6 4.9 Invoices. The Contractor shall submit monthly invoices, in arrears by the fifteenth
7 (1511) day of each month, in the format directed by the County. The Contractor shall submit
8 invoices electronically to: 1) dbhinvoicereview@fresnocountyca.gov, 2) dbh-
9 invoices@fresnocountyca.gov; and 3) dbhcontractedservicesdivision@fresnocountyca.gov with
10 a copy to the assigned County's DBH Staff Analyst. At the discretion of County's DBH Director
11 or designee, if an invoice is incorrect or is otherwise not in proper form or substance, County's
12 DBH Director, or designee, shall have the right to withhold payment as to only the portion of the
13 invoice that is incorrect or improper after five (5) days prior notice to Contractor. Contractor
14 agrees to continue to provide services for a period of ninety (90) days after notification of an
15 incorrect or improper invoice. If after the ninety (90) day period, the invoice is still not corrected
16 to County satisfaction, County's DBH Director, or designee, may elect to terminate this
17 Agreement, pursuant to the termination provisions stated in Article 7 of this Agreement.
18 Specialty Mental Health Services Claimable Services. For claimable services,
19 invoices shall be based on claims entered into the County's billing and transactional database
20 system for the prior month.
21 Monthly payments for claimed services shall only be based on the units of time assigned
22 to each CPT or HCPCS code entered in the County's billing and transactional database
23 multiplied by the practitioner service rates in Exhibit G.
24 County's payments to Contractor for performance of claimed services are provisional
25 and subject to adjustment until the completion of all settlement activities. County's adjustments
26 to provisional payments for claimed services shall be based on the terms, conditions, and
27 limitations of this Agreement or the reasons for recoupment set forth in Article 4 and 13.
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1 Any claimable services submitted beyond six (6) months from the month of service may
2 be ineligible for payment.
3 Cost Reimbursement Based Invoices. Invoices for cost reimbursement services shall
4 be based on actual expenses incurred in the month of service. Contractor shall submit monthly
5 invoices and general ledgers to County that itemize the line item charges for monthly program
6 costs. The invoices and general ledgers will serve as tracking tools to determine if Contractor's
7 costs are in accordance with its budgeted cost. Failure to submit reports and other supporting
8 documentation shall be deemed sufficient cause for County to withhold payments until there is
9 compliance.
10 Contractor must report all revenue collected from a third-party, client-pay or private-pay
11 in each monthly invoice. In addition, Contractor shall submit monthly invoices for reimbursement
12 that equal the amount due less any revenue collected and/or unallowable cost such as lobbying
13 or political donations from the monthly invoice reimbursements.
14 Travel shall be reimbursed based on actual expenditures and reimbursement shall be at
15 Contractor's adopted rate, not to exceed the Federal Internal Revenue Services (IRS) published
16 rate.
17 Corrective Action Plans. Contractors shall enter services into the County's billing and
18 transactional database and submit invoices in accordance with the deadlines listed above and
19 information shall be accurate. Failure to meet the requirements set forth above will result in a
20 corrective action plan at the discretion of the County's DBH Director, or designee, and may
21 result in financial penalties or termination of agreement per Article 7.
22 4.10 Payment. Payments shall be made by County to Contractor in arrears, for services
23 provided during the preceding month, within forty-five (45) days after the date of receipt,
24 verification, and approval by County. All final invoices and/or any final budget modification
25 requests shall be submitted by Contractor within sixty (60) days following the final month of
26 service for which payment is claimed. No action shall be taken by County on claims submitted
27 beyond the sixty (60) day closeout period. Any compensation which is not expended by
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1 Contractor pursuant to the terms and conditions of this Agreement shall automatically revert to
2 County.
3 4.11 Specialty Mental Health Services Payments. Payment shall be made upon
4 certification and other proof satisfactory to County that services have actually been performed
5 by Contractor as specified in this Agreement and/or after receipt and verification of actual
6 services provided.
7 4.12 Cost Reimbursement Payments. Payment shall be made upon certification or other
8 proof satisfactory to County that services have actually been performed by Contractor as
9 specified in this Agreement and/or after receipt and verification of actual expenditures incurred
10 by Contractor for monthly program costs, as identified in the budget narratives and budgets
11 identified in Exhibit G, in the performance of this Agreement. County shall not be obligated to
12 make any payments under this Agreement if the request for payment is received by County
13 more than sixty (60) days after this Agreement has terminated or expired.
14 4.13 Recoupments and Audits. County shall recapture from Contractor the value of any
15 services or other expenditures determined to be ineligible based on the County or State
16 monitoring results. The County reserves the right to enter into a repayment agreement with
17 Contractor, with total monthly payments not to exceed twelve (12) months from the date of the
18 repayment agreement, to recover the amount of funds to be recouped. The County has the
19 discretion to extend the repayment plan up to a total of twenty-four (24) months from the date of
20 the repayment agreement. The repayment agreement may be made with the signed written
21 approval of County's DBH Director, or designee, and respective Contractor through a
22 repayment agreement. The monthly repayment amounts may be netted against the Contractor's
23 monthly billing for services rendered during the month, or the County may, in its sole discretion,
24 forego a repayment agreement and recoup all funds immediately. This remedy is not exclusive,
25 and County may seek requital from any other means, including, but not limited to, a separate
26 contract or agreement with Contractor.
27 Contractor shall be held financially liable for any and all future disallowances/audit
28 exceptions due to Contractor's deficiency discovered through the State audit process and
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1 County utilization review for services provided during the course of this Agreement. At County's
2 election, the disallowed amount will be remitted within forty-five (45) days to County upon
3 notification or shall be withheld from subsequent payments to Contractor. Contractor shall not
4 receive reimbursement for any units of services rendered that are disallowed or denied by the
5 Fresno County Mental Health Plan (Mental Health Plan) utilization review process or through
6 the State of California DHCS audit and review process, cost report audit settlement if applicable,
7 for Medi-Cal eligible beneficiaries.
8 4.14 Incidental Expenses. The Contractor is solely responsible for all of its costs and
9 expenses that are not specified as payable by the County under this Agreement. If Contractor
10 fails to comply with any provision of this Agreement, County shall be relieved of its obligation for
11 further compensation.
12 4.15 Restrictions and Limitations. This Agreement shall be subject to any restrictions,
13 limitations, and/or conditions imposed by County or state or federal funding sources that may in
14 any way affect the fiscal provisions of, or funding for this Agreement. This Agreement is also
15 contingent upon sufficient funds being made available by County, state, or federal funding
16 sources for the term of the Agreement. If the federal or state governments reduce financial
17 participation in the Medi-Cal program, County agrees to meet with Contractor to discuss
18 renegotiating the services required by this Agreement.
19 Funding is provided by fiscal year. Any unspent fiscal year appropriation does not roll
20 over and is not available for services provided in subsequent years.
21 In the event that funding for these services is delayed by the State Controller, County
22 may defer payments to Contractor. The amount of the deferred payment shall not exceed the
23 amount of funding delayed by the State Controller to the County. The period of time of the
24 deferral by County shall not exceed the period of time of the State Controller's delay of payment
25 to County plus forty-five (45) days.
26 4.16 Additional Financial Requirements. County has the right to monitor the
27 performance of this Agreement to ensure the accuracy of claims for reimbursement and
28 compliance with all applicable laws and regulations.
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1 Contractor must comply with the False Claims Act employee training and policy
2 requirements set forth in 42 U.S.C. 1396a(a)(68) and as the Secretary of the United States
3 Department of Health and Human Services may specify.
4 Contractor agrees that no part of any federal funds provided under this Agreement shall
5 be used to pay the salary of an individual per fiscal year at a rate in excess of Level 1 of the
6 Executive Schedule at https://www.opm.gov/ (U.S. Office of Personnel Management), as from
7 time to time amended.
8 Federal Financial Participation is not available for any amount furnished to an Excluded
9 individual or entity, or at the direction of a physician during the period of exclusion when the
10 person providing the service knew or had reason to know of the exclusion, or to an individual or
11 entity when the County failed to suspend payments during an investigation of a credible
12 allegation of fraud [42 U.S.C. section 1396b(i)(2)].
13 Contractor must maintain financial records for a minimum period of ten (10) years or until
14 any dispute, audit or inspection is resolved, whichever is later. Contractor will be responsible for
15 any disallowances related to inadequate documentation.
16 4.17 Contractor Prohibited from Redirection of Contracted Funds. Contractor may
17 not redirect or transfer funds from one funded program to another funded program under which
18 Contractor provides services pursuant to this Agreement except through a duly executed
19 amendment to this Agreement.
20 Contractor may not charge services delivered to an eligible person served under one
21 funded program to another funded program unless the person served is also eligible for services
22 under the second funded program.
23 4.18 Financial Audit Report Requirements for Pass-Through Entities. If County
24 determines that Contractor is a "subrecipient" (also known as a "pass-through entity") as defined
25 in 2 C.F.R. § 200 et seq., Contractor represents that it will comply with the applicable cost
26 principles and administrative requirements including claims for payment or reimbursement by
27 County as set forth in 2 C.F.R. § 200 et seq., as may be amended from time to time. Contractor
28 shall observe and comply with all applicable financial audit report requirements and standards.
16
1 Financial audit reports must contain a separate schedule that identifies all funds included
2 in the audit that are received from or passed through the County. County programs must be
3 identified by Agreement number, Agreement amount, Agreement period, and the amount
4 expended during the fiscal year by funding source.
5 Contractor will provide a financial audit report including all attachments to the report and
6 the management letter and corresponding response within six months of the end of the audit
7 year to the County's DBH Director or designee. The County's Director or designee is
8 responsible for providing the audit report to the County Auditor.
9 Contractor must submit any required corrective action plan to the County simultaneously
10 with the audit report or as soon thereafter as it is available. The County shall monitor
11 implementation of the corrective action plan as it pertains to services provided pursuant to this
12 Agreement.
13 Article 5
14 Term of Agreement
15 5.1 Term. This Agreement is effective on July 1, 2023, and terminates on June 30, 2024
16 except as provided in section 5.2, "Extension," or Article 7, "Termination and Suspension,"
17 below.
18 5.2 Extension. The term of this Agreement may be extended for no more than a one-
19 year period only upon written approval of both parties at least 30 days before the first day of the
20 one-year extension period. The County's DBH Director or designee is authorized to sign the
21 written approval on behalf of the County based on the Contractor's satisfactory performance.
22 The extension of this Agreement by the County is not a waiver or compromise of any default or
23 breach of this Agreement by the Contractor existing at the time of the extension whether or not
24 known to the County.
25 Article 6
26 Notices
27 6.1 Contact Information. The persons and their addresses having authority to give and
28 receive notices provided for or permitted under this Agreement include the following:
17
1
For the County:
2 Director
County of Fresno
3 1925 E. Dakota Avenue
Fresno, CA 93726
4
For the Contractor:
5 Marilyn Sliney
Pacific Clinics
6 251 Llewelyn Ave
Campbell, CA 95008
7 6.2 Change of Contact Information. Either party may change the information in section
8 6.1 by giving notice as provided in section 6.3.
9 6.3 Method of Delivery. Each notice between the County and the Contractor provided
10 for or permitted under this Agreement must be in writing, state that it is a notice provided under
11 this Agreement, and be delivered either by personal service, by first-class United States mail, by
12 an overnight commercial courier service, by telephonic facsimile transmission, or by Portable
13 Document Format (PDF) document attached to an email.
14 (A) A notice delivered by personal service is effective upon service to the recipient.
15 (B) A notice delivered by first-class United States mail is effective three (3) County
16 business days after deposit in the United States mail, postage prepaid, addressed to the
17 recipient.
18 (C)A notice delivered by an overnight commercial courier service is effective one (1)
19 County business day after deposit with the overnight commercial courier service,
20 delivery fees prepaid, with delivery instructions given for next day delivery, addressed to
21 the recipient.
22 6.4 Claims Presentation. For all claims arising from or related to this Agreement,
23 nothing in this Agreement establishes, waives, or modifies any claims presentation
24 requirements or procedures provided by law, including the Government Claims Act (Division 3.6
25 of Title 1 of the Government Code, beginning with section 810).
26 6.5 Notification of Changes. Contractor shall notify County in writing of any change in
27 organizational name, Head of Service or principal business at least fifteen (15) business days in
28 advance of the change. Contractor shall notify County of a change of service location at least
18
1 six (6) months in advance to allow County sufficient time to comply with site certification
2 requirements. Said notice shall become part of this Agreement upon acknowledgment in writing
3 by the County, and no further amendment of the Agreement shall be necessary provided that
4 such change of address does not conflict with any other provisions of this Agreement.
5 Contractor must immediately notify County of a change in ownership, organizational
6 status, licensure, or ability of Contractor to provide the quantity or quality of the contracted
7 services in a and in no event more than 15 days of the change.
8 Article 7
9 Termination and Suspension
10 7.1 Termination for Non-Allocation of Funds. The terms of this Agreement are
11 contingent on the approval of funds by the appropriating government agency. If sufficient funds
12 are not allocated, then the County, upon at least thirty (30) days' advance written notice to the
13 Contractor, may:
14 (A) Modify the services provided by the Contractor under this Agreement; or
15 (B) Terminate this Agreement.
16 7.2 Termination for Breach.
17 (A) Upon determining that a breach (as defined in paragraph (C) below) has
18 occurred, the County may give written notice of the breach to the Contractor. The written
19 notice may suspend performance under this Agreement and must provide at least thirty
20 (30) days for the Contractor to cure the breach.
21 (B) If the Contractor fails to cure the breach to the County's satisfaction within the
22 time stated in the written notice, the County may terminate this Agreement immediately.
23 (C) For purposes of this section, a breach occurs when, in the determination of the
24 County, the Contractor has:
25 (1) Obtained or used funds illegally or improperly;
26 (2) Failed to comply with any part of this Agreement;
27 (3) Submitted a substantially incorrect or incomplete report to the County; or
28 (4) Improperly performed any of its obligations under this Agreement.
19
1 7.3 Termination without Cause. In circumstances other than those set forth above, the
2 County may terminate this Agreement by giving at least thirty (30) days advance written notice
3 to the Contractor.
4 7.4 No Penalty or Further Obligation. Any termination of this Agreement by the County
5 under this Article 7 is without penalty to or further obligation of the County.
6 7.5 County's Rights upon Termination. Upon termination for breach under this Article
7 7, the County may demand repayment by the Contractor of any monies disbursed to the
8 Contractor under this Agreement that, in the County's sole judgment, were not expended in
9 compliance with this Agreement. The Contractor shall promptly refund all such monies upon
10 demand. This section survives the termination of this Agreement.
11 In the event this Agreement is terminated, Contractor shall be entitled to compensation
12 for all Specialty Mental Health Services (SMHS) satisfactorily provided pursuant to the terms
13 and conditions of this Agreement through and including the effective date of termination. This
14 provision shall not limit or reduce any damages owed to the County due to a breach of this
15 Agreement by Contractor.
16 Article 8
17 Informing Materials for Persons Served
18 8.1 Basic Information Requirements. Contractor shall provide information in a manner
19 and format that is easily understood and readily accessible to the persons served (42 C.F.R. §
20 438.10(c)(1)). Contractor shall provide all written materials for persons served in easily
21 understood language, format, and alternative formats that take into consideration the special
22 needs of individuals in compliance with 42 C.F.R. § 438.10(d)(6). Contractor shall inform the
23 persons served that information is available in alternate formats and how to access those
24 formats in compliance with 42 C.F.R. § 438.10.
25 Contractor shall provide the required information in this section to each individual
26 receiving SMHS under this Agreement and upon request (1915(b) Medi-Cal Specialty Mental
27 Health Services Waiver, § (2), subd. (d), at p. 26., attachments 3, 4; Cal. Code Regs., tit. 9, §
28 1810.360(e)).
20
1 Contractor shall utilize the County's website that provides the content required in this
2 section and 42 C.F.R. § 438.10 and complies with all requirements regarding the same set forth
3 in 42 C.F.R. § 438.10.
Contractor shall use the DHCS/County-developed beneficiary handbook and persons
4 served notices.(42 C.F.R. §§ 438.10(c)(4)(ii), 438.62(b)(3)).
5 8.2 Electronic Submission. Persons served information required in this section may
6 only be provided electronically by the Contractor if all of the following conditions are met:
7 (A) The format is readily accessible;
8 (B) The information is placed in a location on the Contractor's website that is
9 prominent and readily accessible;
10 (C)The information is provided in an electronic form which can be electronically
retained and printed;
11
(D)The information is consistent with the content and language requirements of this
12 Agreement;
13 (E) The individual is informed that the information is available in paper form without
14 charge upon request and the Contractor shall provide it upon request within five (5)
15 business days (42 C.F.R. § 438.10(c)(6)).
8.3 Language and Format. Contractor shall provide all written materials, including
16
taglines, for persons served or potential persons served in a font size no smaller than twelve
17
(12) point (42 C.F.R. 438.10(d)(6)(ii)).
18
Contractor shall ensure its written materials that are critical to obtaining services are
19
available in alternative formats, upon request of the person served or potential person served at
20 no cost.
21 Contractor shall make its written materials that are critical to obtaining services,
22 including, at a minimum, provider directories, beneficiary handbook, appeal and grievance
23 notices, denial and termination notices, and the Contractor's mental health education materials,
available in the prevalent non-English languages in the County (42 C.F.R. § 438.10(d)(3)).
24
(A) Contractor shall notify persons served, prospective persons served, and
25 members of the public that written translation is available in prevalent languages free of
26 cost and how to access those materials (42 C.F.R. § 438.10(d)(5)(i), (iii); Welfare & Inst.
27 Code § 14727(a)(1); Cal. Code Regs. tit. 9 § 1810.410, subd. (e), para. (4)).
28 Contractor shall make auxiliary aids and services available upon request and free of
charge to each person served (42 C.F.R. § 438.10(d)(3)-(4)).
21
1 Contractor shall make oral interpretation and auxiliary aids, such as Teletypewriter
2 Telephone/Text Telephone (TTY/TDY) and American Sign Language (ASL), available and free
3 of charge for any language in compliance with 42 C.F.R. § 438.10(d)(2), (4)-(5).
Taglines for written materials critical to obtaining services must be printed in a conspicuously
4
visible font size, no smaller than twelve (12) point font.
5 8.4 Beneficiary Informing Materials. Each person served must receive and have
6 access to the beneficiary informing materials upon request by the individual and when first
7 receiving SMHS from Contractor. Beneficiary informing materials include but are not limited to:
8 (A) Consumer Handbook
9 (B) Provider Directory
10 (C) Grievance form
11 (D)Appeal/Expedited Appeal form
12 (E) Advance Directives brochure
13 (F) Change of Provider form
14 (G)Suggestions brochure
15 (H) Notices of Adverse Benefit Determination (NOABDs — Including Denial and
16 Termination notices)
17 (1) Early & Periodic Screening, Diagnostic and Treatment (EPSDT) poster (if serving
18 individuals under the age of 21)
19 (J) Contractor shall ensure the following beneficiary informing materials are
20 displayed in the threshold languages of Fresno County at all service sites:
21 (1) Consumer Handbook
22 (2) Provider Directory
23 (3) Grievance form
24 (4) Appeal/Expedited Appeal form
25 (5) Advance Directives brochure
26 (6) Change of Provider form
27 (7) Suggestions brochure
28
22
1 All beneficiary informing written materials will use easily understood language and
2 format (i.e. material written and formatted at a 6th grade reading level), and will use a
3 font size no smaller than 12 point. All beneficiary informing written materials shall
inform beneficiaries of the availability of information in alternative formats and how to
4 make a request for an alternative format. Inventory and maintenance of all
5 beneficiary informing materials will be maintained by the Managed Care Division.
6 Contractor will ensure that its written materials include taglines or that an additional
7 taglines document is available.
8 8.5 Beneficiary Handbook. Contractor shall provide each persons served with a
9 beneficiary handbook at the time the individual first accesses services and thereafter upon
10 request. The beneficiary handbook shall be provided to beneficiaries within fourteen (14)
11 business days after receiving notice of enrollment.
12 Contractor shall give each individual notice of any significant change to the information
13 contained in the beneficiary handbook at least thirty (30) days before the intended effective date
14 of change as per BHIN 22-060.
15 8.6 Accessibility. Required informing materials must be electronically available on
16 Contractor's website and must be physically available at the Contractor's facility lobby for
17 individuals' access.
18 Informing materials must be made available upon request, at no cost, in alternate
19 formats (i.e., Braille or audio) and auxiliary aids (i.e., California Relay Service (CRS) 711 and
20 American Sign Language) and must be provided to persons served within five (5) business
21 days. Large print materials shall be in a minimum of eighteen (18) point font size.
22 Informing materials will be considered provided to the individual if Contractor does one
or more of the following:
23
(A) Mails a printed copy of the information to the persons served's mailing address
24 before the individual receives their first specialty mental health service;
25 (B) Mails a printed copy of the information upon the individual's request to their
26 mailing address;
27 (C) Provides the information by email after obtaining the persons served's agreement
to receive the information by email;
28
23
1 (D) Posts the information on the Contractor's website and advises the person served
2 in paper or electronic form that the information is available on the internet and includes
3 applicable internet addresses, provided that individuals with disabilities who cannot
access this information online are provided auxiliary aids and services upon request and
4
at no cost; or,
5 (E) Provides the information by any other method that can reasonably be expected
6 to result in the person served receiving that information. If Contractor provides informing
7 materials in person, when the individual first receives specialty mental health services,
8 the date and method of delivery shall be documented in the persons served's file.
8.7 Provider Directory. Contractor must follow the County's provider directory policy, in
9
compliance with MHSUDS IN 18-020.
10
Contractor must make available to persons served, in paper form upon request and
11
electronic form, specified information about the County provider network as per 42 C.F.R. §
12 438.10(h). The most current provider directory is electronically available on the County website
13 and is updated by the County no later than thirty (30) calendar days after information is received
14 to update provider information. A paper provider directory must be updated at least monthly as
15 set forth in 42 C.F.R. § 438.10(h)(3)(i).
Any changes to information published in the provider directory must be reported to the
16 County within two (2) weeks of the change.
17 Contractor will only need to report changes/updates to the provider directory for
18 licensed, waivered, or registered mental health providers.
19 Article 9
20 Independent Contractor
21 9.1 Status. In performing under this Agreement, the Contractor, including its officers,
22 agents, employees, and volunteers, is at all times acting and performing as an independent
23 contractor, in an independent capacity, and not as an officer, agent, servant, employee,joint
24 venturer, partner, or associate of the County.
25 9.2 Verifying Performance. The County has no right to control, supervise, or direct the
26 manner or method of the Contractor's performance under this Agreement, but the County may
27 verify that the Contractor is performing according to the terms of this Agreement.
28 9.3 Benefits. Because of its status as an independent contractor, the Contractor has no
right to employment rights or benefits available to County employees. The Contractor is solely
24
1 responsible for providing to its own employees all employee benefits required by law. The
2 Contractor shall save the County harmless from all matters relating to the payment of
3 Contractor's employees, including compliance with Social Security withholding and all related
4 regulations.
5 9.4 Services to Others. The parties acknowledge that, during the term of this
6 Agreement, the Contractor may provide services to others unrelated to the County.
7 9.5 Operating Costs. Contractor shall provide all personnel, supplies, and operating
8 expenses of any kind required for the performance of this Agreement.
9 9.6 Additional Responsibilities. The parties acknowledge that, during the term of this
10 Agreement, the Contractor will be performing hiring, training, and credentialing of staff, and
11 County will be performing additional staff credentialing to ensure compliance with State and
12 Federal regulations.
13 9.7 Subcontracts. Contractor shall obtain written approval from County's Department of
14 Behavioral Health Director, or designee before subcontracting any of the services delivered
15 under this Agreement. County's Department of Behavioral Health Director, or designee retains
16 the right to approve or reject any request for subcontracting services. Any transferee, assignee,
17 or subcontractor will be subject to all applicable provisions of this Agreement, and all applicable
18 State and Federal regulations. Contractor shall be held primarily responsible by County for the
19 performance of any transferee, assignee, or subcontractor unless otherwise expressly agreed to
20 in writing by County's Department of Behavioral Health Director, or designee. The use of
21 subcontractors by Contractor shall not entitle Contractor to any additional compensation that is
22 provided for under this Agreement.
23 Contractor shall remain legally responsible for the performance of all terms and
24 conditions of this Agreement, including, without limitation, all SMHS provided by third parties
25 under subcontracts, whether approved by the County or not.
26
27
28
25
1 Article 10
2 Indemnity and Defense
3 10.1 Indemnity. The Contractor shall indemnify and hold harmless and defend the
4 County (including its officers, agents, employees, and volunteers) against all claims, demands,
5 injuries, damages, costs, expenses (including attorney fees and costs), fines, penalties, and
6 liabilities of any kind to the County, the Contractor, or any third party that arise from or relate to
7 the performance or failure to perform by the Contractor (or any of its officers, agents,
8 subcontractors, or employees) under this Agreement. The County may conduct or participate in
9 its own defense without affecting the Contractor's obligation to indemnify and hold harmless or
10 defend the County.
11 10.2 Survival. This Article 10 survives the termination of this Agreement.
12 Article 11
13 Insurance
14 11.1 The Contractor shall comply with all the insurance requirements in Exhibit H to this
15 Agreement.
16 Article 12
17 Assurances
18 12.1 Certification of Non-exclusion or Suspension from Participation in a Federal
19 Health Care Program.
20 (A) In entering into this Agreement, Contractor certifies that it is not excluded from
21 participation in Federal Health Care Programs under either Section 1128 or 1128A of the
22 Social Security Act. Failure to so certify will render all provisions of this Agreement null
23 and void and may result in the immediate termination of this Agreement.
24 (B) In entering into this Agreement, Contractor certifies, that the Contractor does not
25 employ or subcontract with providers or have other relationships with providers excluded
26 from participation in Federal Health Care Programs, including Medi-Cal/Medicaid or
27 procurement activities, as set forth in 42 C.F.R. §438.610. Contractor shall conduct initial
28 and monthly exclusion and suspension searches of the following databases and provide
26
1 evidence of these completed searches when requested by County, DHCS or the US
2 Department of Health and Human Services (DHHS):
3 (1) www.oig.hhs.gov/exclusions - Office of Inspector General's List of Excluded
4 Individuals/Entities (LEIE) Federal Exclusions
5 (2) www.sam.clov/content/exclusions - General Service Administration (GSA)
6 Exclusions Extractwww.Medi-Cal.ca.gov - Suspended & Ineligible Provider List
7 (3) https:Hnppes.cros.hhs.gov/#/- National Plan and Provider Enumeration
8 System (NPPES)
9 (4) any other database required by DHCS or US DHHS.
10 (C) In entering into this Agreement, Contractor certifies, that Contractor does not
11 employ staff or individual contractors/vendors that are on the Social Security
12 Administration's Death Master File. Contractor shall check the database prior to
13 employing staff or individual contractors/vendors and provide evidence of these
14 completed searches when requested by the County, DHCS or the US DHHS.
15 (D) Contractor is required to notify County immediately if Contractor becomes aware
16 of any information that may indicate their (including employees/staff and individual
17 contractors/vendors) potential placement on an exclusions list.
18 (E) Contractor shall screen and periodically revalidate all network providers in
19 accordance with the requirements of 42 C.F.R., Part 455, Subparts B and E.
20 (F) Contractor must confirm the identity and determine the exclusion status of all its
21 providers, as well as any person with an ownership or control interest, or who is an
22 agent or managing employee of the contracted agency through routine checks of federal
23 and state databases. This includes the Social Security Administration's Death Master
24 File, NPPES, the Office of Inspector General's LEIE, the Medi-Cal Suspended and
25 Ineligible Provider List (S&I List) as consistent with the requirements of 42 C.F.R. §
26 455.436.
27 (G) If Contractor finds a provider that is excluded, it must promptly notify the County
28 as per 42 C.F.R. § 438.608(a)(2), (4). The Contractor shall not certify or pay any
27
1 Excluded provider with Medi-Cal funds, must treat any payments made to an excluded
2 provider as an overpayment, and any such inappropriate payments may be subject to
3 recovery.
4 Article 13
5 Inspections, Audits, and Public Records
6 13.1 Inspection of Documents. The Contractor shall make available to the County, and
7 the County may examine at any time during business hours and as often as the County deems
8 necessary, all of the Contractor's records and data with respect to the matters covered by this
9 Agreement, excluding attorney-client privileged communications. The Contractor shall, upon
10 request by the County, permit the County to audit and inspect all of such records and data to
11 ensure the Contractor's compliance with the terms of this Agreement.
12 13.2 State Audit Requirements. If the compensation to be paid by the County under this
13 Agreement exceeds $10,000, the Contractor is subject to the examination and audit of the
14 California State Auditor, as provided in Government Code section 8546.7, for a period of three
15 years after final payment under this Agreement. This section survives the termination of this
16 Agreement.
17 13.3 Internal Auditing. Contractors of sufficient size as determined by County shall
18 institute and conduct a Quality Assurance Process for all services provided hereunder. Said
19 process shall include at a minimum a system for verifying that all services provided and claimed
20 for reimbursement shall meet SMHS definitions and be documented accurately.
21 In addition, Contractors with medication prescribing authority shall adhere to County's
22 medication monitoring review practices. Contractor shall provide County with notification and a
23 summary of any internal audit exceptions and the specific corrective actions taken to sufficiently
24 reduce the errors that are discovered through Contractor's internal audit process. Contractor
25 shall provide this notification and summary to County as requested by the County.
26 13.4 Confidentiality in Audit Process. Contractor and County mutually agree to
27 maintain the confidentiality of Contractor's records and information of persons served, in
28 compliance with all applicable State and Federal statutes and regulations, including but not
28
1 limited to HIPAA and California Welfare and Institutions Code, Section 5328. Contractor shall
2 inform all of its officers, employees, and agents of the confidentiality provisions of all applicable
3 statutes.
4 Contractor's fiscal records shall contain sufficient data to enable auditors to perform a
5 complete audit and shall be maintained in conformance with standard procedures and
6 accounting principles.
7 Contractor's records shall be maintained as required by DBH and DHCS on forms
8 furnished by DHCS or the County. All statistical data or information requested by the County's
9 DBH Director or designee shall be provided by the Contractor in a complete and timely manner.
10 13.5 Reasons for Recoupment. County will conduct periodic audits of Contractor files to
11 ensure appropriate clinical documentation, high quality service provision and compliance with
12 applicable federal, state and county regulations.
13 Such audits may result in requirements for Contractor to reimburse County for services
14 previously paid in the following circumstances:
15 (A) Identification of Fraud, Waste or Abuse as defined in federal regulation
16 (1) Fraud and abuse are defined in C.F.R. Title 42, § 455.2 and W&I Code,
17 section 14107.11, subdivision (d).
18 (2) Definitions for"fraud," "waste," and "abuse" can also be found in the Medicare
19 Managed Care Manual available at https://www.cros.gov/Regulations-and-
20 Guidance/Guidance/Manuals
21 (B) Overpayment of Contractor by County due to errors in claiming or
22 documentation.
23 (C) Other reasons specified in the SMHS Reasons for Recoupment document
24 released annually by DHCS and posted on the DHCS BHIN website.
25 Contractor shall reimburse County for all overpayments identified by Contractor, County,
26 and/or state or federal oversight agencies as an audit exception within the timeframes required
27 by law or Country or state or federal agency. Funds owed to County will be due within forty-five
28 (45) days of notification by County, or County shall withhold future payments until all excess
29
1 funds have been recouped by means of an offset against any payments then or thereafter owing
2 to County under this or any other Agreement between the County and Contractor.
3 13.6 Cooperation with Audits. Contractor shall cooperate with County in any review
4 and/or audit initiated by County, DHCS, or any other applicable regulatory body. This
5 cooperation may include such activities as onsite program, fiscal, or chart reviews and/or audits.
6 In addition, Contractor shall comply with all requests for any documentation or files
7 including, but not limited to, files for persons served.
8 Contractor shall notify the County of any scheduled or unscheduled external evaluation
9 or site visits when it becomes aware of such visit. County shall reserve the right to attend any or
10 all parts of external review processes.
11 Contractor shall allow inspection, evaluation and audit of its records, documents and
12 facilities for ten (10) years from the term end date of this Agreement or in the event Contractor
13 has been notified that an audit or investigation of this Agreement has been commenced, until
14 such time as the matter under audit or investigation has been resolved, including the exhaustion
15 of all legal remedies, whichever is later pursuant to 42 C.F.R.§§ 438.3(h) and 438.2301(3)(i-iii).
16 13.7 Single Audit Clause. If Contractor expends Seven Hundred Fifty Thousand and
17 No/100 Dollars ($750,000.00) or more in Federal and Federal flow-through monies, Contractor
18 agrees to conduct an annual audit in accordance with the requirements of the Single Audit
19 Standards as set forth in Office of Management and Budget (OMB) 2 CFR 200. Contractor shall
20 submit said audit and management letter to County. The audit must include a statement of
21 findings or a statement that there were no findings. If there were negative findings, Contractor
22 must include a corrective action plan signed by an authorized individual. Contractor agrees to
23 take action to correct any material non-compliance or weakness found as a result of such audit.
24 Such audit shall be delivered to County's DBH Finance Division for review within nine (9)
25 months of the end of any fiscal year in which funds were expended and/or received for the
26 program. Failure to perform the requisite audit functions as required by this Agreement may
27 result in County performing the necessary audit tasks, or at County's option, contracting with a
28 public accountant to perform said audit, or may result in the inability of County to enter into
30
1 future agreements with Contractor. All audit costs related to this Agreement are the sole
2 responsibility of Contractor.
3 A single audit report is not applicable if Contractor's Federal contracts do not exceed the
4 Seven Hundred Fifty Thousand and No/100 Dollars ($750,000.00) requirement or Contractor's
5 only funding is through Drug-related Medi-Cal. If a single audit is not applicable, a program audit
6 must be performed and a program audit report with management letter shall be submitted by
7 Contractor to County as a minimum requirement to attest to Contractor solvency. Said audit
8 report shall be delivered to County's DBH Finance Division for review no later than nine (9)
9 months after the close of the fiscal year in which the funds supplied through this Agreement are
10 expended. Failure to comply with this Act may result in County performing the necessary audit
11 tasks or contracting with a qualified accountant to perform said audit. All audit costs related to
12 this Agreement are the sole responsibility of Contractor who agrees to take corrective action to
13 eliminate any material noncompliance or weakness found as a result of such audit. Audit work
14 performed by County under this paragraph shall be billed to Contractor at County cost, as
15 determined by County's Auditor-Controller/Treasurer-Tax Collector.
