HomeMy WebLinkAboutAgreement A-18-699 with JDT Consultants, Inc..pdfAgreement No . 18-699
1 AGREEMENT
2 THIS AGREEMENT is made and entered into this 11th day of December , 2018 , by
3 and between the COUNTY OF FRESNO , a Pol itical Subdivision of the State of California , hereinafter
4 referred to as "COUNTY", and JOT CONSULTANTS, INC., a California for-profit Corporation , whose
5 business address is 4205 West Figarden Drive , Fresno, CA 93722, hereinafter referred to as
6 "CONTRACTOR" (collectively the "parties ").
7 WIT N ES S ETH:
8 WHEREAS, COUNTY , through its Department of Behavioral Health (DBH), is a Mental Health Plan
9 (MHP) as defined in Title 9 of the California Code of Regulations (C .C.R.), section 1810.226 ; and
10 WHEREAS, the COUNTY MHP is in need of a CONTRACTOR to provide Therapeutic
11 Behavioral Services (TBS) to certain COUNTY Medi -Cal beneficiaries , as specified in this Agreement
12 and as part of Fresno County's Mental Health Plan (hereinafter referred to as "the COUNTY PLAN "),
13 submitted to the California State Department of Health Care Services (DHCS) pursuant to article 5,
14 section 14680-14685 , Chapter 8.8 , Division 9, Welfare and Institution Code , and originally approved by
15 the Fresno County Board of Supervisors on March 17 , 1998 and updated year-to-year; and
16 WHEREAS , CONTRACTOR is qualified and willing to provide such TBS pursuant to the terms
17 and conditions of th is Agreement , and pursuant to 9 C.C .R., Division1 , Chapter 11, the State DHCS,
18 Mental Health Services Division Letters No . 99-03 (July 23 , 1999) and other relevant letters published
19 from time to time by DHCS , the permanent injunction issued by the United States District Court in the
20 case of Emily Q . v Banta (G.D . Cal 2001 , CV 98-4181 AMH [AIJx])m , and the Medi-Cal Manual for
21 Intensive Care Coordination (ICC), Intensive Home Based Services (IHBS) and Therapeut ic Foster
22 Care (TFC) for Katie A. Subclass Members , all of which are incorporated into this Agreement by this
23 reference ; and
24 WHEREAS , CONTRACTOR 's staff is specially trained , experienced , expert and competent to
25 perform TBS pursuant to the foregoing DHCS Letters and regulations referenced herein and made part
26 of this Agreement.
27 NOW, THEREFORE , in consideration of their mu tual covenants and condit ions, the parties hereto
28 agree as follows :
1
2
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
1. SERVICES
A. CONTRACTOR shall perform all services and fulfill all responsibilities as set forth in
Exhibit A “Summary of Services”, attached hereto and by this reference incorporated herein and made part
of this Agreement.
B. CONTRACTOR shall also perform all services and fulfill all responsibilities as
specified in COUNTY’s Request for Proposal (RFP) No. 18-033 dated March 19, 2018, Addendum No.
One (1) to COUNTY’s RFP No. 18-033 dated March 20, 2018, and Addendum No. Two (2) to COUNTY’s
RFP No. 18-033 dated April 23, 2018, collectively referred to herein as COUNTY’s Revised RFP, and
CONTRACTOR’s response to said Revised RFP dated May 3, 2018 all incorporated herein by reference
and made part of this Agreement. In the event of any inconsistency among these documents, the
inconsistency shall be resolved by giving precedence in the following order of priority: 1) to this
Agreement, including Exhibits and excluding the Revised RFP and Contractor’s Response to RFP; 2) to
the Revised RFP; and 3) to CONTRACTOR’s Response to the Revised RFP. A copy of COUNTY’s
Revised RFP No. 18-033 and CONTRACTOR’s response thereto shall be retained and made available
during the term of this Agreement by COUNTY’s DBH Contracts Division.
C. CONTRACTOR shall perform all services defined in Exhibit A in accordance with
Exhibit C “Guiding Principles of Care Delivery”, attached hereto and by this reference incorporated herein
and made part of this Agreement.
D. It is acknowledged by all parties hereto that COUNTY's DBH shall monitor the
services provided by CONTRACTOR, in accordance with Section Fourteen (14) of this Agreement.
E. CONTRACTOR shall participate in periodic workgroup meetings consisting of staff
from COUNTY's DBH to discuss service requirements, data reporting, outcomes measurement, training,
policies and procedures, overall program operations, and any problems or foreseeable problems that may
arise.
F. Changes to any CONTRACTOR corporate information or service sites shall be
made upon 30 days advance written notification to COUNTY’s DBH Director and upon written approval
from COUNTY’s DBH Director or designee.
G. CONTRACTOR shall maintain requirements as a COUNTY MHP organizational
3
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
provider throughout the term of this Agreement. If, for any reason, this status is not maintained, COUNTY
may terminate this Agreement pursuant to Section Three (3) of this Agreement.
H. CONTRACTOR agrees that, prior to providing services under the terms and
conditions of this Agreement, it shall have appropriate staff hired and in place for program services and
operations, or COUNTY may, in addition to other remedies it may have, suspend referrals or terminate this
Agreement as to Section Three (3) of this Agreement.
2. TERM
This Agreement shall become effective on the 1st day of January,2019 and shall terminate
on the 30th day of June, 2021.
This Agreement may be extended for two (2) additional twelve (12) month periods upon the
written approval of both parties not later than sixty (60) days prior to the first day of the next twelve (12)
month extension period. The COUNTY’s DBH Director or designee is authorized to execute such written
approval on behalf of COUNTY based on CONTRACTOR’s satisfactory performance.
3. TERMINATION
A. Non-Allocation of Funds – The terms of this Agreement, and the services to be
provided thereunder, are contingent on the approval of funds by the appropriating government agency.
Should sufficient funds not be allocated, the services provided may be modified, or this Agreement
terminated at any time by giving CONTRACTOR thirty (30) days advance written notice.
B. Breach of Contract – COUNTY may immediately suspend or terminate this
Agreement in whole or in part, where in the determination of COUNTY there is:
1) An illegal or improper use of funds;
2) A failure to comply with any term of this Agreement;
3) A substantially incorrect or incomplete report submitted to COUNTY;
4) Improperly performed service.
In no event shall any payment by COUNTY constitute a waiver by the COUNTY of any
breach of this Agreement or any default which may then exist on the part of the CONTRACTOR. Neither
shall such payment impair or prejudice any remedy available to the COUNTY with respect to the breach or
default. The COUNTY shall have the right to demand of the CONTRACTOR the repayment to the
4
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
COUNTY of any funds disbursed to CONTRACTOR under this Agreement, which in the judgment of the
COUNTY were not expended in accordance with the terms of this Agreement. CONTRACTOR shall
promptly refund any such funds upon demand or, at COUNTY’s option, such repayment shall be deducted
from future payments owing to CONTRACTOR under this Agreement.
C. Without Cause - Under circumstances other than those set forth above, this
Agreement may be terminated by CONTRACTOR or COUNTY or COUNTY’s DBH Director, or designee,
upon the giving of sixty (60) days advance written notice of an intention to terminate.
D. CONTRACTOR may terminate this Agreement. If terminated by CONTRACTOR,
termination shall require sixty (60) days advance written notice of intent to terminate (with allowance for
appropriate clinical transition of clients prior to termination of services), transmitted by CONTRACTOR to
COUNTY by Certified or Registered U.S. Mail, Return Receipt Requested, addressed to the office of
COUNTY as follows:
Director (or designee) Department of Behavioral Health 3133 N. Millbrook Fresno, CA 93703
4. IMPOSITION OF ADDITIONAL CONTROLS
CONTRACTOR recognizes that COUNTY, through the utilization management and
quality improvement process, may be required to take action necessitating consultation with its Medical
Director or with other physicians prior to the authorization of TBS, or to terminate this Agreement. In
the interest of program integrity or the welfare of Members (as defined by Exhibit A, section (1)(A)),
COUNTY may introduce additional utilization controls as may be necessary at any time and without
advance notice to CONTRACTOR. In the event of such change, COUNTY shall notify CONTRACTOR
in writing, and the change shall take effect upon the tenth (10th) calendar day following the deposit of
said notice, by COUNTY, into the United States mail, postage prepaid, to the address set forth in
Section 37 of this Agreement.
5. CLAIMS AND PAYMENT PROCESSING
A. Conditions for Payment
COUNTY will reimburse CONTRACTOR for TBS rendered to Members only
5
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
when all of the following conditions are met:
1. The Member is eligible for Medi-Cal Program benefits at the time the TBS
is rendered by CONTRACTOR;
2. The service is a Covered/Billable Service as defined in Exhibit A and
under the COUNTY PLAN according to the terms and conditions set forth in the COUNTY’s Mental
Health Plan Provider Manual in effect at that time (See Exhibit A);
3. Prior authorization was received by CONTRACTOR from COUNTY;
4. Claims for payment are submitted within thirty (30) days after the month
in which services were rendered.
B. Claims
1. CONTRACTOR shall obtain and complete claim forms as adopted by
COUNTY, as may be amended from time to time for use in the COUNTY PLAN, for Covered Services
rendered to Members and submit claims to COUNTY within thirty (30) days after the month in which
services were rendered. CONTRACTOR will submit a completed “Claims Certification” in the form set
forth in Exhibit B, attached hereto and incorporated herein, with each claim or batch of claims submitted
to COUNTY. Payments by COUNTY shall be in arrears, for actual services provided during the
preceding month, within forty-five (45) days of receipt, verification and approval of CONTRACTOR’s
invoices by COUNTY. CONTRACTOR certifies with each claim submitted that the covered services
were provided solely by a Licensed, Waivered, or Registered Mental Health professional or TBS
Coach. CONTACTOR further certifies with each claim submitted that no active employee of COUNTY
has provided any service to any Member on said claim form (Government Code § 1090 and Fresno
County Charter § 41). Should CONTRACTOR fail to comply with any provision of this Agreement,
COUNTY shall be relieved of any obligation to compensate CONTRACTOR for services provided.
It is understood by all parties that expenses incidental to CONTRACTOR’s
performance of services under this Agreement shall be borne by CONTRACTOR.
2. It is understood that each claim is subject to audit for compliance with
Federal and State regulations and the Provider Manual, and that COUNTY may be making payments
on claims in advance of said review. In the event that a claim is disapproved, COUNTY may, at its sole
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
discretion, withhold compensation or offset from other payments due in the amount of said disapproved
claims.
C.Reimbursement
1.COUNTY agrees to pay CONTRACTOR and CONTRACTOR agrees to
receive compensation for providing TBS at a rate of Two and No/100 Dollars ($2.00) per minute for
actual time provided to Members within and outside of Fresno County up to the amount of time
authorized by COUNTY and documented in the TBS progress note.
2.Maximum Contract Amount
The maximum amount payable to CONTRACTOR for the period of January
1, 2019 through June 30, 2019 shall not exceed Two Million One Hundred Thousand and No/100 Dollars
($2,100,000.00).
The maximum amount payable to CONTRACTOR for the period of July 1,
2019 through June 30, 2020 shall not exceed Three Million Nine Hundred Thousand and No/100 Dollars
($3,900,000.00).
The maximum amount payable to CONTRACTOR for the period of July 1,
2020 through June 30, 2021 shall not exceed Four Million and No/100 Dollars ($4,000,000.00).
The maximum amount payable to CONTRACTOR for the period of July 1,
2021 through June 30, 2022 shall not exceed Four Million One Hundred Thousand and No/100 Dollars
($4,100,000.00).
The maximum amount payable to CONTRACTOR for the period of July 1,
2022 through June 30, 2023 shall not exceed Four Million Two Hundred Thousand and No/100 Dollars
($4,200,000.00).
In no event shall the maximum contract amount, for the full contract term of
January 1, 2019 through June 30, 2023, for all the services provided by CONTRACTOR to COUNTY
under the terms and conditions of this Agreement be in excess of Sixteen Million Fifty Thousand and
No/100 Dollars ($18,300,000.00) during the total term of this Agreement.
6
7
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
3. Reimbursement Authorization Requirement
COUNTY shall not make payment for services rendered to Members
which are, in the opinion of the COUNTY, determined to be not medically necessary, have not been
authorized for reimbursement or determined a non-reimbursable condition by COUNTY.
CONTRACTOR understands and agrees that services are not Covered Services unless authorized in
advance for reimbursement by COUNTY.
4. Member Liability
Unless Member has other health insurance coverage, CONTRACTOR
shall look only to COUNTY for compensation for Covered Services and, with the exception of
authorized share of cost payments and/or non-covered services, shall at no time seek compensation
from Members.
6. COST SETTLEMENT
CONTRACTOR shall submit a complete and accurate State of California Department of
Mental Health (DMH) Short/Doyle Medi-Cal Cost Report for each fiscal year ending June 30th affected
by this Agreement. The cost report must be submitted to COUNTY’s DBH Business Office within ninety
(90) days following the end of each fiscal year. All cost reports must be prepared in accordance with
Generally Accepted Accounting Principles (GAAP) and the standards set for Department of Health
Care Services and COUNTY.