16 Contractor shall make available all records and accounts for inspection by County, the
17 State of California, if applicable, the Controller General of the United States, the Federal Grantor
18 Agency, or any of their duly authorized representatives, at all reasonable times for a period of at
19 least three (3) years following final payment under this Agreement or the closure of all other
20 pending matters, whichever is later.
21 13.8 Public Records. The County is not limited in any manner with respect to its public
22 disclosure of this Agreement or any record or data that the Contractor may provide to the
23 County. The County's public disclosure of this Agreement or any record or data that the
24 Contractor may provide to the County may include but is not limited to the following:
25 (A) The County may voluntarily, or upon request by any member of the public or
26 governmental agency, disclose this Agreement to the public or such governmental
27 agency.
28
31
1 (B) The County may voluntarily, or upon request by any member of the public or
2 governmental agency, disclose to the public or such governmental agency any record or
3 data that the Contractor may provide to the County, unless such disclosure is prohibited
4 by court order.
5 (C)This Agreement, and any record or data that the Contractor may provide to the
6 County, is subject to public disclosure under the Ralph M. Brown Act (California
7 Government Code, Title 5, Division 2, Part 1, Chapter 9, beginning with section 54950).
8 (D)This Agreement, and any record or data that the Contractor may provide to the
9 County, is subject to public disclosure as a public record under the California Public
10 Records Act (California Government Code, Title 1, Division 7, Chapter 3.5, beginning
11 with section 6250) ("CPRA").
12 (E) This Agreement, and any record or data that the Contractor may provide to the
13 County, is subject to public disclosure as information concerning the conduct of the
14 people's business of the State of California under California Constitution, Article 1,
15 section 3, subdivision (b).
16 (F) Any marking of confidentiality or restricted access upon or otherwise made with
17 respect to any record or data that the Contractor may provide to the County shall be
18 disregarded and have no effect on the County's right or duty to disclose to the public or
19 governmental agency any such record or data.
20 13.9 Public Records Act Requests. If the County receives a written or oral request
21 under the CPRA to publicly disclose any record that is in the Contractor's possession or control,
22 and which the County has a right, under any provision of this Agreement or applicable law, to
23 possess or control, then the County may demand, in writing, that the Contractor deliver to the
24 County, for purposes of public disclosure, the requested records that may be in the possession
25 or control of the Contractor. Within five business days after the County's demand, the
26 Contractor shall (a) deliver to the County all of the requested records that are in the Contractor's
27 possession or control, together with a written statement that the Contractor, after conducting a
28 diligent search, has produced all requested records that are in the Contractor's possession or
32
1 control, or (b) provide to the County a written statement that the Contractor, after conducting a
2 diligent search, does not possess or control any of the requested records. The Contractor shall
3 cooperate with the County with respect to any County demand for such records. If the
4 Contractor wishes to assert that any specific record or data is exempt from disclosure under the
5 CPRA or other applicable law, it must deliver the record or data to the County and assert the
6 exemption by citation to specific legal authority within the written statement that it provides to
7 the County under this section. The Contractor's assertion of any exemption from disclosure is
8 not binding on the County, but the County will give at least 10 days' advance written notice to
9 the Contractor before disclosing any record subject to the Contractor's assertion of exemption
10 from disclosure. The Contractor shall indemnify the County for any court-ordered award of costs
11 or attorney's fees under the CPRA that results from the Contractor's delay, claim of exemption,
12 failure to produce any such records, or failure to cooperate with the County with respect to any
13 County demand for any such records.
14 Article 14
15 Right to Monitor
16 14.1 Right to Monitor. County or any subdivision or appointee thereof, and the State of
17 California or any subdivision or appointee thereof, including the Auditor General, shall have
18 absolute right to review and audit all records, books, papers, documents, corporate minutes,
19 financial records, staff information, records of persons served, other pertinent items as
20 requested, and shall have absolute right to monitor the performance of Contractor in the delivery
21 of services provided under this Agreement. Full cooperation shall be given by the Contractor in
22 any auditing or monitoring conducted, according to this agreement.
23 14.2 Accessibility. Contractor shall make all of its premises, physical facilities,
24 equipment, books, records, documents, agreements, computers, or other electronic systems
25 pertaining to Medi-Cal enrollees, Medi-Cal-related activities, services, and activities furnished
26 under the terms of this Agreement, or determinations of amounts payable available at any time
27 for inspection, examination, or copying by County, the State of California or any subdivision or
28 appointee thereof, CMS, U.S. Department of Health and Human Services (HHS) Office of
33
1 Inspector General, the United States Controller General or their designees, and other
2 authorized federal and state agencies. This audit right will exist for at least ten years from the
3 final date of the Agreement period or in the event the Contractor has been notified that an audit
4 or investigation of this Agreement has commenced, until such time as the matter under audit or
5 investigation has been resolved, including the exhaustion of all legal remedies, whichever is
6 later (42 CFR §438.230(c)(3)(I)-(ii)).
7 The County, DHCS, CMS, or the HHS Office of Inspector General may inspect,
8 evaluate, and audit the Contractor at any time if there is a reasonable possibility of fraud or
9 similar risk. The Department's inspection shall occur at the Contractor's place of business,
10 premises, or physical facilities (42 CFR §438.230(c)(3)(iv)).
11 14.3 Cooperation. Contractor shall cooperate with County in the implementation,
12 monitoring and evaluation of this Agreement and comply with any and all reporting requirements
13 established by County. Should County identify an issue or receive notification of a complaint or
14 potential/actual/suspected violation of requirements, County may audit, monitor, and/or request
15 information from Contractor to ensure compliance with laws, regulations, and requirements, as
16 applicable.
17 14.4 Probationary Status. County reserves the right to place Contractor on probationary
18 status, as referenced in the Probationary Status Article, should Contractor fail to meet
19 performance requirements; including, but not limited to violations such as high disallowance
20 rates, failure to report incidents and changes as contractually required, failure to correct issues,
21 inappropriate invoicing, untimely and inaccurate data entry, not meeting performance outcomes
22 expectations, and violations issued directly from the State. Additionally, Contractor may be
23 subject to Probationary Status or termination if agreement monitoring and auditing corrective
24 actions are not resolved within specified timeframes.
25 14.5 Record Retention. Contractor shall retain all records and documents originated or
26 prepared pursuant to Contractor's performance under this Agreement, including grievance and
27 appeal records, and the data, information and documentation specified in 42 C.F.R. parts
28 438.604, 438.606, 438.608, and 438.610 for a period of no less than ten years from the term
34
1 end date of this Agreement or until such time as the matter under audit or investigation has
2 been resolved. Records and documents include but are not limited to all physical and electronic
3 records and documents originated or prepared pursuant to Contractor's or subcontractor's
4 performance under this Agreement including working papers, reports, financial records and
5 documents of account, records of persons served, prescription files, subcontracts, and any
6 other documentation pertaining to covered services and other related services for persons
7 served.
8 14.6 Record Maintenance. Contractor shall maintain all records and management books
9 pertaining to service delivery and demonstrate accountability for agreement performance and
10 maintain all fiscal, statistical, and management books and records pertaining to the program.
11 Records should include, but not be limited to, monthly summary sheets, sign-in sheets, and
12 other primary source documents. Fiscal records shall be kept in accordance with Generally
13 Accepted Accounting Principles and must account for all funds, tangible assets, revenue and
14 expenditures. Fiscal records must also comply with the Code of Federal Regulations (CFR),
15 Title II, Subtitle A, Chapter 11, Part 200, Uniform Administrative Requirements, Cost Principles,
16 and Audit Requirements for Federal Awards.
17 All records shall be complete and current and comply with all Agreement requirements.
18 Failure to maintain acceptable records per the preceding requirements shall be considered
19 grounds for withholding of payments for billings submitted and for termination of Agreement.
20 Contractor shall maintain records of persons served and community service in
21 compliance with all regulations set forth by local, state, and federal requirements, laws, and
22 regulations, and provide access to clinical records by County staff.
23 Contractor shall comply with the Article 18 and Article 1 regarding relinquishing or
24 maintaining medical records.
25 Contractor shall agree to maintain and retain all appropriate service and financial
26 records for a period of at least ten (10) years from the date of final payment, the final date of the
27 contract period, final settlement, or until audit findings are resolved, whichever is later.
28
35
1 14.7 Financial Reports. Contractor shall submit audited financial reports on an annual
2 basis to the County. The audit shall be conducted in accordance with Generally Accepted
3 Accounting Principles and generally accepted auditing standards.
4 14.8 Agreement Termination. In the event the Agreement is terminated, ends its
5 designated term or Contractor ceases operation of its business, Contractor shall deliver or make
6 available to County all financial records that may have been accumulated by Contractor or
7 subcontractor under this Agreement, whether completed, partially completed or in progress
8 within seven (7) calendar days of said termination/end date.
9 14.9 Facilities and Assistance. Contractor shall provide all reasonable facilities and
10 assistance for the safety and convenience of the County's representatives in the performance of
11 their duties. All inspections and evaluations shall be performed in such a manner that will not
12 unduly delay the work of Contractor.
13 14.10 County Discretion to Revoke. County has the discretion to revoke full or partial
14 provisions of the Agreement, delegated activities or obligations, or application of other remedies
15 permitted by state or federal law when the County or DHCS determines Contractor has not
16 performed satisfactorily.
17 14.11 Site Inspection. Without limiting any other provision related to inspections or audits
18 otherwise set forth in this Agreement, Contractor shall permit authorized County, state, and/or
19 federal agency(ies), through any authorized representative, the right to inspect or otherwise
20 evaluate the work performed or being performed hereunder including subcontract support
21 activities and the premises which it is being performed. Contractor shall provide all reasonable
22 assistance for the safety and convenience of the authorized representative in the performance
23 of their duties. All inspections and evaluations shall be made in a manner that will not unduly
24 delay the work of the Contractor.
25 Article 15
26 Complaints Logs and Grievances
27 15.1 Documentation. Contractor shall log complaints and the disposition of all complaints
28 from a person served or their family. Contractor shall provide a copy of the detailed complaint
36
1 log entries concerning County-sponsored persons served to County at monthly intervals by the
2 tenth (10th) day of the following month, in a format that is mutually agreed upon. Contractor
3 shall allow beneficiaries or their representative to file a grievance either orally, or in writing at
4 any time with the Mental health Plan. In the event Contractor is notified by a beneficiary or their
5 representative of a discrimination grievance, subcontractor shall report discrimination
6 grievances to the Mental Health Plan within 24 hours. The Contractor shall not require a
7 beneficiary or their representative to file a Discrimination Grievance with the Mental Health Plan
8 before filing the complaint directly with the DHCS Office of Civil Rights and the U.S. Health and
9 Human Services Office for Civil Rights.
10 15.2 Rights of Persons Served. Contractor shall post signs informing persons served of
11 their right to file a complaint or grievance, appeals, and expedited appeals. In addition,
12 Contractor shall inform every person served of their rights as set forth in Exhibit I.
13 15.3 Incident Reporting. Contractor shall file an incident report for all incidents involving
14 persons served, following the protocol identified in Exhibit J.
15 Article 16
16 Property of County
17 16.1 Applicability. Article 16 shall only apply to the program components and services
18 provided under operational costs.
19 16.2 Fixed Assets. County and Contractor recognize that fixed assets are tangible and
20 intangible property obtained or controlled under County for use in operational capacity and will
21 benefit County for a period more than one (1) year.
22 16.3 Agreement Assets. Assets shall be tracked on an agreement by agreement basis.
23 All of these assets shall fall into the "Equipment" category unless funding source allows for
24 additional types of assets. At a minimum, the following types of items are considered to be
25 assets:
26 (A) Computers (desktops and laptops)*
27 (B) Copiers, cell phones, tablets, and other devices with any HIPAA data
28 (C) Modular furniture
37
1 (D)Any items over $500 or more with a lifespan of at least two (2) years:
2 (1) Televisions
3 (2) Washers/Dryers
4 (3) Printers
5 (4) Digital Cameras
6 (5) Other equipment/furniture
7 (6) Items in total when purchased or used as a group fall into one or more of the
8 above categories
9 (E) Items of sensitive nature shall be purchased and allocated to a single agreement.
10 All items containing HIPAA data are considered sensitive.
11 Contractor shall ensure proper tracking for contact assets that include the following
12 asset attributes at a minimum:
13 (A) Description of the asset;
14 (B) The unique identifier of the asset if applicable, i.e., serial number;
15 (C)The acquisition date;
16 (D)The quantity of the asset;
17 (E) The location of the asset or to whom the asset is assigned;
18 (F) The cost of the asset at the time of acquisition;
19 (G)The source of grant funding if applicable;
20 (H)The disposition date, and
21 (1) The method of disposition (surplus, transferred, destroyed, lost)
22 All Contract assets shall be returned to the Department at the end of the agreement
23 period.
24 16.4 Retention and Maintenance. Assets shall be retained by County, as County
25 property, in the event this Agreement is terminated or upon expiration of this Agreement.
26 Contractor agrees to participate in an annual inventory of all County fixed and inventoried
27 assets. Upon termination or expiration of this Agreement, Contractor shall be physically present
28 when fixed and inventoried assets are returned to County possession. Contractor is responsible
38
1 for returning to County all County owned undepreciated fixed and inventoried assets, or the
2 monetary value of said assets if unable to produce the assets at the expiration or termination of
3 this Agreement. Contractor further agrees to the following:
4 Maintain all items of equipment in good working order and condition, normal wear and
5 tear excepted;
6 Label all items of equipment with County assigned program number, to perform periodic
7 inventories as required by County and to maintain an inventory list showing where and how the
8 equipment is being used in accordance with procedures developed by County. All such lists
9 shall be submitted to County within ten (10) days of any request therefore; and
10 Report in writing to County immediately after discovery, the loss or theft of any items of
11 equipment. For stolen items, the local law enforcement agency must be contacted, and a copy
12 of the police report submitted to County.
13 16.5 Equipment Purchase. The purchase of any equipment by Contractor with funds
14 provided hereunder shall require the prior written approval of County's DBH Director or
15 designee, shall fulfill the provisions of this Agreement as appropriate, and must be directly
16 related to Contractor's services or activity under the terms of this Agreement. County may
17 refuse reimbursement for any costs resulting from equipment purchased, which are incurred by
18 Contractor, if prior written approval has not been obtained from County.
19 16.6 Modification. Contractor must obtain prior written approval from County's DBH
20 whenever there is any modification or change in the use of any property acquired or improved,
21 in whole or in part, using funds under this Agreement. If any real or personal property acquired
22 or improved with said funds identified herein is sold and/or is utilized by Contractor for a use
23 which does not qualify under this Agreement, Contractor shall reimburse County in an amount
24 equal to the current fair market value of the property, less any portion thereof attributable to
25 expenditures of funds not provided under this Agreement. These requirements shall continue in
26 effect for the life of the property. In the event this Agreement expires, the requirements for this
27 Article shall remain in effect for activities or property funded with said funds, unless action is
28 taken by the State government to relieve County of these obligations.
39
1 Article 17
2 Compliance
3 17.1 Compliance. Contractor agrees to comply with County's Contractor Code of
4 Conduct and Ethics and the County's Compliance Program in accordance with Exhibit K. Within
5 thirty (30) days of entering into this Agreement with County, Contractor shall ensure all of
6 Contractor's employees, agents, and subcontractors providing services under this Agreement
7 certify in writing, that he or she has received, read, understood, and shall abide by the
8 Contractor Code of Conduct and Ethics. Contractor shall ensure that within thirty (30) days of
9 hire, all new employees, agents, and subcontractors providing services under this Agreement
10 shall certify in writing that he or she has received, read, understood, and shall abide by the
11 Contractor Code of Conduct and Ethics. Contractor understands that the promotion of and
12 adherence to the Contractor Code of Conduct is an element in evaluating the performance of
13 Contractor and its employees, agents, and subcontractors.
14 Within thirty (30) days of entering into this Agreement, and annually thereafter, all
15 employees, agents, and subcontractors providing services under this Agreement shall complete
16 general compliance training, and appropriate employees, agents, and subcontractors shall
17 complete documentation and billing or billing/reimbursement training. All new employees,
18 agents, and subcontractors shall attend the appropriate training within thirty (30) days of hire.
19 Each individual who is required to attend training shall certify in writing that he or she has
20 received the required training. The certification shall specify the type of training received and
21 the date received. The certification shall be provided to County's DBH Compliance Officer at
22 1925 E. Dakota Ave, Fresno, California 93726. Contractor agrees to reimburse County for the
23 entire cost of any penalty imposed upon County by the Federal Government as a result of
24 Contractor's violation of the terms of this Agreement.
25 17.2 Compliance with State Medi-Cal Requirements. Contractor shall be required to
26 maintain Mental Health Plan organizational provider certification by Fresno County. Contractor
27 must meet Medi-Cal organization provider standards as listed in Exhibit L, "Medi-Cal
28 Organizational Provider Standards", attached hereto and by this reference incorporated herein
40
1 and made part of this Agreement. It is acknowledged that all references to Organizational
2 Provider and/or Provider in Exhibit L shall refer to Contractor.
3 17.3 Medi-Cal Certification and Mental Health Plan Compliance. Contractor will
4 establish and maintain Medi-Cal certification or become certified within ninety (90) days of the
5 effective date of this Agreement through County to provide reimbursable services to Medi-Cal
6 eligible persons served. In addition, Contractor shall work with the County's DBH to execute
7 the process if not currently certified by County for credentialing of staff. During this process, the
8 Contractor will obtain a legal entity number established by the DHCS, a requirement for
9 maintaining Mental Health Plan organizational provider status throughout the term of this
10 Agreement. Contractor will be required to become Medi-Cal certified prior to providing services
11 to Medi-Cal eligible persons served and seeking reimbursement from the County. Contractor
12 will not be reimbursed by County for any services rendered prior to certification.
13 Contractor shall provide direct specialty mental health services in accordance with the
14 Mental Health Plan. Contractor must comply with the "Fresno County Mental Health Plan
15 Compliance Program and Code of Conduct" set forth in Exhibit K, attached hereto and
16 incorporated herein by reference and made part of this Agreement.
17 Contractor may provide direct specialty mental health services using unlicensed staff as
18 long as the individual is approved as a provider by the Mental Health Plan, is supervised by
19 licensed staff, works within his/her scope and only delivers allowable direct specialty mental
20 health services. It is understood that each service is subject to audit for compliance with
21 Federal and State regulations, and that County may be making payments in advance of said
22 review. In the event that a service is disapproved, County may, at its sole discretion, withhold
23 compensation or set off from other payments due the amount of said disapproved services.
24 Contractor shall be responsible for audit exceptions to ineligible dates of services or incorrect
25 application of utilization review requirements.
26 17.4 Network Adequacy. The Contractor shall ensure that all services covered under this
27 Agreement are available and accessible to persons served in a timely manner and in
28
41
1 accordance with the network adequacy standards required by regulation. (42 C.F.R. §438.206
2 (a), (c)).
3 Contractor shall submit, when requested by County and in a manner and format
4 determined by the County, network adequacy certification information to the County, utilizing a
5 provided template or other designated format.
6 Contractor shall submit updated network adequacy information to the County any time
7 there has been a significant change that would affect the adequacy and capacity of services.
8 To the extent possible and appropriately consistent with CCR, Title 9, §1830.225 and 42
9 C.F.R. §438.3 (1), the Contractor shall provide a person served the ability to choose the person
10 providing services to them.
11 17.5 Compliance Program, Including Fraud Prevention and Overpayments.
12 Contractor shall have in place a compliance program designed to detect and prevent fraud,
13 waste and abuse, as per 42 C.F.R. § 438.608(a)(1), that must include:
14 (A) Written policies, procedures, and standards of conduct that articulate the
15 organization's commitment to comply with all applicable requirements and standards
16 under the Agreement, and all applicable federal and state requirements.
17 (B) A Compliance Office (CO) who is responsible for developing and implementing
18 policies, procedures, and practices designed to ensure compliance with the
19 requirements of this Agreement and who reports directly to the CEO and the Board of
20 Directors.
21 (C)A Regulatory Compliance Committee on the Board of Directors and at the senior
22 management level charged with overseeing the organization's compliance program and
23 its compliance with the requirements under the Agreement.
24 (D)A system for training and education for the Compliance Officer, the organization's
25 senior management, and the organization's employees for the federal and state
26 standards and requirements under the Agreement.
27 (E) Effective lines of communication between the Compliance Officer and the
28 organization's employees.
42
1 (F) Enforcement of standards through well-publicized disciplinary guidelines.
2 (G)The establishment and implementation of procedures and a system with
3 dedicated staff for routine internal monitoring and auditing of compliance risks, prompt
4 response to compliance issues as they are raised, investigation of potential compliance
5 problems as identified in the course of self-evaluation and audits, corrections of such
6 problems promptly and thoroughly to reduce the potential for recurrence and ongoing
7 compliance with the requirements under the Agreement.
8 (H)The requirement for prompt reporting and repayment of any overpayments
9 identified.
10 17.6 Reporting. Contractor must have administrative and management arrangements or
11 procedures designed to detect and prevent fraud, waste and abuse of federal or state health
12 care funding. Contractor must report fraud and abuse information to the County including but
13 not limited to:
14 (A) Any potential fraud, waste, or abuse as per 42 C.F.R. § 438.608(a), (a)(7),
15 (B) All overpayments identified or recovered, specifying the overpayment due to
16 potential fraud as per 42 C.F.R. § 438.608(a), (a)(2),
17 (C) Information about changes in a persons served's circumstances that may affect
18 the person served's eligibility including changes in the their residence or the death of the
19 person served as per 42 C.F.R. § 438.608(a)(3).
20 (D) Information about a change in the Contractor's circumstances that may affect the
21 network provider's eligibility to participate in the managed care program, including the
22 termination of this Agreement with the Contractor as per 42 C.F.R. § 438.608(a)(6).
23 Contractor shall implement written policies that provide detailed information about the
24 False Claims Act ("Act") and other federal and state laws described in section 1902(a)(68) of the
25 Act, including information about rights of employees to be protected as whistleblowers.
26 Contractor shall make prompt referral of any potential fraud, waste or abuse to County or
27 potential fraud directly to the State Medicaid Fraud Control Unit.
28
43
1 17.7 Overpayments. County may suspend payments to Contractor if DHCS or County
2 determine that there is a credible allegation of fraud in accordance with 42 C.F.R. §455.23. (42
3 C.F.R. §438.608 (a)(8)).
4 Contractor shall report to County all identified overpayments and reason for the
5 overpayment, including overpayments due to potential fraud. Contractor shall return any
6 overpayments to the County within 60 calendar days after the date on which the overpayment
7 was identified. (42 C.F.R. § 438.608 (a)(2), (c)(3)).
8 Article 18
9 Federal and State Laws
10 18.1 Health Insurance Portability and Accountability Act. County and Contractor each
11 consider and represent themselves as covered entities as defined by the U.S. Health Insurance
12 Portability and Accountability Act of 1996, Public Law 104-191(HIPAA) and agree to use and
13 disclose Protected Health Information (PHI) as required by law.
14 County and Contractor acknowledge that the exchange of PHI between them is only for
15 treatment, payment, and health care operations.
16 County and Contractor intend to protect the privacy and provide for the security of PHI
17 pursuant to the Agreement in compliance with HIPAA, the Health Information Technology for
18 Economic and Clinical Health Act, Public Law 111-005 (HITECH), and regulations promulgated
19 thereunder by the U.S. Department of Health and Human Services (HIPAA Regulations) and
20 other applicable laws.
21 As part of the HIPAA Regulations, the Privacy Rule and the Security Rule require
22 Contractor to enter into a agreement containing specific requirements prior to the disclosure of
23 PHI, as set forth in, but not limited to, Title 45, Sections 164.314(a), 164.502(e) and 164.504(e)
24 of the Code of Federal Regulations.
25 18.2 Physical Accessibility. In accordance with the accessibility requirements of section
26 508 of the Rehabilitation Act and the Americans with Disabilities Act of 1973, Contractor must
27 provide physical access, reasonable accommodations, and accessible equipment for Medi-Cal
28 beneficiaries with physical or mental disabilities.
44
1 Article 19
2 Data Security
3 19.1 Data Security Requirements. Contractor shall comply with data security
4 requirements in Exhibit M to this Agreement.
5
6 Article 20
7 Publicity Prohibition
8 20.1 Self-Promotion. None of the funds, materials, property, or services provided directly
9 or indirectly under this Agreement shall be used for Contractor's advertising, fundraising, or
10 publicity (i.e., purchasing of tickets/tables, silent auction donations, etc.)for the purpose of self-
11 promotion.
12 20.2 Public Awareness. Notwithstanding the above, publicity of the services described in
13 Article 1 of this Agreement shall be allowed as necessary to raise public awareness about the
14 availability of such specific services when approved in advance by County's DBH Director or
15 designee. Communication products must follow DBH graphic standards, including typefaces
16 and colors, to communicate our authority and project a unified brand. This includes all media
17 types and channels and all materials on and offline that are created as part of DBH's efforts to
18 provide information to the public.
19 Article 21
20 Disclosure of Self-Dealing Transactions
21 21.1 Applicability. This Article 21 applies if the Contractor is operating as a corporation,
22 or changes its status to operate as a corporation.
23 21.2 Duty to Disclose. If any member of the Contractor's board of directors is party to a
24 self-dealing transaction, he or she shall disclose the transaction by completing and signing a
25 "Self-Dealing Transaction Disclosure Form" (Exhibit N to this Agreement) and submitting it to
26 the County before commencing the transaction or immediately after.
27
28
45
1 21.3 Definition. "Self-dealing transaction" means a transaction to which the Contractor is
2 a party and in which one or more of its directors, as an individual, has a material financial
3 interest.
4 Article 22
5 Disclosure of Ownership and/or Control Interest Information
6 22.1 Applicability. This provision is only applicable if Contractor is disclosing entities,
7 fiscal agents, or managed care entities, as defined in Code of Federal Regulations (C.F.R.),
8 Title 42 §§ 455.101, 455.104 and 455.106(a)(1),(2).
9 22.2 Duty to Disclose. Contractor must disclose the following information as requested in
10 the Provider Disclosure Statement, Disclosure of Ownership and Control Interest Statement,
11 Exhibit O:
12 (A) Disclosure of 5% or More Ownership Interest:
13 (1) In the case of corporate entities with an ownership or control interest in the
14 disclosing entity, the primary business address as well as every business location
and P.O. Box address must be disclosed. In the case of an individual, the date of
15
birth and Social Security number must be disclosed.
16 (2) In the case of a corporation with ownership or control interest in the
17 disclosing entity or in any subcontractor in which the disclosing entity has a five
18 percent (5%) or more interest, the corporation tax identification number must be
19 disclosed.
(3) For individuals or corporations with ownership or control interest in any
20
subcontractor in which the disclosing entity has a five percent (5%) or more interest,
21 the disclosure of familial relationship is required.
22 (4) For individuals with five percent (5%) or more direct or indirect ownership
23 interest of a disclosing entity, the individual shall provide evidence of completion of a
24 criminal background check, including fingerprinting, if required by law, prior to
execution of Contract. (42 C.F.R. § 455.434)
25
(B) Disclosures Related to Business Transactions:
26 (1) The ownership of any subcontractor with whom Contractor has had business
27 transactions totaling more than $25,000 during the 12-month period ending on the
28 date of the request.
46
1 (2) Any significant business transactions between Contractor and any wholly
2 owned supplier, or between Contractor and any subcontractor, during the 5-year
3 period ending on the date of the request. (42 C.F.R. § 455.105(b).)
(C) Disclosures Related to Persons Convicted of Crimes:
4
(1) The identity of any person who has an ownership or control interest in the
5 provider or is an agent or managing employee of the provider who has been
6 convicted of a criminal offense related to that person's involvement in any program
7 under the Medicare, Medicaid, or the Title XXI services program since the inception
8 of those programs. (42 C.F.R. § 455.106.)
(2) County shall terminate the enrollment of Contractor if any person with five
9
percent (5%) or greater direct or indirect ownership interest in the disclosing entity
10 has been convicted of a criminal offense related to the person's involvement with
11 Medicare, Medicaid, or Title XXI program in the last 10 years.
12 22.3 Contractor must provide disclosure upon execution of Contract, extension for
13 renewal, and within 35 days after any change in Contractor ownership or upon request of
14 County. County may refuse to enter into an agreement or terminate an existing agreement with
15 Contractor if Contractor fails to disclose ownership and control interest information, information
16 related to business transactions and information on persons convicted of crimes, or if Contractor
17 did not fully and accurately make the disclosure as required.
18 22.4 Contractor must provide the County with written disclosure of any prohibited
19 affiliations under 42 C.F.R. § 438.610. Contractor must not employ or subcontract with providers
20 or have other relationships with providers Excluded from participation in Federal Health Care
21 Programs, including Medi-Cal/Medicaid or procurement activities, as set forth in 42 C.F.R.
22 §438.610.
23 22.5 Reporting. Submissions shall be scanned pdf copies and are to be sent via email to
24 DBHContractedServices@fresnocountyca.gov. County may deny enrollment or terminate this
25 Agreement where any person with five (5) percent or greater direct or indirect ownership interest
26 in Contractor has been convicted of a criminal offense related to that person's involvement with
27 the Medicare, Medicaid, or Title XXI program in the last ten (10) years. County may terminate
28 this Agreement where any person with five (5) percent or greater direct or indirect ownership
47
1 interest in the Contractor did not submit timely and accurate information and cooperate with any
2 screening method required in CFR, Title 42, Section 455.416.
3 Article 23
4 Disclosure of Criminal History and Civil Actions
5 23.1 Applicability. Contractor is required to disclose if any of the following conditions
6 apply to them, their owners, officers, corporate managers, or partners (hereinafter collectively
7 referred to as "Contractor"):
8 (A) Within the three (3) year period preceding the Agreement award, they have been
9 convicted of, or had a civil judgment tendered against them for:
10 (1) Fraud or criminal offense in connection with obtaining, attempting to obtain,
11 or performing a public (federal, state, or local) transaction or contract under a public
12 transaction;
13 (2) Violation of a federal or state antitrust statute;
14 (3) Embezzlement, theft, forgery, bribery, falsification, or destruction of records;
15 or
16 (4) False statements or receipt of stolen property.
17 (B) Within a three (3) year period preceding their Agreement award, they have had a
18 public transaction (federal, state, or local) terminated for cause or default.
19 23.2 Duty to Disclose. Disclosure of the above information will not automatically
20 eliminate Contractor from further business consideration. The information will be considered as
21 part of the determination of whether to continue and/or renew this Agreement and any additional
22 information or explanation that Contractor elects to submit with the disclosed information will be
23 considered. If it is later determined that the Contractor failed to disclose required information,
24 any contract awarded to such Contractor may be immediately voided and terminated for
25 material failure to comply with the terms and conditions of the award.
26 Contractor must sign a "Certification Regarding Debarment, Suspension, and Other
27 Responsible Matters— Primary Covered Transactions" in the form set forth in Exhibit P attached
28 hereto and by this reference incorporated herein. Additionally, Contractor must immediately
48
1 advise the County in writing if, during the term of the Agreement: (1) Contractor becomes
2 suspended, debarred, excluded or ineligible for participation in Federal or State funded
3 programs or from receiving federal funds as listed in the excluded parties list system
4 (http://www.epls.gov); or (2) any of the above listed conditions become applicable to Contractor.
5 Contractor shall indemnify, defend, and hold County harmless for any loss or damage resulting
6 from a conviction, debarment, exclusion, ineligibility, or other matter listed in the signed
7 Certification Regarding Debarment, Suspension, and Other Responsibility Matters.
8 Article 24
9 Cultural and Linguistic Competency
10 24.1 General.All services, policies and procedures must be culturally and linguistically
11 appropriate. Contractor must participate in the implementation of the most recent Cultural
12 Competency Plan for the County and shall adhere to all cultural competency standards and
13 requirements. Contractor shall participate in the County's efforts to promote the delivery of
14 services in a culturally competent and equitable manner to all individuals, including those with
15 limited English proficiency and diverse cultural and ethnic backgrounds, disabilities, and
16 regardless of gender, sexual orientation, or gender identity including active participation in the
17 County's Diversity, Equity and Inclusion Committee.
18 24.2 Policies and Procedures. Contractor shall comply with requirements of policies and
19 procedures for ensuring access and appropriate use of trained interpreters and material
20 translation services for all limited and/or no English proficient beneficiaries, including, but not
21 limited to, assessing the cultural and linguistic needs of the beneficiaries, training of staff on the
22 policies and procedures, and monitoring its language assistance program. Contractor's policies
23 and procedures shall ensure compliance of any subcontracted providers with these
24 requirements.
25 24.3 Interpreter Services. Contractor shall notify its beneficiaries that oral interpretation
26 is available for any language and written translation is available in prevalent languages and that
27 auxiliary aids and services are available upon request, at no cost and in a timely manner for
28 limited and/or no English proficient beneficiaries and/or beneficiaries with disabilities.
49
1 Contractor shall avoid relying on an adult or minor child accompanying the beneficiary to
2 interpret or facilitate communication; however, if the beneficiary refuses language assistance
3 services, the Contractor must document the offer, refusal, and justification in the beneficiary's
4 file.
5 24.4 Interpreter Qualifications. Contractor shall ensure that employees, agents,
6 subcontractors, and/or partners who interpret or translate for a beneficiary or who directly
7 communicate with a beneficiary in a language other than English (1) have completed annual
8 training provided by County at no cost to Contractor; (2) have demonstrated proficiency in the
9 beneficiary's language; (3) can effectively communicate any specialized terms and concepts
10 specific to Contractor's services; and (4) adheres to generally accepted interpreter ethic
11 principles. As requested by County, Contractor shall identify all who interpret for or provide
12 direct communication to any program beneficiary in a language other than English and identify
13 when the Contractor last monitored the interpreter for language competence.
14 24.5 CLAS Standards. Contractor shall submit to County for approval, within ninety (90)
15 days from date of contract execution, Contractor's plan to address all fifteen (15) National
16 Standards for Culturally and Linguistically Appropriate Service (CLAS), as published by the
17 Office of Minority Health and as set forth in Exhibit Q "National Standards on Culturally and
18 Linguistically Appropriate Services", attached hereto and incorporated herein by reference and
19 made part of this Agreement. As the CLAS standards are updated, Contractor's plan must be
20 updated accordingly. As requested by County, Contractor shall be responsible for conducting
21 an annual CLAS self-assessment and providing the results of the self-assessment to the
22 County. The annual CLAS self-assessment instruments shall be reviewed by the County and
23 revised as necessary to meet the approval of the County.
24 24.6 Training Requirements. Cultural competency training for Contractor staff should be
25 substantively integrated into health professions education and training at all levels, both
26 academically and functionally, including core curriculum, professional licensure, and continuing
27 professional development programs. As requested by County, Contractor shall report on the
28
50
1 completion of cultural competency trainings to ensure direct service providers are completing a
2 minimum of twelve (12) hours of annual cultural competency training.
3 24.7 Continuing Cultural Competence. Contractor shall create and sustain a forum that
4 includes staff at all agency levels to discuss cultural competence. Contractor shall designate a
5 representative from Contractor's team to attend County's Diversity, Equity and Inclusion
6 Committee.
7 Article 25
8 General Terms
9 25.1 Modification. Except as provided in Article 7, "Termination and Suspension," this
10 Agreement may not be modified, and no waiver is effective, except by written agreement signed
11 by both parties. The Contractor acknowledges that County employees have no authority to
12 modify this Agreement except as expressly provided in this Agreement.
13 (A) Notwithstanding the above, non-material changes to services, staffing, and
14 responsibilities of the Contractor, as needed, to accommodate changes in the laws
15 relating to service requirements and specialty mental health treatment, may be made
16 with the signed written approval of County's DBH Director, or designee, and Contractor
17 through an amendment approved by County's County Counsel and the County's Auditor-
18 Controller/Treasurer-Tax Collector's Office. Said modifications shall not result in any
19 change to the maximum compensation amount payable to Contractor, as stated herein.
20 (B) In addition, changes to line items and expense category subtotals, as set forth in
21 Exhibit G, that when added together during the term of the agreement do not exceed ten
22 percent (10%) of the total maximum compensation payable to Contractor, may be made
23 with the written approval of Contractor and County's DBH Director or designee. Changes
24 to service rates on Exhibit G that do not exceed 3% of the approved rate, or that are
25 needed to accommodate state-mandated rate increases, may be made with the written
26 approval of the DBH Director or designee. These rate changes may not add or alter any
27 other terms or conditions of the Agreement. Said modifications shall not result in any
28 change to the maximum compensation amount payable to Contractor, as stated herein.
51
1 25.2 Non-Assignment. Neither party may assign its rights or delegate its obligations
2 under this Agreement without the prior written consent of the other party.
3 25.3 Governing Law. The laws of the State of California govern all matters arising from
4 or related to this Agreement.
5 25.4 Jurisdiction and Venue. This Agreement is signed and performed in Fresno
6 County, California. Contractor consents to California jurisdiction for actions arising from or
7 related to this Agreement, and, subject to the Government Claims Act, all such actions must be
8 brought and maintained in Fresno County.
9 25.5 Construction. The final form of this Agreement is the result of the parties' combined
10 efforts. If anything in this Agreement is found by a court of competent jurisdiction to be
11 ambiguous, that ambiguity shall not be resolved by construing the terms of this Agreement
12 against either party.
13 25.6 Days. Unless otherwise specified, "days" means calendar days.
14 25.7 Headings. The headings and section titles in this Agreement are for convenience
15 only and are not part of this Agreement.
16 25.8 Severability. If anything in this Agreement is found by a court of competent
17 jurisdiction to be unlawful or otherwise unenforceable, the balance of this Agreement remains in
18 effect, and the parties shall make best efforts to replace the unlawful or unenforceable part of
19 this Agreement with lawful and enforceable terms intended to accomplish the parties' original
20 intent.
21 25.9 Nondiscrimination. During the performance of this Agreement, the Contractor shall
22 not unlawfully discriminate against any employee or applicant for employment, or recipient of
23 services, because of race, religious creed, color, national origin, ancestry, physical disability,
24 mental disability, medical condition, genetic information, marital status, sex, gender, gender
25 identity, gender expression, age, sexual orientation, military status or veteran status pursuant to
26 all applicable State of California and federal statutes and regulation.
27 Contractor shall take affirmative action to ensure that services to intended Medi-Cal
28 beneficiaries are provided without use of any policy or practice that has the effect of
52
1 discriminating on the basis of race, color, religion, ancestry, marital status, national origin, ethnic
2 group identification, sex, sexual orientation, gender, gender identity, age, medical condition,
3 genetic information, health status or need for health care services, or mental or physical
4 disability.
5 25.10 No Waiver. Payment, waiver, or discharge by the County of any liability or obligation
6 of the Contractor under this Agreement on any one or more occasions is not a waiver of
7 performance of any continuing or other obligation of the Contractor and does not prohibit
8 enforcement by the County of any obligation on any other occasion.
9 25.11 Entire Agreement. This Agreement, including its exhibits, is the entire agreement
10 between the Contractor and the County with respect to the subject matter of this Agreement,
11 and it supersedes all previous negotiations, proposals, commitments, writings, advertisements,
12 publications, and understandings of any nature unless those things are expressly included in
13 this Agreement. If there is any inconsistency between the terms of this Agreement without its
14 exhibits and the terms of the exhibits, then the inconsistency will be resolved by giving
15 precedence first to the terms of this Agreement without its exhibits, and then to the terms of the
16 exhibits.
17 25.12 No Third-Party Beneficiaries. This Agreement does not and is not intended to
18 create any rights or obligations for any person or entity except for the parties.
19 25.13 Authorized Signature. The Contractor represents and warrants to the County that:
20 (A) The Contractor is duly authorized and empowered to sign and perform its
21 obligations under this Agreement.
22 (B) The individual signing this Agreement on behalf of the Contractor is duly
23 authorized to do so and his or her signature on this Agreement legally binds the
24 Contractor to the terms of this Agreement.
25 25.14 Electronic Signatures. The parties agree that this Agreement may be executed by
26 electronic signature as provided in this section.
27 (A) An "electronic signature" means any symbol or process intended by an individual
28 signing this Agreement to represent their signature, including but not limited to (1) a
53
1 digital signature; (2) a faxed version of an original handwritten signature; or (3) an
2 electronically scanned and transmitted (for example by PDF document) version of an
3 original handwritten signature.
4 (B) Each electronic signature affixed or attached to this Agreement (1) is deemed
5 equivalent to a valid original handwritten signature of the person signing this Agreement
6 for all purposes, including but not limited to evidentiary proof in any administrative or
7 judicial proceeding, and (2) has the same force and effect as the valid original
8 handwritten signature of that person.
9 (C)The provisions of this section satisfy the requirements of Civil Code section
10 1633.5, subdivision (b), in the Uniform Electronic Transaction Act (Civil Code, Division 3,
11 Part 2, Title 2.5, beginning with section 1633.1).
12 (D) Each party using a digital signature represents that it has undertaken and
13 satisfied the requirements of Government Code section 16.5, subdivision (a),
14 paragraphs (1) through (5), and agrees that each other party may rely upon that
15 representation.
16 (E) This Agreement is not conditioned upon the parties conducting the transactions
17 under it by electronic means and either party may sign this Agreement with an original
18 handwritten signature.
19 25.15 Counterparts. This Agreement may be signed in counterparts, each of which is an
20 original, and all of which together constitute this Agreement.
21 [SIGNATURE PAGE FOLLOWS]
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DocuSign Envelope ID:27729925-602D-438D-A440-31A573AF638E
1 The parties are signing this Agreement on the date stated in the introductory clause.
2
PACIFIC CLINICS COUNTY OF FRESNO
3
DocuSigned
5 Kim We s, 1 Officer Sal Quintero, Chairman of the Board of
Supervisors of the County of Fresno
6 251 Llewellyn Ave
Campbell, CA 95008 Attest:
7 Bernice E. Seidel
Clerk of the Board of Supervisors
8 County of Fresno, State of California
9
By:
10 Deputy
11 For accounting use only:
12 Org No.: 56304323
Account No.: 7295 Fund
13 No.: 0001
Subclass No.: 10000
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Exhibit A
Page 1 of 30
Department of Behavioral Health
Assertive Community Treatment Program to Children/Youth
SCOPE OF SERVICES
PROVIDER: Pacific Clinics
251 Llewellyn Ave
Campbell, CA 95008
I. SCHEDULE OF SERVICES:
Services for Assertive Community Treatment program, under this Agreement,will be available
to youth and their families during the hours of 8:OOam-8:OOpm Monday- Friday. Additional
services will be provided after the standard hours of operation and on weekends as needed to
address concerns and/or provide services to youth who are unavailable for services during
standard business hours.
II. TARGET POPULATION:
The target population is youth, ages 10-18 years with serious emotional disturbance (SED) and
at least one diagnosis from the current Diagnostic and Statistical Manual of Mental Disorders
(DSM). In addition, identified youths' siblings, other relatives, caregivers, and other significant
support person may participate and receive specialty mental health services from this
program,to optimize the youth's ability to reach wellness and recovery.
At a minimum, the program will serve 160 unduplicated youth for each 12-month period.
III. PROJECT DESCRIPTION:
Pacific Clinics (PC) will provide services to the target population under the Mental Health
Services ACT (MHSA) CSS framework. Services to youth referred to this program will be
provided within the parameters mentioned below. Parents/caregivers and other members of
the family may be assessed for treatment needs, and provided services as needed, or may be
Exhibit A
Page 2 of 30
linked to other treatment programs or community resources to meet the individuals needs.
Services are conducted in the home, community, and educational locations, whichever is most
comfortable for the youth and family.
Intake and Initial Assessment
Youth may be referred to this program through various sources including, but not limited to,
Fresno County Superior Court, Department of Behavioral Health (DBH) Children's Mental
Health, Department of Social Services (DSS) Child Welfare Services, and schools. DBH Children's
Mental Health referrals will take priority over Behavioral Health Court and other referrals,
depending on the youths acuity. Contractor will be responsible for contacting County DBH first
whenever an opening becomes available. CONTRACTOR will contact the family of the referred
youth within three business days of receipt of the referral for the youth and family to receive
ACT services under this Agreement. An initial intake, orientation, and initial assessment
appointment with the team leaders, the child/youth, and the family should take place within
the first seven business days of initial contact.
CONTRACTOR may also utilize the existing assessment provided by the referring agency to
develop a treatment plan to guide the delivery of services.
Termination and Discharge
Discharges are determined on a case-by-case basis. Reasons for discharge include youth has
successfully reached individually established goals for discharge, youth has demonstrated the
ability to function in all major role areas without ongoing assistance, Youth has moved outside
the geographic area of ACT's responsibility in which ACT will assist with case transfer, and youth
refuses or declines further services and requests discharge.
Evidence-Based Practices
Evidence-based practices (EBP) utilized in Assertive Community Treatment program include
Dialectic Behavioral Therapy (DBT), Managing and Adapting Practices (MAP), Motivational
Interviewing, and Trauma Focused Cognitive Behavioral Therapy (TF CBT).
IV. CONTRACTOR RESPONSIBILITIES:
CONTRACTOR shall:
A. CONTRACTOR shall carefully adhere to the principles of ACT evidence-based practice
model and procedures, as well as the competent delivery of the model.
B. CONTRACTOR shall participate in continuing training and technical assistance with a
certified agency that can provide clinical oversight of the delivery of the ACT model and
Evidence-Based Practices.
Exhibit A
Page 3 of 30
C. Develop, coordinate, and provide formal and informal supports and services for the youth
and family, as well as develop or expand parent advocacy and support network.
D. Institute mental health treatment models other than those listed above, as needed, to
meet the mental health treatment needs of the children and families engaged in services
offered through this Agreement.
E. Provide Intensive Care Coordination (ICC) and Intensive Home-Based Services (IHBS)
when medically necessary.
F. Provide services in alignment with the Fresno County Department of Behavioral Health
Guiding Principles of Care Delivery, as defined in Exhibit D.
G. Provide services in accordance with national standards for Culturally and Linguistically
Appropriate Services (CLAS), as defined in Exhibit Q.
H. Ensure that written policies and procedures guides (PPG), as they relate to this
Agreement, are up to date, and available to be shared with COUNTY, upon request.
I. Measure and report youth and system outcomes consistent with the COUNTY's MHSA
Plan requirements.
J. Provide community supports to achieve the goals identified in individual treatment plans,
such as the need for transportation, housing, food, medication, education support and
employment services.
K. Maintain appropriate youth to staff ratios with job classifications, responsibilities, and
licensure/certification, as recommended or required by MHSA FSP standards.
L. Provide appropriate staffing including appropriate job classifications and numbers of
staff.
M. Provide outreach and education to referring agencies to assist those agencies as they
determine appropriate resources for youths in need of services.
N. Utilize targeted outreach strategies to reach harder to engage communities, such as the
Native American population and rural communities.
O. Secure the services of trained translators/interpreters as may be necessary.
P. Develop a plan to continually engage targeted populations.
Exhibit A
Page 4 of 30
Q. Distribute literature/informational brochures in appropriate languages and request
feedback as to how access to care could be improved for these culturally diverse
communities.
V. PROGRAM SPECIFICATIONS:
1. Service Intensity and Capacity:
a. Staff to youth ratio: At full capacity, the ACT Program has three teams; each team
is responsible for 40 children and youth. Each team is staffed with 5 FTE, with a
standard one-to-eight staff-to-child/youth ratio set to ensure that capacity and
workload do not jeopardize child/youth services.
b. Frequency and type of client contacts: Access to treatment, rehabilitation, and
support services is available 24 hours a day, seven days per week. Service
contacts vary in intensity and frequency to meet the child/youth's changing
needs for support in community settings. Service levels are modified as needed
to maintain an effective level of child/youth contacts. The service plan may
require multiple contacts each week with children and youth experiencing
severe symptoms, trying a new medication, experiencing a health problem or
serious life event, trying to go back to school or starting a new job, making
changes in living situation or employment, or having significant ongoing
problems in daily living. Multiple contacts may occur as frequently as two to
three times per day, seven days per week, dependent upon child/youth need
and a mutually agreed upon plan between child/youth and program staff. Each
child/youth receives at least the minimum number of visits needed to ensure
stability and safety, and to support continued progress toward treatment goals.
Team members share responsibility for addressing the needs of all
children/youth requiring frequent contact, ensuring that the child/youth always
has access to someone familiar with his/her needs and situations.
Child and youth contact locations vary, dependent upon service needs. Some
activities may occur at the CONTRACTOR site. Examples might include group
therapy, peer support meetings, psychiatric appointments, or personal and
interpersonal skills classes. Other direct contacts more commonly occur at the
child or youth's home, school, or preferred neighborhood location such as a park
or local restaurant, depending upon the child and youth's comfort and
convenience and the purpose of the contact. Where appropriate, contacts may
also be made by phone.
2. Staff Requirements: Pacific Clinics maintains stringent background and
professional references research to assure that each employee hired meets or
exceeds the standards expected for the job classification. COUNTY must approve
Exhibit A
Page 5 of 30
the combination of education and experience. The requirements for key ACT
clinical positions are summarized below.
a. Clinical Program Manager
i. Education: Master's degree in a related field.
ii. License: Appropriate license to practice as a Licensed Clinical Social Worker
(LCSW) or Marriage Family Therapist (LMFT) in the State of California.
iii. Experience: two to four years in related work.
iv. Must meet the California Board of Behavioral Science (BBS) requirements
to provide clinical oversight and supervision.
b. Mental Health Clinician II: Serves as Team Leader
i. Education: Master of Arts or Science degree in a Social Science such as
Psychology or a Health Science related field.
ii. May require two or more years of experience working with children, youth,
young adults and families in a therapeutic environment (must meet specific
county requirements.)
iii. License: Appropriate license to practice as a Licensed Clinical Social Worker
or Marriage Family Therapist in the State of California preferred.
iv. Experience: Community-based with Medi-Cal population preferred.
c. Mental Health Clinician I
i. Education: Master's Degree.
ii. License: If unlicensed must be a registered intern with the Board of
Behavioral Sciences and receiving appropriate clinical supervision.
iii. Experience: At least two years of experience working with youth, young
adults, and families in a therapeutic environment.
d. Addiction/Prevention Counselor
i. Education: Bachelor's degree or higher in Psychology, Counseling, or Social
Work.
ii. License/Certification: certified drug and alcohol counselor preferred.
iii. Experience: Two to four years of related experience, or an equivalent
combination of education and experience working with youth or young
adults with co-occurring disorders.
e. Education/Vocation Specialist
i. Education: Bachelor of Arts or Science degree.
ii. Experience: Two years in an education or vocational setting with children
and youth.
f. Family Specialist
i. Education: Bachelor of Arts or Science degree.
Exhibit A
Page 6 of 30
ii. Experience: Six months, one year, or two years of experience working with
SED children required, dependent upon contract, or an equivalent
combination of education and experience.
g. Psychiatrist (subcontracted)
i. Education: Doctoral degree.
ii. License: California medical license as a physician in the State of California.
Board certified in adolescent and child psychiatry preferred.
iii. Experience: Treatment strategies, behavioral management approaches, and
medication management.
In addition to clinical positions, each team is supported by appropriate management
and executive oversight, and administrative support for clerical and outcome and
evaluation reporting. Psychiatrist time will also be utilized to provide medication
management and support.
3. Staffing Pattern: CONTRACTOR is experienced with the complexities of ensuring
child and youth access to services 24 hours per day, 7 days per week, including
holidays. Through its Fresno ACT and other community based mental health
programs, CONTRACTOR has established effective policies, practices, and personnel
guidelines that support appropriate levels of response for children, youth, and
families at all times.
4. Job Classifications and Responsibilities: The ACT teams have written policies and
procedures guiding supervision of all staff providing treatment, rehabilitation, and
support services. The Clinical Program Manager assumes administrative and clinical
responsibility for supervising and directing all staff on the teams. Supervision and
direction consists of individual supervision during child/youth contacts and
performance review, participation in staff meetings to review and assess staff
performance, and provide direction regarding individual cases, and assessment of
clinical performance. Each team member has a specific role and assigned
responsibilities within the team structure. The ACT team approach is based on the
concept that many, if not all,team members share responsibility for addressing the
needs of all children and youth requiring ACT services.
VI. PROGRAM ORGANIZATION AND COMMUNICATION:
1. Planned hours of operation and staff coverage: ACT teams are available to provide
treatment, rehabilitation, and support activities seven days per week, which entails:
• Staggered staff starting times to provide direct services at least 12 hours per
day on weekdays.
Exhibit A
Page 7 of 30
• Regularly scheduling mental health professionals for on-call duty to provide
crisis and other services during the hours when staff are not scheduled.
• Team members with experience in the program and skilled in crisis
intervention procedures are on call and available to respond to children and
youth by telephone or in person.
• Regularly arranging for and providing psychiatric backup during all hours the
psychiatrist is not regularly scheduled to work. If availability of the ACT
psychiatrist during all hours is not feasible, alternative psychiatric backup is
arranged.
2. Staff communication and planning activities: The ACT teams conduct daily
organizational staff meetings at regularly scheduled times, maintain written daily
logs of child and youth identification, and provide brief documentation of each
child/youth's status for the prior 24 hours. Detailed logs provide a continuous roster
of children/youth in the program, service contacts, and concise behavioral
description of each child/youth's needs on any given day. The teams maintain
weekly child and youth schedules for all treatment and service contacts to fulfill the
goals and objectives in the child/youth's treatment plan. The teams develop daily
staff assignment schedules from the weekly child and youth schedules. During the
daily organizational and treatment planning meetings, the teams assess the day-to-
day progress of all children and youth, revise treatment plans as needed, plan for
emergency and crisis situations, and add service contacts to the daily staff
assignment schedule per the revised treatment plans.
3. Assertive engagement mechanisms:The ACT teams deliver services in community
locations most comfortable for the child/youth and family. The majority of all
services are provided outside program offices, in the child/youth's most natural
environment. Home and community based services encourage child/youth
engagement and participation, and can address day-to-day issues the child/youth
normally encounters in his/her own living and educational settings. These settings
may include leisure and recreational sites such as parks, shopping malls, and
churches. The intent is to actively provide psychosocial services where the
child/youth need to use those services, rather than in an institutional setting with
little relevance to the child/youth's normal environment.
CONTRACTOR uses several other mechanisms to engage and retain children and
youth in the ACT program:
• The "no eject, no reject" policy has been implemented for ACT to assure that
children and youth continue to participate regardless of the complexity and
frequency of high-intensity service needs.
• Frequency of contact maintains close connections and strengthens the
relationship between the ACT team and the children and youth.
Exhibit A
Page 8 of 30
The ACT team approach and 24/7 availability ensure that children and youth can
reach someone with whom they are familiar at any time a need arises, keeping them
engaged at times when crisis situations may put them at risk of dropping out of the
program.
4. Staff education and training: CONTRACTOR has a strong agency-wide staff training
program that includes topics such as child and youth assessment and engagement
skills, co-occurring disorders, gender awareness and sensitivity, and culture-specific
topics such as sexual orientation and identity issues. Specialized training in
evidence-based practices such as Managing and Adapting Practices, and Trauma
Focused Cognitive Behavioral Therapy is provided to program staff as needed for
each of CONTRACTOR's programs.
Cultural competency is a core component of all CONTRACTOR training programs. In
addition to specific training modules, an agency-wide commitment to culturally
competent services is infused throughout all programs at every level. CONTRACTOR
has established a Cultural Competence Plan that ensures ongoing fidelity to cultural
competence values and practices.
The ACT team members receive focused training on such topics as the Assertive
Community Treatment model, co-occurring mental health and substance abuse
disorders, medication monitoring, social development and functioning,family and
social relationship building, and dealing with high-risk behaviors. Team members
also receive training related to Mental Health Services Act (MHSA), Full Service
Partnerships (FSP), and interacting with Behavioral Health Court and other child
welfare and criminal justice systems.
To ensure model fidelity, CONTRACTOR uses the National Standards and ACT
implementation materials developed by SAMHSA. "Implementing Evidence-Based
Practices Project Assertive Community Treatment Workbook"", to develop a step-by-
step training plan, implementing the program as an effective evidence-based
practice. The outline below illustrates basic ACT training modules. CONTRACTOR
will review and update a detailed training plan and submit it to Fresno County for
review, if requested. The schedule will be modified as needed to include all team
members.
Annually, and as staff are hired,the following trainings are provided:
• Emphasis on the ACT model and vision, organizational tools,
Substance Abuse and Mental Health Services Administration,Center for Mental Health Services,and Robert
Wood Johnson Foundation,2003
Exhibit A
Page 9 of 30
team/organizational psychology, philosophy of child and youth based
services, integration of roles/team dynamics, assessment and individualized
treatment planning.
• General services, organizing admissions, individualized treatment planning,
daily teamwork, medication set-up, pharmacy issues, education, vocational
and employment issues.
• Individualized treatment planning and education, vocational and
employment issues.
• Evaluation,troubleshooting, and quality improvement.
• Mentoring to provide support and reinforce team attitudes, knowledge and
skills related to ACT development.
• Full implementing and use of ACT organizational tools, treatment,
rehabilitation, and support. Emphasis continues on organization of services,
integration of roles, team building, individualized treatment planning, and
education and employment services.
• Emphasis on evaluation,troubleshooting, and quality improvement.
VI I. CLIENT-CENTERED ASSESSMENT AND INDIVIDUALIZED TREATMENT PLANNING:
1. Initial assessment and comprehensive assessment: The ACT intake and assessment
process is based on existing agency standards for comprehensive assessment,
incorporating psychiatric and treatment information provided by BHC. All written
information provided by the BHC becomes part of the child/youth's permanent
CONTRACTOR record, available to all team members for service planning.
CONTRACTOR uses a full-scope intake and assessment process to identify the
specific needs of every child and youth referred. Children and youth, as appropriate
to age, are full partners in determining preferences, service modalities, and desired
goals, as are their family members. Planning includes accommodations for culture,
language, gender, and age. CONTRACTOR's child and youth assessment processes
evaluate the needs and strengths of each child/youth and his/her family members
when appropriate. Every step of engagement, planning, and implementation is
based on the individual needs and goals identified by the child/youth and family
members during the self-assessment and planning process. Using the Client Data
Sheet,the Fresno County Mental Health Plan assessment, and a Safety Plan,the ACT
team members develop and record the clinical and social functioning information
needed to support the comprehensive individualized Intensive Care Coordination
Plan (ICC).
During the initial assessment, the BHC evaluations and treatment plans are reviewed
with the family. If there are indications that the plan may need to be modified, the
team leader meets with the BHC team to review and discuss options. CONTRACTOR
Exhibit A
Page 10 of 30
minimizes duplicative interviewing by entering the demographic and clinical data
provided by BHC into the online TIER client record as an integral part of
comprehensive treatment planning.
As soon as possible after intake, the ACT team leaders and designated team
members complete a multi-layered assessment that addresses the full scope of
youth and family needs and issues, including psychiatric history, physical health,
substance and alcohol abuse history, education and employment, social
development and functioning, activities of daily living, and family structure and
relationships. The assessment forms the basis for the individualized service plan.
Research-proven and state-approved outcome measurement tools track and
evaluate the outcomes of treatment and support services, including the Child
Adolescent Needs and Strengths (CANS) survey. In addition, CONTRACTOR
implements the Clinical Condition and Quality of Life measurement through the
collection of core date elements. Results from each child/youth's completed forms
are entered into the electronic health care system.
2. Individualized treatment plans: All treatment planning with children and youth and
their families is based on the client-centered, recovery-oriented mental health
service delivery characteristics established by the National Program Standards for
ACT teams:
• Serve children and youth with severe and persistent mental illnesses that are
complex, have devastating effects on functioning, and, because of the
limitations of traditional mental health services, may have gone without
appropriate services.
• Deliver services through teams of multidisciplinary mental health staff who
provide the majority of the treatment, rehabilitation, and support services
children and youth need to achieve their goals.
• Individually tailor services to address the preferences and identified goals of
each child/youth.
• Provide mobile services in community locations to enable each child/youth
to feel comfortable in his/her home, neighborhood, and school; and to allow
each child/youth, as appropriate to his/her age, to find and live in his/her
own residence, and find and maintain educational or employment efforts in
their chosen communities.
• Deliver services in an ongoing, rather than time-limited,framework to aid the
child/youth's process of recovery and stabilization in the community. The
service plan includes child/youth-driven goals and milestones to support
progress toward discharge and connection with community resources.
Timeframes for progressive achievement of increasingly independent skill
levels are determined by the child/youth's needs, desires, and abilities.
Exhibit A
Page 11 of 30
The ACT ICC plan begins with information provided by the BHC and/or the results of
CONTRACTOR's comprehensive intake and assessment process. Each child/youth
and family has input into the services and supports desired and how such care is
delivered, which enables them some control over service decisions. Treatment
plans are tailored to child/youth and family strengths, desired treatment outcomes,
and cultural and linguistic preferences.
Treatment plans are specific, with service types, intensities and frequencies
designed to achieve the desired outcomes. The ICC plan identifies issues/problems;
sets measurable short- and long-term goals; and establishes specific approaches and
interventions for the child/youth to meet goals, improve capacity to function in the
community, and achieve the maximum level of recovery possible. Planning for
integration into and reliance on home, neighborhood and community resources is
developed with respect for the child/youth's desires, skills, interests, and abilities.
Flexible plans include crisis and safety awareness and resources; clear delineation of
roles and responsibilities; and definition of mechanisms for rapid response to
changing service needs.
Each treatment plan is detailed and tailored to accomplishing specific tasks, focused
on keeping the child/youth out of incarceration, out of hospitals, and maintaining
maximum function in their schools,jobs, and communities. All ACT team members,
regardless of their specific discipline or expertise, become familiar with the
child/youth, the family, and with each other to share knowledge, provide continuity
in service delivery, and ensure that all service delivery occurs within the context of
the treatment plan goals. CONTRACTOR values support doing whatever it takes,
wherever and whenever it's needed to ensure that children/youth and families
receive the most effective services at the times and in the places that will meet their
specific needs. An intensive, comprehensive ACT program delivers treatment and
rehabilitation services and case management. ACT services differ significantly from
traditional case management models, and provide the following features:
ACT Service Delivery Model
• Staff to child/youth ratio of 1 to 8;
• All services provided directly by team members;
• Team members share responsibility for all individuals;
• Type and intensity of services can be modified easily;
• Team members provide ANY service an individual needs,that would support
the treatment goal;
• Team is responsible for ensuring individuals receive services they need even
if they are difficult to engage, get arrested, or are hospitalized;
• If a team member goes on vacation or quits, service plans are continued by
Exhibit A
Page 12 of 30
other team members who are known to the individual; and
• Team discusses changes to an individual's status daily and adjusts treatment
as needed.
3. Intake timeline and procedure: CONTRACTOR makes initial contact with child/youth
within three business days of receiving initial referrals. Referrals are distributed
between the ACT teams on a rotating basis, unless available information indicates
that the child/youth and family could benefit from specific expertise available on
one team or another. Every effort is made to schedule an intake, orientation
appointment with the team leader, the child/youth, and the family so it occurs
within the first seven days of initial contact. During intake, a time and location is
scheduled for the child/youth and family to meet the rest of the team to develop a
comprehensive assessment and service plan (the first service must occur within ten
business days from the family/child's first request for services). Information
provided to the child/youth explains the ACT program, describes the team concept,
clarifies team and child/youth roles and expectations, and provides emergency
contact information to the child/youth and family.
4. Timely provision of services: Initial contact, assessment and development of service
plans occur within the first seven business days after referral, dependent upon the
family's availability. In urgent situations, children and youth are connected to a team
member for intervention and support even before a service plan is developed, using
information from the referral as the basis for a temporary service plan. Service
contact frequency and timing are driven by the child and youth's needs,goals, and
desires, with no less than three contacts per week.
5. Managing crisis or other participant emergencies: The ACT program model uses
multiple resources to respond to crisis and emergency issues. On-call team
members are available by phone at all times to respond if the primary team contact
is not available. Emergency contacts are made via telephone or face-to-face visits,
as deemed appropriate by the responding team member.
Team members are familiar with all local emergency physical health and psychiatric
emergency services, including urgent care clinics, hospitals, and the County-
operated Youth's Crisis, Assessment, Intervention, and Resolution facility.
CONTRACTOR maintains a budgeted flexible child and youth services fund to
respond quickly to basic need emergencies such as temporary housing,
transportation,food, clothing, school supplies, etc. Each team member has access
to the fund to quickly respond to crisis situations.
6. Transition and community reintegration: Discharge planning includes planning for
future stability in the community with decreased hospitalization, increased school
Exhibit A
Page 13 of 30
attendance and academic achievement, and/or juvenile justice recidivism; and
occurs during intake, assessment and service development. Each team, with the
child/youth and family as fully participating partners, defines transition and
reintegration goals, develops measurable milestones and strategies for
achievement, and identifies resources and services likely to support the
child/youth's progress toward recovery and stability.
The service delivery process includes education about available community
resources, assisting and mentoring the child/youth and family in learning how to
access those resources, and establishing community-based relationships that will
continue to serve and support the child/youth and family after reintegration.
Planning includes long-term follow-up to monitor and assure sustained
improvement, with the frequency and intensity of contacts decreasing as the
child/youth's ability to function independently increases. The team ensures that the
youth and family are connected to adequate sources of assistance and support
before terminating formal contacts.
VIII. EXPLICIT ADMISSION AND DISCHARGE CRITERIA:
1. Admission Criteria: CONTRACTOR accepts and will continue to accept two referral
categories, which may have varied admission criteria dependent upon the referral
source.
a. BHC Team Referrals: Referrals from the team will have been evaluated for
compliance with ACT admission criteria prior to referral to the program. Each
referral includes the BHC mental health assessment,treatment plan, and signed
consent forms. Based on the BHC team's assurance that youth referred to the
program meet the national ACT standards, CONTRACTOR's ACT Clinical Program
Manager (CPM) reviews the referral information for appropriateness for the
particular child/youth. If necessary, the CPM confers with the BHC team to
address any questions or concerns.
b. Alternative Referral Sources: For referrals received from other sources, such as
County of Fresno Child Welfare Services, Children's Mental Health, schools, and
the District Attorney's office, the CPM ensures compliance with National Act
Standards defining admission criteria, adapted to serve children and youth:
Children and youth with severe and persistent mental illness listed in the DSM IV
that seriously impair their functioning in community living. Priority is given to
children/youth experiencing their first psychotic breaks, as well as those with
schizophrenia, other psychotic disorders (e.g., schizoaffective disorder), and
Exhibit A
Page 14 of 30
bipolar disorder as these illnesses more often cause long-term psychiatric
disability. Eligibility of children and youth with other psychiatric illnesses is
dependent on the level of potential long-term disability. Individuals diagnosed
with co-occurring substance abuse disorders will be accepted into the ACT
program if they meet the mental health criteria described above.
c. Children and youth with significant functional impairments as demonstrated by
at least one of the following conditions:
i. Significant difficulty consistently performing the range of practical daily living
tasks required for basic functioning in school, work, or the community.
ii. Significant difficulty maintaining consistent school attendance, employment
and/or self-care (including child-care tasks and responsibilities for parenting
youth) at a self-sustaining level.
iii. Significant difficulty maintaining personal safety.
d. Children and youth with one or more of the following problems,which are
indicators of continuous high service needs:
i. High use of acute psychiatric hospitals or psychiatric emergency services.
ii. Intractable severe major symptoms associated with mental health issues.
iii. Coexisting substance abuse disorder of significant duration.
iv. High risk or recent history of criminal justice involvement (e.g., arrest,
incarceration).
v. Significant difficulty meeting basic survival needs, homelessness, or
imminent risk of becoming homeless.
vi. Residing in an inpatient or supervised community residence, but clinically
assessed as being able to maintain functioning in a more independent living
situation if intensive services are provided, or requiring a residential or
institutional placement if more intensive services are not available.
vii. Difficulty effectively utilizing traditional office-based outpatient services.