In consideration of CONTRACTOR’s provision of services required herein, COUNTY
agrees to pay CONTRACTOR and CONTRACTOR agrees to accept compensation for Medi-Cal
billable claims and compensation for non-Medi-Cal claims for actual or estimated costs associated with
operating the program to include salaries, benefits, and operating expenses not to exceed the contract
maximum for each twelve month period noted hereinabove.
During each twelve month period, CONTRACTOR is expected to generate a minimum of
nine million dollars ($9,000,000) in Medi-Cal claims, which will result in receipt of Federal Financial
Participation (FFP) revenue, which is in part the basis for funding this Agreement. Medi-Cal claims
revenue (in the example identified in Exhibit D: “Cost Settlement Example for Contracts”, attached
hereto and incorporated herein) generated above the minimum Medi-Cal claims amount will be used to
8
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
offset COUNTY net cost associated with payment to CONTRACTOR. Any amount generated under
the minimum Medi-Cal claims amount shall reduce the total amount paid under this contract by the
difference between the minimum Medi-Cal claims amount and the total actual amount claimed.
Actual and projected Medi-Cal claims revenue and units of service shall be reviewed
quarterly by COUNTY and CONTRACTOR during each fiscal year of this Agreement. In the event the
Medi-Cal claims revenue at these intervals, or projected through year-end, will not meet the budgeted
amount necessary to support the program expenditures, CONTRACTOR shall submit a plan to
increase revenues and/or reduce costs within 30 calendar days of such identified shortfall, while
continuing to provide services in accordance with Section One (1) hereinabove. COUNTY must
approve CONTRACTOR’s plan within 30 calendar days of submission.
COUNTY and CONTRACTOR shall initially settle to the lower of CONTRACTOR’s
actual costs or published rates after COUNTY’s initial cost settlement report is submitted to the State
each year. Final settlement will occur after COUNTY’s final reconciliation is submitted to the State
(approximately 18 months after each fiscal year end).
Settlement consists of determining total fiscal year payment based on the lesser of the
following two amounts (see Exhibit D):
a. Actual CONTRACTOR costs submitted on the CONTRACTOR’s cost report; or
b. Total of the following:
i. Medi-Cal claims up to a maximum of contracted Medi-Cal claim amount
determined as follows:
1. Units of service multiplied by the lowest of the following rates:
CONTRACTOR’s published charges, actual costs, or RFP rate;and
ii. Non-Medi-Cal claims up to a maximum of contracted non-Medi-Cal claim
amount determined as follows:
1. Units of service multiplied by the lowest of the following rates:
CONTRACTOR’s published charges, actual costs, or RFP rate.
If payment is owed to COUNTY by CONTRACTOR as determined in the initial or final
cost settlement process as stated herein, CONTRACTOR shall pay the COUNTY within forty-five (45)
9
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
calendar days of notification by COUNTY or COUNTY shall withhold future payments until all excess
funds have been recouped. If payment is due to CONTRACTOR by COUNTY, as determined in the
initial or final cost settlement process as stated herein, COUNTY shall pay the CONTRACTOR no later
than twelve (12) months after the COUNTY’s final reconciliation is submitted to the State.
A final payment may be required from CONTRACTOR or made to CONTRACTOR after
the final audit by the State DHCS (approximately five (5) years after fiscal year end). CONTRACTOR
shall be held financially liable for any and all future disallowances/audit exceptions due to
CONTRACTOR’s deficiency discovered through the State audit process. The disallowed amount will
be remitted within forty-five (45) days to the COUNTY upon notification or shall be withheld from
subsequent CONTRACTOR payment.
A. CONTRACTOR is responsible for collecting and managing of data in a manner to
be determined by DHCS and COUNTY’s Mental Health Plan in accordance with applicable rules and
regulations. COUNTY’s electronic information system is a critical source of information for purposes of
monitoring service volume and obtaining reimbursement.
B. CONTRACTOR shall submit service data into COUNTY’s electronic information
system, in accordance with COUNTY’s DBH documentation standards, to allow COUNTY to bill Medi-
Cal, and any other third-party source, for services and meet State and Federal reporting requirements.
C. CONTRACTOR must comply with all laws and regulations governing the Federal
Medicare program, including, but not limited to: 1) the requirement of the Medicare Act, 42 U.S.C. section
1395 et seq; and 2) the regulations and rules promulgated by the Federal Centers for Medicare and
Medicaid Services as they relate to participation, coverage and claiming reimbursement. CONTRACTOR
will be responsible for compliance as of the effective date of each Federal, State or local law or regulation
specified.
D. Medi-Cal Certification and Mental Health Plan Compliance
CONTRACTOR shall comply with any and all requests and directives associated
with COUNTY maintaining State Medi-Cal site certification. CONTRACTOR shall provide specialty
mental health services in accordance with COUNTY’s Mental Health Plan. CONTRACTOR must comply
with the “Fresno County Mental Health Plan Compliance Program and Code of Conduct” set forth in
10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
Exhibit E, attached hereto and incorporated herein by reference and made part of this Agreement.
CONTRACTOR shall comply with any and all requests associated with any State and/or Federal reviews
or audits.
CONTRACTOR may provide direct specialty mental health services using pre-
licensed staff as long as the individual is approved as a provider by the Mental Health Plan, is supervised
by licensed staff, works within his/her scope, and only delivers allowable direct specialty mental health
services. It is understood that each service is subject to audit for compliance with Federal and State
regulations, and that COUNTY may be making payments in advance of said review. In the event that a
service is disapproved, COUNTY may, at its sole discretion, withhold compensation or set off from other
payments due the amount of said disapproved services. CONTRACTOR shall be responsible for audit
exceptions to ineligible dates of services or incorrect application of utilization review requirements.
7. INDEPENDENT CONTRACTOR
In performance of the work, duties, and obligations assumed by CONTRACTOR under this
Agreement, it is mutually understood and agreed that CONTRACTOR, including any and all of
CONTRACTORS officers, agents, and employees will at all times be acting and performing as an
independent contractor, and shall act in an independent capacity and not as an officer, agent, servant,
employee, joint venturer, partner, or associate of COUNTY. Furthermore, COUNTY shall have no right to
control or supervise or direct the manner or method by which CONTRACTOR shall perform its work and
function. However, COUNTY shall retain the right to administer this Agreement so as to verify that
CONTRACTOR is performing its obligations in accordance with the terms and conditions thereof.
CONTRACTOR and COUNTY shall comply with all applicable provisions of law and the rules and
regulations, if any, of governmental authorities having jurisdiction over matters, which are directly or
indirectly the subject of this Agreement.
Because of its status as an independent contractor, CONTRACTOR shall have absolutely
no right to employment rights and benefits available to COUNTY employees. CONTRACTOR shall be
solely liable and responsible for providing to, or on behalf of, its employees all legally-required employee
benefits. In addition, CONTRACTOR shall be solely responsible and save COUNTY harmless from all
matters relating to payment of CONTRACTORS employees, including compliance with Social Security,
11
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
withholding, and all other regulations governing such matters. It is acknowledged that during the term of
this Agreement, CONTRACTOR may be providing services to others unrelated to COUNTY or to this
Agreement.
8. MODIFICATION
Any matters of this Agreement may be modified from time to time by the written consent of
all the parties without, in any way, affecting the remainder.
Notwithstanding the above, changes to services, staffing, and responsibilities of
CONTRACTOR, as needed, to accommodate changes in the laws relating to mental health treatment, as
set forth in Exhibit A, may be made with the signed written approval of COUNTY’s DBH Director or
designee and CONTRACTOR through an amendment approved by COUNTY’s County Counsel and the
COUNTY’s Auditor-Controller’s Office.
Modifications shall not result in any change to the annual maximum compensation amount
payable to CONTRACTOR, as stated in this Agreement.
9. NON-ASSIGNMENT
No party shall assign, transfer or subcontract this Agreement nor their rights or duties under
this Agreement without the prior written consent of COUNTY.
10. HOLD-HARMLESS
CONTRACTOR agrees to indemnify, save, hold harmless, and at COUNTY's request,
defend COUNTY, its officers, agents, and employees from any and all costs and expenses, including
attorney fees and court costs, damages, liabilities, claims, and losses occurring or resulting to COUNTY
in connection with the negligent performance, or failure to perform, by CONTRACTOR, its officers,
agents, or employees under this Agreement, and from any and all costs and expenses, including
attorney fees and court costs, damages, liabilities, claims and losses occurring or resulting to any
person, firm or corporation who may be injured or damaged by the negligent performance, or failure to
perform, of CONTRACTOR, its officers, agents, or employees under this Agreement.
CONTRACTOR agrees to indemnify COUNTY for Federal, State of California and/or local
audit exceptions resulting from noncompliance herein on the part of CONTRACTOR.
11. MEMBER’S POTENTIAL TORT, CASUALTY, OR WORKER’S COMPENSATION
12
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
AWARDS
CONTRACTOR shall notify COUNTY immediately that a potential tort, casualty
insurance, or Worker’s Compensation award may reimburse Member for any Covered Services
rendered by CONTRACTOR whenever CONTRACTOR discovers such potential awards.
CONTRACTOR shall further obtain any information requested by COUNTY from Member regarding
any such possible award, and CONTRACTOR shall use its best efforts to obtain reimbursement from
such sources. In the event that CONTRACTOR is reimbursed from any tort, casualty insurance, or
Worker’s Compensation award, CONTRACTOR shall promptly reimburse COUNTY for any payment
made by COUNTY for such charges reimbursed.
12. INSURANCE
Without limiting COUNTY's right to obtain indemnification from CONTRACTOR or any third
parties, CONTRACTOR, at its sole expense shall maintain in full force and affect 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 shall be issued on a per occurrence basis. COUNTY may require specific coverages including completed operations, product liability, contractual liability, Explosion-Collapse-Underground (XCU), fire legal liability, or any other liability insurance deemed necessary because of the nature of the Agreement.
B. Automobile Liability
Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non-owned).with limits for bodily injury of not less than Five Hundred Thousand Dollars ($500,000) per person and with limits no less than One Million Dollars ($1,000,000) per accident for bodily injury and property damage. Coverage should include any vehicles used in connection with this Agreement. C. Real and Property Insurance
CONTRACTOR shall maintain a policy of insurance for all risk personal property coverage which shall be endorsed naming the County of Fresno as an additional loss payee. The personal property coverage shall be in an amount that will cover the total of COUNTY purchase and owned property, at a minimum, as discussed in Section Twenty (23) of this Agreement.
13
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
D. All Risk Property Insurance
CONTRACTOR will provide property coverage for the full replacement value of COUNTY’S personal property in possession of CONTRACTOR and/or used in the execution of this Agreement. COUNTY will be identified on an appropriate certificate of insurance as the certificate holder and will be named as an Additional Loss Payee on the Property Insurance Policy.
E. Professional Liability
Professional Liability Insurance with limits of not less than One Million Dollars ($1,000,000) per occurrence, Three Million Dollars ($3,000,000) annual aggregate. CONTRACTOR agrees that it shall maintain, at its sole expense, in full force and effect for a period of three (3) years following the termination of this Agreement, one or more policies of professional liability insurance with limits of coverage as specified herein.
F. Child Abuse/Molestation and Social Services Coverage
CONTRACTOR shall have either separate policies or an umbrella policy with endorsements covering Child Abuse/Molestation and Social Services Liability coverage or have a specific endorsement on their General Commercial liability policy covering Child Abuse/Molestation and Social Services Liability. The policy limits for these policies shall be One Million Dollars ($1,000,000) per occurrence with a Two Million Dollars ($2,000,000) annual aggregate. The policies are to be on a per occurrence basis.
G. Worker's Compensation
A policy of Worker's Compensation Insurance as may be required by the California Labor Code.
H. Cyber Liability Cyber Liability Insurance, with limits not less than $2,000,000 per occurrence or claim, $2,000,000 aggregate. Coverage shall be sufficiently broad to respond to duties and obligations undertaken by CONTRACTOR in this agreement and shall include, but not be limited to, claims involving infringement of intellectual property, including but not limited to infringement of copyright, trademark, trade dress, invasion of privacy violations, information theft, damage to or destruction of electronic information, release of private information, alteration of electronic information, extortion and network security. The policy shall provide coverage for breach response costs as well as regulatory fines and penalties as well as credit monitoring expenses with limits sufficient to respond to these obligations.
I. Waiver of Subrogation CONTRACTOR hereby grant to COUNTY a waiver of any right to subrogation which any insurer of said CONTRACTOR may acquire against COUNTY by virtue of the payment of any loss under insurance. CONTRACTOR agrees to
14
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not COUNTY has received a waiver of subrogation endorsement from the insurer.
CONTRACTOR shall obtain endorsements to the Commercial General Liability insurance
naming the County of Fresno, its officers, agents, and employees, individually and collectively, as
additional insured, but only insofar as the operations under this Agreement are concerned. Such coverage
for additional insured shall apply as primary insurance and any other insurance, or self-insurance,
maintained by COUNTY, its officers, agents, and employees shall be excess only and not contributing with
insurance provided under CONTRACTORS policies herein. This insurance shall not be cancelled or
changed without a minimum of thirty (30) days advance written notice given to COUNTY.