2. Discharge Criteria: The Youth ACT model is based on development of child/youth-
driven treatment goals and services to help the child/youth and family move
progressively toward decreased dependence on ACT team support. Due to the
individual needs of each participant involved with the ACT program, the progress of
a child/youth cannot be projected on a preset timeline, but rather must occur based
on each individual's progress and achievement of specific treatment goals. When
the participant's acuity of mental health symptoms have stabilized over a significant
period of time and the family can obtain needed services in the community, the
team will work with the child/youth and family to develop a plan for transitioning to
case closure.
Exhibit A
Page 15 of 30
a. BHC Team Case Closures: Discharge occurs when the BHC team, the ACT team,
and the child/youth and family mutually agree that community-based services
will be sufficient to maintain safety and stability because the child/youth exhibits
the indicators of discharge (see item 2 below).
b. Alternative Referral Source Case Closures: The ACT teams follow clinical
standards of care governing quality and continuity to assess readiness for
discharge. A plan for transitioning to discharge is developed when the
child/youth:
i. Successfully reached individually established goals for discharge.
ii. Successfully demonstrated an ability to function in all major role areas (e.g.,
work, social, self-care) without ongoing assistance, with supportive
community services if needed.
iii. Moves outside the geographic area of ACT's responsibility. In such cases, the
ACT team, to the extent possible, assists with the transfer of mental health
service responsibility to an ACT program or another provider within the
service area where the child/youth is relocating. The ACT team makes every
effort to maintain contact with the child/youth until this service transfer is
implemented. .
iv. Declines or refuses further services and requests discharge, despite the
team's best efforts to develop an acceptable treatment plan with the
child/youth.
IX. REQUIRED SERVICES:
1. Service Coordination: Policies and procedures are in place to ensure consistent
communication and service coordination between team members to integrate a full
range of services for each child/youth into an individualized service plan. Team
meetings are held regularly and as needed to address changes to the child/youth's
circumstances. The ACT team members will coordinate service delivery with other
community-based providers that may provide services to ACT enrollees to minimize
duplicative services, ensure compliance with service delivery standards, and avoid
imposing conflicting service or time demands on the child/youth. Additionally,
CONTRACTOR will implement information sharing guidelines to ensure consistency
with County, State, and Federal rules regarding individuals' rights to privacy.
2. On-Call Crisis Assessment and Intervention: CONTRACTOR has an existing On-Call
system to provide crisis intervention services to children/youth and their families
after regular work hours and on weekends. The system has been enhanced to
include a range of accessibility, ranging from telephone "warm line" support to face-
to-face contact and home visits, to assess and de-escalate crises with appropriate
interventions and ensure child/youth and family safety. All children/youth and
Exhibit A
Page 16 of 30
families in the program are given the access number to reach On-Call staff, 24 hours
a day, seven days a week. The On-Call system uses On-Call treatment team staff
and/or the Clinical Program Manager to provide clinical support.
3. Symptom Assessment and Management: The services described above are among
the core components of CONTRACTOR programming for all children and youth
served. All team members share responsibility and accountability for each
child/youth on their caseload, and are given the same training regarding mental
illness and medications. Team members learn to observe, understand, and record
signs and symptoms of the child/youth's mental illness and provide information to
clinical staff to assist with assessment of response to treatment. CONTRACTOR staff
will routinely monitor the effects of medication in every contact between a
treatment team member and the child/youth, and provide psychological support is
one of the underlying foundations of treatment in an ACT model, infused into every
aspect of the treatment teams' roles and responsibilities.
4. Psychiatric services (i.e. medication, medication management): The ACT program
will provide for Psychiatrist services to treat children and youth in the program who
are receiving psychotropic medications, as well as those in need of medication
evaluations and/or monitoring. The Psychiatrist provides medication education and
management, including observed administration if needed, to children/youth and
families, as well as training to ACT team members regarding medication side effects
and symptoms.
5. Dual Diagnosis (mental health and substance abuse services): The ACT program
provides an integrated approach to co-occurring disorders, recognizing that the
treatment must be inclusive, focused on harm reduction and supportive of sobriety.
One of the ACT Addiction Counselors will be certified by the CA Association of
Alcoholism and Drug Abuse Counselors, utilizes the Addiction Severity Index
screening to assess the youth's level of addiction, and makes recommendations to
the assigned Mental Health Clinician. The Addiction Counselor provides therapeutic
addiction treatment as indicated by the Clinician's Plan of Care, including group
therapy. The Addiction Counselor also provides prevention classes for youths and
families and trains team members to understand, model, and reinforce the coping
skills needed to achieve periods of abstinence. Children/youth and their families are
encouraged to plan for and participate in sober recreational activities during leisure
time to build new diversion skills and form healthy social relationships.
6. Individual and Group Therapy: Therapeutic treatment services may be provided in a
group process or on an individual face-to-face basis. Individual therapy is provided
as the need is indicated. Specific interventions are determined through the use of
evidence-based and best practices, including Trauma Focused Cognitive Behavioral
Therapy, Managing Adaptive Practices, and the ACT model.
Exhibit A
Page 17 of 30
7. Case Management: The typical goals of case management (e.g., preventing
hospitalization, improving quality of life, and improving youth functioning), as well as
some typical case management activities (e.g., service planning, assessment, and
advocacy) overlap with those for ACT programs. However, the methods and
resources to achieve these ends differ significantly. Unlike traditional case
management, in which youths are linked to other service providers rather than
directly intervening, ACT team members provide direct case management as part of
the treatment and supportive services delivery process. Case management services
help the child/youth and family locate and link with services in the community that
promote ongoing mental health.
8. Rehabilitation and family support: Each ACT team includes a Family Specialist who is
familiar with public service programs. Through coaching, mentoring, and role
modeling, the Family Specialist assists the child/youth and family members in
building or rebuilding the skills needed for effective day-to-day functioning. The
Family Specialist builds familial alignment and utilizes the strengths of
children/youth and others to assist in the implementation and achievement of goals
and outcomes.
CONTRACTOR's network and knowledge of available resources throughout the
county helps to develop a support network, as well as the self-confidence and self-
sufficiency of the child/youth and family, preparing them to function successfully in
their community upon discharge. CONTRACTOR tracks information on the use of
referral services during treatment.
9. Social/Interpersonal Relationship and Leisure-Time Skill Training: CONTRACTOR fully
understands the importance of normative social relationships and recreational
activities and ensures that each enrolled child/youth has appropriate opportunities
to engage in community based activities that foster peer to peer skill building
activities. Using relationship building techniques and establishment of an open and
trusting environment, enrolled children/youth are encouraged to participate in
healthy group dynamics within various settings including family homes, schools,
parks, and recreation centers. Team members assist, coach, and support
children/youth and their families as they participate in activities, and use modeling
and role playing to practice possible interactions with others, including examples of
conflict resolution and activities to develop and strengthen family relationships, self-
expression, and self-esteem. As with other aspects of personal and social learning,
team members assist participants to first understand, then practice, and finally
perform the planned activity.
Daily and weekly schedules of activities include ample opportunities for child/youth-
driven free time and development of planning for participation in activities of
Exhibit A
Page 18 of 30
interest. The child/youth's and family's spiritual and religious preferences, identified
in the initial assessment, are respected and valued, and the child/youth and families
will choose to participate in related activities. CONTRACTOR's collaboration with
other agencies expands opportunities for program participants to experience
educational, social, and recreational activities beyond the scope of funded services.
10. Peer Support Services: The Family Specialist works directly with each child/youth,
and their parents or other significant persons, at a peer level to outline alternatives
and predict consequences while supporting good decision-making; fostering
participation in healthy group dynamics within various settings, including family
homes, schools, parks and recreation centers, and treatment facilities; and providing
an open forum to express feelings and ideas when appropriate. The Family
Specialist builds familial alignment while working with the child/youth and family by
utilizing their strengths to assist in the implementation and achievement of goals
and outcomes.
11. Support Services: CONTRACTOR understands the importance of ensuring that
children/youth and families have access to a full and comprehensive range of
support services as they move toward wellness and sustainable recovery. Each
individualized care plan for enrolled ACT children and youth includes a combination
of services available by both the ACT team and other community providers, as
appropriate. For example, the ACT teams provide transportation to appointments
and scheduled activities as necessary, as well as emergency short-term housing
through rental assistance, housing vouchers, or accommodations in local hotels if
needed. Support services include, but are not limited to the following:
• Medical and dental services
• Safe, clean, affordable housing
• Financial support and/or benefits counseling
• Social services
• Transportation
• Legal advocacy
Other services available through collaboration with other professionals include
schools,juvenile and adult probation, health providers, cultural and community
organizations, and individuals who provide specific services to meet individual
needs. CONTRACTOR will have an established a collaborative network that includes
other non-profit organizations, faith-based groups, and grass-roots organizations
serving children, youth, transition age youth, adults, and families. These
relationships encompass the full range of services most likely to be needed by
Exhibit A
Page 19 of 30
participating children and youth and families. Collaborative partners may include,
but are not limited to, the following:
• County Health and Human Services Departments
• Court Appointed Special Advocates
• Boys and Girls Club
• Employment and vocational training resources
• Workforce Investment Departments and One-Stop Centers
• County Independent Living Programs
• County Mental Health Services,
• City Police Departments
• Local schools, community colleges, and universities
• Drug and Behavioral Health Courts
• Substance abuse prevention and treatment services
• Health services providers
• Community food banks, emergency shelters, and transportation services
CONTRACTOR is already familiar with the full range of community services available
in Fresno County. In addition to maintaining its own directory of service resources,
CONTRACTOR ensures that all staff are familiar with the use of resource directories
maintained by the County library and Fresno Metro Ministry, and the internet-based
Network of Care website for Fresno County.
The ACT model of service delivery is based on staged development of independent
function, encouraging increasingly responsible behavior as developmental stages
allow.
Program staff are trained to build trusting relationships in an environment where
change is recognized as part of the journey to personal growth and development to
encourage children, youth and families in the program to accept and benefit from
available services. Youth and family participants are active members of the team
process, and help identify their own strengths, needs, and life skills objectives.
Program staff engage children/youth, assess their readiness for change, and assist
them in working through the stages of change. As service needs are identified and
incorporated into the individualized service, children/youth and families are guided
to make their own decisions about what services they need and where to access
those services. Team members serve as coaches in every aspect of service-seeking
behavior to increase the child/youth's knowledge, security, and self-confidence; and
henceforth assure that the child/youth learns to take independent action.
Exhibit A
Page 20 of 30
12. Education: CONTRACTOR is fully familiar with meeting the school-related needs of
enrolled children and youth. Through the County of Fresno ACT CONTRACTOR will
maintain relationships with the major school districts in the County, as well as with
Fresno City College and California State University, Fresno. During each initial intake
and assessment,the child/youth's academic level and specialized needs are included
as integral components of the service planning process. The Education/Vocation
Counselor assigned to each ACT team provides direct supportive services where
appropriate, consults with academic and vocational institution representatives, and
connects children and youth with any resources needed to support the maximum
level of educational achievement, including but not limited to the following:
• Individualized Education Plan, special education,and alternative education
support
• GED preparation and referral
• Secondary and post-secondary support including tutoring, career
exploration, and financial aid
13. Support and Consultation: Family involvement is often critical to the success of
treatment; therefore, collateral services which include family therapy, parent
education, and coaching on appropriate behavior, are provided. As part of intensive
case management, children/youth and families are referred or linked to community
resources for peer support, self-help services, and information resources.
Pregnant and parenting youth enrolled in the program are connected with health
and social support services, including private medical practitioners; public clinics;
and local, public, and private social service agencies to ensure adequate prenatal
and delivery care, as well as child development and parenting education. Team
members offer assistance, counseling, and psychological support as needed to serve
the child/youth and family. They also serve as mentors and supportive advocates, as
appropriate, to work with parents in their efforts to establish or restore
relationships with their children, both those in their custody and those for whom
they do not have custody.
14. Court Participation: CONTRACTOR is familiar with both juvenile and adult courts,
including juvenile dependency and delinquency courts, Behavioral Health Court, and
Drug Court. ACT staff will have working relationships with representatives in the
previously mentioned courts, as well as with law enforcement staff at Juvenile
Probation. CONTRACTOR will participate in judicial proceedings, including testimony
when necessary, and meet all requirements for court appearances and written
reporting. For the purpose of serving ACT clients, one member of each ACT team
will be designated as liaison to law enforcement departments and all courts.
Treatment schedules will include mandated justice-related activities, transportation,
and support.
Exhibit A
Page 21 of 30
X. COUNTY RESPONSIBILITIES:
COUNTY shall:
A. Provide oversight and collaborate with CONTRACTOR and other COUNTY Departments
and community agencies to help achieve State program goals and outcomes. Oversight
includes, but is not limited to, contract monitoring and coordination with the State
Department of Health Care Services in regard to program administration and outcomes.
B. Assist CONTRACTOR in making linkages with the total mental health system of care. This
will be accomplished through regularly scheduled meetings as well as formal and informal
consultation.
C. Participate in evaluating overall program progress and efficiency, and be available to
CONTRACTOR for ongoing consultation.
D. Gather outcome information from target client groups and CONTRACTOR throughout
each term of this Agreement. COUNTY shall notify CONTRACTOR when its participation is
required. The performance outcome measurement process will not be limited to survey
instruments but will also include, as appropriate, youth and staff interviews, chart reviews,
and other methods of obtaining required information.
XI. PERFORMANCE MEASUREMENT:
CONTRACTOR will gather, collect, and submit Mental Health Services Act (MHSA) Full
Service Partnership data as required by the State Data Collection Reporting system and
other data reports as requested by COUNTY, such as the Annual Mental Health Advisory
Board Data Report. These data will be submitted as required and entered into a local
database for internal reporting purposes.
Service satisfaction data will be collected for all cross-sectional mental health programs, as
required by the California Department of Health Care Services, at two time periods across
the agency for each twelve (12) month period of the Agreement term. Additionally, the
Youth Satisfaction Survey (YSS) is collected for each child/youth six months post-entry to
provide more detailed and relevant information regarding service satisfaction over time.
CONTRACTOR will also participate in the Performance Outcomes and Quality Improvement
(POQI) satisfaction survey.
CONTRACTOR will have a unit dedicated to providing outcome and evaluation information
pertaining to the services provided and youths served. CONTRACTOR will implement a core
set of outcome measures, permitting comparative and other analyses that add depth and
value to the outcomes obtained by specific programs. Measurement tools used will include
Exhibit A
Page 22 of 30
the Child and Adolescent Needs and Strengths (CANS) and indicators of system performance
and child outcomes designed to assess whether children youth are in home, in school, or at
work and out of trouble. Such indicators will be used to track and report each enrolled
child/youth's progress. In addition, these measurement tools allow CONTRACTOR and
COUNTY to assess effectiveness at child/youth and systemic levels.
CONTRACTOR's electronic health record will be used to collect basic system level indicators,
upon program entry and discharge, of whether children/youth are in home, in school, or at
work and out of trouble. Outcome indicators allow the following factors to be assessed in
12 month time spans: frequency of incarceration (probation involvement), frequency of
hospitalizations, frequency of contacts with the COUNTY's Children's Crisis Stabilization
Center; school attendance, school grades and performance, employment, and living
situations. Data will be routinely reported to program staff and agency leadership as a part
of ongoing continuous quality improvement, and to COUNTY on a fixed or variable schedule
according to COUNTY requirements.
The tables below summarize outcome measures used by CONTRACTOR. System Level
Measures are somewhat dependent on cross systems collaboration; whereas, Practice Level
Measures capture data that are often most directly linked to the work of the practitioner.
A. System Level Measures and Outcomes:
T SOURCE HEN
1. Living Situation: Recorded by Upon entry, at three
a. Restrictiveness Clinician/Case Manager month intervals, and upon
b. Stability discharge.
c. Permanence
2. Educational Performance: Recorded by I Upon entry, at three
a. School Attendance Clinician/Case Manager month intervals, and upon
i 2. School Performance discharge.
3. Employment (when relevant): Recorded by Upon entry, at three
a. Hours Worked Clinician/Case Manager month intervals, and upon
b. Length of Employment discharge.
4. Juvenile Justice: Recorded by Upon entry, at three
a. Recidivism: arrests and Clinician/Case Manager month intervals, and upon
citations by type of offense discharge.
B. Practice Level Measures and Outcomes:
WHAT
1. Functioning, competence, and Caregiver Upon entry, at three
impairment from caregiver, I Child/youth month intervals, and upon
child/youth, and clinician Clinician discharge.
perspectives; Child and
Adolescent Needs and Strengths At six month cross-
Exhibit A
Page 23 of 30
(CANS) sections and six months
post intake.
2. Satisfaction with Services (YSS) Child/youth Bi-annual sample, at six
month intervals, and upon
discharge.
C. Program Outcomes
At minimum, one performance indicator will be identified for each of the four CARF
domains listed below.
a. Access to care: The ability of youths to receive the right service at the right time. Examples
include:
1. Timeliness of bridging prescriptions
2. Timeliness of identifying youths with a serious mental illness
3. Timeliness between youth referral for assessment and completion of assessment;
assessment to first treatment service; and, first treatment service to next follow-up
4. Timeliness of subsequent follow-up visits
5. Timeliness of response to sick call/health service requests
b. Effectiveness: Objective results achieved through health care services. Examples include:
1. Effectiveness of crisis interventions
2. Effectiveness of treatment interventions (medical and behavioral health indicators)
3. Effectiveness of discharge planning (such as percentage of youths successfully linked to
County programs, community providers, and/or other community resources after
release)
4. Timely continuity of verified community prescriptions for medication(s), upon youth's
release
5. Effectiveness of transportation coordination, upon release
c. Efficiency: The demonstration of the relationship between results and the resources used
to achieve them.
Examples include:
1. Cost per youth
2. Number of units of services per FTE by discipline
3. Number of youths served per general population
4. Comparison of numbers served against industry standards
d. Satisfaction and Compliance:The degree to which youths, County, and other stakeholders
are satisfied with the services.
Examples include:
1. Audits and other performance and utilization reviews of health care services and
compliance with agreement terms and conditions
2. Surveys of persons served, family members, other health care providers, and other
stakeholders
MI. REPORTS:
Exhibit A
Page 24 of 30
A. CONTRACTORS shall prepare an evaluation report annually, which will be submitted to
COUNTY's DBH and made available to partnering and interested local agencies and
organizations (e.g., project collaborators, other community agencies, and mental health
treatment providers). Annual evaluation reports will include the following information:
demographics of the target population served, services provided to each participant,
number of hospitalizations, enrollment in school, results of data analysis compared to
planned process, output and outcome measures, barriers to program implementation and
measures taken to overcome those barriers, accomplishments of program participants,
lessons learned, and the final result of any and all satisfactory survey(s).
B. CONTRACTORS shall be expected to comply with all contract monitoring and compliance
protocols, procedures, data collection methods, and reporting requirements conducted by
COUNTY.
C. Additional reports and outcome information may be requested by COUNTY at a later
date, as needed.
XIII. ADDITIONAL CONTRACTOR REQUIREMENTS:
CONTRACTOR shall:
A. Maintain facilities and equipment, and operate continuously with the number and
classification of staff required described under this Agreement. If CONTRACTOR does not
have the positions filled for these services, CONTRACTOR shall notify COUNTY in writing
within fifteen (15) days of the vacancy and provide a plan of action to continue the current
level of services.
B. Provide Plans of Care that include all safety, emergency, and crisis procedures in the field
and in CONTRACTOR's offices.
C. Assume responsibility for client medication costs.
D. Maintain youth treatment records according to all Federal,State, MHSA FSP regulations as
it relates to Health Insurance Portability and Accountability Act (HIPAA).
E. Ensure facility location is approved by COUNTY. COUNTY must be informed of new site
locations in writing and provide approval prior to use of the new site prior to use for
services provided through this Agreement.
F. Maintain site certification in accordance with Medi-Cal Organization provider status, and
ensure Medi-Cal billing is conducted in accordance with the Fresno County Mental Health
Plan.
G. Provide housing and employment support services as stated in CONTRACTOR's response to
Revised RFP No. 18-044.
Exhibit A
Page 25 of 30
H. Log all complaints and grievances, and produce such logs upon COUNTY's request.
XIV. TRANSITION OPTIMIZATION FUNDS
One-time Transition Optimization Funds will be available to specialty mental health providers and
Drug Medi-Cal providers within FY 2023-24 to encourage Contractors to identify and implement
organization changes during the first year of CalAIM Payment Reform to improve outcomes for
persons served and create operational efficiencies. Contractor is expected to utilize the strategies,
tools and knowledge learned to their programming and continue to improve services for the
population served.
Drug Medi-Cal Transition Optimization funds will be provided through County Realignment.
a. Funding Allocation Methodology
i. Each participating contractor is eligible to apply for an allocation of Transition
Optimization Funds up to the maximum amounts stated in Article 4 of the
Agreement and further described below. Transition optimization funds will only
be available from July 1, 2023 through June 30, 2024 and payments shall be on
a quarterly basis.
ii. Payments will be disbursed upon review and approval by DBH of each
deliverable described below. Quarterly progress reports shall be submitted to
DBH in order to show progress as outlined in the submitted plans and
deliverables.
iii. Payments will be dependent on Contractor demonstrating progress toward
meeting deliverables described in this exhibit. Contractors who fail to submit
progress reports by stated deadlines, or who do not demonstrate adequate
progress made, may be determined ineligible for that quarter's payment at the
sole discretion of the County.
iv. All invoices will be submitted on a quarterly basis within fifteen (15) days
following the end of the quarter. Invoices submitted thereafter may not be
eligible for payment.
b. Responsibilities
i. Letter of Intent
Contractor shall submit a letter of intent to DBH by July 31, 2023 identifying the
selected Transition Optimization Activity(ies) and commitment to meet the
deliverable deadlines as described below. The letter shall include all current Medi-
Cal billable specialty mental health and substance use disorder services
agreements the Contractor has with the County.
The County shall respond to the Contractor's letter of intent within 30 days. The
County's response shall include a breakdown of anticipated payments, as
Exhibit A
Page 26 of 30
determined by the County, depending on the Transition Optimization Activity(ies)
chosen and depending on the number of current Medi-Cal billable specialty mental
health and substance use disorder services agreements the Contractor has with the
County.
ii. Quarterly Reports
Contractor shall submit quarterly progress reports and invoices. Reports
shall be submitted on the dates indicated in the Schedule of Deliverables
below. Invoices are due 15 days after the end of each quarter. All activities
shall be completed by June 30, 2024. The report shall include updated
plans/tools and progress Contractor has made toward the Transition
Optimization Activity(ies) described in each Contractors' letter of intent.
iii. Schedule of Deliverables: Equity Gap Analysis, Fiscal Monitoring Tool,
and Electronic Health Record
1. Q1 Reports: July-Sept:
a. Letter of Intent: Due July 31, 2023
b. Fiscal Monitoring Tool, Equity Gap Analysis, and
Electronic Health Record Implementation Plans (if
applicable): Due September 30, 2023
c. Fiscal Monitoring Tool Identified Practices and Strategies
(if applicable): Due September 30, 2023
2. Q2 Report: Oct-Dec: Due January 15, 2024
3. Q3 Report: Jan-Mar: Due April 15, 2024
4. Q4 Report: Apr-June: Due July 15, 2024
iv. All deliverables will be reviewed and approved by DBH prior to
payment.
c. Eligible Transition Optimization Activities
i. Fiscal Monitoring Tools: Contractor shall submit to DBH a draft of their
fiscal monitoring tool that shall be used monthly on an ongoing basis to
evaluate fiscal health of the organization. Tools shall, at a minimum,
monitor costs, productivity targets and identify one or more practice
pattern(s) the organization is employing to increase direct care time to
the Medi-Cal population.
1. Fiscal Monitoring Tools and Implementation Plan: Contractor
shall develop fiscal monitoring tools that will be used monthly to
ensure their organizational fiscal health and implementation
plan. Fiscal monitoring tools drafts and implementation plan
shall be submitted to DBH by September 30, 2023.
a. Identified Practice: Identify at least one process
Exhibit A
Page 27 of 30
improvement that shall be modified by September 30,
2023.
b. Quarterly Progress Reports: Quarterly progress reports
shall be submitted including but not limited to a narrative
of progress, obstacles, alternative solutions and
outcomes.
c. Funding for this activity shall be available up to $25,000
for the initial agreement with Contractor and up to
another$10,000 for each additional agreement. County
shall provide further details on deliverables and payment
schedule in County's response to the Contractor's letter
of intent.
ii. Equity Gap Analysis: Contractor shall produce a report identifying the
race/ethnicity of population served in fiscal year 2022-23 compared to
the County's population as provided by the County. Contractor shall
identify key disparities in both persons served and amount of services
and frequency of transitions to other levels of care received. Contractor
shall identify three (3) strategies they shall employ during FY 2023-24 to
reduce the disparities among underserved population.
1. Report on Underserved Population: Contractor shall submit an
Equity Gap Report to the Department containing including, but
not limited to, the following:
a. Identify if it serves specific population within its
program(s) and identify whom the program(s) currently
served based on data.
b. Staffing/workforce information and demographics.
Report the staffing/workforce supporting the different
programs and populations served by the provider in
Fresno County. This data is to evaluate how the staffing
reflects the populations it is serving.
c. Comparison of the county penetration rates to the
demographics of persons served by the Contractor and
program(s) under agreement with DBH.
d. Data on retention of persons served by demographics.
Total persons served and the average length of stay by
demographics of the persons served in programs.
i. Which populations are remaining in the programs
by demographics, which ones are having the
shortest stays.
ii. How long is the average length of stay by the
demographics.
Exhibit A
Page 28 of 30
e. Identify what data points the Contractor is missing at this
time that challenges its ability to thoroughly assess its
equity gap analysis. Examples: Data is not collected, Data
that is missing or under reported, data not captured in its
processes, etc.
2. Equity Improvement Implementation Plan: Contractor shall
submit an Equity Improvement Implementation Plan related to
improving health equity by September 30, 2023.The plan shall
include the following items at a minimum:
a. Contractor shall select three strategies from below:
L Plan shall include specific efforts including, but
not limited to, the following and timelines to
increase access to underserved groups.
1. Outreach/Engagement with underserved
communities
2. Active attendance/participation in DBH's
Diversity Equity and Inclusion (DEI)
workgroup
3. Plan for retention of persons served in
programs who are underrepresented
4. Improvement of demographic data
collection including Sexual Orientation
Gender Identity (SOGI)/LGBTQ data.
ii. Plan shall address workforce capacity to render
services to more underserved populations,
through:
1. Development of bilingual personnel
2. Recruitment plan for more diverse
workforce to reflect populations served.
3. Training for workforce to increase capacity
to be culturally responsive
4. Development workforce pool for the
future that can be bilingual and bicultural
b. Timeline for each effort shall be included in the plan.
c. Contractor shall identify the measurement to be used to
demonstrate successful implementation of plan.
Measure may be identified by the Contractor to best
support their plan and goals.
d. Contractor shall develop and submit policies and
procedures to formally support equity effort.
3. Quarterly Progress Reports: Use available data including but not
limited to, External Quality Review Organization (EQRO) and EHR
data to evaluate the strategies deployed. Quarterly progress
Exhibit A
Page 29 of 30
reports shall be submitted including but not limited to a
narrative of the progress, obstacles, alternative solutions and
outcomes. The final quarter shall include a comprehensive final
report on the outcomes.
4. Funding for this activity shall be available up to $25,000 for the
initial agreement with Contractor and up to another$10,000 for
each additional agreement. County shall provide further details
on deliverables and payment schedule in County's response to
the Contractor's letter of intent.
iii. Electronic Health Record (EHR): The implementation and expansion of
the SmartCare EHR is an essential component of improving oversight
with the implementation of payment reform. Furthermore, a
standardized EHR will improve continuity of care, create transparency
across the system, remove obstacles for individuals accessing services
and improve the overall outcomes for persons served. For Contractors
who plan to opt in to use SmartCare or have previously opted into
DBH's former EHR and intend to transition to SmartCare, user fees and
costs shall be waived during FY 2023-2024 and FY 2024-2025.
1. Option One: Current EHR Users
a. Strategic Plan: Contractors utilizing DBH's EHR as their
current EHR, and who will continue to utilize SmartCare
beginning July 1, 2023, shall provide a plan, including, but
not limited to, how they will optimize Medi-Cal billing,
illustrate how they will utilize the information in the EHR
to improve care for persons served, and a training plan
for their organization by September 30, 2023.
b. Quarterly Progress Reports: Quarterly progress reports
shall be submitted, including, but not limited to, a
narrative on the progress, obstacles, alternative solutions
and outcomes.
c. Total compensation for this Electronic Health Record
activity, Option 1, shall not exceed $50,000.00 split
among all current agreements between the Contractor
and the County for Medi-Cal billable specialty mental
health and substance use disorder services. County shall
provide further details on deliverables and payment
schedule in County's response to the Contractor's letter
of intent.
2. Option Two: Non-EHR Users
a. Contractor shall submit an implementation plan by
Exhibit A
Page 30 of 30
September 30, 2023 regarding how they will transition to
utilizing the SmartCare EHR by June 30, 2024. The plan
shall include, at a minimum, an identified Go Live Date,
plan on how the current record system will be
maintained and utilized, training plan including number
of individuals, and additional supports. The Go Live Date
must occur by June 30, 2024 to receive final payment.
Contractor shall work closely with DBH to identify needs,
assignments, collaboration opportunities to transition.
b. For Option 2, the Contractor shall not be reimbursed
more than $200,000 split among all current agreements
between the Contractor and the County for Medi-Cal
billable specialty mental health and substance use
disorder services. The total maximum compensation
available for this option, shall include costs for
maintaining current electronic health record/record
system and additional supports and training costs per
user. Contractor shall transition both specialty mental
health and Drug Medi-Cal programming to the County's
EHR and shall be required to use the County's EHR for
future eligibility agreements with DBH. County shall
provide further details on deliverables and payment
schedule in County's response to the Contractor's letter
of intent.
EXHIBIT B
Exhibit B Page 1 of 4
FULL SERVICE PARTNERSHIP SERVICE DELIVERY MODEL
Full Service Partnerships (FSP) are designed as a partnership between enrollees and the
service provider. The FSP service delivery ethic incorporates recovery and cultural competence
into the services and supports offered to consumers. In this partnership, the service provider
commits to do "whatever it takes" and to "meet the client where they are" in order to assist the
enrollee achieve their personal recovery/resiliency and wellness goals.
1. The Target Population is consistent with the population identified in the Fresno
County MHSA Community Planning Process.
The target population must meet requirements for SMI/SED diagnosis, and must address
reduction of specific ethnic disparities, as indicated in the MHSA Community Services and
Supports proposal.
The target population will include clients who are not currently served and meet one or more of
the following criteria:
• Homeless.
• At risk of homelessness— such as youth aging out of foster care orpersons coming out
of jail.
• Involved in the criminal justice system (including adults with child protection issues).
• Frequent users of hospital and emergency room services.
or are so underserved that they are at risk of:
• Homelessness—such as persons living in institutions or nursing homes.
• Criminal justice involvement.
• Institutionalization.
Diagnoses that serve as criteria for inclusion in the target population will be based on definitions
found in California Welfare and Institutions Code Section 5600.3 defining seriously emotionally
disturbed mental disorder or serious mental disorder. The operational definition of"diagnosis"
for programs serving the chronically homeless may also include: co-occurring disorders,
personality disorders, general anxiety/mood disorders, and Post Traumatic Stress Disorder.
2. FSP Program Components:
All MHSA FSP Programs must include the following in their program descriptions:
• Providers who are part of the multidisciplinary, community based "treatment"
teams serve as an ally to the consumer's recovery process. The partnership allows
clients and family members opportunities for informed choice.
o The team description must demonstrate commitment and capacity to do
"whatever it takes" to assist the enrolled member, specifically:
■ Low staff to client ratio (approximately 1:12 or the ratio that has been
specified in the RFP's scope of work).
■ 24/7 availability of the multidisciplinary team.
■ Team culture is created where each member of the team knows each
client and the clients are familiar with each member of the team.
■ Members of the team speak the client's language, are familiar with
community resources that reflect the healing beliefs of the client's culture,
and are positioned to assist the client make meaningful connection with
those resources.
Exhibit B
EXHIBIT B
Page 2of4
■ Crisis response comes from a person known to the client.
■ Staff is given the administrative flexibility and flex-funding to connect
consumers with non-mental health services and same day needs.
Examples include: housing; primary care; dual disorder services;
education services and supports; vocational services and supports; payee
services/benefits advocacy; community recreational activities (YMCA
classes, libraries, movie theaters, etc.); social services; food;
transportation; and clothing.
■ Availability of Integrated Dual Diagnosis Treatment or other dual recovery
intervention that will provide effective treatment for the target population.
• Outreach and engagement. The team's outreach and engagement strategy must be
voluntary and driven by the values of client culture. This means that consumers will be
engaged "where they are" in terms of their community location, their need for clinical and
non-clinical services/supports and their phase of recovery. Outreach workers will have
culturally competent language skills and will function as an ally to the consumer's
decision to receive services. Peer Support will be included in the outreach and
engagement of new clients.
• Procedures for enrollment and dis-enrollment will be easily understood, clearly
communicated and non-coercive. Enrollment is voluntary. A condition of enrollment
is that the client indicates that they want services from the assertive-community
treatment model team.
• Each adult, older adult, and transition age youth enrollee must have a Personal
Service Coordinator (PSC). The PSC is an ally to the enrollee and acts as a "single
point of responsibility" within the multidisciplinary team for coordinating services and
supports.
"Personal Service Coordinators (PSCs) for adults— case managers for children and
youth—must have a caseload that is low enough so that: (1) their availability to the
individual and family is appropriate to their service needs, (2) they are able to provide
intensive services and supports when needed, and (3) they can give the individual
served and/or family member considerable personal attention...PSCs/case managers
must be culturally competent, and know the community resources of the client's racial
ethnic community." (Source: DMH Planning Requirements, Section III Identifying
Populations for Full Service Partnerships, Aug 2005)
• Each enrollee must have an Integrated Services and Supports Plan (ISSP) that is
developed with their Personal Services Coordinator. This ISSP is a planning tool
that builds on the consumer's strengths. It includes goals and provides a map of the
steps that the enrollee identifies as necessary to move along his/her recovery path.
"Integrated Services and Supports Plans must operationalize the five fundamental
concepts (identified in section three of this exhibit) and should reflect community
collaboration, be culturally competent, be client/family driven with a
wellness/recovery/resiliency focus and they must provide an integrated service
experience for the client/family. In addition, the ISSP will be person/child-centered, and
give individuals and their families'sufficient information to allow them to make informed
choices about the services in which they participate. Services should also include
linkage to, or provision of, all needed services or benefits as defined by the client and or
family in consultation with the PSC/case manager. This includes the capability of
increasing or decreasing service intensity as needed." (Source: DMH Planning
EXHIBIT B
Page 3 of 4
Requirements, Section III Identifying Populations for Full Service Partnerships, Aug
2005
• Peer support services will be made available to the client. At least two staff(a
minimum of 1 FTE) who act in peer support roles will be employed in each MHSA
program.
o The enrollee is given significant access to peer recovery and self-help services.
Tools such as Advanced Directives are made available to adult and older adult
clients, and Wellness Recovery Action Plans (WRAP) are made available to
adult, transition age youth and older adult clients.
o Peer Counselors are included as equal partners in the multidisciplinary team, and
play a critical role in developing the recovery culture and client orientation of the
team.
3. The Five (5) Core MHSA Concepts are embedded in each program.
Concept 1: Recovery/Resiliency Orientation: FSPs will embody the values of
recovery and resiliency (i.e., hope, personal responsibility, self-advocacy, choice,
respect) and the program principles of recovery and resiliency, including:
• Client-driven goal setting and Individualized Services and Supports Plans.
• Providers are allies to the client's recovery process.
• A harm-reduction approach to substance use that encourages recovery and
abstinence but does not penalize consumers or withdraw help from them if
they are using.
• A built in understanding and expectation of setbacks as part of recovery.
• Links to a range of services that are part of the consumers "pathway to
wellness" (i.e., employment, health care, peer support, housing, medications,
food and clothing).
Concept 2: Cultural Competence Orientation: The program's structure, staffing and
service delivery values will reflect the cultural values and orientation of the program's
target populations.
The FSP program will embody principals of cultural competence including:
■ Diverse staff, representative of the primary ethnic groups to be reached through the
program.
■ Staff trained regarding common access barriers for racial and ethnic groups targeted
(including the impact of housing discrimination).
■ Links to community-based organizations that share the healing beliefs and practices
of ethnic communities served by the FSP.
The FSP program must also be able to deal with gender and sexual orientation diversity.
Training in sensitivity to gender and sexuality issues is a key component for staff on the
team.
Concept 3: Community Collaboration: FSP Collaborations ensure that community
resources are made available to enrollees. These collaborations include subcontracts
between the vendor and other agencies, memoranda of understanding with community
non-profits and businesses regarding providing services to clients, and informal
relationships built between FSP staff and community stakeholders that result in
improved access and decreased discrimination.
EXHIBIT B
Page 4of4
Concept 4: Client/Family Driven program: In FSPs, the Integrated Services and
Supports Plan (ISSP) is used by adult clients and families of children and youth to
identify their needs and preferences which lead to the services and supports that will be
most effective for them. Providers work in full partnership with clients to develop these
ISSPs. Their needs and preferences drive the policy and financing decisions that affect
them.
Concept 5: Integrated Service Experience: FSP programs were incorporated into the
MHSA to ensure that these dollars funded "integrated service experiences". This means
that services are "seamless" to clients and that clients do not have to negotiate multiple
agencies and funding sources to get critical needs met and to move towards recovery
and develop resiliency. Services are delivered, or at a minimum, coordinated through a
single agency or a system of care. The integrated service experience centers on the
individual/family, uses a strength-based approach, and includes multi-agency programs
and joint planning to best address the individual/family's needs using the full range of
community-based treatment, case management, and interagency system components
required by children/transition age youth/adults/older adults.
Page 1 of 18
Exhibit C
BEHAVIORAL HEALTH REQUIREMENTS
1. CONTROL REQUIREMENTS
The County and its subcontractors shall provide services in accordance with all
applicable Federal and State statutes and regulations.
2. PROFESSIONAL LICENSURE
All (professional level) persons employed by the County Mental Health Plan
(directly or through contract) providing Short-Doyle/Medi-Cal services have met
applicable professional licensure requirements pursuant to Business and
Professions and Welfare and Institutions Codes.
3. CONFIDENTIALITY
Contractor shall conform to and County shall monitor compliance with all State of
California and Federal statutes and regulations regarding confidentiality,
including but not limited to confidentiality of information requirements at 42, Code
of Federal Regulations sections 2.1 et seq; California Welfare and Institutions
Code, sections 14100.2, 11977, 11812, 5328; Division 10.5 and 10.6 of the
California Health and Safety Code; Title 22, California Code of Regulations,
section 51009; and Division 1, Part 2.6, Chapters 1-7 of the California Civil Code.
4. NON-DISCRIMINATION
A. Eligibility for Services
Contractor shall prepare and make available to County and to the public
all eligibility requirements to participate in the program plan set forth in the
Agreement. No person shall, because of ethnic group identification, age,
gender, color, disability, medical condition, national origin, race, ancestry,
marital status, religion, religious creed, political belief or sexual
preference be excluded from participation, be denied benefits of, or be
subject to discrimination under any program or activity receiving Federal
or State of California assistance.
B. Employment Opportunity
Contractor shall comply with County policy, and the Equal Employment
Opportunity Commission guidelines, which forbids discrimination against
any person on the grounds of race, color, national origin, sex, religion,
age, disability status, or sexual preference in employment practices.
Such practices include retirement, recruitment advertising, hiring, layoff,
termination, upgrading, demotion, transfer, rates of pay or other forms of
compensation, use of facilities, and other terms and conditions of
employment.
Page 2 of 18
Exhibit C
C. Suspension of Compensation
If an allegation of discrimination occurs, County may withhold all further
funds, until Contractor can show clear and convincing evidence to the
satisfaction of County that funds provided under this Agreement were not
used in connection with the alleged discrimination.
D. Nepotism
Except by consent of County's Department of Behavioral Health Director,
or designee, no person shall be employed by Contractor who is related by
blood or marriage to, or who is a member of the Board of Directors or an
officer of Contractor.
5. PATIENTS' RIGHTS
Contractor shall comply with applicable laws and regulations, including but not
limited to, laws, regulations, and State policies relating to patients' rights.
STATE CONTRACTOR CERTIFICATION CLAUSES
1. STATEMENT OF COMPLIANCE: Contractor has, unless exempted, complied
with the non-discrimination program requirements. (Gov. Code§ 12990 (a-f) and
CCR, Title 2, Section 111 02) (Not applicable to public entities.)
2. DRUG-FREE WORKPLACE REQUIREMENTS: Contractor will comply with the
requirements of the Drug-Free Workplace Act of 1990 and will provide a drug-
free workplace by taking the following actions:
A. Publish a statement notifying employees that unlawful manufacture,
distribution, dispensation, possession or use of a controlled substance is
prohibited and specifying actions to be taken against employees for
violations.
b. Establish a Drug-Free Awareness Program to inform employees about:
1) the dangers of drug abuse in the workplace;
2) the person's or organization's policy of maintaining a drug-free
workplace;
3) any available counseling, rehabilitation and employee assistance
programs; and,
4) penalties that may be imposed upon employees for drug abuse
violations.
C. Every employee who works on this Agreement will:
1) receive a copy of the company's drug-free workplace policy
statement; and,
2) agree to abide by the terms of the company's statement as a
condition of employment on this Agreement.
Page 3 of 18
Exhibit C
Failure to comply with these requirements may result in suspension of payments
under this Agreement or termination of this Agreement or both and Contractor
may be ineligible for award of any future State agreements if the department
determines that any of the following has occurred: the Contractor has made
false certification, or violated the certification by failing to carry out the
requirements as noted above. (Gov. Code §8350 et seq.)
3. NATIONAL LABOR RELATIONS BOARD CERTIFICATION: Contractor
certifies that no more than one (1) final unappealable finding of contempt of court
by a Federal court has been issued against Contractor within the immediately
preceding two (2) year period because of Contractor's failure to comply with an
order of a Federal court, which orders Contractor to comply with an order of the
National Labor Relations Board. (Pub. Contract Code §10296) (Not applicable to
public entities.)
4. CONTRACTS FOR LEGAL SERVICES $50,000 OR MORE- PRO BONO
REQUIREMENT: Contractor hereby certifies that Contractor will comply with the
requirements of Section 6072 of the Business and Professions Code, effective
January 1, 2003.
Contractor agrees to make a good faith effort to provide a minimum number of
hours of pro bono legal services during each year of the contract equal to the
lessor of 30 multiplied by the number of full time attorneys in the firm's offices in
the State, with the number of hours prorated on an actual day basis for any
contract period of less than a full year or 10% of its contract with the State.
Failure to make a good faith effort may be cause for non-renewal of a state
contract for legal services, and may be taken into account when determining the
award of future contracts with the State for legal services.
5. EXPATRIATE CORPORATIONS: Contractor hereby declares that it is not an
expatriate corporation or subsidiary of an expatriate corporation within the
meaning of Public Contract Code Section 10286 and 10286.1, and is eligible to
contract with the State of California.
6. SWEATFREE CODE OF CONDUCT:
a. All Contractors contracting for the procurement or laundering of apparel,
garments or corresponding accessories, or the procurement of
equipment, materials, or supplies, other than procurement related to a
public works contract, declare under penalty of perjury that no apparel,
garments or corresponding accessories, equipment, materials, or
supplies furnished to the state pursuant to the contract have been
laundered or produced in whole or in part by sweatshop labor, forced
labor, convict labor, indentured labor under penal sanction, abusive forms
of child labor or exploitation of children in sweatshop labor, or with the
benefit of sweatshop labor, forced labor, convict labor, indentured labor
under penal sanction, abusive forms of child labor or exploitation of
children in sweatshop labor. Contractor further declares under penalty of
perjury that they adhere to the Sweatfree Code of Conduct as set forth on
Page 4 of 18
Exhibit C
the California Department of Industrial Relations website located at
www.dir.ca.gov, and Public Contract Code Section 6108.
b. Contractor agrees to cooperate fully in providing reasonable access to the
Contractor's records, documents, agents or employees, or premises if
reasonably required by authorized officials of the contracting agency, the
Department of Industrial Relations, or the Department of Justice to
determine the Contractor's compliance with the requirements under
paragraph (a).
7. DOMESTIC PARTNERS: For contracts of$100,000 or more, Contractor
certifies that Contractor is in compliance with Public Contract Code Section
10295.3.
8. GENDER IDENTITY: For contracts of$100,000 or more, Contractor certifies
that CONTRACTOR is in compliance with Public Contract Code Section
10295.35.
DOING BUSINESS WITH THE STATE OF CALIFORNIA
The following laws apply to persons or entities doing business with the State of
California.
1. CONFLICT OF INTEREST: Contractor needs to be aware of the following
provisions regarding current or former state employees. If Contractor has any
questions on the status of any person rendering services or involved with this
Agreement, the awarding agency must be contacted immediately for clarification.
Current State Employees (Pub. Contract Code M 0410):
a). No officer or employee shall engage in any employment, activity or
enterprise from which the officer or employee receives compensation or
has a financial interest and which is sponsored or funded by any state
agency, unless the employment, activity or enterprise is required as a
condition of regular state employment.
b). No officer or employee shall contract on his or her own behalf as an
independent Contractor with any state agency to provide goods or
services.
Former State Employees (Pub. Contract Code §10411):
a). For the two (2) year period from the date he or she left state employment,
no former state officer or employee may enter into a contract in which he
or she engaged in any of the negotiations, transactions, planning,
arrangements or any part of the decision-making process relevant to the
contract while employed in any capacity by any state agency.
Page 5 of 18
Exhibit C
b). For the twelve (12) month period from the date he or she left state
employment, no former state officer or employee may enter into a
contract with any state agency if he or she was employed by that state
agency in a policy-making position in the same general subject area as
the proposed contract within the twelve (12) month period prior to his or
her leaving state service.
If Contractor violates any provisions of above paragraphs, such action by
Contractor shall render this Agreement void. (Pub. Contract Code §10420)
Members of boards and commissions are exempt from this section if they do not
receive payment other than payment of each meeting of the board or
commission, payment for preparatory time and payment for per diem. (Pub.
Contract Code §10430 (e))
2. LABOR CODE/WORKERS' COMPENSATION: Contractor needs to be aware
of the provisions which require every employer to be insured against liability for
Worker's Compensation or to undertake self-insurance in accordance with the
provisions, and CONTRACTOR affirms to comply with such provisions before
commencing the performance of the work of this Agreement. (Labor Code
Section 3700)
3. AMERICANS WITH DISABILITIES ACT: Contractor assures the State that it
complies with the Americans with Disabilities Act (ADA) of 1990, which prohibits
discrimination on the basis of disability, as well as all applicable regulations and
guidelines issued pursuant to the ADA. (42 U.S.C. 12101 et seq.)
4. CONTRACTOR NAME CHANGE: An amendment is required to change the
Contractor's name as listed on this Agreement. Upon receipt of legal
documentation of the name change the State will process the amendment.
Payment of invoices presented with a new name cannot be paid prior to approval
of said amendment.
5. CORPORATE QUALIFICATIONS TO DO BUSINESS IN CALIFORNIA:
a. When agreements are to be performed in the state by corporations, the
contracting agencies will be verifying that the CONTRACTOR is currently
qualified to do business in California in order to ensure that all obligations
due to the state are fulfilled.
b. "Doing business" is defined in R&TC Section 23101 as actively engaging
in any transaction for the purpose of financial or pecuniary gain or profit.
Although there are some statutory exceptions to taxation, rarely will a
corporate Contractor performing within the state not be subject to the
franchise tax.
C. Both domestic and foreign corporations (those incorporated outside of
California) must be in good standing in order to be qualified to do
business in California. Agencies will determine whether a corporation is
in good standing by calling the Office of the Secretary of State.
Page 6 of 18
Exhibit C
6. RESOLUTION: A County, city, district, or other local public body must provide
the State with a copy of a resolution, order, motion, or ordinance of the local
governing body, which by law has authority to enter into an agreement,
authorizing execution of the agreement.
7. AIR OR WATER POLLUTION VIOLATION: Under the State laws, the
Contractor shall not be: (1) in violation of any order or resolution not subject to
review promulgated by the State Air Resources Board or an air pollution control
district; (2) subject to cease and desist order not subject to review issued
pursuant to Section 13301 of the Water Code for violation of waste discharge
requirements or discharge prohibitions; or (3)finally determined to be in violation
of provisions of federal law relating to air or water pollution.
8. PAYEE DATA RECORD FORM STD. 204: This form must be completed by all
Contractors that are not another state agency or other governmental entity.
9. INSPECTION AND AUDIT OF RECORDS AND ACCESS TO FACILITIES:
The State, CMS, the Office of the Inspector General, the Comptroller General,
and their designees may, at any time, inspect and audit any records or
documents of Contractor or its subcontractors, and may, at any time, inspect the
premises, physical facilities, and equipment where Medicaid-related activities or
work is conducted. The right to audit under this section exists for ten (10) years
from the final date of the contract period or from the date of completion of any
audit, whichever is later.
Federal database checks.
Consistent with the requirements at § 455.436 of this chapter, the State must
confirm the identity and determine the exclusion status of Contractor, any
subcontractor, as well as any person with an ownership or control interest, or
who is an agent or managing employee of Contractor through routine checks of
Federal databases. This includes the Social Security Administration's Death
Master File, the National Plan and Provider Enumeration System (NPPES), the
List of Excluded Individuals/Entities (LEIE), the System for Award Management
(SAM), and any other databases as the State or Secretary may prescribe. These
databases must be consulted upon contracting and no less frequently than
monthly thereafter. If the State finds a party that is excluded, it must promptly
notify the Contractor and take action consistent with § 438.610(c).
The State must ensure that Contractor with which the State contracts under this
part is not located outside of the United States and that no claims paid by a
Contractor to a network provider, out-of-network provider, subcontractor or
financial institution located outside of the U.S. are considered in the development
of actuarially sound capitation rates.
Page 7 of 18
Exhibit C
CALIFORNIA ADVANCING AND INNOVATING MEDI-CAL (CAL-AIM)
REQUIREMENTS
1. SERVICES AND ACCESS PROVISIONS
a. CERTIFICATION OF ELIGIBILITY
i. Contractor will, in cooperation with County, comply with Section
14705.5 of California Welfare and Institutions Code to obtain a
certification of an individual's eligibility for Specialty Mental Health
Services (SMHS) under Medi-Cal.
b. ACCESS TO SPECIALTY MENTAL HEALTH SERVICES
i. In collaboration with the County, Contractor will work to ensure
that individuals to whom the Contractor provides SMHS meet
access criteria, as per Department of Health Care Services
(DHCS) guidance specified in BHIN 21-073. Specifically, the
Contractor will ensure that the clinical record for each individual
includes information as a whole indicating that individual's
presentation and needs are aligned with the criteria applicable to
their age at the time of service provision as specified below.
ii. For enrolled individuals under 21 years of age, Contractor shall
provide all medically necessary SMHS required pursuant to
Section 1396d(r) of Title 42 of the United States Code. Covered
SMHS shall be provided to enrolled individuals who meet either of
the following criteria, (1) or (11) below. If an individual under age 21
meets the criteria as described in (1) below, the beneficiary meets
criteria to access SMHS; it is not necessary to establish that the
beneficiary also meets the criteria in (b) below.
1. The individual has a condition placing them at high risk for
a mental health disorder due to experience of trauma
evidenced by any of the following: scoring in the high-risk
range under a trauma screening tool approved by DHCS,
involvement in the child welfare system, juvenile justice
involvement, or experiencing homelessness.
OR
2. The individual has at least one of the following:
a. A significant impairment
b. A reasonable probability of significant deterioration
in an important area of life functioning
c. A reasonable probability of not progressing
developmentally as appropriate.
d. A need for SMHS, regardless of presence of
impairment, that are not included within the mental
health benefits that a Medi-Cal Managed Care Plan
(MCP) is required to provide.
AND the individual's condition as described in subparagraph
(11 a-d) above is due to one of the following:
Page 8 of 18
Exhibit C
a. A diagnosed mental health disorder, according to
the criteria in the current editions of the Diagnostic
and Statistical Manual of Mental Disorders (DSM)
and the International Classification of Diseases and
Related Health Problems (ICD).
b. A suspected mental health disorder that has not yet
been diagnosed.
c. Significant trauma placing the individual at risk of a
future mental health condition, based on the
assessment of a licensed mental health
professional.
iii. For individuals 21 years of age or older, Contractor shall provide
covered SMHS for clients who meet both of the following criteria,
(a) and (b) below:
1. The individual has one or both of the following:
a. Significant impairment, where impairment is defined
as distress, disability, or dysfunction in social,
occupational, or other important activities.
b. A reasonable probability of significant deterioration
in an important area of life functioning.
2. The individual's condition as described in paragraph (a) is
due to either of the following:
a. A diagnosed mental health disorder, according to
the criteria in the current editions of the DSM and
ICD.
b. A suspected mental disorder that has not yet been
diagnosed.
c. ADDITIONAL CLARIFICATIONS
i. Criteria
1. A clinically appropriate and covered mental health
prevention, screening, assessment, treatment, or recovery
service listed within Exhibit A of this Agreement can be
provided and submitted to the County for reimbursement
under any of the following circumstances:
a. The services were provided prior to determining a
diagnosis, including clinically appropriate and
covered services provided during the assessment
process;
b. The service was not included in an individual
treatment plan; or
c. The individual had a co-occurring substance use
disorder.
ii. Diagnosis Not a Prerequisite
1. Per BHIN 21-073, a mental health diagnosis is not a
prerequisite for access to covered SMHS. This does not
eliminate the requirement that all Medi-Cal claims,
including SMHS claims, include a current Centers for
Page 9 of 18
Exhibit C
Medicare & Medicaid Services (CMS) approved ICD
diagnosis code
d. MEDICAL NECESSITY
i. Contractor will ensure that services provided are medically
necessary in compliance with BHIN 21-073 and pursuant to
Welfare and Institutions Code section 14184.402(a). Services
provided to a client must be medically necessary and clinically
appropriate to address the individual's presenting condition.
Documentation in each individual's chart as a whole will
demonstrate medical necessity as defined below, based on the
client's age at the time of service provision.
ii. For individuals 21 years of age or older, a service is "medically
necessary" or a "medical necessity" when it is reasonable and
necessary to protect life, to prevent significant illness or significant
disability, or to alleviate severe pain as set forth in Welfare and
Institutions Code section 14059.5.
iii. For individuals under 21 years of age, a service is "medically
necessary" or a "medical necessity" if the service meets the
standards set forth in Section 1396d(r)(5) of Title 42 of the United
States Code.
e. COORDINATION OF CARE
i. Contractor shall ensure that all care, treatment and services
provided pursuant to this Agreement are coordinated among all
providers who are serving the individual, including all other SMHS
providers, as well as providers of Non-Specialty Mental Health
Services (NSMHS), substance use disorder treatment services,
physical health services, dental services, regional center services
and all other services as applicable to ensure a client-centered
and whole-person approach to services.
ii. Contractor shall ensure that care coordination activities support
the monitoring and treatment of comorbid substance use disorder
and/or health conditions.
iii. Contractor shall include in care coordination activities efforts to
connect, refer and link individual s to community-based services
and supports, including but not limited to educational, social,
prevocational, vocational, housing, nutritional, criminal justice,
transportation, childcare, child development, family/marriage
education, cultural sources, and mutual aid support groups.
iv. Contractor shall engage in care coordination activities beginning
at intake and throughout the treatment and discharge planning
processes.
v. To facilitate care coordination, Contractor will request a HIPAA
and California law compliant client authorization to share the
individual's information with and among all other providers
involved in the individual's care, in satisfaction of state and federal
privacy laws and regulations.
f. CO-OCCURRING TREATMENT AND NO WRONG DOOR
Page 10 of 18
Exhibit C
i. Per BHIN 22-011, Specialty and Non-Specialty Mental Health
Services can be provided concurrently, if those services are
clinically appropriate, coordinated, and not duplicative. When a
client meets criteria for both NSMHS and SMHS, the individual
should receive services based on individual clinical need and
established therapeutic relationships. Clinically appropriate and
covered SMHS can also be provided when the individual has a co-
occurring mental health condition and substance use disorder.
ii. Under this Agreement, Contractor will ensure that individual s
receive timely mental health services without delay. Services are
reimbursable to Contractor by County even when:
1. Services are provided prior to determination of a diagnosis,
during the assessment or prior to determination of whether
SMHS access criteria are met, even if the assessment
ultimately indicates the individual does not meet criteria for
SMHS.
2. If Contractor is serving a individual receiving both SMHS
and NSMHS, Contractor holds responsibility for
documenting coordination of care and ensuring that
services are non-duplicative.
2. AUTHORIZATION AND DOCUMENTATION PROVISIONS
a. SERVICE AUTHORIZATION
i. Contractor will collaborate with County to complete authorization
requests in line with County and DHCS policy.
ii. Contractor shall have in place, and follow, written policies and
procedures for completing requests for initial and continuing
authorizations of services, as required by County guidance.
iii. Contractor shall respond to County in a timely manner when
consultation is necessary for County to make appropriate
authorization determinations.
iv. County shall provide Contractor with written notice of authorization
determinations within the timeframes set forth in BHINs 22-016
and 22-017, or any subsequent DHCS notices.
v. Contractor shall alert County when an expedited authorization
decision (no later than 72 hours) is necessary due to an
individual's specific needs and circumstances that could seriously
jeopardize the individual s life or health, or ability to attain,
maintain, or regain maximum function.
b. DOCUMENTATION REQUIREMENTS
i. Contractor will follow all documentation requirements as specified
in Article 4.2-4.8 inclusive in compliance with federal, state and
County requirements.
ii. All Contractor documentation shall be accurate, complete, and
legible, shall list each date of service, and include the face-to-face
time for each service. Contractor shall document travel and
documentation time for each service separately from face-to-face
time and provide this information to County upon request.
Page 11 of 18
Exhibit C
Services must be identified as provided in-person, by telephone,
or by telehealth.
iii. All services shall be documented utilizing County-approved
templates and contain all required elements. Contractor agrees to
satisfy the chart documentation requirements set forth in BHIN 22-
019 and the contract between County and DHCS. Failure to
comply with documentation standards specified in this Article
require corrective action plans.
c. ASSESSMENT
i. Contractor shall ensure that all individuals' medical records
include an assessment of each individual's need for mental health
services.
ii. Contractor will utilize the seven uniform assessment domains and
include other required elements as identified in BHIN 22-019 and
document the assessment in the individual's medical record.
iii. For individual s aged 6 through 21, the Child and Adolescent
Needs and Strengths (CANS), and for individuals aged 3 through
18, the Pediatric Symptom Checklist-35 (PSC-35) tools are
required at intake, every six months during treatment, and at
discharge, as specified in DHCS MHSUDS INs 17-052 and 18-
048.
iv. The time period for providers to complete an initial assessment
and subsequent assessments for SMHS are up to clinical
discretion of County; however, Contractor's providers shall
complete assessments within a reasonable time and in
accordance with generally accepted standards of practice.
d. ICD-10
i. Contractor shall use the criteria set forth in the current edition of
the DSM as the clinical tool to make diagnostic determinations.
ii. Once a DSM diagnosis is determined, the Contractor shall
determine the corresponding mental health diagnosis in the
current edition of ICD. Contractor shall use the ICD diagnosis
code(s) to submit a claim for SMHS to receive reimbursement
from County.
iii. The ICD Tabular List of Diseases and Injuries is maintained by
CMS and may be updated during the term of this Agreement.
Changes to the lists of ICD diagnoses do not require an
amendment to this Agreement, and County may implement these
changes as provided by CMS
e. PROBLEM LIST
i. Contractor will create and maintain a Problem List for each
individual served under this Agreement. The problem list is a list of
symptoms, conditions, diagnoses, and/or risk factors identified
through assessment, psychiatric diagnostic evaluation, crisis
encounters, or other types of service encounters.
ii. Contractor must document a problem list that adheres to industry
standards utilizing at minimum current SNOMED International,
Page 12 of 18
Exhibit C
Systematized Nomenclature of Medicine Clinical Terms
(SNOMED CTO) U.S. Edition, September 2022 Release, and ICD-
10-CM 2023.
iii. A problem identified during a service encounter may be addressed
by the service provider during that service encounter and
subsequently added to the problem list.
iv. The problem list shall include, but is not limited to, all elements
specified in BHIN 22-019.
v. County does not require the problem list to be updated within a
specific timeframe or have a requirement about how frequently the
problem list should be updated after a problem has initially been
added. However, Contractor shall update the problem list within a
reasonable time such that the problem list reflects the current
issues facing the client, in accordance with generally accepted
standards of practice and in specific circumstances specified in
BHIN 22-019.
f. TREATMENT AND CARE PLANS
i. Contractor is not required to complete treatment or care plans for
clients under this Agreement, except in the circumstances
specified in BHIN 22-019 and additional guidance from DHCS that
may follow after execution of this Agreement.
g. PROGRESS NOTES
i. Contractor shall create progress notes for the provision of all
SMHS services provided under this Agreement.
ii. Each progress note shall provide sufficient detail to support the
service code selected for the service type as indicated by the
service code description.
iii. Progress notes shall include all elements specified in BHIN 22-
019, whether the note be for an individual or a group service.
iv. Contractor shall complete progress notes within three business
days of providing a service, with the exception of notes for crisis
services, which shall be completed within 24 hours.
v. Providers shall complete a daily progress note for services that
are billed on a daily basis, such as residential and day treatment
services, if applicable.
h. TRANSITION OF CARE TOOL
i. Contractor shall use a Transition of Care Tool for any individual
whose existing services will be transferred from Contractor to an
Medi-Cal Managed Care Plan (MCP) provider or when NSMHS
will be added to the existing mental health treatment provided by
Contractor, as specified in BHIN 22-065, in order to ensure
continuity of care.
ii. Determinations to transition care or add services from an MCP
shall be made in alignment with County policies and via a person-
centered, shared decision-making process.
iii. Contractor may directly use the DHCS-provided Transition of Care
Tool, found at https://www.dhcs.ca.gov/Pages/Screening-and-
Page 13 of 18
Exhibit C
Transition-of-Care-Tools-for-Medi-Cal-Mental-Health-
Services.aspx, or obtain a copy of that tool provided by the
County. Contractor may create the Transition of Care Tool in its
Electronic Health Record (EHR). However, the contents of the
Transition of Care Tool, including the specific wording and order of
fields, shall remain identical to the DHCS provided form. The only
exception to this requirement is when the tool is translated into
languages other than English.
i. TELEHEALTH
i. Contractor may use telehealth, when it deems clinically
appropriate, as a mode of delivering behavioral health services in
accordance with all applicable County, state, and federal
requirements, including those related to privacy/security,
efficiency, and standards of care. Such services will conform to
the definitions and meet the requirements included in the Medi-Cal
Provider Manual: Telehealth, available in the DHCS Telehealth
Resources page at:
https://www.dhcs.ca.gov/provqovpart/Pages/TelehealthResources
.aspx.
ii. All telehealth equipment and service locations must ensure that
client confidentiality is maintained.
iii. Licensed providers and staff may provide services via telephone
and telehealth as long as the service is within their scope of
practice.
iv. Medical records for individuals served by Contractor under this
Agreement must include documentation of written or verbal
consent for telehealth or telephone services if such services are
provided by Contractor. Such consent must be obtained at least
once prior to initiating applicable health care services and consent
must include all elements as specified in BHIN 22-019.
v. County may at any time audit Contractor's telehealth practices,
and Contractor must allow access to all materials needed to
adequately monitor Contractor's adherence to telehealth
standards and requirements.
3. CLIENT PROTECTIONS
a. GRIEVANCES, APPEALS AND NOTICES OF ADVERSE BENEFIT
DETERMINATION
i. All grievances (as defined by 42 C.F.R. § 438.400) and complaints
received by Contractor must be immediately forwarded to the
County's Managed Care Department or other designated persons
via a secure method (e.g., encrypted email or by fax) to allow
ample time for the Managed Care staff to acknowledge receipt of
the grievance and complaints and issue appropriate responses.
ii. Contractor shall not discourage the filing of grievances and
individual s do not need to use the term "grievance" for a
complaint to be captured as an expression of dissatisfaction and,
therefore, a grievance.
Page 14 of 18
Exhibit C
iii. Aligned with MHSUDS IN 18-010E and 42 C.F.R. §438.404, the
appropriate and delegated Notice of Adverse Benefit
Determination (NOABD) must be issued by Contractor within the
specified timeframes using the template provided by the County.
iv. NOABDs must be issued to individuals anytime the Contractor has
made or intends to make an adverse benefit determination that
includes the reduction, suspension, or termination of a previously
authorized service and/or the failure to provide services in a timely
manner. The notice must have a clear and concise explanation of
the reason(s) for the decision as established by DHCS and the
County. The Contractor must inform the County immediately after
issuing a NOABD.
v. Procedures and timeframes for responding to grievances, issuing
and responding to adverse benefit determinations, appeals, and
state hearings must be followed as per 42 C.F.R., Part 438,
Subpart F (42 C.F.R. §§ 438.400 —438.424).
vi. Contractor must provide individuals any reasonable assistance in
completing forms and taking other procedural steps related to a
grievance or appeal such as auxiliary aids and interpreter
services.
vii. Contractor must maintain records of grievances and appeals and
must review the information as part of its ongoing monitoring
procedures. The record must be accurately maintained in a
manner accessible to the County and available upon request to
DHCS.
b. Advanced Directives
i. Contractor must comply with all County policies and procedures
regarding Advanced Directives in compliance with the
requirements of 42 C.F.R. §§ 422.128 and 438.6(i) (1), (3) and (4).
c. Continuity of Care
i. Contractor shall follow the County's continuity of care policy that is
in accordance with applicable state and federal regulations,
MHSUDS IN 18-059 and any BHINs issued by DHCS for parity in
mental health and substance use disorder benefits subsequent to
the effective date of this Agreement (42 C.F.R. § 438.62(b)(1)-(2).)
4. QUALITY IMPROVEMENT PROGRAM
a. QUALITY IMPROVEMENT ACTIVITIES AND PARTICIPATION
i. Contractor shall implement mechanisms to assess person
served/family satisfaction based on County's guidance. The
Contractor shall assess individual/family satisfaction by:
1. Surveying person served/family satisfaction with the
Contractor's services at least annually.
2. Evaluating person served's grievances, appeals and State
Hearings at least annually.
3. Evaluating requests to change persons providing services
at least annually.
Page 15 of 18
Exhibit C
4. Informing the County and individuals of the results of
client/family satisfaction activities.
ii. Contractor, if applicable, shall implement mechanisms to monitor
the safety and effectiveness of medication practices. This
mechanism shall be under the supervision of a person licensed to
prescribe or dispense prescription drugs, at least annually and as
required by DBH.
iii. Contractor shall implement mechanisms to monitor appropriate
and timely intervention of occurrences that raise quality of care
concerns. The Contractor shall take appropriate follow-up action
when such an occurrence is identified. The results of the
intervention shall be evaluated by the Contractor at least annually
and shared with the County.
iv. Contractor shall assist County, as needed, with the development
and implementation of Corrective Action Plans.
v. Contractor shall collaborate with County to create a QI Work Plan
with documented annual evaluations and documented revisions
as needed. The QI Work Plan shall evaluate the impact and
effectiveness of its quality assessment and performance
improvement program.
vi. Contractor shall attend and participate in the County's Quality
Improvement Committee (QIC) to recommend policy decisions,
review and evaluate results of QI activities, including PIPs,
institute needed QI actions, and ensure follow-up of QI processes.