Within thirty (30) days from the date CONTRACTOR signs this Agreement,
CONTRACTOR shall provide certificates of insurance and endorsements as stated above for all of the
foregoing policies, as required herein, to the County of Fresno, Department of Behavioral Health, 3133 N.
Millbrook Ave, Fresno, California, 93703, Attention: Contracts Division, stating that such insurance
coverages have been obtained and are in full force; that the County of Fresno, its officers, agents, and
employees will not be responsible for any premiums on the policies; that such Commercial General
Liability insurance names the County of Fresno, its officers, agents, and employees, individually and
collectively, as additional insured, but only insofar as the operations under this Agreement are concerned;
that such coverage for additional insured shall apply as primary insurance and any other insurance, or self-
insurance, maintained by COUNTY, its officers, agents, and employees, shall be excess only and not
contributing with insurance provided under CONTRACTOR’s policies herein; and that this insurance shall
not be cancelled or changed without a minimum of thirty (30) days advance, written notice given to
COUNTY.
In the event CONTRACTOR fails to keep in effect at all times insurance coverage as herein
provided, COUNTY may, in addition to other remedies it may have, suspend or terminate this Agreement
upon the occurrence of such event.
All policies shall be with admitted insurers licensed to do business in the State of California.
Insurance purchased shall be from companies possessing a current A.M. Best, Inc. rating of A FSC VII or
15
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
better.
13. LICENSES/CERTIFICATES
Throughout each term of this Agreement, CONTRACTOR and CONTRACTOR’s staff shall
maintain all necessary licenses, permits, approvals, certificates, waivers and exemptions necessary for the
provision of the services hereunder and required by the laws and regulations of the United States of
America, State of California, the County of Fresno, and any other applicable governmental agencies.
CONTRACTOR shall notify COUNTY immediately in writing of its inability to obtain or maintain such
licenses, permits, approvals, certificates, waivers and exemptions irrespective of the pendency of any
appeal related thereto. Additionally, CONTRACTOR and CONTRACTOR’s staff shall comply with all
applicable laws, rules or regulations, as may now exist or be hereafter changed.
14. RECORDS
CONTRACTOR shall maintain records in accordance with Exhibit F, "Documentation
Standards for Client Records", attached hereto and by this reference incorporated herein and made part of
this Agreement. COUNTY shall be allowed to review all records of services provided, including the goals
and objectives of the treatment plan, and how the therapy provided is achieving the goals and objectives.
All mental health records shall be considered the property of the COUNTY and shall be retained by the
COUNTY upon termination or expiration of this Agreement.
15. REPORTS
A. Outcome Reports
CONTRACTOR shall submit to COUNTY’s DBH service outcome reports as
reasonably requested by COUNTY’s DBH. Outcome reports and outcome requirements are subject to
change at COUNTY’s DBH discretion.
B. Additional Reports
CONTRACTOR shall also furnish to COUNTY such statements, records, reports,
data, and other information as COUNTY’s DBH may reasonably request pertaining to matters covered by
this Agreement. In the event that CONTRACTOR fails to provide such reports or other information
required hereunder, it shall be deemed sufficient cause for COUNTY to withhold monthly payments until
there is compliance. In addition, CONTRACTOR shall provide written notification and explanation to
16
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
COUNTY within five (5) days of any funds received from another source to conduct the same services
covered by this Agreement.
C. Cost Report
CONTRACTOR shall provide financial data to identify all direct and indirect costs
incurred by CONTRACTOR for all services delivered under this Agreement. All Cost Reports must be
prepared in accordance with Generally Accepted Accounting Principles (GAAP) and Welfare and
Institutions Code §§ 5651(a)(4), 5664(a), 5705(b)(3) and 5718(c). Unallowable costs such as lobbying or
political donations must be deducted on the cost report and monthly invoice reimbursements.
D. Settlements with State Department of Health Care Services (DHCS)
During the term of this Agreement and thereafter, COUNTY and CONTRACTOR
agree to settle dollar amounts disallowed or settled in accordance with DHCS audit settlement findings
related to the reimbursement provided under this Agreement. CONTRACTOR will participate in the
several phases of settlements between COUNTY/CONTRACTOR and DHCS. The phases of initial cost
reporting for settlement according to State reconciliation of records for paid Medi-Cal services and audit
settlement are: State DHCS audit 1) initial cost reporting – after an internal review by COUNTY, the
COUNTY files the cost report with State DHCS on behalf of CONTRACTOR’s legal entity for the fiscal
year; 2) Settlement – State reconciliation of records for paid Medi-Cal services, approximately 18 to 36
months following the State close of the fiscal year, DHCS will send notice for any settlement under this
provision to COUNTY; and 3) Audit Settlement-State DHCS audit. After final reconciliation and settlement
DHCS may conduct a review of medical records, cost report along with support documents submitted to
COUNTY in initial submission to determine accuracy and may disallow costs and/or units of services.
COUNTY may choose to appeal and therefore reserves the right to defer payback settlement with
CONTRACTOR until resolution of the appeal. DHCS Audits will follow Federal Medicaid procedures for
managing overpayments. If at the end of the Audit Settlement, COUNTY determines that it overpaid
CONTRACTOR, it will require CONTRACTOR to repay the Medi-Cal related overpayment back to
COUNTY.
Funds owed to COUNTY will be due within forty-five (45) days of notification by COUNTY,
or COUNTY shall withhold future payments until all excess funds have been recouped by means of an
17
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
offset against any payments then or thereafter owing to COUNTY under this or any other Agreement
between the COUNTY and CONTRACTOR.
16. MONITORING
CONTRACTOR agrees to extend to COUNTY’s staff, COUNTY’s DBH Director, and the
State Department of Health Care Services or their designees, the right to review and monitor records,
services, or procedures, at any time, in regard to clients, as well as the overall operation of
CONTRACTOR’s performance, in order to ensure compliance with the terms and conditions of this
Agreement.
17. REFERENCES TO LAWS AND RULES
In the event any law, regulation, or policy referred to in this Agreement is amended during
the term thereof, the parties hereto agree to comply with the amended provision as of the effective date of
such amendment.
18. COMPLIANCE WITH STATE REQUIREMENTS
CONTRACTOR recognizes that COUNTY operates its mental health programs under an
agreement with the State of California Department Health Care Services, and that under said agreement
the State imposes certain requirements on COUNTY and its subcontractors. CONTRACTOR shall adhere
to all State requirements, including those identified in Exhibit G, “State Mental Health Requirements”,
attached hereto and by this reference incorporated herein and made part of this Agreement.
CONTRACTOR shall also file an incident report for all incidents involving clients, following the Protocol and
using the Worksheet identified in Exhibit H, attached hereto and by this reference incorporated herein and
made part of this Agreement, or a protocol and worksheet presented by CONTRACTOR that is accepted
by COUNTY’s DBH Director or designee.
19. COMPLIANCE WITH STATE MEDI-CAL REQUIREMENTS
CONTRACTOR shall perform all services as set forth in Exhibit A in accordance with the
Assertive Community Treatment Model and in alignment with “Medi-Cal Organizational Provider
Standards”, as set forth in Exhibit I, attached hereto and by this reference incorporated herein and made
part of this Agreement.
CONTRACTOR shall inform every client of their rights under the COUNTY's Mental Health
18
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
Plan as described in Exhibit J, “Fresno County Mental Health Plan – Grievance and Appeals”, attached
hereto and by this reference incorporated herein and made part of this Agreement.
20. CONFIDENTIALITY
All services performed by CONTRACTOR under this Agreement shall be in strict
conformance with all applicable Federal, State of California and/or local laws and regulations relating to
confidentiality.
21. HEALTH INSURANCE PORTABILITY AND ACCOUNTABILITY ACT
COUNTY and CONTRACTOR each consider and represent themselves as covered
entities as defined by the U.S. Health Insurance Portability and Accountability Act of 1996, Public Law 104-
191 (HIPAA) and agree to use and disclose Protected Health Information (PHI) as required by law.
COUNTY and CONTRACTOR acknowledge that the exchange of PHI between them is
only for treatment, payment, and health care operations.
COUNTY and CONTRACTOR intend to protect the privacy and provide for the security of
PHI pursuant to the Agreement in compliance with HIPAA, the Health Information Technology for
Economic and Clinical Health Act, Public Law 111-005 (HITECH), and regulations promulgated thereunder
by the U.S. Department of Health and Human Services (HIPAA Regulations) and other applicable laws.
As part of the HIPAA Regulations, the Privacy Rule and the Security Rule require
CONTRACTOR to enter into a contract containing specific requirements prior to the disclosure of PHI, as
set forth in, but not limited to, Title 45, Sections 164.314(a), 164.502(e) and 164.504(e) of the Code of
Federal Regulations.
22. DATA SECURITY
For the purpose of preventing the potential loss, misappropriation or inadvertent access,
viewing, use or disclosure of COUNTY data including sensitive or personal client information; abuse of
COUNTY resources; and/or disruption to COUNTY operations, individuals and/or agencies that enter into
a contractual relationship with COUNTY for the purpose of providing services under this Agreement must
employ adequate data security measures to protect the confidential information provided to
CONTRACTOR by COUNTY, including but not limited to the following:
A. CONTRACTOR-Owned Mobile, Wireless, or Handheld Devices
19
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
CONTRACTOR may not connect to COUNTY networks via personally-owned
mobile, wireless or handheld devices, unless the following conditions are met:
1) CONTRACTOR has received authorization by COUNTY for telecommuting
purposes;
2) Current virus protection software is in place;
3) Mobile device has the remote wipe feature enabled; and
4) A secure connection is used.
B. CONTRACTOR-Owned Computers or Computer Peripherals
CONTRACTOR may not bring contractor-owned computers or computer
peripherals into COUNTY for use without prior authorization from COUNTY’s Chief Information Officer
and/or designee(s), including but not limited to mobile storage devices. If data is approved to be
transferred, data must be encrypted and stored on a secure server approved by COUNTY and transferred
by means of a Virtual Private Network (VPN) connection, or another type of secure connection.
C. COUNTY-Owned Computer Equipment
CONTRACTOR may not use COUNTY computers or computer peripherals on non-
County premises without prior authorization from COUNTY’s Chief Information Officer and/or designee(s).
D. CONTRACTOR may not store COUNTY’s private, confidential or sensitive data on
any hard-disk drive, portable storage device, or remote storage installation unless encrypted.
E. CONTRACTOR shall be responsible to employ strict controls to ensure the integrity
and security of COUNTY’s confidential information and prevent unauthorized access, viewing, use, or
disclosure of data maintained in computer files, program documentation, data processing systems, data
files, and data processing equipment which stores or processes COUNTY data internally and externally.
F. Confidential client information transmitted to one party by the other by means of
electronic transmissions must be encrypted according to Advanced Encryption Standards (AES) of 128
BIT or higher. Additionally, a password or pass phrase must be utilized.
G. CONTRACTOR is responsible to immediately notify COUNTY of any violations,
breaches or potential breaches of security related to COUNTY’s confidential information, data maintained
in computer files, program documentation, data processing systems, data files and data processing
20
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
equipment which stores or processes COUNTY data internally or externally.
H. COUNTY shall provide oversight to CONTRACTOR’s response to all incidents
arising from a possible breach of security related to COUNTY’s confidential client information provided to
CONTRACTOR. CONTRACTOR will be responsible to issue any notification to affected individuals as
required by law or as deemed necessary by COUNTY in its sole discretion. CONTRACTOR will be
responsible for all costs incurred as a result of providing the required notification.
23. PROPERTY OF COUNTY
A. COUNTY and CONTRACTOR recognize that fixed assets are tangible and
intangible property obtained or controlled under COUNTY’s Mental Health Plan for use in operational
capacity and will benefit COUNTY for a period more than one year. Depreciation of the qualified items will
be on a straight-line basis.
For COUNTY purposes, fixed assets must fulfill three qualifications:
1. Have life span of over one year;
2. Is not a repair part; and
3. Must be valued at or greater than the capitalization thresholds for the asset
type.
Asset Type Threshold
• Land $0 • Buildings and improvements $100,000
• Infrastructure $100,000 • Tangible $5,000 o Equipment o Vehicles
• Intangible $100,000 o Internally generated software o Purchased software o Easements o Patents
• Capital lease $5,000
Qualified fixed asset equipment is to be reported and approved by COUNTY. If it is
approved and identified as an asset, it will be tagged with a COUNTY program number. A Fixed Asset
21
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
Log will be maintained by COUNTY’s Asset Management System and annually inventoried until the asset
is fully depreciated. During the terms of this Agreement, CONTRACTOR’s fixed assets may be
inventoried in comparison to COUNTY’s DBH Asset Inventory System.
B. Certain purchases less than Five Thousand and No/100 Dollars ($5,000.00) but
more than One Thousand and No/100 Dollars ($1,000.00), with over one year life span, and are mobile
and high risk of theft or loss are sensitive assets. Such sensitive items are not limited to computers,
copiers, televisions, cameras and other sensitive items as determined by COUNTY’s DBH Director or
designee. CONTRACTOR will maintain a tracking system on the items and are not required to be
capitalize or depreciated. The items are subject to annual inventory for compliance.