Contractor shall ensure that there is active participation by the
Contractor's practitioners and providers in the QIC.
vii. Contractor shall participate, as required, in annual, independent
external quality reviews (EQR) of the quality, timeliness, and
access to the services covered under this Contract, which are
conducted pursuant to Subpart E of Part 438 of the Code of
Federal Regulations. (42 C.F.R. §§ 438.350(a) and 438.320)
b. TIMELY ACCESS
i. Timely access standards include:
1. Contractor must have hours of operation during which
services are provided to Medi-Cal individuals that are no
less than the hours of operation during which the provider
offers services to non-Medi-Cal individual s. If the
Contractor's provider only serves Medi-Cal clients, the
provider must provide hours of operation comparable to
the hours the provider makes available for Medi-Cal
services that are not covered by the Agreement or another
County.
2. Appointments data, including wait times for requested
services, must be recorded and tracked by Contractor, and
submitted to the County on a monthly basis in a format
specified by the County. Appointments' data should be
submitted to the County's Quality Management
Department or other designated persons.
Page 16 of 18
Exhibit C
3. Urgent care appointments for services that do not require
prior authorization must be provided to individual s within
48 hours of a request. Urgent appointments for services
that do require prior authorization must be provided to
clients within 96 hours of request.
4. Non-urgent non-psychiatry mental health services,
including, but not limited to Assessment, Targeted Case
Management, and Individual and Group Therapy
appointments (for both adult and children/youth) must be
made available to Medi-Cal individuals within 10 business
days from the date the individual or a provider acting on
behalf of the individual, requests an appointment for a
medically necessary service. Non-urgent psychiatry
appointments (for both adult and children/youth) must be
made available to Medi-Cal individual s within 15 business
days from the date the client or a provider acting on behalf
of the individual, requests an appointment for a medically
necessary service.
5. Applicable appointment time standards may be extended if
the referring or treating provider has determined and noted
in the individual's record that a longer waiting period will
not have a detrimental impact on the health of the
individual.
6. Periodic office visits to monitor and treat mental health
conditions may be scheduled in advance consistent with
professionally recognized standards of practice as
determined by the treating licensed mental health provider
acting within the scope of their practice.
c. PROVIDER APPLICATION AND VALIDATION FOR ENROLLMENT
(PAVE)
i. Contractor shall ensure that all of its required clinical staff, who
are rendering SMHS to Medi-Cal individuals on behalf of
Contractor, are registered through DHCS' Provider Application
and Validation for Enrollment (PAVE) portal, pursuant to BHIN 20-
071 requirements, the 21st Century Cures Act and the CMS
Medicaid and Children's Health Insurance Program (CHIP)
Managed Care Final Rule.
ii. SMHS licensed individuals required to enroll via the "Ordering,
Referring and Prescribing" (ORP) PAVE enrollment pathway (i.e.
PAVE application package) available through the DHCS PED
Pave Portal, include: Licensed Clinical Social Worker (LCSW),
Licensed Marriage and Family Therapist (LMFT), Licensed
Professional Clinical Counselor (LPCC), Psychologist, Licensed
Educational Psychologist, Physician (MD and DO), Physician
Assistant, Registered Pharmacist/Pharmacist, Certified
Pediatric/Family Nurse Practitioner, Nurse Practitioner,
Occupational Therapist, and Speech-Language Pathologist.
Interns, trainees, and associates are not eligible for enrollment.
Page 17 of 18
Exhibit C
d. PHYSICIAN INCENTIVE PLAN
i. If Contractor wants to institute a Physician Incentive Plan,
Contractor shall submit the proposed plan to the County which will
in turn submit the Plan to the State for approval, in accordance
with the provisions of 42 C.F.R. § 438.6(c).
5. DATA, PRIVACY AND SECURITY REQUIREMENTS
a. ELECTRONIC PRIVACY AND SECURITY
i. Contractor shall have a secure email system and send any email
containing PII or PHI in a secure and encrypted manner.
Contractor's email transmissions shall display a warning banner
stating that data is confidential, systems activities are monitored
and logged for administrative and security purposes, systems use
is for authorized users only, and that users are directed to log off
the system if they do not agree with these requirements.
ii. Contractor shall institute compliant password management
policies and procedures, which shall include but not be limited to
procedures for creating, changing, and safeguarding passwords.
Contractor shall establish guidelines for creating passwords and
ensuring that passwords expire and are changed at least once
every 90 days.
iii. Any Electronic Health Records (EHRs) maintained by Contractor
that contain PHI or PII for individuals served through this
Agreement shall contain a warning banner regarding the PHI or
PII contained within the EHR. Contractors that utilize an EHR shall
maintain all parts of the clinical record that are not stored in the
EHR, including but not limited to the following examples of client
signed documents: discharge plans, informing materials, and
health questionnaire.
iv. Contractor entering data into any County electronic systems shall
ensure that staff are trained to enter and maintain data within this
system.
6. PROGRAM INTEGRITY
a. Credentialing and Re-credentialing of Providers
i. Contractor shall ensure that all of their network providers
delivering covered services, sign and date an attestation
statement on a form provided by County, in which each provider
attests to the following:
1. Any limitations or inabilities that affect the provider's ability
to perform any of the position's essential functions, with or
without accommodation;
2. A history of loss of license or felony convictions;
3. A history of loss or limitation of privileges or disciplinary
activity;
4. A lack of present illegal drug use; and
5. The application's accuracy and completeness
Page 18 of 18
Exhibit C
ii. Contractor must file and keep track of attestation statements,
credentialing applications and credentialing status for all of their
providers and must make those available to the County upon
request at any time.
iii. Contractor is required to sign an annual attestation statement at
the time of Agreement renewal in which they will attest that they
will follow County's Credentialing Policy and MHSUDS IN 18-019
and ensure that all of their rendering providers are credentialed as
per established guidelines.
Exhibit D Page 1 of 4
Fresno County Department of Behavioral Health
Guiding Principles of Care Delivery
DBH VISION:
Health and well-being for our community.
DBH MISSION:
DBH, in partnership with our diverse community, is dedicated to providing quality, culturally
responsive, behavioral health services to promote wellness, recovery, and resiliency for
individuals and families in our community.
DBH GOALS:
Quadruple Aim
• Deliver quality care
• Maximize resources while focusing on efficiency
• Provide an excellent care experience
• Promote workforce well-being
GUIDING PRINCIPLES OF CARE DELIVERY:
The DBH 11 principles of care delivery define and guide a system that strives for excellence in the
provision of behavioral health services where the values of wellness, resiliency, and recovery are
central to the development of programs, services, and workforce. The principles provide the
clinical framework that influences decision-making on all aspects of care delivery including
program design and implementation, service delivery, training of the workforce, allocation of
resources, and measurement of outcomes.
1. Principle One -Timely Access & Integrated Services
o Individuals and families are connected with services in a manner that is streamlined,
effective, and seamless
o Collaborative care coordination occurs across agencies, plans for care are integrated,
and whole person care considers all life domains such as health, education,
employment, housing, and spirituality
o Barriers to access and treatment are identified and addressed
o Excellent customer service ensures individuals and families are transitioned from one
point of care to another without disruption of care
1
rev 01-02-2020
Page 2 of 4
Exhibit D
Fresno County Department of Behavioral Health
Guiding Principles of Care Delivery
2. Principle Two - Strengths-based
o Positive change occurs within the context of genuine trusting relationships
o Individuals, families, and communities are resourceful and resilient in the way they
solve problems
o Hope and optimism is created through identification of, and focus on, the unique
abilities of individuals and families
3. Principle Three - Person-driven and Family-driven
o Self-determination and self-direction are the foundations for recovery
o Individuals and families optimize their autonomy and independence by leading the
process, including the identification of strengths, needs, and preferences
o Providers contribute clinical expertise, provide options, and support individuals and
families in informed decision making, developing goals and objectives, and identifying
pathways to recovery
o Individuals and families partner with their provider in determining the services and
supports that would be most effective and helpful and they exercise choice in the
services and supports they receive
4. Principle Four- Inclusive of Natural Supports
o The person served identifies and defines family and other natural supports to be
included in care
o Individuals and families speak for themselves
o Natural support systems are vital to successful recovery and the maintaining of
ongoing wellness; these supports include personal associations and relationships
typically developed in the community that enhance a person's quality of life
o Providers assist individuals and families in developing and utilizing natural supports.
5. Principle Five - Clinical Significance and Evidence Based Practices (EBP)
o Services are effective, resulting in a noticeable change in daily life that is measurable.
o Clinical practice is informed by best available research evidence, best clinical
expertise, and values and preferences of those we serve
o Other clinically significant interventions such as innovative, promising, and emerging
practices are embraced
2
rev 01-02-2020
Page 3 of 4
Exhibit D
Fresno County Department of Behavioral Health
Guiding Principles of Care Delivery
6. Principle Six- Culturally Responsive
o Values, traditions, and beliefs specific to an individual's or family's culture(s) are
valued and referenced in the path of wellness, resilience, and recovery
o Services are culturally grounded, congruent, and personalized to reflect the unique
cultural experience of each individual and family
o Providers exhibit the highest level of cultural humility and sensitivity to the self-
identified culture(s) of the person or family served in striving to achieve the greatest
competency in care delivery
7. Principle Seven -Trauma-informed and Trauma-responsive
o The widespread impacts of all types of trauma are recognized and the various
potential paths for recovery from trauma are understood
o Signs and symptoms of trauma in individuals, families, staff, and others are recognized
and persons receive trauma-informed responses
o Physical, psychological and emotional safety for individuals, families, and providers is
emphasized
8. Principle Eight - Co-occurring Capable
o Services are reflective of whole-person care; providers understand the influence of
bio-psycho-social factors and the interactions between physical health, mental health,
and substance use disorders
o Treatment of substance use disorders and mental health disorders are integrated; a
provider or team may deliver treatment for mental health and substance use
disorders at the same time
9. Principle Nine - Stages of Change, Motivation, and Harm Reduction
o Interventions are motivation-based and adapted to the person's stage of change
o Progression though stages of change are supported through positive working
relationships and alliances that are motivating
o Providers support individuals and families to develop strategies aimed at reducing
negative outcomes of substance misuse though a harm reduction approach
o Each individual defines their own recovery and recovers at their own pace when
provided with sufficient time and support
3
rev 01-02-2020
Page 4 of 4
Exhibit D
Fresno County Department of Behavioral Health
Guiding Principles of Care Delivery
10. Principle Ten - Continuous Quality Improvement and Outcomes-Driven
o Individual and program outcomes are collected and evaluated for quality and efficacy
o Strategies are implemented to achieve a system of continuous quality improvement
and improved performance outcomes
o Providers participate in ongoing professional development activities needed for
proficiency in practice and implementation of treatment models
11. Principle Eleven - Health and Wellness Promotion, Illness and Harm Prevention, and Stigma
Reduction
o The rights of all people are respected
o Behavioral health is recognized as integral to individual and community well-being
o Promotion of health and wellness is interwoven throughout all aspects of DBH services
o Specific strategies to prevent illness and harm are implemented at the individual,
family, program, and community levels
o Stigma is actively reduced by promoting awareness, accountability, and positive
change in attitudes, beliefs, practices, and policies within all systems
o The vision of health and well-being for our community is continually addressed
through collaborations between providers, individuals, families, and community
members
4
rev 01-02-2020
Page 1 of 3
Exhibit E
DOCUMENTATION STANDARDS FOR PERSON SERVED RECORDS
The documentation standards are described below under key topics related to care for persons
served. All standards must be addressed in the person served's record; however, there is no
requirement that the record have a specific document or section addressing these topics. All
medical records shall be maintained for a minimum of 10 years from the date of the end of the
Agreement.
A. Assessments
1. The following areas will be included as a part of a comprehensive person served's
record:
• Presenting problems, including impairments in function, and current mental
status exam.
• Traumatic incidents which include trauma exposures, trauma reactions, trauma
screenings, and systems involvement if relevant
• Behavioral health history including mental health history, substance use/abuse,
and previous services
• Medical history including physical health conditions, medications, and
developmental history
• Psychosocial factors including family, social and life circumstances, cultural
considerations
• Strengths, risks, and protective factors, including safety planning
• Clinical summary, treatment recommendations, and level of care determination
including diagnostic and clinical impression with a diagnosis
• The assessment shall include a typed or legibly printed name, signature of the
service provider and date of signature.
2. Timeliness/Frequency Standard for Assessment
• The time period to complete an initial assessment and subsequent assessments
for SMHS is up to clinical discretion.
• Assessments shall be completed within a reasonable time and in accordance
with generally accepted standards of practice.
B. Problem list
The use of a Problem List has largely replaced the use of treatment plans and is
therefore required to be part of the person served's record. The problem list shall be
updated on an ongoing basis to reflect the current presentation of the person in care.
The problem list shall include, but is not limited to, the following:
• Diagnoses identified by a provider acting within their scope of practice
• Problems identified by a provider acting within their scope of practice
• Problems or illnesses identified by the person in care and/or significant support
person if any
• The name and title of the provider that identified, added, or removed the problem,
and the date the problem was identified, added, or removed
Rev 04/2023
Page 2 of 3
Exhibit E
C. Treatment and Care Plan Requirements
1. Targeted Case Management
• Specifies the goals, treatment, service activities, and assistance to address the
negotiated objectives of the plan and the medical, social, educational, and other
services needed by the person in care
• Identifies a course of action to respond to the assessed needs of the person in
care
• Includes development of a transition plan when the person in care has achieved
the goals of the care plan
• Peer support services must be based on an approved care plan
• Must be provided in a narrative format in the person's progress notes
• Updated at least annually
2. Services requiring Treatments Plans
• Intensive Home-Based Services (IHBS)
• Intensive Care Coordination (ICC)
• Therapeutic Behavioral Services (TBS)
• Must have specific observable and/or specific quantifiable goals
• Must identify the proposed type(s) of intervention
• Must be signed (or electronic equivalent) by:
➢ the person providing the service(s), or
➢ a person representing a team or program providing services, or
➢ a person representing the MHP providing services
➢ when the person served's plan is used to establish that the services are
provided under the direction of an approved category of staff, and if the below
staff are not the approved category,
➢ a physician
➢ a licensed/ "waivered" psychologist
➢ a licensed/ "associate" social worker
➢ a licensed/ registered/marriage and family therapist or
➢ a registered nurse
• In addition,
➢ Person served's plans will be consistent with the diagnosis, and the focus of
intervention will be consistent with the person served's plan goals, and there will
be documentation of the person served's participation in and agreement with
the plan. Examples of the documentation include, but are not limited to,
reference to the person served's participation and agreement in the body of the
plan, person served's signature on the plan, or a description of the person
served's participation and agreement in progress notes.
➢ Person served's signature on the plan will be used as the means by which the
Contractor documents the participation of the person served. When the person
served's signature is required on the person served's plan and the person
Rev 04/2023
Page 3 of 3
Exhibit E
served refuses or is unavailable for signature, the person served's plan will
include a written explanation of the refusal or unavailability.
➢ The Contractor will give a copy of the person served's plan to the person served
on request.
D. Progress Notes
1. Providers shall create progress notes for the provision of all SMHS. Each progress
note shall provide sufficient detail to support the service code selected for the service
type as indicated by the service code description. Progress notes shall include:
• The type of service rendered.
• A narrative describing the service, including how the service addressed the
beneficiary's behavioral health need (e.g., symptom, condition, diagnosis, and/or
risk factors).
• The date that the service was provided to the beneficiary.
• Duration of the service, including travel and documentation time.
• Location of the beneficiary at the time of receiving the service.
• A typed or legibly printed name, signature of the service provider and date of
signature.
• ICD 10 code
• Current Procedural Terminology (CPT) or Healthcare Common Procedure
Coding System (HCPCS) code.
• Next steps including, but not limited to, planned action steps by the provider or by
the beneficiary, collaboration with the beneficiary, collaboration with other
provider(s) and any update to the problem list as appropriate.
2. Timeliness/Frequency of Progress Notes
• Progress notes shall be completed within 3 business days of providing a service,
except for notes for crisis services, which shall be completed within 24 hours.
• A note must be completed for every service contact
Rev 04/2023
Page 1 of 3
Exhibit F
cou Department of Behavioral Health
Policy and Procedure Guide
O 1556 O
FRE`'0 PPG 1.2.7
Section: Mental Health
Effective Date: 05/30/2017 Revised Date: 05/30/2017
Policy Title: Performance Outcome Measures
Approved by: Dawan Utecht(Director of Behavioral Health), Francisco Escobedo (Sr.Staff Analyst-QA), Kannika
Toonnachat(Division Manager-Technology and Quality Management)
POLICY: It is the policy of Fresno County Department of Behavioral Health and the
Fresno County Mental Health Plan (FCMHP) to ensure procedures for
developing performance measures which accurately reflect vital areas of
performance and provide for systematic, ongoing collection and analysis
of valid and reliable data. Data collection is not intended to be an
additional task for FCMHP programs/providers but rather embedded within
the various non-treatment, treatment and clinical documentation.
PURPOSE: To determine the effectiveness and efficiency of services provided by
measuring performance outcomes/results achieved by the persons served
during service delivery or following service completion, delivery of service,
and of the individuals' satisfaction. This is a vital management tool used to
clarify goals, document the efforts toward achieving those goals, and thus
measure the benefit the service delivery to the persons served.
Performance measurement selection is part of the planning and
developing process design of the program. Performance measurement is
the ongoing monitoring and reporting of progress towards pre-established
objectives/goals.
REFERENCE: California Code of Regulations, Title 9, Chapter 11, Section
1810.380(a)(1): State Oversight
DHCS Service, Administrative and Operational Requirements
Mental Health Services Act (MHSA), California Code of Regulations, Title
9, Section 3320, 3200.050, and 3200.120
Commission on Accreditation of Rehabilitation Facilities (CARF)
DEFINITIONS:
1. Indicator: Qualitative or quantitative measure(s) that tell if the outcomes have been
accomplished. Indicators evaluate key performance in relation to objectives. It indicates
what the program is accomplishing and if the anticipated results are being achieved.
MISSION STATEMENT
The Department of Behavioral Health is dedicated to supporting the wellness of individuals,families and communities in Fresno County who are affected by,or are at risk
of,mental illness and/or substance use disorders through cultivation of strengths toward promoting recovery in the least restrictive environment.
Template Review Date 3128116
11 age
Page 2 of 3
Exhibit F
coU EFeppartment of Behavioral Health
t Policy and Procedure Guide
O 1$56 O
FRESH Section: Mental Health Effective Date:05/30/2017 PPG 1.2.7
Policy Title: Performance Outcome Measures
2. Intervention: A systematic plan of action consciously adapted in an attempt to address
and reduce the causes of failure or need to improve upon system.
3. Fresno County Mental Health Plan (FCMHP): Fresno County's contract with the State
Department of Health and Human Services that allows for the provision of specialty
mental health services. Services may be delivered by county-operated programs,
contracted organizational, or group providers.
4. Objective (Goal): Intended results or the impact of learning, programs, or activities.
5. Outcomes: Specific results or changes achieved as a consequence of the program or
intervention. Outcomes are connected to the objectives/goals identified by the program
or intervention.
PROCEDURE:
I. Each FCMHP program/provider shall engage in measurement of outcomes in order
to generate reliable and valid data on the effectiveness and efficiency of programs or
interventions. Programs/providers will establish/select objectives (goals), decide on
a methodology and timeline for the collection of data, and use an appropriate data
collection tool. This occurs during the program planning and development process.
Outcomes should be in alignment with the program/provider goals.
II. Outcomes should be measureable, obtainable, clear, accurately reflect the expected
result, and include specific time frames. Once the measures have been selected, it
is necessary to design a way to gather the information. For each service delivery
performance indicator, FCMHP program/provider shall determine: to whom the
indicator will be applied; who is responsible for collecting the data; the tool from
which data will be collected; and a performance target based on an industry
benchmark, or a benchmark set by the program/provider.
III. Performance measures are subject to review and approval by FCMHP
Administration.
IV. Performance measurement is the ongoing monitoring and reporting of progress
towards pre-established objectives/goals. Annually, each FCMHP program/provider
must measure service delivery performance in each of the areas/domains listed
below. Dependent on the program/provider service deliverables, exceptions must be
approved by the FCMHP Administration.
2 1 P a g e
Exhibit F Page 3 of 3
coU OFeppartment of Behavioral Health
t Policy and Procedure Guide
O 1$56 O
FRESH I Section: Mental Health Effective Date:05/30/2017 PPG 1.2.7
Policy Title:Performance Outcome Measures
a. Effectiveness of services — How well programs performed and the results
achieved. Effectiveness measures address the quality of care through
measuring change over time. Examples include but are not limited to: reduction
of hospitalization, reduction of symptoms, employment and housing status, and
reduction of recidivism rate and incidence of relapse.
b. Efficiency of services —The relationship between the outcomes and the
resources used. Examples include but are not limited to: service delivery cost per
service unit, length of stay, and direct service hours of clinical and medical staff.
c. Services access — Changes or improvements in the program/provider's capacity
and timeliness to provide services to those who request them. Examples include
but are not limited to: wait/length of time from first request/referral to first service
or subsequent appointment, convenience of service hours and locations, number
of clients served by program capacity, and no-show and cancellation rates.
d. Satisfaction and feedback from persons served and stakeholders— Changes or
increased positive/negative feedback regarding the experiences of the persons
served and others (families, referral sources, payors/guarantors, etc.).
Satisfaction measures are usually oriented toward clients, family members,
personnel, the community, and funding sources. Examples include but are not
limited to: did the organization/program focus on the recovery of the person
served, were grievances or concerns addressed, overall feelings of satisfaction,
and satisfaction with physical facilities, fees, access, service effectiveness, and
efficiency.
V. Each FCMHP program/provider shall use the following templates to document the
defined goals, intervention(s), specific indicators, and outcomes.
1. FCMHP Outcome Report template (see Attachment A)
2. FCMHP Outcome Analysis template (see Attachment C)
3 1 P a g e
Page 1 of 13
Exhibit G Exhibit G
Fresno County Department of Behavioral Health
Specialty Mental Health Services Outpatient Rates
FSP and AOT
Provider Rate
Provider Type Per Hour
Psychiatrist/Contracted Psychiatrist $1,140.98
Physicians Assistant $511.73
Nurse Practitioner $567.38
RN $463.45
Certified Nurse Specialist $567.38
LVN $243.47
Pharmacist $546.16
Licensed Psychiatric Technician $208.72
Psychologist/Pre-licensed Psychologist $458.87
LPHA(MFT LCSW LPCC)/Intern or Waivered LPHA(MFT LCSW LPCC) $296.95
Occupational Therapist $395.28
Mental Health Rehab Specialist $223.41
Peer Recovery Specialist $234.58
Other Qualified Providers-Other Designated MH staff that bill
medical 1 $223.41
Exhibit G Page 2 of 13
ASSERTIVE COMMUNITY TREATMENT(ACT)
PACIFIC CLINICS
Fiscal Year(FY)2023-2024
PROGRAM EXPENSES
1000:DIRECT SALARIES&BENEFITS
Direct Employee Salaries
Acct# Administrative Position FTE Admin Program Total
1101 $ $
1102
1103
1104
1105
1106
1107
1108
1109
1110
1111
1112
1113
1114
1115
Direct Personnel Admin Salaries Subtotal 0.00 $ $
Acct# Program Position FTE Admin Program Total
1116 $ $
1117
1118
1119
1120
1121
1122
1123
1124
1125
1126
1127
1128
1129
1130
1131
1132
1133
1134
Direct Personnel Program Salaries Subtotal 0.00 $ $
Admin Program Total
Direct Personnel Salaries Subtotal 0.00 $ - $ - $ -
Direct Employee Benefits
Acct# Description Admin Program Total
1201 Retirement $ -
1202 Worker's Compensation - - -
1203 Health Insurance - - -
1204 Other(specify) - - -
1205 Other(specify) - - -
1206 1 Other(specify) II -
Direct Employee Benefits Subtotal: $ $ $
Direct Payroll Taxes&Expenses:
Acct# Description Admin Program Total
1301 OASDI $ $ $
1302 FICA/MEDICARE
1303 SUI
1304 Other(specify)
1305 Other(specify)
1306 Other(specify)
Direct Payroll Taxes&Expenses Subtotal: $ - $ - $ -
DIRECT EMPLOYEE SALARIES&BENEFITS TOTAL: Admin Program Total
DIRECT EMPLOYEE SALARIES&BENEFITS PERCENTAGE: Admin Program
#DIV/01 #DIV/01
Fresno County Department of Behavioral Health Contract Budget Narrative Revised 2/7/2020
Exhibit G Page 3 of 13
2000:DIRECT CLIENT SUPPORT
Acct A Line Item Description Amount
2001 Child Care $ -
2002 Client Housing Support 1,065
2003 Client Transportation&Support 3,714
2004 Clothing,Food,&Hygiene 3,003
2005 Education Support 263
2006 1 Employment Support -
2007 Household Items for Clients 1,583
2008 Medication Supports -
2009 Program Supplies-Medical -
2010 Utility Vouchers 791
2011 Other(specify) 1,581
2012 Other(specify) -
2013 Other(specify)
2014 Other(specify)
2015 Other(specify)
2016 Other(specify)
DIRECT CLIENT CARE TOTAL $ 12,000
3000:DIRECT OPERATING EXPENSES
Acct# Line Item Description Amount
3001 Telecommunications $ -
3002 Printing/Postage
3003 Office,Household&Program Supplies
3004 Advertising
3005 Staff Development&Training
3006 1 Staff Mileage
3007 Subscriptions&Memberships
3008 Vehicle Maintenance
3009 Other(specify)
3010 Other(specify)
3011 Other(specify)
3012 Other(specify)
DIRECT OPERATING EXPENSES TOTAL: $ -
4000:DIRECT FACILITIES&EQUIPMENT
Acct A Line Item Description Amount
4001 Building Maintenance $
4002 Rent/Lease Building
4003 Rent/Lease Equipment
4004 Rent/Lease Vehicles
4005 Security
4006 lUtilities
4007 Other(specify)
4008 Other(specify)
4009 Other(specify)
4010 Other(specify)
DIRECT FACILITIES/EQUIPMENTTOTAL: $
5000:DIRECT SPECIAL EXPENSES
Acct p Line Item Description Amount
5001 Consultant(Network&Data Management) $
5002 HMIS(Health Management Information System)
5003 Contractual/Consulting Services (Specify)
5004 Translation Services
5005 Other(specify)
5006 1 Other(specify)
5007 Other(specify)
5008 Other(specify)
DIRECT SPECIAL EXPENSES TOTAL: $
Fresno County Department of Behavioral Health Contract Budget Narrative Revised 2f7/2020
Exhibit G Page 4 of 13
6000:INDIRECT EXPENSES
Acct# Line Item Description Amount
Administrative Overhead
6001 Use this line and only this line for approved indirect cost rate $
Administrative Overhead
6002 Professional Liability Insurance -
6003 Accounting/Bookkeeping
6004 External Audit
6005 Insurance(Specify):
6006 Payroll Services -
6007 Depreciation(Prootde.-Owned Equipment to be Usedfor Program Purposes) -
6008 Personnel(indirect salaries&Benefits) -
6009 Other(specify)
6010 Other(specify) -
6011 Other(specify)
6012 Other(specify) -
6013 Other(specify)
INDIRECT EXPENSES TOTAL $ -
INDIRECT COST RATE 0.00%
7000:DIRECT FIXED ASSETS
Acct# Line Item Description Amount
7001 s $
7002 Copiers,Cell Phones,Tablets,Devices to Contain HIPAA Data -
7003 Furniture&Fixtures -
7004 Leasehold/Tenant/Building Improvements -
7005 Other Assets over$500 with Lifespan of 2 Years+ -
7006 Assets over$5,000/unit(Specify) -
7007 Other(specify) -
7008 Other(specify) -
FIXED ASSETS EXPENSES TOTAL $
TOTAL PROGRAM EXPENSES $ 127500
PROGRAM FUNDING SOURCES
8100-SUBSTANCE USE DISORDER FUNDS
Acct# Line Item Description Amount
8101 Drug Medi-Cal $
8102 ISABG $
SUBSTANCE USE DISORDER FUNDS TOTAL $ -
8200-REALIGNMENT
Acct# Line Item Description Amount
8201 lRealignment $REALIGNMENT TOTAL $
8300-MENTAL HEALTH SERVICE ACT(MHSA)
Acct# MHSA Component MHSA Program Name Amount
8301 CSS-Community Services&Supports $ 12,000
8302 PEI-Prevention&Early Intervention -
8303 INN-Innovations
8304 WET-Workforce Education&Training
8305 CFTN-Capital Facilities&Technology -
MHSATOTAL $ 12,000
8400-OTHER REVENUE
Acct# Line Item Description Amount
8401 Client Fees $ -
8402 Client Insurance -
8403 Grants(Specify) -
8404 Other(Specify) -
8405 Other(Specify) -
OTHER REVENUE TOTAL $
TOTAL PROGRAM FUNDING SOURCES: $ 12,000
NET PROGRAM COST: $
Fresno County Department of Behavioral Health Contract Budget Narrative Revised 2/7/2020
Exhibit G Page 5 of 13
ASSERTIVE COMMUNITY TREATMENT(ACT)
PACIFIC CLINICS
Fiscal Year(FY)2023-2024 Budget Narrative
PROGRAM EXPENSE
ACCT#I LINE ITEM AMT DETAILED DESCRIPTION OF ITEMS BUDGETED IN EACH ACCOUNT LINE
1000:DIRECT SALARIES&BENEFITS
Administrative Positions
1101 0
1102 0
1103 0
1104 0
1105 0
1106 0
1107 0
1108 0
1109 0
1110 0
1111 0
1112 0
1113 0
1114 0
1115 10
Program Positions
1116 0
1117 0
1118 0
1119 0
1120 0
1121 0
1122 0
1123 0
1124 0
1125 0
1126 0
1127 0
1128 0
1129 0
1130 0
1131 0
1132 0
1133 0
1134 0
Direct Employee Benefits
1201 Retirement
1202 Worker's Compensation
1203 Health Insurance
1204 Other(specify)
1205 Other(specify)
1206 Other(specify)
Direct Payroll Taxes&Expenses:
1301 OASDI
1302 FICA/MEDICARE
1303 SUI
1304 Other(specify)
1305 Other(specify)
1306 Other(specify)
2000:DIRECT CLIENT SUPPORT 12,000
2001 Child Care -
2002 Client Housing Support 1,065 This includes,but is not limited to: housing subsidies for permanent,transitional and
temporary housing,master leases,motel and other housing vouchers,rental security
deposits,first and last month rental payments,and other fiscal housing supports
resources.
2003 Client Transportation&Support 3,714 This includes bus vouchers and reimbursements for other travel expenses as lack of
transportation is frequently a major barrier for families in accessing services.This also
includes other non-traditional supports to meet the needs that families may have.
Fresno County Department of Behavioral Health Contract Budget Narrative Revised 2/7/2020
Page 6 of 13
Exhibit G
PROGRAM EXPENSE
ACCT# LINE ITEM AMT DETAILED DESCRIPTION OF ITEMS BUDGETED IN EACH ACCOUNT LINE
2004 Clothing,Food,&Hygiene 3,003 Supports for these basic needs aids in fully realizing the benefits provided through Full
Service Partnerships. In addition to vouchers for these basic necessities,food/snacks
for families are provided during treatment sessions.
2005 Education Support 263 This includes,but is not limited to assistance for youth with linkages to educational
resources and supports,as well as support in addressing any barriers that impact
educational success.
2006 Employment Support -
2007 Household Items for Clients 1,583 Supports the purchase of household items to assist in maintaining a safe,healthy,and
secure home environment.
2008 Medication Supports -
2009 Program Supplies-Medical -
2010 Utility Vouchers 791 Supports emergency assistance with maintaining electricity,gas,water,trash pic-up,
etc.to maintain a safe and healthy home environment.
2011 Other(specify) 1,581 This includes,but is not limited to building repair and maintenance,utilities,housing
agency management fees,insurance,property taxes and assessments,credit reporting
fees,and other operating costs incurred in providing child and family housing supports.