C. Assets shall be retained by COUNTY, as COUNTY property, in the event this
Agreement is terminated or upon expiration of this Agreement. CONTRACTOR agrees to participate in an
annual inventory of all COUNTY fixed and inventoried assets. Upon termination or expiration of this
Agreement, CONTRACTOR shall be physically present when fixed and inventoried assets are returned to
COUNTY possession. CONTRACTOR is responsible for returning to COUNTY all COUNTY-owned
undepreciated fixed and inventoried assets, or the monetary value of said assets if unable to produce the
assets at the expiration or termination of this Agreement.
CONTRACTOR further agrees to the following:
1. Maintain all items of equipment in good working order and condition, normal
wear and tear is expected;
2. Label all items of equipment with COUNTY assigned program number,
perform periodic inventories as required by COUNTY, and maintain an inventory list showing where and
how the equipment is being used, in accordance with procedures developed by COUNTY. All such lists
shall be submitted to COUNTY within ten (10) days of any request therefore; and
3. Report in writing to COUNTY immediately after discovery, the loss or theft of
any items of equipment. For stolen items, the local law enforcement agency must be contacted and a
copy of the police report submitted to COUNTY.
D. The purchase of any equipment by CONTRACTOR with funds provided hereunder
shall require the prior written approval of COUNTY’s DBH, shall fulfill the provisions of this Agreement as
22
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
appropriate, and must be directly related to CONTRACTORS services or activities under the terms of this
Agreement. COUNTY’s DBH may refuse reimbursement for any costs resulting from equipment
purchased, which are incurred by CONTRACTOR, if prior written approval has not been obtained from
COUNTY.
E. CONTRACTOR must obtain prior written approval from COUNTY’s DBH whenever
there is any modification or change in the use of any property acquired or improved, in whole or in part,
using funds under this Agreement. If any real or personal property acquired or improved with said funds
identified herein is sold and/or is utilized by CONTRACTOR for a use which does not qualify under this
Agreement, CONTRACTOR shall reimburse COUNTY in an amount equal to the current fair market value
of the property, less any portion thereof attributable to expenditures of funds not provided under this
Agreement. These requirements shall continue in effect for the life of the property. In the event this
Agreement expires, or terminates, the requirements for this Section shall remain in effect for activities or
property funded with said funds, unless action is taken by the State government to relieve COUNTY of
these obligations.
24. NON-DISCRIMINATION
During the performance of this Agreement, CONTRACTOR shall not unlawfully
discriminate against any employee or applicant for employment, or recipient of services because of race,
religion, color, national origin, ancestry, physical handicap, medical condition, marital status, age, or sex,
pursuant to all applicable State and Federal statutes and regulations.
25. CULTURAL COMPETENCY
As related to Cultural and Linguistic Competence, CONTRACTOR shall comply with:
A. Title 6 of the Civil Rights Act of 1964 (42 U.S.C. section 2000d, and 45 C.F.R. Part
80) and Executive Order 12250 of 1979, which prohibits recipients of federal financial assistance from
discriminating against persons based on race, color, national origin, sex, disability, or religion. This is
interpreted to mean that a limited English proficient (LEP) individual is entitled to equal access and
participation in federally funded programs through the provision of comprehensive and quality bilingual
services.
B. Policies and procedures for ensuring access and appropriate use of trained
23
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
interpreters and material translation services for all LEP clients, including, but not limited to, assessing the
cultural and linguistic needs of its clients, training of staff on the policies and procedures, and monitoring its
language assistance program. CONTRACTOR’s procedures must include ensuring compliance of any
sub-contracted providers with these requirements.
C. CONTRACTOR shall not use minors as interpreters.
D. CONTRACTOR shall provide and pay for interpreting and translation services to
persons participating in CONTRACTOR’s services who have limited or no English language proficiency,
including services to persons who are deaf or blind. Interpreter and translation services shall be provided
as necessary to allow such participants meaningful access to the programs, services and benefits provided
by CONTRACTOR. Interpreter and translation services, including translation of CONTRACTOR’s “vital
documents” (those documents that contain information that is critical for accessing CONTRACTOR’s
services or are required by law) shall be provided to participants at no cost to the participant.
CONTRACTOR shall ensure that any employees, agents, subcontractors, or partners who interpret or
translate for a program participant, or who directly communicate with a program participant in a language
other than English, demonstrate proficiency in the participant's preferred language and can effectively
communicate any specialized terms and concepts peculiar to CONTRACTOR’s services.
E. In compliance with the State mandated Culturally and Linguistically Appropriate
standards as published by the Office of Minority Health, CONTRACTOR must submit to COUNTY for
approval, within sixty (60) days from date of execution of this Agreement, CONTRACTOR’s plan to
address all national cultural competency standards as set forth in Exhibit K “National Standards on
Culturally and Linguistically Appropriate Services (CLAS)”, attached hereto and incorporated herein by
reference and made part of this Agreement. COUNTY’s annual on-site review of CONTRACTOR shall
include collection of documentation to ensure all national standards are implemented. As the national
competency standards are updated, CONTRACTOR’s cultural competency plan must be updated
accordingly. Cultural competency training for CONTRACTOR’s staff should be substantively integrated
into health professions education and training at all levels, both academic and functional, including core
curriculum, professional licensure, and continuing professional development programs. CONTRACTOR,
on a monthly basis, shall provide COUNTY’s DBH a monthly monitoring tool/report that shows all
24
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
CONTRACTOR’s staff completed cultural competency trainings.
26. AMERICANS WITH DISABILITIES ACT
CONTRACTOR agrees to ensure that deliverables developed and produced, pursuant to
this Agreement, shall comply with the accessibility requirements of Section 508 of the Rehabilitation Act
and the Americans with Disabilities Act of 1973 as amended (29 U.S.C. § 794 (d)), and regulations
implementing that Act as set forth in Part 1194 of Title 36 of the Code of Federal Regulations. In 1998,
Congress amended the Rehabilitation Act of 1973 to require Federal agencies to make their electronic and
information technology (EIT) accessible to people with disabilities. California Government Code section
11135 codifies section 508 of the Act requiring accessibility of electronic and information technology.
27. TAX EQUITY AND FISCAL RESPONSIBILITY ACT
To the extent necessary to prevent disallowance of reimbursement under section
1861(v)(1) (I) of the Social Security Act, (42 U.S.C. § 1395x, subd. (v)(1)[I]), until the expiration of four (4)
years after the furnishing of services under this Agreement, CONTRACTOR shall make available, upon
written request to the Secretary of the United States Department of Health and Human Services, or upon
request to the Comptroller General of the United States General Accounting Office, or any of their duly
authorized representatives, a copy of this Agreement and such books, documents, and records as are
necessary to certify the nature and extent of the costs of these services provided by CONTRACTOR under
this Agreement. CONTRACTOR further agrees that in the event CONTRACTOR carries out any of its
duties under this Agreement through a subcontract, with a value or cost of Ten Thousand and No/100
Dollars ($10,000.00) or more over a twelve (12) month period, with a related organization, such Agreement
shall contain a clause to the effect that until the expiration of four (4) years after the furnishing of such
services pursuant to such subcontract, the related organizations shall make available, upon written request
to the Secretary of the United States Department of Health and Human Services, or upon request to the
Comptroller General of the United States General Accounting Office, or any of their duly authorized
representatives, a copy of such subcontract and such books, documents, and records of such organization
as are necessary to verify the nature and extent of such costs.
28. SINGLE AUDIT CLAUSE
A. If CONTRACTOR expends Seven Hundred Fifty Thousand Dollars ($750,000.00)
25
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
or more in Federal and Federal flow-through monies, CONTRACTOR agrees to conduct an annual audit in
accordance with the requirements of the Single Audit Standards as set forth in Office of Management and
Budget (OMB) Circular A-133. CONTRACTOR shall submit said audit and management letter to
COUNTY. The audit must include a statement of findings or a statement that there were no findings. If
there were negative findings, CONTRACTOR must include a corrective action plan signed by an
authorized individual. CONTRACTOR agrees to take action to correct any material non-compliance or
weakness found as a result of such audit. Such audit shall be delivered to COUNTY’s DBH Business
Office for review within nine (9) months of the end of any fiscal year in which funds were expended and/or
received for the program. Failure to perform the requisite audit functions as required by this Agreement
may result in COUNTY performing the necessary audit tasks, or at COUNTY’s option, contracting with a
public accountant to perform said audit, or may result in the inability of COUNTY to enter into future
agreements with CONTRACTOR. All audit costs related to this Agreement are the sole responsibility of
CONTRACTOR.
B. A single audit report is not applicable if CONTRACTOR’s Federal contracts do not
exceed the Seven Hundred Fifty Thousand Dollars ($750,000.00) requirement or CONTRACTOR’s only
funding is through Drug related Medi-Cal. If a single audit is not applicable, a program audit must be
performed and a program audit report with management letter shall be submitted by CONTRACTOR to
COUNTY as a minimum requirement to attest to CONTRACTOR solvency. Said audit report shall be
delivered to COUNTY’s DBH Business Office for review no later than nine (9) months after the close of the
fiscal year in which the funds supplied through this Agreement are expended. Failure to comply with this
Act may result in COUNTY performing the necessary audit tasks or contracting with a qualified accountant
to perform said audit. All audit costs related to this Agreement are the sole responsibility of
CONTRACTOR who agrees to take corrective action to eliminate any material noncompliance or
weakness found as a result of such audit. Audit work performed by COUNTY under this paragraph shall
be billed to CONTRACTOR at COUNTY cost, as determined by COUNTY’s Auditor-Controller/Treasurer-
Tax Collector.
C. CONTRACTOR shall make available all records and accounts for inspection by
COUNTY, the State of California, if applicable, the Comptroller General of the United States, the Federal
26
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
Grantor Agency, or any of their duly authorized representatives, at all reasonable times for a period of at
least three (3) years following final payment under this Agreement or the closure of all other pending
matters, whichever is later.
29. COMPLIANCE
CONTRACTOR agrees to comply with COUNTY’s Contractor Code of Conduct and Ethics
and the COUNTY’s Compliance Program in accordance with Exhibit E. Within thirty (30) days of entering
into this Agreement with COUNTY, CONTRACTOR shall have all of CONTRACTOR’s employees, agents,
and subcontractors providing services under this Agreement certify in writing, that he or she has received,
read, understood, and shall abide by the Contractor Code of Conduct and Ethics. CONTRACTOR shall
ensure that within thirty (30) days of hire, all new employees, agents, and subcontractors providing
services under this Agreement shall certify in writing that he or she has received, read, understood, and
shall abide by the Contractor Code of Conduct and Ethics. CONTRACTOR understands that the
promotion of and adherence to the Contractor Code of Conduct is an element in evaluating the
performance of CONTRACTOR and its employees, agents and subcontractors.
Within thirty (30) days of entering into this Agreement, and annually thereafter, all
employees, agents, and subcontractors providing services under this Agreement shall complete general
compliance training and appropriate employees, agents, and subcontractors shall complete documentation
and billing or billing/reimbursement training. All new employees, agents, and subcontractors shall attend
the appropriate training within thirty (30) days of hire. Each individual who is required to attend training
shall certify in writing that he or she has received the required training. The certification shall specify the
type of training received and the date received. The certification shall be provided to COUNTY’s
Compliance Officer at 3133 N. Millbrook, Fresno, California 93703. CONTRACTOR agrees to reimburse
COUNTY for the entire cost of any penalty imposed upon COUNTY by the Federal Government as a result
of CONTRACTOR’s violation of the terms of this Agreement.
30. ASSURANCES
In entering into this Agreement, CONTRACTOR certifies that neither they, nor any of their
officers, are currently excluded, suspended, debarred, or otherwise ineligible to participate in the Federal
Health Care Programs; that neither they, nor any of their officers, have been convicted of a criminal
27
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
offense related to the provision of health care items or services; nor have they, nor any of their officers,
been reinstated to participate in the Federal Health Care Programs after a period of exclusion, suspension,
debarment, or ineligibility. If COUNTY learns, subsequent to entering into a contract, that CONTRACTOR
is ineligible on these grounds, COUNTY will remove CONTRACTOR from responsibility for, or involvement
with, COUNTY’s business operations related to the Federal Health Care Programs and shall remove such
CONTRACTOR from any position in which CONTRACTOR’s compensation, or the items or services
rendered, ordered or prescribed by CONTRACTOR may be paid in whole or part, directly or indirectly, by
Federal Health Care Programs or otherwise with Federal Funds at least until such time as CONTRACTOR
is reinstated into participation in the Federal Health Care Programs.
A. If COUNTY has notice that either CONTRACTOR, or its officers, have been
charged with a criminal offense related to any Federal Health Care Program, or are proposed for exclusion
during the term of any contract, CONTRACTOR and COUNTY shall take all appropriate actions to ensure
the accuracy of any claims submitted to any Federal Health Care Program. At its discretion, given such
circumstances, COUNTY may request that CONTRACTOR cease providing services until resolution of the
charges or the proposed exclusion.
B. CONTRACTOR agrees that all potential new employees of CONTRACTOR or
subcontractors of CONTRACTOR who, in each case, are expected to perform professional services under
this Agreement, will be queried as to whether (1) they are now or ever have been excluded, suspended,
debarred, or otherwise ineligible to participate in the Federal Health Care Programs; (2) they have been
convicted of a criminal offense related to the provision of health care items or services; and (3) they have
been reinstated to participate in the Federal Health Care Programs after a period of exclusion, suspension,
debarment, or ineligibility.
1. In the event the potential employee or subcontractor informs
CONTRACTOR that he or she is excluded, suspended, debarred, or otherwise ineligible, or has been
convicted of a criminal offense relating to the provision of health care services, and CONTRACTOR hires
or engages such potential employee or subcontractor, CONTRACTOR will ensure that said employee or
subcontractor does no work, either directly or indirectly relating to services provided to COUNTY.
2. Notwithstanding the above, COUNTY, at its discretion, may terminate this
28
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
Agreement in accordance with Section Three (3) of this Agreement, or require adequate assurance (as
defined by COUNTY) that no excluded, suspended, or otherwise ineligible employee or subcontractor of
CONTRACTOR will perform work, either directly or indirectly, relating to services provided to COUNTY.
Such demand for adequate assurance shall be effective upon a time frame to be determined by COUNTY
to protect the interests of COUNTY consumers.
C. CONTRACTOR shall verify (by asking the applicable employees and
subcontractors) that all current employees and existing subcontractors who, in each case, are expected to
perform professional services under this Agreement (1) are not currently excluded, suspended, debarred,
or otherwise ineligible to participate in the Federal Health Care Programs; (2) have not been convicted of a
criminal offense related to the provision of health care items or services; and (3) have not been reinstated
to participate in the Federal Health Care Program after a period of exclusion, suspension, debarment, or
ineligibility. In the event any existing employee or subcontractor informs CONTRACTOR that he or she is
excluded, suspended, debarred, or otherwise ineligible to participate in the Federal Health Care Programs,
or has been convicted of a criminal offense relating to the provision of health care services,
CONTRACTOR will ensure that said employee or subcontractor does no work, either direct or indirect,
relating to services provided to COUNTY.
1. CONTRACTOR agrees to notify COUNTY immediately during the term of
this Agreement whenever CONTRACTOR learns that an employee or subcontractor who, in each case, is
providing professional services under this Agreement is excluded, suspended, debarred, or otherwise
ineligible to participate in the Federal Health Care Programs, or is convicted of a criminal offense relating
to the provision of health care services.
2. Notwithstanding the above, COUNTY, at its discretion, may terminate this
Agreement in accordance with Section Three (3) of this Agreement, or require adequate assurance (as
defined by COUNTY) that no excluded, suspended, or otherwise ineligible employee or subcontractor of
CONTRACTOR will perform work, either directly or indirectly, relating to services provided to COUNTY.
Such demand for adequate assurance shall be effective upon a time frame to be determined by COUNTY
to protect the interests of COUNTY consumers.
D. CONTRACTOR agrees to cooperate fully with any reasonable requests for
29
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
information from COUNTY which may be necessary to complete any internal or external audits relating to
CONTRACTOR’s compliance with the provisions of this Section.
E. CONTRACTOR agrees to reimburse COUNTY for the entire cost of any penalty
imposed upon COUNTY by the Federal Government as a result of CONTRACTOR’s violation of
CONTRACTOR’s obligations as described in this Section.
31. PUBLICITY PROHIBITION
None of the funds, materials, property or services provided directly or indirectly under this
Agreement shall be used for CONTRACTOR’s advertising, fundraising, or publicity (i.e., purchasing of
tickets/tables, silent auction donations, etc.) for the purpose of self-promotion. Notwithstanding the above,
publicity of the services described in Section One (1) of this Agreement shall be allowed as necessary to
raise public awareness about the availability of such specific services when approved in advance by
COUNTY’s DBH Director or designee for such items as written/printed materials, the use of media (i.e.,
radio, television, newspapers), and any other related expense(s).
32. COMPLAINTS
CONTRACTOR shall log complaints and the disposition of all complaints from a client or a
client's family. CONTRACTOR shall provide a copy of the detailed complaint log entries concerning
COUNTY-sponsored clients to COUNTY at monthly intervals by the tenth (l0th) day of the following month,
in a format that is mutually agreed upon. In addition, CONTRACTOR shall provide details and attach
documentation of each complaint with the log. CONTRACTOR shall post signs informing clients of their
right to file a complaint or grievance. CONTRACTOR shall notify COUNTY of all incidents reportable to
State licensing bodies that affect COUNTY clients within twenty-four (24) hours of receipt of a complaint.
Within ten (10) days after each incident or complaint affecting COUNTY clients,
CONTRACTOR shall provide COUNTY with information relevant to the complaint, investigative details of
the complaint, the complaint and CONTRACTORS disposition of, or corrective action taken to resolve the
complaint. In addition, CONTRACTOR shall inform every client of their rights as set forth in Exhibit J.
CONTRACTOR shall file an incident report for all incidents involving clients, following the protocol and
using the worksheet identified in Exhibit H.
33. DISCLOSURE OF OWNERSHIP AND/OR CONTROL INTEREST INFORMATION
30
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
This provision is only applicable if CONTRACTOR is disclosing entities, fiscal agents, or
managed care entities, as defined in Code of Federal Regulations (C.F.R), Title 42 § 455.101 455.104,
and 455.106(a)(1),(2).
In accordance with C.F.R., Title 42 §§ 455.101, 455.104, 455.105 and 455.106(a)(1),(2),
the following information must be disclosed by CONTRACTOR by completing Exhibit L, “Disclosure of
Ownership and Control Interest Statement”, attached hereto and by this reference incorporated herein and
made part of this Agreement. CONTRACTOR shall submit this form to the COUNTY’s DBH within thirty
(30) days of the effective date of this Agreement. Additionally, CONTRACTOR shall report any changes to
this information within thirty-five (35) days of occurrence by completing Exhibit L. Submissions shall be
scanned pdf copies and are to be sent via email to DBHAdministration@fresnocountyca.gov attention:
Contracts Administration.
34. DISCLOSURE – CRIMINAL HISTORY AND CIVIL ACTIONS
CONTRACTOR is required to disclose if any of the following conditions apply to them, their
owners, officers, corporate managers, and partners (hereinafter collectively referred to in this Section as
“CONTRACTOR”):
A. Within the three-year period preceding the Agreement award, they have been
convicted of, or had a civil judgment rendered against them for:
1. 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;
2. Violation of a federal or state antitrust statute;
3. Embezzlement, theft, forgery, bribery, falsification, or destruction of records;
or
4. False statements or receipt of stolen property.
B. Within a three-year period preceding their Agreement award, they have had a
public transaction (federal, state, or local) terminated for cause or default.
Disclosure of the above information will not automatically eliminate CONTRACTOR from
further business consideration. The information will be considered as part of the determination of whether
to continue and/or renew this Agreement and any additional information or explanation that
31
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
CONTRACTOR elects to submit with the disclosed information will be considered. If it is later determined
that CONTRACTOR failed to disclose required information, any contract awarded to such CONTRACTOR
may be immediately voided and terminated for material failure to comply with the terms and conditions of
the award.
CONTRACTOR must sign a “Certification Regarding Debarment, Suspension, and Other
Responsibility Matters- Primary Covered Transactions” in the form set forth in Exhibit M, attached hereto
and by this reference incorporated herein and made part of this Agreement. Additionally, CONTRACTOR
must immediately advise COUNTY’s DBH in writing if, during the term of this Agreement: (1)
CONTRACTOR becomes suspended, debarred, excluded, or ineligible for participation in Federal or State
funded programs or from receiving federal funds as listed in the excluded parties’ list system
(http://www.epls.gov); or (2) any of the above listed conditions become applicable to CONTRACTOR.
CONTRACTOR shall indemnify, defend, and hold COUNTY harmless for any loss or damage resulting
from a conviction, debarment, exclusion, ineligibility, or other matter listed in the signed Certification
Regarding Debarment, Suspension, and Other Responsibility Matters.
35. DISCLOSURE OF SELF-DEALING TRANSACTIONS
This provision is only applicable if a CONTRACTOR is operating as a corporation (a for-
profit or non-profit corporation) or if during the term of this Agreement, CONTRACTOR changes its status
to operate as a corporation.
Members of a CONTRACTORS Board of Directors shall disclose any self-dealing
transactions that they are a party to while CONTRACTOR is providing goods or performing services under
this Agreement. A self-dealing transaction shall mean a transaction to which CONTRACTOR is a party
and in which one or more of its directors has a material financial interest. Members of the Board of
Directors shall disclose any self-dealing transactions that they are a party to by completing and signing a
“Self-Dealing Transaction Disclosure Form”, attached hereto as Exhibit N and incorporated herein by
reference and made part of this Agreement, and submitting it to COUNTY prior to commencing with the
self-dealing transaction or immediately thereafter.
36. AUDITS AND INSPECTIONS
CONTRACTOR shall, at any time during business hours and as often as COUNTY may
32
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
deem necessary, make available to COUNTY for examination all of its records and data with respect to the
matters covered by this Agreement. CONTRACTOR shall, upon request by COUNTY, permit COUNTY to
audit and inspect all such records and data necessary to ensure CONTRACTOR’s compliance with the
terms of this Agreement.
If this Agreement exceeds Ten Thousand and No/100 Dollars ($10,000.00),
CONTRACTOR shall be subject to the examination and audit of the State Auditor General for a period of
three (3) years after final payment under contract (California Government Code section 8546.7).
37. NOTICES
The persons having authority to give and receive notices under this Agreement and their
addresses include the following:
COUNTY CONTRACTOR Director, Fresno County Jana D. Todd, LCSW Department of Behavioral Health JDT Consultants, Inc. 3133 N. Millbrook Ave 4205 West Figarden Drive, Fresno, CA 93702 Fresno, CA 93722
All notices between COUNTY and CONTRACTOR provided for or permitted under this
Agreement must be in writing and delivered either by personal service, by first-class United States mail, by
an overnight commercial courier service, or by telephonic facsimile transmission. A notice delivered by
personal service is effective upon service to the recipient. A notice delivered by first-class United States
mail is effective three (3) COUNTY business days after deposit in the United States mail, postage prepaid,
addressed to the recipient. A notice delivered by an overnight commercial courier service is effective one
(1) COUNTY business day after deposit with the overnight commercial courier service, delivery fees
prepaid, with delivery instructions given for next day delivery, addressed to the recipient. A notice
delivered by telephonic facsimile is effective when transmission to the recipient is completed (but, if such
transmission is completed outside of COUNTY business hours, then such delivery shall be deemed to be
effective at the next beginning of a COUNTY business day), provided that the sender maintains a machine
record of the completed transmission. For all claims arising out of or related to this Agreement, nothing in
this section establishes, waives, or modifies any claims presentation requirements or procedures provided
by law, including but not limited to the Government Claims Act (Division 3.6 of Title 1 of the Government
33
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
Code, beginning with section 810).
38.GOVERNING LAW
Venue for any action arising out of or related to the Agreement shall only be in Fresno
County, California.
The rights and obligations of the parties and all interpretation and performance of this
Agreement shall be governed in all respects by the laws of the State of California.
39.SEVERABILITY
The provisions of this Agreement are severable. The invalidity or unenforceability of any one provision in
the Agreement shall not affect the other provisions.
40.ENTIRE AGREEMENT
This Agreement, including all Exhibits, Revised RFP No. 18-033 and CONTRACTOR’s
Response thereto, constitutes the entire agreement between CONTRACTOR and COUNTY with respect
to the subject matter hereof and supersedes all previous agreement negotiations, proposals,
commitments, writings, advertisements, publications, and understandings of any nature whatsoever unless
expressly included in this Agreement.
///
///
///
///
///
///
///
///
///
///
///
///
///
1 IN WITNESS WHEREOF , the parties hereto have executed this Agreeme nt as of the day
2 and year first hereinabove written .
3
8
9
10 lf olb ~ W. /7,'[J A1'U)~l3-n_
11
12
13
14
15
16
Mailing Address
17 FOR ACCOUNTING USE ONLY :
18 ORG No .: 5630266
Account No.: 7295
19 Requisition No .: 5631810018
20
21
22
23
24
25
26
27
28
COUNTY OF FRESNO
~:l;;.. \,i.iQf the Boa
of the County of Fresno
ATTEST:
Bernice E. Seidel
Clerk of the Board of Supervisors
County of Fresno , State of Cal iforn ia
By: ~$b.N:\ ~ sba:-p
Deputy
34
Exhibit A
Page 1 of 14
Therapeutic Behavioral Services
Scope of Work
ORGANIZATION: JDT Consultants, Inc.
ADDRESS: 4205 West Figarden Drive, Fresno, CA 93722
SERVICES FOR: Provide Therapeutic Behavioral Services to the target population.