2012 Other(specify) -
2013 Other(specify)
2014 Other(specify)
2015 Other(specify)
2016 1 Other(specify)
3000:DIRECT OPERATING EXPENSES
3001 Telecommunications
3002 Printing/Postage
3003 Office,Household&Program Supplies
3004 Advertising
3005 Staff Development&Training
3006 Staff Mileage
3007 Subscriptions&Memberships
3008 Vehicle Maintenance
3009 Other(specify)
3010 Other(specify)
3011 Other(specify)
3012 1 Other(specify)
4000:DIRECT FACILITIES&EQUIPMENT
4001 1 Building Maintenance
4002 Rent/Lease Building
4003 Rent/Lease Equipment
4004 Rent/Lease Vehicles
4005 Security
4006 Utilities
4007 Other(specify)
4008 Other(specify)
4009 Other(specify)
4010 Other(specify)
5000:DIRECT SPECIAL EXPENSES
5001 Consultant(Network&Data Management)
5002 HMIS(Health Management Information System)
5003 Contractual/Consulting Services (Specify)
5004 Translation Services
5005 Other(specify)
5006 Other(specify)
5007 Other(specify)
5008 1 Other(specify)
6000:INDIRECT EXPENSES
6001 Administrative Overhead
6002 Professional Liability Insurance
6003 Accounting/Bookkeeping
6004 External Audit
6005 Insurance(Specify):
6006 Payroll Services
6007 Depreciation(Provider-Owned Equipment to be Used
6008 Personnel(Indirect Salaries&Benefits)
6009 Other(specify)
Fresno County Department of Behavioral Health Contract Budget Narrative Revised 2/7/2020
Exhibit G Page 7 of 13
PROGRAM EXPENSE
ACCT# LINE ITEM AMT DETAILED DESCRIPTION OF ITEMS BUDGETED IN EACH ACCOUNT LINE
6010 Other(specify)
6011 Other(specify)
6012 Other(specify)
6013 Other(specif )
7000:DIRECT FIXED ASSETS
7001 Computer Equipment&Software
7002 Copiers,Cell Phones,Tablets,Devices to Contain HIPAA
7003 Furniture&Fixtures
7004 Leasehold/Tenant/Building Improvements
7005 Other Assets over$500 with Lifespan of 2 Years+
7006 Assets over$5,000/unit(Specify)
7007 Other(specify)
7008 Other(specify)
TOTAL PROGRAM EXPENSE FROM BUDGET NARRATIVE: 12,000
TOTAL PROGRAM EXPENSES FROM BUDGET TEMPLATE: 12,000
BUDGET CHECK: -
Fresno County Department of Behavioral Health Contract Budget Narrative Revised 2/7/2020
Exhibit G Page 8 of 13
ASSERTIVE COMMUNITY TREATMENT(ACT)
PACIFIC CLINICS
Fiscal Year(FY)2024-2025
PROGRAM EXPENSES
1000:DIRECT SALARIES&BENEFITS
Direct Employee Salaries
Acct# Administrative Position FTE Admin Program Total
1101 $ $
1102
1103
1104
1105
1106
1107
1108
1109
1110
1111
1112
1113
1114
1115
Direct Personnel Admin Salaries Subtotal 0.00 $ $
Acct# Program Position FTE Admin Program Total
1116 $ $
1117
1118
1119
1120
1121
1122
1123
1124
1125
1126
1127
1128
1129
1130
1131
1132
1133
1134
Direct Personnel Program Salaries Subtotal 0.00 $ $
Admin Program Total
Direct Personnel Salaries Subtotal 0.00 $ - $ - $ -
Direct Employee Benefits
Acct# Description Admin Program Total
1201 Retirement $ -
1202 Worker's Compensation - - -
1203 Health Insurance - - -
1204 Other(specify) - - -
1205 Other(specify) - - -
1206 1 Other(specify) II -
Direct Employee Benefits Subtotal: $ $ $
Direct Payroll Taxes&Expenses:
Acct# Description Admin Program Total
1301 OASDI $ $ $
1302 FICA/MEDICARE
1303 SUI
1304 Other(specify)
1305 Other(specify)
1306 Other(specify)
Direct Payroll Taxes&Expenses Subtotal: $ - $ - $ -
DIRECT EMPLOYEE SALARIES&BENEFITS TOTAL: Admin Program Total
DIRECT EMPLOYEE SALARIES&BENEFITS PERCENTAGE: Admin Program
#DIV/01 #DIV/01
Fresno County Department of Behavioral Health Contract Budget Narrative Revised 2/7/2020
Exhibit G Page 9 of 13
2000:DIRECT CLIENT SUPPORT
Acct A Line Item Description Amount
2001 Child Care $ -
2002 Client Housing Support 1,065
2003 Client Transportation&Support 3,714
2004 Clothing,Food,&Hygiene 3,003
2005 Education Support 263
2006 1 Employment Support -
2007 Household Items for Clients 1,583
2008 Medication Supports -
2009 Program Supplies-Medical -
2010 Utility Vouchers 791
2011 Other(specify) 1,581
2012 Other(specify) -
2013 Other(specify)
2014 Other(specify)
2015 Other(specify)
2016 Other(specify)
DIRECT CLIENT CARE TOTAL $ 12,000
3000:DIRECT OPERATING EXPENSES
Acct# Line Item Description Amount
3001 Telecommunications $ -
3002 Printing/Postage
3003 Office,Household&Program Supplies
3004 Advertising
3005 Staff Development&Training
3006 1 Staff Mileage
3007 Subscriptions&Memberships
3008 Vehicle Maintenance
3009 Other(specify)
3010 Other(specify)
3011 Other(specify)
3012 Other(specify)
DIRECT OPERATING EXPENSES TOTAL: $ -
4000:DIRECT FACILITIES&EQUIPMENT
Acct A Line Item Description Amount
4001 Building Maintenance $
4002 Rent/Lease Building
4003 Rent/Lease Equipment
4004 Rent/Lease Vehicles
4005 Security
4006 lUtilities
4007 Other(specify)
4008 Other(specify)
4009 Other(specify)
4010 Other(specify)
DIRECT FACILITIES/EQUIPMENTTOTAL: $
5000:DIRECT SPECIAL EXPENSES
Acct p Line Item Description Amount
5001 Consultant(Network&Data Management) $
5002 HMIS(Health Management Information System)
5003 Contractual/Consulting Services (Specify)
5004 Translation Services
5005 Other(specify)
5006 1 Other(specify)
5007 Other(specify)
5008 Other(specify)
DIRECT SPECIAL EXPENSES TOTAL: $
Fresno County Department of Behavioral Health Contract Budget Narrative Revised 2f7/2020
Exhibit G Page 10 of 13
6000:INDIRECT EXPENSES
Acct# Line Item Description Amount
Administrative Overhead
6001 Use this line and only this line for approved indirect cost rate $
Administrative Overhead
6002 Professional Liability Insurance -
6003 Accounting/Bookkeeping
6004 External Audit
6005 Insurance(Specify):
6006 Payroll Services -
6007 Depreciation(Prootde.-Owned Equipment to be Usedfor Program Purposes) -
6008 Personnel(indirect Salaries&Benefits) -
6009 Other(specify)
6010 Other(specify) -
6011 Other(specify)
6012 Other(specify) -
6013 Other(specify)
INDIRECT EXPENSES TOTAL $ -
INDIRECT COST RATE 0.00%
7000:DIRECT FIXED ASSETS
Acct# Line Item Description Amount
7001 Computer Equipment&Software $ -
7002 Copiers,Cell Phones,Tablets,Devices to Contain HIPAA Data -
7003 Furniture&Fixtures -
7004 Leasehold/Tenant/Building Improvements -
7005 Other Assets over$500 with Lifespan of 2 Years+ -
7006 Assets over$5,000/unit(Specify) -
7007 Other(specify) -
7008 Other(specify) -
FIXED ASSETS EXPENSES TOTAL $
TOTAL PROGRAM EXPENSES $ 127500
PROGRAM FUNDING SOURCES
8100-SUBSTANCE USE DISORDER FUNDS
Acct# Line Item Description Amount
8101 Drug Medi-Cal $
8102 ISABG $
SUBSTANCE USE DISORDER FUNDS TOTAL $ -
8200-REALIGNMENT
Acct# Line Item Description Amount
8201 lRealignment $REALIGNMENT TOTAL $
8300-MENTAL HEALTH SERVICE ACT(MHSA)
Acct# MHSA Component MHSA Program Name Amount
8301 CSS-Community Services&Supports $ 12,000
8302 PEI-Prevention&Early Intervention -
8303 INN-Innovations
8304 WET-Workforce Education&Training
8305 CFTN-Capital Facilities&Technology -
MHSATOTAL $ 12,000
8400-OTHER REVENUE
Acct# Line Item Description Amount
8401 Client Fees $ -
8402 Client Insurance -
8403 Grants(Specify) -
8404 Other(Specify) -
8405 Other(Specify) -
OTHER REVENUE TOTAL $
TOTAL PROGRAM FUNDING SOURCES: $ 12,000
NET PROGRAM COST: $
Fresno County Department of Behavioral Health Contract Budget Narrative Revised 2/7/2020
Page 11 of 13
Exhibit G
ASSERTIVE COMMUNITY TREATMENT(ACT)
PACIFIC CLINICS
Fiscal Year(FY)2023-2024 Budget Narrative
PROGRAM EXPENSE
ACCT#I LINE ITEM AMT DETAILED DESCRIPTION OF ITEMS BUDGETED IN EACH ACCOUNT LINE
1000:DIRECT SALARIES&BENEFITS
Administrative Positions
1101 0
1102 0
1103 0
1104 0
1105 0
1106 0
1107 0
1108 0
1109 0
1110 0
1111 0
1112 0
1113 0
1114 0
1115 10
Program Positions
1116 0
1117 0
1118 0
1119 0
1120 0
1121 0
1122 0
1123 0
1124 0
1125 0
1126 0
1127 0
1128 0
1129 0
1130 0
1131 0
1132 0
1133 0
1134 0
Direct Employee Benefits
1201 Retirement
1202 Worker's Compensation
1203 Health Insurance
1204 Other(specify)
1205 Other(specify)
1206 Other(specify)
Direct Payroll Taxes&Expenses:
1301 OASDI
1302 FICA/MEDICARE
1303 SUI
1304 Other(specify)
1305 Other(specify)
1306 Other(specify)
2000:DIRECT CLIENT SUPPORT 12,000
2001 Child Care -
2002 Client Housing Support 1,065 This includes,but is not limited to: housing subsidies for permanent,transitional and
temporary housing,master leases,motel and other housing vouchers,rental security
deposits,first and last month rental payments,and other fiscal housing supports
resources.
2003 Client Transportation&Support 3,714 This includes bus vouchers and reimbursements for other travel expenses as lack of
transportation is frequently a major barrier for families in accessing services.This also
includes other non-traditional supports to meet the needs that families may have.
Fresno County Department of Behavioral Health Contract Budget Narrative Revised 2/7/2020
Page 12 of 13
Exhibit G
PROGRAM EXPENSE
ACCT# LINE ITEM AMT DETAILED DESCRIPTION OF ITEMS BUDGETED IN EACH ACCOUNT LINE
2004 Clothing,Food,&Hygiene 3,003 Supports for these basic needs aids in fully realizing the benefits provided through Full
Service Partnerships. In addition to vouchers for these basic necessities,food/snacks
for families are provided during treatment sessions.
2005 Education Support 263 This includes,but is not limited to assistance for youth with linkages to educational
resources and supports,as well as support in addressing any barriers that impact
educational success.
2006 Employment Support -
2007 Household Items for Clients 1,583 Supports the purchase of household items to assist in maintaining a safe,healthy,and
secure home environment.
2008 Medication Supports -
2009 Program Supplies-Medical -
2010 Utility Vouchers 791 Supports emergency assistance with maintaining electricity,gas,water,trash pic-up,
etc.to maintain a safe and healthy home environment.
2011 Other(specify) 1,581 This includes,but is not limited to building repair and maintenance,utilities,housing
agency management fees,insurance,property taxes and assessments,credit reporting
fees,and other operating costs incurred in providing child and family housing supports.
2012 Other(specify) -
2013 Other(specify)
2014 Other(specify)
2015 Other(specify)
2016 Other(specify)
3000:DIRECT OPERATING EXPENSES
3001 Telecommunications
3002 Printing/Postage
3003 Office,Household&Program Supplies
3004 Advertising
3005 Staff Development&Training
3006 Staff Mileage
3007 Subscriptions&Memberships
3008 Vehicle Maintenance
3009 Other(specify)
3010 Other(specify)
3011 Other(specify)
3012 1 Other(specify)
4000:DIRECT FACILITIES&EQUIPMENT
4001 1 Building Maintenance
4002 Rent/Lease Building
4003 Rent/Lease Equipment
4004 Rent/Lease Vehicles
4005 Security
4006 Utilities
4007 Other(specify)
4008 Other(specify)
4009 Other(specify)
4010 Other(specify)
5000:DIRECT SPECIAL EXPENSES
5001 Consultant(Network&Data Management)
5002 HMIS(Health Management Information System)
5003 Contractual/Consulting Services (Specify)
5004 Translation Services
5005 Other(specify)
5006 Other(specify)
5007 Other(specify)
5008 1 Other(specify)
6000:INDIRECT EXPENSES
6001 Administrative Overhead
6002 Professional Liability Insurance
6003 Accounting/Bookkeeping
6004 External Audit
6005 Insurance(Specify):
6006 Payroll Services
6007 Depreciation(Provider-Owned Equipment to be Used
6008 Personnel(Indirect Salaries&Benefits)
6009 Other(specify)
Fresno County Department of Behavioral Health Contract Budget Narrative Revised 2/7/2020
Page 13 of 13
Exhibit G
PROGRAM EXPENSE
ACCT# LINE ITEM AMT DETAILED DESCRIPTION OF ITEMS BUDGETED IN EACH ACCOUNT LINE
6010 Other(specify)
6011 Other(specify)
6012 Other(specify)
6013 Other(specif )
7000:DIRECT FIXED ASSETS
7001 Computer Equipment&Software
7002 Copiers,Cell Phones,Tablets,Devices to Contain HIPAA
7003 Furniture&Fixtures
7004 Leasehold/Tenant/Building Improvements
7005 Other Assets over$500 with Lifespan of 2 Years+
7006 Assets over$5,000/unit(Specify)
7007 Other(specify)
7008 Other(specify)
TOTAL PROGRAM EXPENSE FROM BUDGET NARRATIVE: 12,000
TOTAL PROGRAM EXPENSES FROM BUDGET TEMPLATE: 12,000
BUDGET CHECK: -
Fresno County Department of Behavioral Health Contract Budget Narrative Revised 2/7/2020
Page 1 of 4
Exhibit H
Insurance Requirements
1. Required Policies
Without limiting the County's right to obtain indemnification from the Contractor or any third
parties, Contractor, at its sole expense, shall maintain in full force and effect the following
insurance policies throughout the term of this Agreement.
(A) Commercial General Liability. Commercial general liability insurance with limits of not
less than Two Million Dollars ($2,000,000) per occurrence and an annual aggregate of
Four Million Dollars ($4,000,000). This policy must be issued on a per occurrence basis.
Coverage must include products, completed operations, property damage, bodily injury,
personal injury, and advertising injury. The Contractor shall obtain an endorsement to
this policy naming the County of Fresno, its officers, agents, employees, and volunteers,
individually and collectively, as additional insureds, but only insofar as the operations
under this Agreement are concerned. Such coverage for additional insureds will apply as
primary insurance and any other insurance, or self-insurance, maintained by the County
is excess only and not contributing with insurance provided under the Contractor's
policy.
(B) Automobile Liability. Automobile liability insurance with limits of not less than One
Million Dollars ($1,000,000) per occurrence for bodily injury and for property damages.
Coverage must include any auto used in connection with this Agreement.
(C)Workers Compensation. Workers compensation insurance as required by the laws of
the State of California with statutory limits.
(D) Employer's Liability. Employer's liability insurance with limits of not less than One
Million Dollars ($1,000,000) per occurrence for bodily injury and for disease.
(E) Professional Liability. Professional liability insurance with limits of not less than One
Million Dollars ($1,000,000) per occurrence and an annual aggregate of Three Million
Dollars ($3,000,000). If this is a claims-made policy, then (1)the retroactive date must
be prior to the date on which services began under this Agreement; (2) the Contractor
shall maintain the policy and provide to the County annual evidence of insurance for not
less than five years after completion of services under this Agreement; and (3) if the
policy is canceled or not renewed, and not replaced with another claims-made policy
with a retroactive date prior to the date on which services begin under this Agreement,
then the Contractor shall purchase extended reporting coverage on its claims-made
policy for a minimum of five years after completion of services under this Agreement.
Molestation Liability. Sexual abuse/ molestation liability insurance with limits of not less than
Two Million Dollars ($2,000,000) per occurrence, with an annual aggregate of Four Million
Dollars ($4,000,000). This policy must be issued on a per occurrence basis.
(F) Cyber Liability. Cyber liability insurance with limits of not less than Two Million Dollars
($2,000,000) per occurrence. Coverage must include claims involving Cyber Risks. The
cyber liability policy must be endorsed to cover the full replacement value of damage to,
alteration of, loss of, or destruction of intangible property (including but not limited to
information or data) that is in the care, custody, or control of the Contractor.
Page 2 of 4
Exhibit H
Definition of Cyber Risks. "Cyber Risks" include but are not limited to (i) Security
Breach, which may include Disclosure of Personal Information to an Unauthorized Third
Party; (ii) data breach; (iii) breach of any of the Contractor's obligations under [identify
the Article, section, or exhibit containing data security obligations] of this Agreement; (iv)
system failure; (v) data recovery; (vi) failure to timely disclose data breach or Security
Breach; (vii)failure to comply with privacy policy; (viii) payment card liabilities and costs;
(ix) infringement of intellectual property, including but not limited to infringement of
copyright, trademark, and trade dress; (x) invasion of privacy, including release of
private information; (xi) information theft; (xii) damage to or destruction or alteration of
electronic information; (xiii) cyber extortion; (xiv) extortion related to the Contractor's
obligations under this Agreement regarding electronic information, including Personal
Information; (xv) fraudulent instruction; (xvi)funds transfer fraud; (xvii) telephone fraud;
(xviii) network security; (xix) data breach response costs, including Security Breach
response costs; (xx) regulatory fines and penalties related to the Contractor's obligations
under this Agreement regarding electronic information, including Personal Information;
and (xxi) credit monitoring expenses.
2. Additional Requirements
(A) Verification of Coverage. Within 30 days after the Contractor signs this Agreement,
and at any time during the term of this Agreement as requested by the County's Risk
Manager or the County Administrative Office, the Contractor shall deliver, or cause its
broker or producer to deliver, to the County Risk Manager, at 2220 Tulare Street, 16th
Floor, Fresno, California 93721, or HRRiskManagement@fresnocountyca.gov, and by
mail or email to the person identified to receive notices under this Agreement,
certificates of insurance and endorsements for all of the coverages required under this
Agreement.
(i) Each insurance certificate must state that: (1) the insurance coverage has been
obtained and is in full force; (2) the County, its officers, agents, employees, and
volunteers are not responsible for any premiums on the policy; and (3) the
Contractor has waived its right to recover from the County, its officers, agents,
employees, and volunteers any amounts paid under any insurance policy
required by this Agreement and that waiver does not invalidate the insurance
policy.
(ii) The commercial general liability insurance certificate must also state, and include
an endorsement, that the County of Fresno, its officers, agents, employees, and
volunteers, individually and collectively, are additional insureds insofar as the
operations under this Agreement are concerned. The commercial general liability
insurance certificate must also state that the coverage shall apply as primary
insurance and any other insurance, or self-insurance, maintained by the County
shall be excess only and not contributing with insurance provided under the
Contractor's policy.
(iii) The automobile liability insurance certificate must state that the policy covers any
auto used in connection with this Agreement.
Page 3 of 4
Exhibit H
(iv) The professional liability insurance certificate, if it is a claims-made policy, must
also state the retroactive date of the policy, which must be prior to the date on
which services began under this Agreement.
(v) The cyber liability insurance certificate must also state that it is endorsed, and
include an endorsement, to cover the full replacement value of damage to,
alteration of, loss of, or destruction of intangible property (including but not limited
to information or data) that is in the care, custody, or control of the Contractor.
(B) Acceptability of Insurers. All insurance policies required under this Agreement must be
issued by admitted insurers licensed to do business in the State of California and
possessing at all times during the term of this Agreement an A.M. Best, Inc. rating of no
less than A: VI I.
(C) Notice of Cancellation or Change. For each insurance policy required under this
Agreement, the Contractor shall provide to the County, or ensure that the policy requires
the insurer to provide to the County, written notice of any cancellation or change in the
policy as required in this paragraph. For cancellation of the policy for nonpayment of
premium, the Contractor shall, or shall cause the insurer to, provide written notice to the
County not less than 10 days in advance of cancellation. For cancellation of the policy
for any other reason, and for any other change to the policy, the Contractor shall, or shall
cause the insurer to, provide written notice to the County not less than 30 days in
advance of cancellation or change. The County in its sole discretion may determine that
the failure of the Contractor or its insurer to timely provide a written notice required by
this paragraph is a breach of this Agreement.
(D) County's Entitlement to Greater Coverage. If the Contractor has or obtains insurance
with broader coverage, higher limits, or both, than what is required under this
Agreement, then the County requires and is entitled to the broader coverage, higher
limits, or both. To that end, the Contractor shall deliver, or cause its broker or producer
to deliver, to the County's Risk Manager certificates of insurance and endorsements for
all of the coverages that have such broader coverage, higher limits, or both, as required
under this Agreement.
(E) Waiver of Subrogation. The Contractor waives any right to recover from the County, its
officers, agents, employees, and volunteers any amounts paid under the policy of
worker's compensation insurance required by this Agreement. The Contractor is solely
responsible to obtain any policy endorsement that may be necessary to accomplish that
waiver, but the Contractor's waiver of subrogation under this paragraph is effective
whether or not the Contractor obtains such an endorsement.
(F) County's Remedy for Contractor's Failure to Maintain. If the Contractor fails to keep
in effect at all times any insurance coverage required under this Agreement, the County
may, in addition to any other remedies it may have, suspend or terminate this
Agreement upon the occurrence of that failure, or purchase such insurance coverage,
and charge the cost of that coverage to the Contractor. The County may offset such
charges against any amounts owed by the County to the Contractor under this
Agreement.
Page 4 of 4
Exhibit H
Subcontractors. The Contractor shall require and verify that all subcontractors used by the
Contractor to provide services under this Agreement maintain insurance meeting all insurance
requirements provided in this Agreement. This paragraph does not authorize the Contractor to
provide services under this Agreement using subcontractors.
Page 1 of 2
Exhibit I
FRESNO COUNTY MENTAL HEALTH PLAN
Grievances
Fresno County Mental Health Plan (MHP) provides beneficiaries with a grievance and
appeal process and an expedited appeal process to resolve grievances and disputes at
the earliest and the lowest possible level.
Title 9 of the California Code of Regulations requires that the MHP and its fee-for-service
providers give verbal and written information to Medi-Cal beneficiaries regarding the
following:
• How to access specialty mental health services
• How to file a grievance about services
• How to file for a State Fair Hearing
The MHP has developed a Consumer Guide, a beneficiary rights poster, a grievance
form, an appeal form, and Request for Change of Provider Form. All of these
beneficiary materials must be posted in prominent locations where Medi-Cal
beneficiaries receive outpatient specialty mental health services, including the waiting
rooms of providers' offices of service.
Please note that all fee-for-service providers and contract agencies are required to give
the individuals served copies of all current beneficiary information at intake and annually
thereafter.
Beneficiaries have the right to use the grievance and/or appeal process without any
penalty, change in mental health services, or any form of retaliation. All Medi-Cal
beneficiaries can file an appeal or state hearing.
Grievances and appeals forms and self addressed envelopes must be available for
beneficiaries to pick up at all provider sites without having to make a verbal or written
request. Forms can be sent to the following address:
Fresno County Mental Health Plan
P.O. Box 45003
Fresno, CA 93718-9886
(800) 654-3937 (for more information)
(559) 488-3055 (TTY)
Provider Problem Resolution and Appeals Process
The MHP uses a simple, informal procedure in identifying and resolving provider
concerns and problems regarding payment authorization issues, other complaints and
concerns.
Informal provider problem resolution process—the provider may first speak to a Provider
Relations Specialist (PRS) regarding his or her complaint or concern.
Page 2 of 2
Exhibit I
The PRS will attempt to settle the complaint or concern with the provider. If the attempt
is unsuccessful and the provider chooses to forego the informal grievance process, the
provider will be advised to file a written complaint to the MHP address (listed above).
Formal provider appeal process—the provider has the right to access the provider
appeal process at any time before, during, or after the provider problem resolution
process has begun, when the complaint concerns a denied or modified request for MHP
payment authorization, or the process or payment of a provider's claim to the MHP.
Payment authorization issues—the provider may appeal a denied or modified request
for payment authorization or a dispute with the MHP regarding the processing or
payment of a provider's claim to the MHP. The written appeal must be submitted to the
MHP within 90 calendar days of the date of the receipt of the non-approval of payment.
The MHP shall have 60 calendar days from its receipt of the appeal to inform the
provider in writing of the decision, including a statement of the reasons for the decision
that addresses each issue raised by the provider, and any action required by the
provider to implement the decision.
If the appeal concerns a denial or modification of payment authorization request, the
MHP utilizes a Managed Care staff who was not involved in the initial denial or
modification decision to determine the appeal decision.
If the Managed Care staff reverses the appealed decision, the provider will be asked to
submit a revised request for payment within 30 calendar days of receipt of the decision
Other complaints— if there are other issues or complaints, which are not related to
payment authorization issues, providers are encouraged to send a letter of complaint to
the MHP. The provider will receive a written response from the MHP within 60 calendar
days of receipt of the complaint. The decision rendered buy the MHP is final.
Page 1 of 10
Exhibit J
INCIDENT REPORTING
PROTOCOL FOR COMPLETION OF INCIDENT REPORT
The Incident Report must be completed for all incidents involving individuals served through
DBH's current incident reporting portal, Logic Manager, at
https:Hfresnodbh.logicmanager.com/incidents/?t=9&p=1&k=182beOc5cdcd5072bb1864cdee
4d3d6e
• The reporting portal is available 24 hours a day, every day.
• Any employee of the Contractor can submit an incident using the reporting portal at
any time. No login is required.
• The designated administrator of the Contractor can add information to the follow up
section of the report after submission.
• When an employee submits an incident within 24 hours from the time of the incident
or first knowledge of the incident, the Contractor's designated administrator, the
assigned contract analyst and the Incident Reporting email inbox will be notified
immediately via email from the Logic Manager system that there is a new incident to
review.
• Meeting the 24 hour incident reporting requirements will be easier as there are no
signatures to collect.
• The user guide attached identifies the reporting process and the reviewer process,
and is subject to updates based on DBH's selected incident reporting portal system.
• Employees involved in a crisis incident should be offered appropriate Employee
Assistance Program (EAP) or similar related wellness and recovery assistance. In
conjunction with the DBH's Guiding Principles of Care Delivery and wellness of the
workforce, Contractor shall align their practices around this vision and ensure
needed debriefing services are offered to all employees involved in a crisis incident.
Employees shall be afforded all services to strengthen their recovery and wellness
related to the crisis incident. Appropriate follow-up with the employee shall be carried
out and a plan for workforce wellness shall be submitted to DBH.
Questions about incident reporting, how to use the incident reporting portal, or
designating/changing the name of the administrator who will review incidents for the Contractor
should be emailed to DBHlncidentReporting@fresnocountyca.gov and the assigned contract
analyst.
Page 2 of 10
Exhibit J
co�,� Mental Health Plan (MHP) and Substance Use Disorder(SUD) services
Incident Reporting System
INCIDENT REVIEWER ROLE — User Guide
Fresno County Department of Behavioral Health (DBH) requires all of its county-operated and contracted
providers (through the Mental Health Plan (MHP) and Substance Use Disorder (SUD) services) to complete
a written report of any incidents compromising the health and safety of persons served, employees, or
community members.
Yes! Incident reports will now be made through an on online reporting portal hosted by Logic Manager. It's
an easier way for any employee to report an incident at any time. A few highlights:
• No supervisor signature is immediately required.
• Additional information can be added to the report by the program supervisor/manager without
having to resubmit the incident.
• When an incident is submitted, the assigned contract analyst, program supervisor/manager,
clinical supervisor and the DBHlncidentReporting mailbox automatically receives an email
notification of a new incident and can log in any time to review the incident. Everything that
was on the original paper/electronic form matches the online form.
• Do away with submitting a paper version with a signature.
• This online submission allows for timely action for the health and safety of the persons-served,
as well as compliance with state reporting timelines when necessary.
As an Incident Reviewer,the responsibility is to:
• Log in to Logic Manager and review incident submitted within 48 hours of notification of incident.
• Review incident for clarity, missing information and add in additional information deemed
appropriate.
• Notify DBHlncidentReporting@fresnocountyca.gov if there is additional information to be report
after initial submission
• Contact.DBHlncidentReporting@fresnocountVca.gov if there are any concerns, questions or
comments with Logic Manager or incident reporting.
Below is the link to report incidents
https://fresnodbh.logicmanager.com/incidents/?t=9&p=1&k=182be0c5cdcd5072bbl864cdee4d3d6e
The link will take employees to the reporting screen to begin incident submission:
Page 3 of 10
Exhibit J
E C 4 Y fresnodbh.logicmanageccom/incidents/?t=98tp=18tk=182beOc5cdcd5O72bbl864cdee4d3d6e
LogicManager
Incident Report
Please complete this form
- Client Information
Name of Facility'
Name of Reporting Party'
Facility Address'
i
Facility Phone Number'
Mental Health or Substance Use Disorder Program?
Client First Name'
Client Last Name
Client Date of Birth
Client Address
i
ClientlD
i
Gender'
County of origin'
Summary
Subject O
Incident(check all that apply)'
If Other-specify(i.e.fire,poisoning,epidemic outbreaks,other catastrophes/events that jeopardize the welfare and safety of clients,staff and/or members of the community):
i
Description of the Incident'
Similar to the paper version, multiple incident categories can be selected
Page 4 of 10
Exhibit J
Lmt,t-L
Incident(check all that apply)'
Medical Emergency x Death of Client x
Homicide/Homicide Attempt
AWOL/Elopement from locked facility
Violence/Abuse/Assault(toward others,client and/or property
Attempted Suicide(resulting in serious injury)
Injury(self-inflicted or by accident)
Medication Error
E C 4 Y fmsnodbh.logicmamger.mmfincidents/?t=9&p=1&k=182be0c5cdcd5072bb1864cdee4d3d6e
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i
Reported On
10/30/2019
Page 5 of 10
Exhibit J
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o fresnodbh.logicmanageccom ina - =1&k=1826e0dcdcd5072661864cdee4d3d6e
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Reported By Name'
Reported By Email'
Reported On
10/30/2019
Follow Up
Action Taken(check all that apply)'
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- Followup
Action Taken(check all that apply)'
Law Enforcement Contacted x Called 911/EMS x
Consulted with Physician
First Aid/CPR Administered
Client removed from building
Parent/Legal Guardian Contacted
Other
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Page 6 of 10
Exhibit J
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Page 7 of 10
Exhibit J
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TASK NAME SOURCE STATUS ASSIGNEDTO ASSIGNED BY DUE DATE-
Analyst Follow Up In Progress —d lest SYSTEM-,V,Managci
Page 8 of 10
Exhibit J
This screen below will then pop up. There are 5 tabs to navigate through. Client information will show the client and
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Task Detailz Client lnkrmaxon
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Page 9 of 10
Exhibit J
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Task Details CI—tlnformatmn Summary Follow Up Documents
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Task ID:313 Sourte:303:null 11 c �� � t� CANC
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< 5 > » CA 11 C E L
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Page 10 of 10
Exhibit J
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Page 1 of 3
Exhibit K
FRESNO COUNTY MENTAL HEALTH COMPLIANCE PROGRAM
CONTRACTOR CODE OF CONDUCT AND ETHICS
Fresno County is firmly committed to full compliance with all applicable laws, regulations,
rules and guidelines that apply to the provision and payment of mental health services. Mental
health contractors and the manner in which they conduct themselves are a vital part of this
commitment.
Fresno County has established this Contractor Code of Conduct and Ethics with which
contractor and its employees and subcontractors shall comply. Contractor shall require its
employees and subcontractors to attend a compliance training that will be provided by Fresno
County. After completion of this training, Contractor, Contractor' employees and subcontractors must
sign the Contractor Acknowledgment and Agreement form and return this form to the Compliance
Officer or designee.
Contractor and its employees and subcontractor shall:
1. Comply with all applicable laws, regulations, rules or guidelines when providing and
billing for mental health services.
2. Conduct themselves honestly, fairly, courteously and with a high degree of integrity in
their professional dealing related to their contract with the County and avoid any
conduct that could reasonably be expected to reflect adversely upon the integrity of the
County.
3. Treat County employees, persons served, and other mental health contractors fairly
and with respect.
4. NOT engage in any activity in violation of the County's Compliance Program, nor
engage in any other conduct which violates any applicable law, regulation, rule or
guideline
5. Take precautions to ensure that claims are prepared and submitted accurately, timely
and are consistent with all applicable laws, regulations, rules or guidelines.
6. Ensure that no false, fraudulent, inaccurate or fictitious claims for payment or
reimbursement of any kind are submitted.
Page 2of3
Exhibit K
7. Bill only for eligible services actually rendered and fully documented. Use billing codes
that accurately describe the services provided.
8. Act promptly to investigate and correct problems if errors in claims or billing are
discovered.
9. Promptly report to the Compliance Officer any suspected violation(s) of this Code of
Conduct and Ethics by County employees or other mental health contractors, or report
any activity that they believe may violate the standards of the Compliance Program, or
any other applicable law, regulation, rule or guideline. Fresno County prohibits
retaliation against any person making a report. Any person engaging in any form of
retaliation will be subject to disciplinary or other appropriate action by the County.
Contractor may report anonymously.
10. Consult with the Compliance Officer if you have any questions or are uncertain of any
Compliance Program standard or any other applicable law, regulation, rule or
guideline.
11. Immediately notify the Compliance Officer if they become or may become an Ineligible
person and therefore excluded from participation in the Federal Health Care Programs.
Page 3 of 3
Exhibit K
Fresno County Mental Health Compliance Program
Contractor Acknowledgment and Agreement
I hereby acknowledge that I have received, read and understand the Contractor Code of Conduct and
Ethics. I herby acknowledge that I have received training and information on the Fresno County Mental
Health Compliance Program and understand the contents thereof. I further agree to abide by the
Contractor Code of Conduct and Ethics, and all Compliance Program requirements as they apply to my
responsibilities as a mental health contractor for Fresno County.
I understand and accept my responsibilities under this Agreement. I further understand that any
violation of the Contractor Code of Conduct and Ethics or the Compliance Program is a violation of
County policy and may also be a violation of applicable laws, regulations, rules or guidelines. I further
understand that violation of the Contractor Code of Conduct and Ethics or the Compliance Program
may result in termination of my agreement with Fresno County. I further understand that Fresno
County will report me to the appropriate Federal or State agency.
For Individual Providers
Name (print):
Discipline: ❑ Psychiatrist ❑ Psychologist ❑ LCSW ❑ LMFT
Signature: Date:
For Group or Organizational Providers
Group/Org. Name (print):
Employee Name (print):
Discipline: ❑ Psychiatrist ❑ Psychologist ❑ LCSW ❑ LMFT
❑ Other:
Job Title (if different from Discipline):
Signature: Date: / /
Page 1 of 2
Exhibit L
COMPLIANCE WITH STATE MEDI-CAL REQUIREMENTS
Contractor shall be required to maintain organizational provider certification by the host county.