CONTRACT PERIOD: January 1, 2019 – June 30, 2023
TARGET POPULATION: Children / youth up to age 21 that are experiencing emotional or
behavioral challenges in their current living environment or
experiencing a stressful life transition. TBS is only available to
those children/youth with full-scope Medi-Cal benefits who are
receiving ongoing mental health services.
TBS is available to children/youth who meet one or more of the
following:
1. Experiencing behaviors that they find hard to manage
and may jeopardize their placement;
2. Currently living in a group home;
3. At risk of psychiatric hospitalization, or have been
psychiatrically hospitalized within the last 24 months; and
4. Transitioning to a lower level placement.
1.DEFINITIONS
A.“Member” shall mean any person who has been determined to be eligible to
receive full scope Medi-Cal benefits by the State of California through Fresno County and is
under twenty-one (21) years of age; meets MHP medical necessity criteria as defined in 9 C.C.R.
1830.205; is a member of the class certified by the U.S. District Court in Emily Q. v. Bonta,
supra; and meets the criteria for needing TBS as defined in DMH Letter No. 99-03.
B.“CONTRACTOR” shall refer to the CONTRACTOR providing TBS and
contracting with COUNTY to render TBS to Members, pursuant to the terms and conditions of
this Agreement and as addressed in the “Fresno County Mental Health Plan Organizational
Provider Manual”, defined infra in paragraph M of this Exhibit.
Exhibit A
Page 2 of 14
C. “Therapeutic Behavioral Services” shall mean one-to-one mental health services
for Members with serious behavioral problems who are experiencing a stressful transition or life
crisis and need additional short-term support to prevent placement in a group home of Rate
Classification Level (RCL) 12 through 14 or a locked facility for the treatment of mental health
needs, including acute care; or to enable a transition from any of those levels to a lower level of
residential care. TBS is focused on resolution of target behaviors or symptoms which jeopardize
existing placements, are a barrier to transitioning to a lower level of residential placement, and
are barriers to the completion of specific treatment goals. TBS is to be decreased when indicated
and discontinued when the identified behavioral benchmarks have been reached or when
reasonable progress toward the behavioral benchmarks is not being achieved and is not
reasonably expected to be achieved. When applicable, a plan for transition to adult services
when the beneficiary turns 21 years old and is no longer eligible for therapeutic behavioral
services will be developed, which addresses assisting parents and/or caregivers with skills and
strategies to provide continuity of care when the services are discontinued.
D. “Covered Services” shall mean only those services set forth in Section 3 of this
Exhibit.
E. “Not Reimbursable Conditions” shall mean:
1. When TBS are solely: a) for the convenience of the family or
other caregivers, physician or teacher; b) to provide supervision or to assure
compliance with terms and conditions of probation; c) to ensure the child/youth’s
physical safety or the safety of others, e.g., suicide watch; or d) to address conditions
that are not part of the Member’s mental health condition.
Exhibit A
Page 3 of 14
2. For Members who probably do not need these services since they
can sustain non-impulsive self-directed behavior, handle themselves appropriately in
social situations with peers, and are able to appropriately handle transitions during the
day.
3. For Members who will never be able to sustain non-impulsive self-
directed behavior and engage in appropriate community activities without full time
supervision.
4. When the Member is an inpatient of a hospital, psychiatric health
facility, nursing facility, Institute of Mental Disease (IMD), or crisis residential
program.
F. “Excluded Services” shall mean all those services which are not “Covered
Services”.
G. “TBS Rates” shall mean the schedule of prevailing reimbursement rates of
payment for the CONTRACTOR services in effect for COUNTY’s Medi-Cal TBS Program, as
regulated by the State of California and adopted by the Fresno County Board of Supervisors, in
the COUNTY PLAN, at the time such TBS are rendered.
H. “Licensed Staff” shall mean any mental health professional, licensed in the State
of California as a Psychiatrist, Psychologist, Clinical Social Worker, Marriage Family Therapist,
or a Registered Nurse with a Master’s Degree certified to render TBS to Members.
I. “Waivered or Registered Staff” shall mean any employee who has a waiver of
psychologist licensure as required and approved by the Department of Mental Health or has
registered with the applicable state licensing authority to obtain supervised clinical hours for
Marriage Family Therapy or Social Worker licensure, approved to render TBS to Members.
Exhibit A
Page 4 of 14
J. “TBS Coach” shall mean a person who has successfully completed twelve (12)
semester units from an accredited college or university in any of the following disciplines: Social
Work, Psychology, Rehabilitation Counseling, Education Counseling, or Marriage Family
Therapy; or successful completion of six (6) semester units from an accredited college or
university in any of the following disciplines: Social Work, Psychology, Rehabilitation
Counseling, Education Counseling, or Marriage Family Therapy and one (1) year of full-time
experience working with clients in human services settings; or a Bachelor’s Degree in a non-
mental health related field, but with at least one year of full-time experience working with
children/youth. A TBS Coach must be approved by the COUNTY to render TBS pursuant to the
terms and conditions of this Agreement.
K. “TBS Plan of Care” shall mean a series of short term interventions which address
specific behaviors or symptoms identified during assessment and the goals and objectives of
TBS.
L. “Fresno County” shall also be referred to as COUNTY.
M. “Fresno County Mental Health Plan Organizational Provider Manual”, hereinafter
referred to as “the Provider Manual” shall mean the Provider Manual, together with any
amendments or changes thereto. The Provider Manual is developed and maintained by staff
within the Managed Care Division. The Provider Manual may be updated from time to time.
CONTRACTOR will receive a copy of the Provider Manual and any updates, upon execution of
this Agreement and whenever changes are made by COUNTY. The Provider Manual and any
updates thereto made during the term of this Agreement are incorporated herein and made a part
of this Agreement.
N. “Or” is not exclusive.
Exhibit A
Page 5 of 14
O. “Shall” is used to indicate a mandatory term or function when used in a covenant
of either COUNTY or CONTRACTOR.
P. “Will” is used to indicate a mandatory term or function when used in a covenant
of either COUNTY or CONTRACTOR.
2. QUALIFICATIONS
A. Licensed Mental Health Staff
Any mental health professional licensed in the State of California as a
Psychiatrist, Psychologist, Clinical Social Worker, Marriage Family Therapist, or as a Registered
Nurse with a Master’s Degree, who is employed by CONTRACTOR may serve Members
provided he/she is certified and in good standing to provide services under the California Medi-
Cal Program including compliance with the relevant standards of participation contained in 22
C.C.R., Division 3, Subdivision1, Chapter 3, Article 3, sections 51200, et seq.
B. Waivered or Registered Staff
1) Any waivered or registered mental health worker who is employed by
CONTRACTOR and meets the qualifications set by COUNTY may provide services under the
California Medi-Cal Program including those requirements contained in 9 C.C.R., section
1810.254 (Waivered/Registered Professional).
2) A Licensed Mental Health Staff in accordance with laws and regulations
governing the registration or waiver must supervise Waivered, Registered Staff, and TBS
Coaches.
C. TBS Coach
1) CONTRACTOR staff serving as a TBS Coach shall complete the “Fresno
County Mental Health Plan Therapeutic Behavioral Coach Application Checklist” (Attachment
Exhibit A
Page 6 of 14
1, attached hereto and incorporated herein) for approval by COUNTY before performing TBS.
In addition, a fingerprint check request is required. If the Coach is already a current employee of
a local facility licensed by Social services, which requires a fingerprint check, a letter from that
facility saying that the Coach is currently an employee in good standing can substitute for a new
fingerprint check.
2) Each TBS Coach is required to complete training on confidentiality, child
abuse reporting, non-violent crisis intervention, cardiopulmonary resuscitation (CPR) and State
or MHB-approved TBS training.
3) The TBS Coach personnel file shall include the following: completed and
approved Coach application, supporting documents regarding education or experience,
fingerprint check request, signed statement regarding training on confidentiality and child abuse
reporting and current CPR certificate. These documents must be available to the MHP upon
request.
3. SERVICES
A. CONTRACTOR shall:
1) Perform all services and fulfill all responsibilities as outlined in the
Provider Manual, and in accordance with the DMH Letters No. 99-03 and other relevant letters
published from time to time by DMH, California Code of Regulations and Emily Q. v. Bonta
decision, and the Medi-Cal Manual for Intensive Care Coordination (ICC), Intensive Home
Based Services (IHBS) and Therapeutic Foster Care (TFC) for Katie A. Subclass Members, as
incorporated herein.
2) Serves as the TBS Coordinator or designate other licensed mental health
staff, and make arrangements to meet the caregiver for Assessment and Plan Development within
Exhibit A
Page 7 of 14
three (3) working days of receipt of referral from COUNTY and schedule a tentative review date
within two (2) to three (3) weeks of the beginning of services.
3) Provide the TBS Plan of Care to the referring licensed mental health
clinician or “Therapist,” as an addendum to the current Plan of Care.
4) Provide the TBS Coach, who is responsible to meet with the member at
the agreed upon times and follow the intervention plan and adhere to ethical standards as
outlined in the Provider Manual.
5) Provide services established in the Plan of Care, which may include such
activities as behavioral modeling, structure and support, and one-to-one behavioral interventions,
which assist the Member in engaging in appropriate activities, minimizing impulsivity and
increasing social and community competencies by building or reinstating those daily living skills
that will assist the Member to live successfully in the community.
6) Serve as a positive role model and assist in developing the Member’s
ability to sustain self-directed appropriate behavior, internalize a sense of social responsibility,
and/or enable participation proactively in community activities. These activities/interventions
may include but are not limited to:
a. Providing immediate behavioral reinforcements
b. Providing time-structuring activities
c. Preventing inappropriate responses
d. Providing appropriate time-out strategies
e. Providing coping strategies and other behavioral interventions
f. Collaboration with and support of the family caregivers’ efforts to
provide a positive environment for the Member
Exhibit A
Page 8 of 14
7) Complete all TBS forms as required in the Provider Manual to include the
“Fresno County Mental Health Plan TBS Assessment and Plan of Care” (Attachment 2, attached
hereto and incorporated herein) and “Fresno County Mental Health Plan TBS Progress Notes”
(attachment 3, attached hereto and incorporated herein). Any applicable Notice of Action forms
required by DMH shall be completed and submitted to COUNTY.
8) Perform all services and fulfill all responsibilities as outlined in the Medi-
Cal Manual for Intensive Care Coordination (ICC), Intensive Home Based Services (IHBS) and
Therapeutic Foster Care (TFC) for Katie A. Subclass Members including but not limited to
attending an Intensive Care Coordination meeting to coordinate mental health services and
potentially attending Child Family Team meeting. Attendance will be reimbursed at the same
rate as case management services.
Intensive Care Coordination meetings are populated similarly to Child Family Team
Meetings. More than one mental health provider/practitioner may participate in the meeting,
however, there must be an identified mental health Intensive Care Coordination coordinator that
ensures participation by the child or youth, family or caregiver and significant others so that the
child/youth’s assessment and plan addresses the child/youth’s needs and strengths in the context
of the values and philosophy of the Core Practice Model.
KATIE A. CLASS AND SUBCLASS
CLASS:
i. Full-Scope Medi-Cal
ii. Open Child Welfare case defined as any of the following:
a. Child is in foster care or;
b. Child has a voluntary family maintenance case (pre or post, returning home, in
foster or relative placement including both court ordered and by voluntary
agreement
iii. Meets Medi-Cal medical necessity for mental health services
SUB-CLASS: Due to behavioral health needs, children/youth in or considered for:
Exhibit A
Page 9 of 14
i. Wraparound
ii. Therapeutic Foster Care
iii. Specialized care rate
iv. Other intensive EPSDT services, including but not limited to TBS or crisis
stabilization/intervention
v. RCL 10 or above
vi. Psychiatric Hospital or 24-hour mental health treatment facility (e.g., psychiatric
inpatient hospital, community residential treatment facility)
vii. 3 or more placements within 24 months
9) Insure staff is knowledgeable about the cultures and communities in which
they work and sensitive to and aware of multicultural issues. All services provided to children
and their families shall be delivered in a culturally sensitive and competent manner.
10) Develop and maintain positive communication and working relationships
with TBS Team members.
11) Serve on the TBS team to review and modify the Plan of Care,
interventions and goals for TBS as needed until the targeted behaviors are reduced or eliminated.
12) Track costs for TBS and verify hours worked and billed to COUNTY are
consistent with time documented in the progress note for each Member.
13) CONTRACTOR shall submit electronic billing for services directly into
COUNTY’s billing module (AVATAR). CONTRACTOR must grant security access to required
software, to include but not limited to Java 1.6 update 23 and Netsmart’s custom Crystal Report
viewer and AVATAR’s client. At a minimum CONTRACTOR’s computers must run Windows
XP or higher operating system and be connected to a high speed internet connection.
CONTRACTORS shall be responsible for equipment to support software.