A copy of this renewal certificate must be furnished to County within thirty (30) days of receipt of
certificate from host county. The Contractor must meet Medi-Cal organization provider
standards as stated below. It is acknowledged that all references to Organizational Provider
and/or Provider below shall refer to the Contractor.
Medi-Cal Organizational Provider Standards
1. The organizational provider possesses the necessary license to operate, if applicable,
and any required certification.
2. The space owned, leased or operated by the provider and used for services or staff
meets local fire codes.
3. The physical plant of any site owned, leased, or operated by the provider and used for
services or staff is clean, sanitary and in good repair.
4. The organizational provider establishes and implements maintenance policies for any
site owned, leased, or operated by the provider and used for services or staff to ensure
the safety and well-being of beneficiaries and staff.
5. The organizational provider has a current administrative manual which includes:
personnel policies and procedures, general operating procedures, service delivery
policies, and procedures for reporting unusual occurrences relating to health and
safety issues.
6. The organizational provider maintains client records in a manner that meets applicable
state and federal standards.
7. The organization provider has staffing adequate to allow the COUNTY to claim federal
financial participation for the services the Provider delivers to beneficiaries, as
described in Division 1, Chapter 11, Subchapter 4 of Title 9, CCR, when applicable.
8. The organizational provider has as head of service a licensed mental health
professional or other appropriate individual as described in Title 9, CCR, Sections 622
through 630.
9. For organizational providers that provide or store medications, the provider stores and
dispenses medications in compliance with all pertinent state and federal standards. In
particular:
A. All drugs obtained by prescription are labeled in compliance with federal and state
laws. Prescription labels are altered only by persons legally authorized to do so.
B. Drugs intended for external use only or food stuffs are stored separately from drugs
for internal use.
C. All drugs are stored at proper temperatures, room temperature drugs at 59-86
degrees F and refrigerated drugs at 36-46 degrees F.
Page 2 of 2
Exhibit L
D. Drugs are stored in a locked area with access limited to those medical personnel
authorized to prescribe, dispense or administer medication.
E. Drugs are not retained after the expiration date. IM multi-dose vials are dated and
initialed when opened.
F. A drug log is maintained to ensure the provider disposes of expired, contaminated,
deteriorated and abandoned drugs in a manner consistent with state and federal
laws.
G. Policies and procedures are in place for dispensing, administering and storing
medications.
10. The County may accept the host county's site certification and reserves the right to
conduct an on-site certification review at least every three years. The County may also
conduct additional certification reviews when:
• The provider makes major staffing changes.
• The provider makes organizational and/or corporate structure changes
(example: conversion from a non-profit status).
• The provider adds day treatment or medication support services when
medications shall be administered or dispensed from the provider site.
• There are significant changes in the physical plant of the provider site (some
physical plant changes could require a new fire clearance).
• There is change of ownership or location.
• There are complaints against the provider.
• There are unusual events, accidents, or injuries requiring medical treatment for
clients, staff or members of the community.
Page 1 of 8
Exhibit M
Data Security
1. Definitions
Capitalized terms used in this Exhibit have the meanings set forth in this section 1.
(A) "Authorized Employees" means the Contractor's employees who have access to
Personal Information.
(B) "Authorized Persons" means: (i) any and all Authorized Employees; and (ii) any and all
of the Contractor's subcontractors, representatives, agents, outsourcers, and
consultants, and providers of professional services to the Contractor, who have access
to Personal Information and are bound by law or in writing by confidentiality obligations
sufficient to protect Personal Information in accordance with the terms of this Exhibit L.
(C)"Director" means the County's Director of the Department of Behavioral Health or his or
her designee.
(D)"Disclose" or any derivative of that word means to disclose, release, transfer,
disseminate, or otherwise provide access to or communicate all or any part of any
Personal Information orally, in writing, or by electronic or any other means to any person.
(E) "Person" means any natural person, corporation, partnership, limited liability company,
firm, or association.
(F) "Personal Information" means any and all information, including any data, provided, or
to which access is provided, to the Contractor by or upon the authorization of the
County, under this Agreement, including but not limited to vital records, that: (i) identifies,
describes, or relates to, or is associated with, or is capable of being used to identify,
describe, or relate to, or associate with, a person (including, without limitation, names,
physical descriptions, signatures, addresses, telephone numbers, e-mail addresses,
education, financial matters, employment history, and other unique identifiers, as well as
statements made by or attributable to the person); (ii) is used or is capable of being used
to authenticate a person (including, without limitation, employee identification numbers,
government-issued identification numbers, passwords or personal identification numbers
(PINs), financial account numbers, credit report information, answers to security
questions, and other personal identifiers); or (iii) is personal information within the
meaning of California Civil Code section 1798.3, subdivision (a), or 1798.80, subdivision
(e). Personal Information does not include publicly available information that is lawfully
made available to the general public from federal, state, or local government records.
(G)"Privacy Practices Complaint" means a complaint received by the County relating to
the Contractor's (or any Authorized Person's) privacy practices, or alleging a Security
Breach. Such complaint shall have sufficient detail to enable the Contractor to promptly
investigate and take remedial action under this Exhibit L.
(H) "Security Safeguards" means physical, technical, administrative or organizational
security procedures and practices put in place by the Contractor (or any Authorized
Persons) that relate to the protection of the security, confidentiality, value, or integrity of
Personal Information. Security Safeguards shall satisfy the minimal requirements set
forth in section 3(C) of this Exhibit L.
Page 2 of 8
Exhibit M
(1) "Security Breach" means (i) any act or omission that compromises either the security,
confidentiality, value, or integrity of any Personal Information or the Security Safeguards,
or (ii) any unauthorized Use, Disclosure, or modification of, or any loss or destruction of,
or any corruption of or damage to, any Personal Information.
(J) "Use" or any derivative of that word means to receive, acquire, collect, apply,
manipulate, employ, process, transmit, disseminate, access, store, disclose, or dispose
of Personal Information.
2. Standard of Care
(A) The Contractor acknowledges that, in the course of its engagement by the County under
this Agreement, the Contractor, or any Authorized Persons, may Use Personal
Information only as permitted in this Agreement.
(B) The Contractor acknowledges that Personal Information is deemed to be confidential
information of, or owned by, the County (or persons from whom the County receives or
has received Personal Information) and is not confidential information of, or owned or by,
the Contractor, or any Authorized Persons. The Contractor further acknowledges that all
right, title, and interest in or to the Personal Information remains in the County (or
persons from whom the County receives or has received Personal Information)
regardless of the Contractor's, or any Authorized Person's, Use of that Personal
Information.
(C)The Contractor agrees and covenants in favor of the Country that the Contractor shall:
(i) keep and maintain all Personal Information in strict confidence, using such
degree of care under this section 2 as is reasonable and appropriate to avoid a
Security Breach;
(ii) Use Personal Information exclusively for the purposes for which the Personal
Information is made accessible to the Contractor pursuant to the terms of this
Exhibit L;
(iii) not Use, Disclose, sell, rent, license, or otherwise make available Personal
Information for the Contractor's own purposes or for the benefit of anyone other
than the County, without the County's express prior written consent, which the
County may give or withhold in its sole and absolute discretion; and
(iv) not, directly or indirectly, Disclose Personal Information to any person (an
"Unauthorized Third Party") other than Authorized Persons pursuant to this
Agreement, without the Director's express prior written consent.
(D) Notwithstanding the foregoing paragraph, in any case in which the Contractor believes it,
or any Authorized Person, is required to disclose Personal Information to government
regulatory authorities, or pursuant to a legal proceeding, or otherwise as may be
required by applicable law, Contractor shall (i) immediately notify the County of the
specific demand for, and legal authority for the disclosure, including providing County
with a copy of any notice, discovery demand, subpoena, or order, as applicable,
received by the Contractor, or any Authorized Person, from any government regulatory
authorities, or in relation to any legal proceeding, and (ii) promptly notify the County
Page 3 of 8
Exhibit M
before such Personal Information is offered by the Contractor for such disclosure so that
the County may have sufficient time to obtain a court order or take any other action the
County may deem necessary to protect the Personal Information from such disclosure,
and the Contractor shall cooperate with the County to minimize the scope of such
disclosure of such Personal Information.
(E) The Contractor shall remain liable to the County for the actions and omissions of any
Unauthorized Third Party concerning its Use of such Personal Information as if they
were the Contractor's own actions and omissions.
3. Information Security
(A) The Contractor covenants, represents and warrants to the County that the Contractor's
Use of Personal Information under this Agreement does and will at all times comply with
all applicable federal, state, and local, privacy and data protection laws, as well as all
other applicable regulations and directives, including but not limited to California Civil
Code, Division 3, Part 4, Title 1.81 (beginning with section 1798.80), and the Song-
Beverly Credit Card Act of 1971 (California Civil Code, Division 3, Part 4, Title 1.3,
beginning with section 1747). If the Contractor Uses credit, debit or other payment
cardholder information, the Contractor shall at all times remain in compliance with the
Payment Card Industry Data Security Standard ("PCI DSS") requirements, including
remaining aware at all times of changes to the PCI DSS and promptly implementing and
maintaining all procedures and practices as may be necessary to remain in compliance
with the PCI DSS, in each case, at the Contractor's sole cost and expense.
(B) The Contractor covenants, represents and warrants to the County that, as of the
effective date of this Agreement, the Contractor has not received notice of any violation
of any privacy or data protection laws, as well as any other applicable regulations or
directives, and is not the subject of any pending legal action or investigation by, any
government regulatory authority regarding same.
(C)Without limiting the Contractor's obligations under section 3(A) of this Exhibit L, the
Contractor's (or Authorized Person's) Security Safeguards shall be no less rigorous than
accepted industry practices and, at a minimum, include the following:
(i) limiting Use of Personal Information strictly to the Contractor's and Authorized
Persons' technical and administrative personnel who are necessary for the
Contractor's, or Authorized Persons', Use of the Personal Information pursuant to
this Agreement;
(ii) ensuring that all of the Contractor's connectivity to County computing systems
will only be through the County's security gateways and firewalls, and only
through security procedures approved upon the express prior written consent of
the Director;
(iii) to the extent that they contain or provide access to Personal Information, (a)
securing business facilities, data centers, paper files, servers, back-up systems
and computing equipment, operating systems, and software applications,
including, but not limited to, all mobile devices and other equipment, operating
systems, and software applications with information storage capability; (b)
Page 4 of 8
Exhibit M
employing adequate controls and data security measures, both internally and
externally, to protect (1) the Personal Information from potential loss or
misappropriation, or unauthorized Use, and (2) the County's operations from
disruption and abuse; (c) having and maintaining network, device application,
database and platform security; (d) maintaining authentication and access
controls within media, computing equipment, operating systems, and software
applications; and (e) installing and maintaining in all mobile, wireless, or
handheld devices a secure internet connection, having continuously updated
anti-virus software protection and a remote wipe feature always enabled, all of
which is subject to express prior written consent of the Director;
(iv) encrypting all Personal Information at advance encryption standards of Advanced
Encryption Standards (AES) of 128 bit or higher (a) stored on any mobile
devices, including but not limited to hard disks, portable storage devices, or
remote installation, or (b) transmitted over public or wireless networks (the
encrypted Personal Information must be subject to password or pass phrase, and
be stored on a secure server and transferred by means of a Virtual Private
Network (VPN) connection, or another type of secure connection, all of which is
subject to express prior written consent of the Director);
(v) strictly segregating Personal Information from all other information of the
Contractor, including any Authorized Person, or anyone with whom the
Contractor or any Authorized Person deals so that Personal Information is not
commingled with any other types of information;
(vi) having a patch management process including installation of all operating system
and software vendor security patches;
(vii) maintaining appropriate personnel security and integrity procedures and
practices, including, but not limited to, conducting background checks of
Authorized Employees consistent with applicable law; and
(viii) providing appropriate privacy and information security training to Authorized
Employees.
(D) During the term of each Authorized Employee's employment by the Contractor, the
Contractor shall cause such Authorized Employees to abide strictly by the Contractor's
obligations under this Exhibit L. The Contractor shall maintain a disciplinary process to
address any unauthorized Use of Personal Information by any Authorized Employees.
(E) The Contractor shall, in a secure manner, backup daily, or more frequently if it is the
Contractor's practice to do so more frequently, Personal Information received from the
County, and the County shall have immediate, real time access, at all times, to such
backups via a secure, remote access connection provided by the Contractor, through the
Internet.
(F) The Contractor shall provide the County with the name and contact information for each
Authorized Employee (including such Authorized Employee's work shift, and at least one
alternate Authorized Employee for each Authorized Employee during such work shift)
who shall serve as the County's primary security contact with the Contractor and shall be
Page 5 of 8
Exhibit M
available to assist the County twenty-four (24) hours per day, seven (7) days per week
as a contact in resolving the Contractor's and any Authorized Persons' obligations
associated with a Security Breach or a Privacy Practices Complaint.
(G)The Contractor shall not knowingly include or authorize any Trojan Horse, back door,
time bomb, drop dead device, worm, virus, or other code of any kind that may disable,
erase, display any unauthorized message within, or otherwise impair any County
computing system, with or without the intent to cause harm.
4. Security Breach Procedures
(A) Immediately upon the Contractor's awareness or reasonable belief of a Security Breach,
the Contractor shall (i) notify the Director of the Security Breach, such notice to be given
first by telephone at the following telephone number, followed promptly by email at the
following email addresses: incidents(a)fresnocountyca.gov, 559-600-5900, (559) 600-
4645, dbh contracted services(Qfresnocountyca.gov,
dbhforensicservices(a�fresnocountyca.gov (which telephone number and email address
the County may update by providing notice to the Contractor), and (ii) preserve all
relevant evidence (and cause any affected Authorized Person to preserve all relevant
evidence) relating to the Security Breach. The notification shall include, to the extent
reasonably possible, the identification of each type and the extent of Personal
Information that has been, or is reasonably believed to have been, breached, including
but not limited to, compromised, or subjected to unauthorized Use, Disclosure, or
modification, or any loss or destruction, corruption, or damage.
(B) Immediately following the Contractor's notification to the County of a Security Breach, as
provided pursuant to section 4(A) of this Exhibit L, the Parties shall coordinate with each
other to investigate the Security Breach. The Contractor agrees to fully cooperate with
the County, including, without limitation:
(i) assisting the County in conducting any investigation;
(ii) providing the County with physical access to the facilities and operations
affected;
(iii) facilitating interviews with Authorized Persons and any of the Contractor's other
employees knowledgeable of the matter; and
(iv) making available all relevant records, logs, files, data reporting and other
materials required to comply with applicable law, regulation, industry standards,
or as otherwise reasonably required by the County.
To that end, the Contractor shall, with respect to a Security Breach, be solely
responsible, at its cost, for all notifications required by law and regulation, or deemed
reasonably necessary by the County, and the Contractor shall provide a written report of
the investigation and reporting required to the Director within 30 days after the
Contractor's discovery of the Security Breach.
(C) County shall promptly notify the Contractor of the Director's knowledge, or reasonable
belief, of any Privacy Practices Complaint, and upon the Contractor's receipt of that
notification, the Contractor shall promptly address such Privacy Practices Complaint,
Page 6of8
Exhibit M
including taking any corrective action under this Exhibit L, all at the Contractor's sole
expense, in accordance with applicable privacy rights, laws, regulations and standards.
In the event the Contractor discovers a Security Breach, the Contractor shall treat the
Privacy Practices Complaint as a Security Breach. Within 24 hours of the Contractor's
receipt of notification of such Privacy Practices Complaint, the Contractor shall notify the
County whether the matter is a Security Breach, or otherwise has been corrected and
the manner of correction, or determined not to require corrective action and the reason
for that determination.
(D)The Contractor shall take prompt corrective action to respond to and remedy any
Security Breach and take mitigating actions, including but not limiting to, preventing any
reoccurrence of the Security Breach and correcting any deficiency in Security
Safeguards as a result of such incident, all at the Contractor's sole expense, in
accordance with applicable privacy rights, laws, regulations and standards. The
Contractor shall reimburse the County for all reasonable costs incurred by the County in
responding to, and mitigating damages caused by, any Security Breach, including all
costs of the County incurred relation to any litigation or other action described section
4(E) of this Exhibit L.
(E) The Contractor agrees to cooperate, at its sole expense, with the County in any litigation
or other action to protect the County's rights relating to Personal Information, including
the rights of persons from whom the County receives Personal Information.
5. Oversight of Security Compliance
(A) The Contractor shall have and maintain a written information security policy that
specifies Security Safeguards appropriate to the size and complexity of the Contractor's
operations and the nature and scope of its activities.
(B) Upon the County's written request, to confirm the Contractor's compliance with this
Exhibit L, as well as any applicable laws, regulations and industry standards, the
Contractor grants the County or, upon the County's election, a third party on the
County's behalf, permission to perform an assessment, audit, examination or review of
all controls in the Contractor's physical and technical environment in relation to all
Personal Information that is Used by the Contractor pursuant to this Agreement. The
Contractor shall fully cooperate with such assessment, audit or examination, as
applicable, by providing the County or the third party on the County's behalf, access to
all Authorized Employees and other knowledgeable personnel, physical premises,
documentation, infrastructure and application software that is Used by the Contractor for
Personal Information pursuant to this Agreement. In addition, the Contractor shall
provide the County with the results of any audit by or on behalf of the Contractor that
assesses the effectiveness of the Contractor's information security program as relevant
to the security and confidentiality of Personal Information Used by the Contractor or
Authorized Persons during the course of this Agreement under this Exhibit L.
(C)The Contractor shall ensure that all Authorized Persons who Use Personal Information
agree to the same restrictions and conditions in this Exhibit L. that apply to the
Contractor with respect to such Personal Information by incorporating the relevant
provisions of these provisions into a valid and binding written agreement between the
Page 7 of 8
Exhibit M
Contractor and such Authorized Persons, or amending any written agreements to
provide same.
6. Return or Destruction of Personal Information. Upon the termination of this Agreement,
the Contractor shall, and shall instruct all Authorized Persons to, promptly return to the County
all Personal Information, whether in written, electronic or other form or media, in its possession
or the possession of such Authorized Persons, in a machine readable form used by the County
at the time of such return, or upon the express prior written consent of the Director, securely
destroy all such Personal Information, and certify in writing to the County that such Personal
Information have been returned to the County or disposed of securely, as applicable. If the
Contractor is authorized to dispose of any such Personal Information, as provided in this Exhibit
L, such certification shall state the date, time, and manner (including standard) of disposal and
by whom, specifying the title of the individual. The Contractor shall comply with all reasonable
directions provided by the Director with respect to the return or disposal of Personal Information
and copies of Personal Information. If return or disposal of such Personal Information or copies
of Personal Information is not feasible, the Contractor shall notify the County according,
specifying the reason, and continue to extend the protections of this Exhibit L to all such
Personal Information and copies of Personal Information. The Contractor shall not retain any
copy of any Personal Information after returning or disposing of Personal Information as
required by this section 6. The Contractor's obligations under this section 6 survive the
termination of this Agreement and apply to all Personal Information that the Contractor retains if
return or disposal is not feasible and to all Personal Information that the Contractor may later
discover.
7. Equitable Relief. The Contractor acknowledges that any breach of its covenants or
obligations set forth in this Exhibit L may cause the County irreparable harm for which monetary
damages would not be adequate compensation and agrees that, in the event of such breach or
threatened breach, the County is entitled to seek equitable relief, including a restraining order,
injunctive relief, specific performance and any other relief that may be available from any court,
in addition to any other remedy to which the County may be entitled at law or in equity. Such
remedies shall not be deemed to be exclusive but shall be in addition to all other remedies
available to the County at law or in equity or under this Agreement.
8. Indemnity. The Contractor shall defend, indemnify and hold harmless the County, its
officers, employees, and agents, (each, a "County Indemnitee") from and against any and all
infringement of intellectual property including, but not limited to infringement of copyright,
trademark, and trade dress, invasion of privacy, information theft, and extortion, unauthorized
Use, Disclosure, or modification of, or any loss or destruction of, or any corruption of or damage
to, Personal Information, Security Breach response and remedy costs, credit monitoring
expenses, forfeitures, losses, damages, liabilities, deficiencies, actions, judgments, interest,
awards, fines and penalties (including regulatory fines and penalties), costs or expenses of
whatever kind, including attorneys' fees and costs, the cost of enforcing any right to
indemnification or defense under this Exhibit L and the cost of pursuing any insurance
providers, arising out of or resulting from any third party claim or action against any County
Indemnitee in relation to the Contractor's, its officers, employees, or agents, or any Authorized
Employee's or Authorized Person's, performance or failure to perform under this Exhibit L or
arising out of or resulting from the Contractor's failure to comply with any of its obligations under
this section 8. The provisions of this section 8 do not apply to the acts or omissions of the
Page 8 of 8
Exhibit M
County. The provisions of this section 8 are cumulative to any other obligation of the Contractor
to, defend, indemnify, or hold harmless any County Indemnitee under this Agreement. The
provisions of this section 8 shall survive the termination of this Agreement.
9. Survival. The respective rights and obligations of the Contractor and the County as stated
in this Exhibit L shall survive the termination of this Agreement.
10. No Third Party Beneficiary. Nothing express or implied in the provisions of in this Exhibit L
is intended to confer, nor shall anything in this Exhibit L confer, upon any person other than the
County or the Contractor and their respective successors or assignees, any rights, remedies,
obligations or liabilities whatsoever.
11. No County Warranty. The County does not make any warranty or representation whether
any Personal Information in the Contractor's (or any Authorized Person's) possession or control,
or Use by the Contractor (or any Authorized Person), pursuant to the terms of this Agreement is
or will be secure from unauthorized Use, or a Security Breach or Privacy Practices Complaint.
Page 1 of 2
Exhibit N
Self-Dealing Transaction Disclosure Form
In order to conduct business with the County of Fresno ("County"), members of a
contractor's board of directors ("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 used 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.
The form must be signed by the board member that is involved in the self-dealing
transaction described in Sections (3) and (4).
Page 2 of 2
Exhibit N
(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:
Page 1 of 2
Exhibit O
DISCLOSURE OF OWNERSHIP AND CONTROL INTEREST STATEMENT
I. Identifying Information
Name of entity D/B/A
Address(number,street) City State ZIP code
CLIA number Taxpayer ID number(EIN) Telephone number
( )
II. Answer the following questions by checking "Yes" or "No." If any of the questions are answered "Yes," list names and
addresses of individuals or corporations under"Remarks"on page 2. Identify each item number to be continued.
YES NO
A. Are there any individuals or organizations having a direct or indirect ownership or control interest
of five percent or more in the institution, organizations, or agency that have been convicted of a criminal
offense related to the involvement of such persons or organizations in any of the programs established
by Titles XVIII, XIX, or XX? ......................................................................................................................... o 0
B. Are there any directors, officers, agents, or managing employees of the institution, agency, or
organization who have ever been convicted of a criminal offense related to their involvement in such
programs established by Titles XVI 11, XIX, or XX?...................................................................................... n n
C. Are there any individuals currently employed by the institution, agency, or organization in a managerial,
accounting, auditing, or similar capacity who were employed by the institution's, organization's, or
agency's fiscal intermediary or carrier within the previous 12 months? (Title XVIII providers only)........... o 71
III. A. List names, addresses for individuals, or the EIN for organizations having direct or indirect ownership or a controlling
interest in the entity. (See instructions for definition of ownership and controlling interest.) List any additional names
and addresses under "Remarks" on page 2. If more than one individual is reported and any of these persons are
related to each other, this must be reported under"Remarks."
NAME ADDRESS EIN
B. Type of entity: n Sole proprietorship n Partnership o Corporation
71 Unincorporated Associations o Other(specify)
C. If the disclosing entity is a corporation, list names, addresses of the directors, and EINs for corporations
under"Remarks."
D. Are any owners of the disclosing entity also owners of other Medicare/Medicaid facilities?
(Example: sole proprietor, partnership, or members of Board of Directors) If yes, list names, addresses
of individuals, and provider numbers........................................................................................................... >
71
NAME ADDRESS PROVIDER NUMBER
Page 2 of 2
Exhibit O
YES NO
IV. A. Has there been a change in ownership or control within the last year? ....................................................... n n
If yes, give date.
B. Do you anticipate any change of ownership or control within the year?....................................................... n n
If yes, when?
C. Do you anticipate filing for bankruptcy within the year?................................................................................ o 0
If yes, when?
V. Is the facility operated by a management company or leased in whole or part by another organization?.......... o 0
If yes, give date of change in operations.
VI. Has there been a change in Administrator, Director of Nursing, or Medical Director within the last year?......... o 0
VII. A. Is this facility chain affiliated? ...................................................................................................................... o 0
If yes, list name, address of corporation, and EIN.
Name EIN
Address(number,name) City State ZIP code
B. If the answer to question VII.A. is NO, was the facility ever affiliated with a chain?
(If yes, list name, address of corporation, and EIN.)
Name EIN
Address(number,name) City State ZIP code
Whoever knowingly and willfully makes or causes to be made a false statement or representation of this statement, may be
prosecuted under applicable federal or state laws. In addition, knowingly and willfully failing to fully and accurately disclose the
information requested may result in denial of a request to participate or where the entity already participates, a termination of
its agreement or contract with the agency, as appropriate.
Name of authorized representative(typed) Title
Signature Date
Remarks
Page 1 of 2
Exhibit P
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER
RESPONSIBILITY MATTERS - PRIMARY COVERED TRANSACTIONS
INSTRUCTIONS FOR CERTIFICATION
1. By signing and submitting this proposal, the prospective primary participant is providing
the certification set out below.
2. The inability of a person to provide the certification required below will not necessarily
result in denial of participation in this covered transaction. The prospective participant shall
submit an explanation of why it cannot provide the certification set out below. The
certification or explanation will be considered in connection with the department or
agency's determination whether to enter into this transaction. However, failure of the
prospective primary participant to furnish a certification or an explanation shall disqualify
such person from participation in this transaction.
3. The certification in this clause is a material representation of fact upon which reliance was
placed when the department or agency determined to enter into this transaction. If it is
later determined that the prospective primary participant knowingly rendered an erroneous
certification, in addition to other remedies available to the Federal Government, the
department or agency may terminate this transaction for cause or default.
4. The prospective primary participant shall provide immediate written notice to the
department or agency to which this proposal is submitted if at any time the prospective
primary participant learns that its certification was erroneous when submitted or has
become erroneous by reason of changed circumstances.
5. The terms covered transaction, debarred, suspended, ineligible, participant, person,
primary covered transaction, principal, proposal, and voluntarily excluded, as used in this
clause, have the meanings set out in the Definitions and Coverage sections of the rules
implementing Executive Order 12549. You may contact the department or agency to which
this proposal is being submitted for assistance in obtaining a copy of those regulations.
6. Nothing contained in the foregoing shall be construed to require establishment of a system
of records in order to render in good faith the certification required by this clause. The
knowledge and information of a participant is not required to exceed that which is normally
possessed by a prudent person in the ordinary course of business dealings.
CERTIFICATION
(1) The prospective primary participant certifies to the best of its knowledge and belief, that it,
its owners, officers, corporate managers and partners:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible,
or voluntarily excluded by any Federal department or agency;
(b) Have not within a three-year period preceding this proposal been convicted of or had a
civil judgment rendered against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a public (Federal, State
or local) transaction or contract under a public transaction; violation of Federal or State
antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making false statements, or receiving stolen property;
Page 2 of 2
Exhibit P
(c) Have not within a three-year period preceding this application/proposal had one or
more public transactions (Federal, State or local) terminated for cause or default.
(2) Where the prospective primary participant is unable to certify to any of the statements in
this certification, such prospective participant shall attach an explanation to this proposal.
Signature: Date:
(Printed Name & Title) (Name of Agency or Company)
Exhibit Q Page 1 of 2
National Standards for Culturally and Linguistically
Appropriate Services (CLAS) in Health and Health Care
The National CLAS Standards are intended to advance health equity, improve quality, and help
eliminate health care disparities by establishing a blueprint for health and health care organizations to:
Principal Standard:
1. Provide effective,equitable,understandable,and respectful quality care and services that are responsive to diverse cultural health beliefs and
practices,preferred languages,health literacy,and other communication needs.
Governance,Leadership,and Workforce:
2. Advance and sustain organizational governance and leadership that promotes CLAS and health equity through policy,practices,and
allocated resources.
3. Recruit,promote,and support a culturally and linguistically diverse governance,leadership,and workforce that are responsive to the population in
the service area.
4. Educate and train governance,leadership,and workforce in culturally and linguistically appropriate policies and practices on an ongoing basis.
Communication and Language Assistance:
5. Offer language assistance to individuals who have limited English proficiency and/or other communication needs,at no cost to them,to facilitate
timely access to all health care and services.
6. Inform all individuals of the availability of language assistance services clearly and in their preferred language,verbally and in writing.
7. Ensure the competence of individuals providing language assistance,recognizing that the use of untrained individuals and/or minors as interpreters
should be avoided.
8. Provide easy-to-understand print and multimedia materials and signage in the languages commonly used by the populations in the service area.
Engagement,Continuous Improvement,and Accountability:
9. Establish culturally and linguistically appropriate goals,policies,and management accountability,and infuse them throughout the organization's
planning and operations.
10. Conduct ongoing assessments of the organization's CLAS-related activities and integrate CLAS-related measures into measurement and continuous
quality improvement activities.
11. Collect and maintain accurate and reliable demographic data to monitor and evaluate the impact of CLAS on health equity and outcomes and to
inform service delivery.
12. Conduct regular assessments of community health assets and needs and use the results to plan and implement services that respond to the
cultural and linguistic diversity of populations in the service area.
13. Partner with the community to design,implement,and evaluate policies,practices,and services to ensure cultural and linguistic appropriateness.
14. Create conflict and grievance resolution processes that are culturally and linguistically appropriate to identify,prevent,and resolve conflicts
or complaints.
15. Communicate the organization's progress in implementing and sustaining CLAS to all stakeholders,constituents,and the general public.
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Page 2 of 2
Exhibit Q
The Case for the National CLAS Standards
Health equity is the attainment of the highest level of health for all people.'Currently,individuals across the United States from various cultural
backgrounds are unable to attain their highest level of health for several reasons,including the social determinants of health,or those conditions in which
individuals are born,grow,live,work,and age,2 such as socioeconomic status,education level,and the availability of health services.3
Though health inequities are directly related to the existence of historical and current discrimination
and social injustice,one of the most modifiable factors is the lack of culturally and linguistically
appropriate services,broadly defined as care and services that are respectful of and responsive to
the cultural and linguistic needs of all individuals.
Of all the forms of
Health inequities result in disparities that directly affect the quality of life for all individuals. Health
disparities adversely affect neighborhoods,communities,and the broader society,thus making inequality, injustice in
the issue not only an individual concern but also a public health concern. In the United States,it health care is the most
has been estimated that the combined cost of health disparities and subsequent deaths due to shocking and inhumane.
inadequate and/or inequitable care is$1.24 trillion.4
Culturally and linguistically appropriate services are increasingly recognized as effective in improving —Dr. Martin Luther King,Jr.
the quality of care and services.5,6 By providing a structure to implement culturally and linguistically
appropriate services,the National CLAS Standards will improve an organization's ability to address
health care disparities.
The National CLAS Standards align with the HHS Action Plan to Reduce Racial and Ethnic Health Disparities'and the National Stakeholder Strategy for
Achieving Health Equity,8 which aim to promote health equity through providing clear plans and strategies to guide collaborative efforts that address racial
and ethnic health disparities across the country.
Similar to these initiatives,the National CLAS Standards are intended to advance health equity,improve quality,and help eliminate health care disparities
by providing a blueprint for individuals and health and health care organizations to implement culturally and linguistically appropriate services.Adoption of
these Standards will help advance better health and health care in the United States.
Bibliography
1. U.S.Department of Health and Human Services,Office of Minority Health(2011).National Partnership for Action to End Health Disparities.Retrieved from http://minorityhealth.hhs.gov/npa
2.World Health Organization.(2012).Social determinants of health.Retrieved from http://www.who.int/social_determinants/en/
3. U.S.Department of Health and Human Services,Office of Disease Prevention and Health Promotion.(2010).Healthy people 2020:Social determinants of health.Retrieved from http://www.
hea lthypeopl e.gov/2020/to picsobjectives2O20/overvi ew.as px?topicid=39
4. LaVeist,T A.,Gaskin,D.J.,&Richard,P(2009).The economic burden of health inequalities in the United States.Retrieved from the Joint Center for Political and Economic Studies website:http://www.
jointeenter.org/sites/default/files/upload/research/files/The%20Economic%2 OBurden%20of%2OHealth%201nequalities%20in%20the%2OUnited%2OStates.pdf
5. Beach,M.C.,Cooper,L.A.,Robinson,K.A.,Price,E.G.,Gary,T.L.,Jenckes,M.W.,Powe,N.R.(2004).Strategies for improving minority healthcare quality.(AHRQ Publication No.04-EO08-02).Retrieved
from the Agency of Healthcare Research and Quality website:http://www.ahrq.gov/downloads/pub/evidence/pdf/minqual/minquai.pdf
6.Goode,T.D.,Dunne,M.C.,&Bronheim,S.M.(2006).The evidence base for cultural and linguistic competency in health care.(Commonwealth Fund Publication No.962).Retrieved from The
Commonwealth Fund website:http://www.commonwealthfund.org/usr_doc/Goode_evidencebasecultiinguisticcomp_962.pdf
7. U.S.Department of Health and Human Services.(2011).HHS action plan to reduce racial and ethnic health disparities:A nation free of disparities in health and health care.Retrieved from http://
minorityhealth.hhs.gov/npa/f les/Plans/HHS/H HS_Plan_complete.pdf
8. National Partnership for Action to End Health Disparities.(2011).National stakeholder strategy for achieving health equity.Retrieved from U.S.Department of Health and Human Services,Office of
Minority Health website:http://www.minorityhealth.hhs.gov/npa/templates/content.aspx?lvl=1&lvlid=33&ID=286
��� 1 Think Cultural Health
F
S(_ U.S.Deportment of https://www.thinkculturalhealth.hhs.gov/
1O M H Health and Human Services
Office of Minority Health contact@thinkculturalhealth.hhs.gov
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