B. COUNTY shall:
Exhibit A
Page 10 of 14
1) Perform all services and fulfill all responsibilities as outlined in the
Provider Manual, and in accordance with the DMH Letters No. 99-03 and other relevant letters
and other written communications published from time to time by DMH, California Code of
Regulations and Emily Q. v. Bonta decision and the Medi-Cal Manual for Intensive Care
Coordination (ICC), Intensive Home Based Services (IHBS) and Therapeutic Foster Care (TFC)
for Katie A. Subclass Members, as incorporated herein.
2) Provide oversight, support, coordination, authorization, and ongoing
monitoring of TBS for the COUNTY PLAN.
3) Notify CONTRACTOR of their responsibilities through DMH letters and
other written communications, the Provider Manual, teleconferences, formal and informal
trainings, and individual consultations.
4) Receive TBS referrals from the Department of Behavioral Health,
Member’s mental health provider, Child Protective Services case managers, parents, guardians,
or foster parents and determine whether the Member meets the criteria for Medi-Cal
reimbursement for TBS.
5) Assign the Member to CONTRACTOR and approve the initial
authorization request and subsequent authorization requests within fourteen (14) calendar days of
receipt or within three (3) calendar days for expedited requests upon CONTRACTOR
submission to COUNTY, the “Request to Expedite Therapeutic Behavioral Services:” form
identified as Attachment 4 attached hereto and incorporated herein.
6) Provide individual consultation on a regular basis and facilitate monthly
meetings of the TBS team.
Exhibit A
Page 11 of 14
7) Conduct site certifications, documentation and billing audits upon
execution of this Agreement and annually thereafter.
4. PRIOR AUTHORIZATION
A. Prior authorization from COUNTY shall be required prior to the time TBS one-to-
one direct services are rendered with the exception of the two-hour assessment, pursuant to the
terms and conditions of this Agreement, and as described in the Provider Manual. Prior
authorization shall be required for the initial and each subsequent authorization period, to include
a specified number of hours during such authorization period. COUNTY shall not be obligated
to compensate CONTRACTOR for services rendered during a non-authorized period, for
services provided in excess of an authorized period, for services in excess of the number of
authorized hours, or for services provided to ineligible individuals.
B. CONTRACTOR shall not admit, treat, refer, or transfer a Member without prior
authorization and approval of the MHP.
5. SERVICE LOCATIONS
CONTRACTOR shall perform TBS at MHP approved locations within and outside of
Fresno County, depending upon the placement of the Member and at times convenient and
locations suitable to Member (i.e., at a Member’s home, school, or community).
6. PROGRAM OUTCOMES/ PERFORMANCE OUTCOMES MEASURES
COUNTY’S DBH is dedicated to supporting the wellness of individuals, families and
communities in Fresno County who are affected by, or at the risk of, mental illness and/or
substance use disorders through the cultivation of strengths toward promoting recovery in the
least restrictive environment. CONTRACTOR shall provide either existing or sample
Exhibit A
Page 12 of 14
measureable outcomes reports. The CONTRACTOR shall submit measureable outcomes on an
annual basis, as identified in COUNTY’S DBH’s Policy and Procedure Guide (PPG) 1.2.7
Performance Outcomes Measures, attached hereto to this RFP as Exhibit C. Performance
outcomes measures shall be approved by COUNTY’S DBH and satisfy all State and local
mandates. COUNTY’S DBH shall provide technical assistance and support in defining
measureable outcomes. All performance indicators shall reflect the four domains identified by
the Commission Accreditation of Rehabilitation Facilities (CARF). The domains are
Effectiveness, Efficiency, Access, and Satisfaction. These are defined and listed below.
COUNTY’S DBH collects data about the characteristics of the persons served and measures
service delivery performance indicators in each of the following CARF DOMAINS: At
minimum, one performance indicator shall be identified for each of the four CARF domains
listed below. 1. Effectiveness: A performance dimension that assesses the degree to which an
intervention or services have achieved the desired outcome/result/quality of care through
measuring change over time. The results achieved and outcomes observed are for persons served.
Examples of indicators include: Persons get a job with benefits, or receive supports needed to
live in the community, increased function, activities, or participation, and improvement of health,
employment/earnings, or plan of care goal attainment. 2. Efficiency: Relationship between
results and resources used, such as time, money, and staff. The demonstration of the relationship
between results and the resources used to achieve them. A performance dimension addressing the
relationship between the outputs/results and the resources used to deliver the service. Examples
of indicators include: Direct staff cost per person served, amount of time it takes to achieve an
outcome, gain in scores per days of service, service hours per person achieving some positive
outcome, total budget (actual cost) per person served, length of stay and direct service hours of
Exhibit A
Page 13 of 14
clinical and medical staff. 3. Access: Organizations’ capacity to provide services of those who
desire or need services. Barriers or lack thereof for persons obtaining services. The ability of
clients to receive the right service at the right time. A performance dimension addressing the
degree to which a person needing services is able to access those services. Examples of
indicators include: Timeliness of program entry (From 1st request for service to 1st service),
ongoing wait times/wait lists, minimizing barriers to getting services, and no-show/cancellation
rates. 4. Satisfaction: Satisfaction Measures are usually orientated towards consumers, family,
staff, and stakeholders. The degree to which clients, the County and other stakeholders are
satisfied with services. A performance dimension that describes reports or ratings from persons
served about services received from an organization.
Examples of indicators include: opinion of persons served or other key stakeholders in
regards to access, process, or outcome of services received, Consumer and/or Treatment
Perception Survey. Final selected measures shall be agreed upon in contract negotiations along
with liquidated damages. CONTRACTOR shall address each of the categories referenced above
and may additionally propose other performance and outcome measures that are deemed best to
evaluate the services provided to clients and/or to evaluate overall program performance.
COUNTY’S DBH may adjust the performance and outcome measures periodically throughout
the duration of the agreement, as needed, to best measure the program as determined by
COUNTY’S DBH. CONTRACTOR shall utilize and integrate clinical tools as directed by
COUNTY’S DBH. CONTRACTOR shall utilize a computerized tracking system with which
performance and outcome measures and other relevant data, such as demographics, will be
maintained. The data tracking system may be incorporated into the CONTRACTOR’s Electronic
Health Record (EHR) or be a stand-alone database. COUNTY’S DBH must be afforded read-
Exhibit A
Page 14 of 14
only access to the data tracking system, if applicable. COUNTY’S DBH prefers that the
CONTRACTOR utilize our current EHR (Avatar) with full access being provided by
COUNTY’S DBH. However, if the CONTRACTOR is unable or unwilling to utilize our current
EHR, arrangements must be made to ensure that an interface to transfer all necessary reporting
and outcome information is developed to meet the needs of COUNTY’S DBH.
Exhibit B
Fresno County Department of Behavioral Health
Guiding Principles of Care Delivery
rev 01-02-2018
DBH VISION:
Health and well-being for our community.
DBH MISSION:
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.
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
Exhibit C
Page 1 of 4
Fresno County Department of Behavioral Health
Guiding Principles of Care Delivery
rev 01-02-2018
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 client values and preferences
o Other clinically significant interventions such as innovative, promising, and emerging
practices are embraced
Exhibit C
Page 2 of 4
Fresno County Department of Behavioral Health
Guiding Principles of Care Delivery
rev 01-02-2018
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 client’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
Exhibit C
Page 3 of 4
Fresno County Department of Behavioral Health
Guiding Principles of Care Delivery
rev 01-02-2018
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
Exhibit C
Page 4 of 4
COST SETTLEMENT EXAMPLE FOR CONTRACTS Exhibit D
Page 1 of 2
Total Units Contract Max.
Medi-Cal Services Non-Medi-Cal Services
Mental Health Services 587,184 Psychological Evaluations 9,480
Case Managemen Services 653,539 Bonding Studies/Attachment Studies 29,024
Crisis Services 468 Psycho-Dynamic Evaluation 1,090
Medication Support Services 96,059 Attachment Assessment 7,081
Quarterly Report 499
Court Testimony 54
Total Medi-Cal Units 1,337,250 Total Non Medi-Cal Units 47,228 1,384,478
Minimum Medi-Cal Requirement 97%Maximum Non Medi-Cal Requirement 3%
Minimum Medi-Cal Billable Services 3,259,789$ Maximum Non Medi-Cal Billable services 115,127$ 3,374,916$
Example of Cost Settlement #1
1. Actual Costs 3,200,000$
2. Total of Medi-Cal and non-Medi-Cal Services
a. Medi-Cal units of service 1,350,000
SMA 2.75$
Published Charge 2.55$
RFP Rate 2.44$ 3,294,000$
Contract Maximum 3,259,789$ 3,259,789$
b. Non-Medi-Cal units of service 47,500
SMA 2.75$
Published Charge 2.55$
RFP Rate 2.44$ 115,900$
Contract Maximum 115,127$ 115,127$
Sub-total 3,374,916$
Amount determined by #1 is less, so is maximum that will be paid to Provider
COST SETTLEMENT EXAMPLE FOR CONTRACTS Exhibit D
Page 2 of 2
Paid to Provider During Year 1,397,500 2.44$ 3,409,900$
Due County 209,900$
Example of Cost Settlement #2
1. Actual Costs 3,200,000$
2. Total of Medi-Cal and non-Medi-Cal Services
a. Medi-Cal units of service 1,200,000
SMA 2.75$
Published Charge 2.55$
RFP Rate 2.44$ 2,928,000$
Contract Maximum 3,259,789$ 2,928,000$
b. Non-Medi-Cal units of service 42,000
SMA 2.75$
Published Charge 2.55$
RFP Rate 2.44$ 102,480$
Contract Maximum 115,127$ 102,480$
Sub-total 3,030,480$
Amount determined by #2 is less, so is maximum that will be paid to Provider
Paid to Provider During Year 1,242,000 2.44$ 3,030,480$
Due County -$
Exhibit E
Page 1 of 3
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, each contractor, contractor’s employee and subcontractor 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, consumers, 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.
7.Bill only for eligible services actually rendered and fully documented. Use billing codes that
Exhibit E
Page 2 of 3
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.
Exhibit E
Page 3 of 3
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: ____/___/____
Exhibit F
Page 1 of 3
Documentation Standards For Client Records
The documentation standards are described below under key topics related to client care. All
standards must be addressed in the client record; however, there is no requirement that the record
have a specific document or section addressing these topics.
A.Assessments
1. The following areas will be included as appropriate as a part of a comprehensive client record.
•Relevant physical health conditions reported by the client will be prominently identified
and updated as appropriate.
•Presenting problems and relevant conditions affecting the client’s physical health and
mental health status will be documented, for example: living situation, daily activities,
and social support.
•Documentation will describe client’s strengths in achieving client plan goals.
•Special status situations that present a risk to clients or others will be prominently
documented and updated as appropriate.
•Documentations will include medications that have been described by mental health plan
physicians, dosage of each medication, dates of initial prescriptions and refills, and
documentations of informed consent for medications.
•Client self report of allergies and adverse reactions to medications, or lack of known
allergies/sensitivities will be clearly documented.
•A mental health history will be documented, including: previous treatment dates,
providers, therapeutic interventions and responses, sources of clinical data, relevant
family information and relevant results of relevant lab tests and consultations reports.
•For children and adolescents, pre-natal and perinatal events and complete developmental
history will be documented.
•Documentations will include past and present use of tobacco, alcohol, and caffeine, as
well as illicit, prescribed and over-the-counter drugs.
•A relevant mental status examination will be documented.
•A five axis diagnosis from the most current DSM, or a diagnosis from the most current
ICD, will be documented, consistent with the presenting problems, history mental status
evaluation and/or other assessment data.
2.Timeliness/Frequency Standard for Assessment
•An assessment will be completed at intake and updated as needed to document changes in
the client’s condition.
•Client conditions will be assessed at least annually and, in most cases, at more frequent
intervals.
B.Client Plans
1.Client plans will:
Exhibit F
Page 2 of 3
•have specific observable and/or specific quantifiable goals
•identify the proposed type(s) of intervention
•have a proposed duration of intervention(s)
•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 client 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,
client plans will be consistent with the diagnosis, and the focus of intervention will be
consistent with the client plan goals, and there will be documentation of the client’s
participation in and agreement with the plan. Examples of the documentation include,
but are not limited to, reference to the client’s participation and agreement in the body
of the plan, client signature on the plan, or a description of the client’s participation
and agreement in progress notes.
client signature on the plan will be used as the means by which the
CONTRACTOR(S) documents the participation of the client
when the client’s signature is required on the client plan and the client refuses or is
unavailable for signature, the client plan will include a written explanation of the
refusal or unavailability.
•The CONTRACTOR(S) will give a copy of the client plan to the client on request.
2.Timeliness/Frequency of Client Plan:
•Will be updated at least annually
•The CONTRACTOR(S) will establish standards for timeliness and frequency for the
individual elements of the client plan described in item 1.
C.Progress Notes
1.Items that must be contained in the client record related to the client’s progress in treatment
include:
•The client record will provide timely documentation of relevant aspects of client care
•Mental health staff/practitioners will use client records to document client encounters,
including relevant clinical decisions and interventions
•All entries in the client record will include the signature of the person providing the
service (or electronic equivalent); the person’s professional degree, licensure or job title;
and the relevant identification number, if applicable
Exhibit F
Page 3 of 3
•All entries will include the date services were provided
•The record will be legible
•The client record will document follow-up care, or as appropriate, a discharge summary
2.Timeliness/Frequency of Progress Notes:
Progress notes shall be documented at the frequency by type of service indicated below:
A.Every Service Contact
•Mental Health Services
•Medication Support Services
•Crisis Intervention
Exhibit G
Page 1 of 2
STATE MENTAL 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
Program (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(S) 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(S) 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(S) 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,
Exhibit G
Page 2 of 2
rates of pay or other forms of compensation, use of facilities, and other
terms and conditions of employment.
C.Suspension of Compensation
If an allegation of discrimination occurs, COUNTY may withhold all
further funds, until CONTRACTOR(S) 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(S)
who is related by blood or marriage to, or who is a member of the Board
of Directors or an officer of CONTRACTOR(S).
5.PATIENTS' RIGHTS
CONTRACTOR(S) shall comply with applicable laws and regulations, including
but not limited to, laws, regulations, and State policies relating to patients' rights.
Department of Behavioral Health
Dawan Utecht, Mental Health Director/Public Guardian
Providing Quality Mental Health and Substance Abuse Services for the People of Fresno County
4441 E. Kings Canyon Road / Fresno, California 93702-3604
(559) 600-9180 FAX (559) 600-7674
Equal Employment Opportunity Affirmative Action Disabled Employer
www.co.fresno.ca.us www.fresno.networkofcare.org
Information Notice
Date: May 29, 2018
To: Fresno County Mental Health Plan and Substance Use Services Contracted Providers
Subject: New Policy and Procedure Guide Regarding Incident Reporting and Intensive Analysis
PPG 1.2.4.
Effective June 1st, 2018, all contracted providers working within the Fresno County Mental Health
Plan and Substance Use Disorder Services Providers will need to follow the new instructions for
reporting incidents.
An “Incident” is any event that compromises the health and safety of clients, employees, or community
members. Any employee having knowledge of an incident will need to follow the appropriate reporting
process. Incident reports help to increase safety in the provision of behavioral health care and substance use
disorder services as well as recommend possible system, policy and/or protocol changes.
The list below includes types of incidents to report:
•All client deaths (natural causes or unexplained/unknown reasons)
•Attempted suicide (resulting in serious injury)
•Homicide or attempts at homicide
•Injury connected to services or at a service site (self-inflicted or by accident)
Example- a client trips and falls but doesn’t require medical attention
•Medical Emergency connected to services or at a service site
Example: Client has a seizure/heart attack during appointment
•Other (i.e. Clients escaping from a locked facility, medication erroneously given during
appointment or mistakenly prescribed)
•Violence, Abuse or Assault connected to services or at a service site (toward client, others or
property; resulting in serious injury)
Example: Client hits a staff member/another client, sets fire to a trash can in the building
Reporting Process
1.) The encrypted report shall be completed and signed by the employee involved in or first aware of
an incident.
2.) Reviewed and signed by a supervisor and/or Program Director and sent encrypted to the
designated Contract Staff Analyst and DBHIncidentReporting@co.fresno.ca.us
3.) ***MHRC’s and PHF’s must ALSO send the encrypted 24-Hour Unusual
Occurrence Report (UOR) to the designated reporting contact at DHCS, your Contract Staff
Analyst and DBHIncidentReporting@co.fresno.ca.us within 24 hours of an incident or first
knowledge of an incident.
Steps 1, 2 and 3 must be completed within 24 hours of an incident or first knowledge of an incident.
Exhibit H
Page 1 of 3
All reported incidents are reviewed by the DBH Intensive Analysis Committee (IAC). If further information
is needed, your analyst will contact you as soon as possible. If a reported incident is determined to be an
Unusual Occurrence (which the Department of Health Care Services defines as: any event which jeopardizes
the health and/or safety of clients, staff, and/or members of the community including but not limited to
physical injury and death), Contracted Providers not licensed directly by the state, may elect to submit their
own Unusual Occurrence Report (UOR) in lieu of a DBH Manager or Intensive Analysis Committee
member. UOR’s shall be emailed encrypted to the DHCS designated reporting contact (per DHCS
instructions), your Contract Staff Analyst and DBHIncidentReporting@co.fresno.ca.us within five (5)
calendar days of an incident or first knowledge of an incident.
UOR’s sent to DHCS may be subject to further investigation and/or information requested by DHCS, such
as: Site Reviews and Plan(s) of Correction. A courtesy copy of correspondence between contracted providers
and DHCS regarding UOR’s shall also be sent to your Contract Staff Analyst and
DBHIncidentReporting@co.fresno.ca.us for informational purposes. DBH may also conduct site visits,
request contracted providers attest that an Intensive Analysis or similar (incident review, root cause analysis)
has occurred, and/or may request additional analysis or information when necessary.
If you are not sure if something is considered a reportable incident, need clarification on the reporting
process and/or need a copy of the reporting form(s), contact your Contract Staff Analyst for
assistance.
Exhibit H
Page 2 of 3
Fresno County Department of Behavioral Health-Incident Report
Send completed forms to dbhincidentreporting@co.fresno.ca.us and designated contract analyst within 24 hours of an
incident or knowledge of an incident. DO NOT COPY OR REPRODUCE/NOT part of the medical record.
Client Information
Last Name: Click or tap here to enter text. First Name: Click or tap here to enter text. Middle Initial: Click or tap here to enter text.
Date of Birth:Click or tap here to enter text. Client ID#:Click or tap here to enter text. Gender: ☐ Male ☐ Female
County of Origin: Click or tap here to enter text.
Name of Reporting Party:Click or tap here to enter text. Name of Facility:Click or tap here to enter text.
Facility Address:Click or tap here to enter text. Facility Phone Number:Click or tap here to enter text.
Incident (check all that apply)
☐Homicide/Homicide Attempt ☐ Attempted Suicide (resulting in serious injury) ☐ Death of Client ☐ Medical Emergency
☐Injury (self-inflicted or by accident)☐Violence/Abuse/Attempts to Assault (toward others, client and/or property)
☐Other- Specify (i.e. medication errors, client escaping from locked facility, fire, poisoning, epidemic outbreaks, other
catastrophes/events that jeopardize the welfare and safety of clients, staff and /or members of the community): Click or tap here to
enter text.
Date of Incident: Click or tap here to enter text. Time of Incident: Click or tap here to enter text.☐am ☐pm
Location of Incident: Click or tap here to enter text.
Description of the Incident (Attach additional sheet if needed): Click or tap here to enter text.
Key People Directly Involved in Incident (witnesses, staff): Click or tap here to enter text.
Action Taken (check all that apply) ☐Consulted with Physician ☐ Called 911/EMS ☐ First Aid/CPR Administered ☐Law Enforcement Contacted☐Client removed from building ☐ Parent/Legal Guardian Contacted ☐Other (Specify): Click or tap here to enter text.
Description of Action Taken: Click or tap here to enter text.
Outcome of Incident (If Known): Click or tap here to enter text.
Form Completed by: __________________________________ _______________________________ _____________
Printed Name Signature Date
Reviewed by Supervisor/Program Manager: _____________________________ ___________________________ ________
Printed Name Signature Date
For Internal Use only:
☐Report to Administration ☐ Report to Intensive Analysis Committee for additional review ☐Request Additional Information
☐No Action ☐ Unusual Occurrence ☐ Other: Click or tap here to enter text.
Revised 12 /2017
Exhibit H
Page 3 of 3
Exhibit I
Page 1 of 2
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 written procedures for referring individuals to a psychiatrist
when necessary, or to a physician, if a psychiatrist is not available.
9. The organizational provider has as head of service a licensed mental health professional of
other appropriate individual as described in Title 9, CCR, Sections 622 through 630.
10. 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.
Exhibit I
Page 2 of 2
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.
11. For organizational providers that provide day treatment intensive or day rehabilitation, the
provider must have a written description of the day treatment intensive and/or day treatment
rehabilitation program that complies with State Department of Health Care Service’s day
treatment requirements. The COUNTY shall review the provider’s written program
description for compliance with the State Department of Health Care Service’s day
treatment requirements.
12. 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 (3) 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.
Exhibit J
Page 1 of 2
Fresno County Mental Health Plan - Grievance and Appeals
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 their clients copies of all current beneficiary information annually at the
time their treatment plans are updated and at intake.
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.
Exhibit J
Page 2 of 2
Informal provider problem resolution process – the provider may first speak to a
Provider Relations Specialist (PRS) regarding his or her complaint or concern.
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.
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.
Exhibit K
Page 1 of 2
The Case for the Enhanced National CLAS Standards
Of all the forms of inequality, injustice in health care is the most shocking and inhumane.
— Dr. Martin Luther King, Jr.
Health equity is the attainment of the highest level of health for all people (U.S. Department of Health and Human
Services [HHS] Office of Minority Health, 2011). 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 (World Health Organization, 2012),
such as socioeconomic status, education level, and the availability of health services (HHS Office of Disease Prevention
and Health Promotion, 2010). 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.
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 the issue not only an individual concern but
also a public health concern. In the United States, it has been estimated that the combined cost of health disparities and
subsequent deaths due to inadequate and/or inequitable care is $1.24 trillion (LaVeist, Gaskin, & Richard, 2009).
Culturally and linguistically appropriate services are increasingly recognized as effective in improving the quality of care
and services (Beach et al., 2004; Goode, Dunne, & Bronheim, 2006). By providing a structure to implement culturally and
linguistically appropriate services, the enhanced National CLAS Standards will improve an organization’s ability to address
health care disparities.
The enhanced National CLAS Standards align with the HHS Action Plan to Reduce Racial and Ethnic Health Disparities
(HHS, 2011) and the National Stakeholder Strategy for Achieving Health Equity (HHS National Partnership for Action to
End Health Disparities, 2011), 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
enhanced 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:
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-E008-02). Retrieved from the Agency of Healthcare Research and Quality website:
http://www.ahrq.gov/downloads/pub/evidence/pdf/minqual/minqual.pdf
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_evidencebasecultlinguisticcomp_962.pdf
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.jointcenter.org/sites/default/files/upload/research/files/The%20Economic%2
0Burden%20of%20Health%20Inequalities%20in%20the%20United%20States.pdf
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
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/files/Plans/HHS/HHS_Plan_complete.pdf
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.healthypeople.gov/2020/topicsobjectives2020/overview.aspx?topicid=39
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
World Health Organization. (2012). Social determinants of health. Retrieved from http://www.who.int/social_determinants/en/
Exhibit K
Page 2 of 2
Exhibit L
Page 1 of 2
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.
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
YES NO
by Titles XVIII, XIX, or XX? ......................................................................................................................... ❒ ❒
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 XVIII, XIX, or XX? ...................................................................................... ❒ ❒
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) ........... ❒ ❒
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:❒ Sole proprietorship ❒ Partnership ❒ Corporation
❒ Unincorporated Associations ❒ 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. .......................................................................................................... ❒ ❒
NAME ADDRESS PROVIDER NUMBER
Exhibit L
Page 2 of 2
YES NO
IV. A. Has there been a change in ownership or control within the last year? ....................................................... ❒ ❒
If yes, give date.
B. Do you anticipate any change of ownership or control within the year?....................................................... ❒ ❒
If yes, when?
C. Do you anticipate filing for bankruptcy within the year?................................................................................ ❒ ❒
If yes, when?
V.Is the facility operated by a management company or leased in whole or part by another organization?.......... ❒ ❒
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?......... ❒ ❒
VII. A. Is this facility chain affiliated? ...................................................................................................................... ❒ ❒
(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
Exhibit M
Page 1 of 2
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.
Exhibit N
Page 1 of 2
SELF-DEALING TRANSACTION DISCLOSURE FORM
In order to conduct business with the County of Fresno (hereinafter referred to as “County”),
members of a contractor’s board of directors (hereinafter referred to as “County Contractor”), must
disclose any self-dealing transactions that they are a party to while providing goods, performing
services, or both for the County. A self-dealing transaction is defined below:
“A self-dealing transaction means a transaction to which the corporation is a party and in which one
or more of its directors has a material financial interest”
The definition above will be utilized for purposes of completing this disclosure form.
INSTRUCTIONS
(1)Enter board member’s name, job title (if applicable), and date this disclosure is being made.
(2)Enter the board member’s company/agency name and address.
(3)Describe in detail the nature of the self-dealing transaction that is being disclosed to the
County. At a minimum, include a description of the following:
a.The name of the agency/company with which the corporation has the transaction; and
b.The nature of the material financial interest in the Corporation’s transaction that the
board member has.
(4)Describe in detail why the self-dealing transaction is appropriate based on applicable
provisions of the Corporations Code.
(5)Form must be signed by the board member that is involved in the self-dealing transaction
described in Sections (3) and (4).
Exhibit N
Page 2 of 2
(1) Company Board Member Information:
Name: Date:
Job Title:
(2) Company/Agency Name and Address:
(3) Disclosure (Please describe the nature of the self-dealing transaction you are a party to)
(4)Explain why this self-dealing transaction is consistent with the requirements of Corporations Code 5233 (a)
(5) Authorized Signature
Signature: Date: