county of marin - marinhhs.org · 9/19/2014 · following the homebase report’s release, an...
TRANSCRIPT
RFP-HHS-2014-20 1
COUNTY OF MARIN
DEPARTMENT OF HEALTH AND HUMAN SERVICES DIVISION OF MENTAL HEALTH AND SUBSTANCE USE SERVICES
REQUEST FOR PROPOSALS (RFP)
Chronic Alcohol with Justice Involvement Pilot Program
RFP-HHS-2014-20
DATE ISSUED: September 19, 2014
DEADLINE FOR SUBMISSIONS: October 20, 2014 The County of Marin Health and Human Services Department does not discriminate on the basis of sex,
race, color, religion, disability, marital status, or national original in employment or in its educational programs and activities. Auxiliary aids and services are available upon request to individuals with
disabilities. Alternative formats will be made available upon request.
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I. Background “In Marin County, as in many counties around the country, there is a growing concern with spending on certain high-need individuals, including those who frequently encounter the criminal justice system as a result of alcohol abuse. These individuals tend to continually cycle through some of the most expensive public service providers, yet do not receive appropriate care to meet their complex needs. As a result, they can exhaust thousands of dollars in public resources, with little or no improvement in their quality of life.”1 In January 2012, a collaborative effort, introduced by Marin County Deputy Public Defender Christine O’Hanlon, was established resulting in the Department of Health and Human Services commissioning a Study to evaluate the current system of care in Marin, investigate the public cost of serving homeless, alcohol dependent, with complex health and mental health conditions and identifying recommendations to better and more cost effectively serve this population. The Chronic Alcohol Use with Justice-System Involvement Report, developed by HomeBase, released February, 2013, serves as a foundation from which this RFP is developed (Attachment A). Results of this cost study found that “between June 1, 2011 and May 31, 2012, thirty-four (34) individuals in the County of Marin incurred a cost of $2,039,463 for services related to homelessness and chronic addiction to alcohol. Actual costs are most likely much greater. The vast majority of these individuals were male, 91 percent were homeless, and the average age was 47. In addition, despite expenditures of $60,000 per person per year, there is little to no improvement in the quality of life for these individuals….”2 Following the HomeBase Report’s release, an Advisory Team, consisting of County Health & Human Service and Criminal Justice System representatives was formed, resulting in the Marin Chronic Alcohol with Justice Involvement Project (CAJI Project) who subsequently released a Business Plan in July, 2013. As a result of both reports, the County of Marin Board of Supervisors has committed $300,000 to fund a one-year Pilot Program: Chronic Alcohol with Justice Involvement Pilot Project. The Pilot Project, hereafter referred to as the Chronic Alcohol with Justice Involvement Project, or “CAJI”, has as its mission “to break the cycle of chronic alcoholism, justice system involvement, and homelessness in order to improve the quality of life for individual participants, reduce costs associated with chronic alcoholism, and promote public health and safety.” This RFP seeks to provide transitional supportive housing to such individuals and is based on a Housing First model. This model is based upon the premise that housing stability is a pre-requisite to individual stability and self determination. Through issuance of this RFP, the County recognizes the validity of this research supported premise that individuals can address health, mental health and other barriers to stability far more effectively once they access housing. The CAJI Project Goals, for which this RFP is intended to address include: Improve the quality of life for individuals suffering from chronic alcoholism using a
multidisciplinary approach; Assist participants in moving towards sobriety by offering linkages to evidenced-based
treatment, including medication assisted treatment, as an alternative to repetitive incarceration;
1 HomeBase, 2013, p.i 2 Marin CAJI Project Business Plan, July, 2013
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Assist participants in obtaining permanent housing; Improve the criminal justice system’s ability to identify, assess and facilitate treatment of
persons suffering from alcoholism and chronic homelessness; and Reduce overall costs to the community and the criminal justice system.
While both the HomeBase Study and the CAJI Project Business Plan discuss a variety of approaches and evidenced-based models with accompanying budget recommendations, respondents must comply with the requirements and restrictions of this RFP to be considered for funding. II. Project Period All contract awards will be made on a competitive bid basis. The anticipated one-year contract period is January 1, 2015 through December 31, 2015. III. Available Funding A total of up to $300,000 is available for this one-year pilot project. IV. Proposed Project/Scope of Work Target Population The target population for the program is ten (10) adult males who are homeless, alcohol dependent, either on or eligible for probation, who have had six or more arrests for public intoxication in the previous 12-month period and who agree to the CAJI Program Terms and Conditions. Initial screening for the program will be conducted at arraignment by the Office of the District Attorney. Defense counsel will meet with the proposed participant to review Marin CAJI Program rules and expectations and obtain a signed contractual agreement from the proposed participant. Potential participants will be screened by in-custody mental health and substance use staff for clinical appropriateness for referral to the program. Final determination for admission to the program will be conducted by award recipient(s) of this RFP. Eligible Grant Activities: The CAJI Project seeks to provide funding for the following:
CAJI Project
Service Area Transitional Supportive Housing
Participants Annually 10 persons
Length of Program 1 Year Service Components Housing
On-site house manager/living skills trainer 2 meals daily
Transportation
Per Person Cost
$30,000 per Person Annually
Total Service Area $300,000
RFP-HHS-2014-20 4
For the purposes of this RFP, “transitional supported housing” is a combination of housing and services to help individuals with complex conditions live more stable and productive lives. This expanded definition of “transitional, supported housing” includes proposals that offer safe, clean, living environments that promote individual recovery through positive peer interactions amongst peer supports and staff. Residents will be monitored and provided with assistance and/or training to improve self-sufficiency skills and abilities and ultimately enhance their ability to live cooperatively within the larger community. Housing may encompass any of a variety of approaches including designated units within an apartment, house and/or hotel. Respondents to this RFP are encouraged to offer creative housing designs and/or models that meet the following minimum requirements: A staffed housing manager who is available 24 hours per day and has possession of a
valid CDL and vehicle for transporting participants. Ideally a housing manager will live on-site and provide oversight, intervention and structure to the participants such as:
emotional support to participants facilitate support groups provide psycho-social education provide self-help training identify and assist participants in accessing resources and navigating systems Furnished personal space for each resident with access to restrooms, meals,
laundry and transportation. Common area(s) for participants to receive individual and group support services, socialization and opportunities to gain living skills;
House managers will assist participant to ensure security for personal property, including medications if needed;
Maintenance of a "Good Neighbor Policy” including compliance with appropriate Federal, State or Local regulations governing the type of housing proposed.
Other Requirements A Team, consisting of representatives from the Offices of the District Attorney and Public Defender and Health & Human Services has been identified to work with the selected provider(s) of the CAJI Project. Additional community representatives, engaged with selected participants, may be invited to participate in team meetings as needed. It is important that we evaluate this program and its capacity to move clients into more sober, less socially disruptive behaviors. Consequently, respondents of this RFP will be required to work with partners within Health & Human Services (ie. epidemiology) to gather both quantitative and qualitative data that can be utilized to evaluate the program’s achievement of its goals. Existing Community Resources Marin County is fortunate in that a great deal of groundwork has been laid for this project’s success. Many organizations and agencies along with county personnel are committed to bridging gaps in the existing delivery system by exploring alternative solutions to serving individuals with these complex needs. Although not exhaustive, the following existing community resources can and should be utilized, as appropriate, for the participants in the CAJI Project: Re-Entry Team Residential Detoxification
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Homeward Bound/Safety Net Program Alliance in Recovery (AIR) STAR Court Ritter Center St Vincent’s Community-Based “Thinking for a Change” classes Federally Qualified Health Centers Medication Assisted Treatment including Antabuse and Vivetrol for selected participants
V. Reporting and Performance Requirements The grantee will be required to meet mutually developed reporting requirements including but not limited to entering client data, charting of engagement activities and billing in the Homeless Management Information System, completing monthly progress reports, participating in a mid-year site visit, and completing an annual report. At a minimum, data elements that must be collected on each participant include: Number of ER admissions prior/following program entry Number of PES admissions prior/following program entry Number of detox admissions prior/following program entry Number of jail admissions prior/following program entry Number of contacts with local police jurisdictions Number of Court Appearances Number of People who are Housed Number of People engaged in Engagement/Treatment Services Number of People engaged in “Other Community Services” (incl. type of service)
All program participants are to be asked and agree to provide a release of information to obtain information related to ER admissions, PES admissions, detox and jail admissions. Information obtained will be related to 12 months prior to entry and the same information is to be collected at 6 and 12 months after entry to the CAJI Program. VI. Eligible Bidders Applicant Eligibility Individuals, for-profit and non-profit providers (e.g., 501c3) or collaborations of the previous groups are eligible to apply for these funds. All applicants must document in the narrative that they meet the following minimum qualifications: Applicants must demonstrate a minimum of 3 years of experience in providing housing/residential services or programs which lead to housing stabilization for individuals who are alcohol dependent and experience homelessness. Housing Managers/Care Coordinators should possess at least two (2) years of demonstrated experience in care management activities for individuals with multiple and co-occurring conditions, including substance use, mental health, trauma, primary care and criminal justice involvement. Should an applicant propose to collaborate or subcontract with another agency or individual legally entitled to do business in the State of California and possessing the necessary licenses and/or certifications, the applicant must include a letter of participation from the proposed entity(ies) and include the specific duties being proposed under the collaboration or subcontract. The contract amount shall also be reflected in the Budget.
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VII. Other Requirements and Expectations for Grantees A. Summary of Contract Terms, Conditions and Requirements The grantee shall be required to comply with Public Law 102-321 (1992) which enacted the Alcohol, Drug Abuse, and Mental Health Reorganization Act, 45 CFR Part 96; Division 10.5, California Health and Safety Code; Title 9, California Code of Regulations; Americans With Disabilities Act of 1990; this Request for Proposal RFP-HHS-2014-20; and the terms and conditions required by the original funding source for the programs/services described by this RFP; and the terms and conditions of the County of Marin’s Professional Services Contract, including all exhibits incorporated therein. The County’s Professional Services Contract, including all incorporated exhibits, contains specific provisions including, but not limited to, nondiscrimination in hiring and in the provision of services, program evaluation, record keeping, payments, limitations and obligations, conflict of interest, indemnification and insurance, assignment, and HIPAA. By submitting a proposal, the applicant agrees to be bound by all terms and conditions of the County’s Standard Professional Services Contract and its exhibits, attached hereto as Attachment C, and execute the same, if selected. B. Insurance The County requires that all contractors carry $1,000,000 in liability insurance ($2,000,000 aggregate). The County must be named as additional insured, and specific language must be included on the signed endorsement to the policy. The required insurance coverage requirements are described in the County of Marin’s Standard Professional Services Contract, attached hereto as Attachment C. It is strongly suggested that applying entities be certain of the ability to secure this insurance and verification prior to submitting a proposal. C. Administrative / Legal Requirements
1. Contractors will be paid on a monthly basis following the submission of an invoice to the Marin County Department of Health and Human Services for services performed to County’s satisfaction. This contract will be reimbursed on an actual cost reimbursement basis not to exceed the total contract amount. It is the responsibility of the contractor to track expenditures and any services provided by contractor and/or subcontractors and expenses that exceed the annual allocation will not be reimbursed.
2. This Request for Proposals and any resulting agreement, contract and purchase order shall be governed by all applicable federal, state and local laws, codes, ordinances and regulations, but not limited to, those promulgated by CAL-OSHA, FED-OSHA, EPA, EEOC, DFEH, the California State Department of Health Services, and the County of Marin Environmental Health Department. All matters and subsequent contract shall be governed by and in accordance with the substance and procedural laws of the State of California.
3. Contractor agrees to administer/utilize any and all survey instruments as directed by the
County Department of Health and Human Services, including outcomes and satisfaction measurements. Contractors must also comply with all reporting requirements set forth by the Department of Health and Human Services and the Department of Health Care Services, including, but not limited to, completion of cost reports, annual provider self-audits, site visits and utilization review.
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4. Applicant must be legally authorized to conduct business in the State of California and have established administrative and program resources in Marin County.
5. Applicants must be able to provide the following written policies / procedures which comply with and are otherwise acceptable to the Federal, State, County statutes, laws, regulations, and ordinances:
a. Conflict of interest policy for staff and governing boards. b. Grievance procedure for customers / clients. c. Does not discriminate against nor deny employment or services to any person on
the grounds of race, color, religion, sex, national origin, age, disability, citizenship, political affiliation or belief.
d. Complies with the 1990 ADA.
6. Applicants must have proven fiscal capacity including capacity for fund accounting.
7. Applicants must have access to non-County funds sufficient to cover any disallowed costs that may be identified through the audit process.
8. Applicant agrees that state, federal and/or local monitors or auditors, to ensure
compliance with funding requirements, may review provider facilities and relevant financial and performance records.
9. Applicants who do not meet these minimum requirements shall be deemed non-
responsive and will not receive further consideration. Any proposal that is rejected as non-responsive will not be evaluated and no score will be assigned.
D. Tentative Time Schedule All applicants are hereby advised of the following schedule and will be expected to adhere to the applicant- related deadlines below:
RFP Advertised September 19-20, 2014
RFP Released to Prospective Applicants September 19, 2014
RFP Question/Answer Period Opens September 19, 2014
RFP Questions Due October 6, 2014 (3:00pm)
RFP Answers Posted By October 8, 2014
Proposals Due October 20, 2014 (3:00pm)
Evaluation and Scoring of Proposals Late October/Early November 2014
Posting of Notice of Intent to Award Early/Mid November 2014
Contract Start Date* January 2015
* Contract start date is contingent on the meeting schedule of the Board of Supervisors.
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VIII. Application Instructions In responding to the RFP, use the outline as it appears below and label your responses accordingly. Failure to include the following elements in the order specified below will result in disqualification from the application review process. If the total number of pages exceeds the parameters stated below, the additional pages will be discarded and will not be reviewed by the Proposal Review Committee. Technical Proposal A. Cover Page (1 Page Limit)
I. Use the agency's current letterhead. Include: Name of organization submitting a Proposal; Type of organization (e.g. private non-profit, other-specify, etc.) Name and telephone number of primary contact person for the Proposal; Address(es) of where and type of services to be provided; and Amount of funds requested and proposed service component(s) for a one – year
project period. Please also submit agreement to the following terms: “The costs of the proposed project can be carried by the applicant for at least 90 days at any point during the term of the contract.” Actual documents will be required prior to approval of contract. B. Application Narrative - Transitional Supportive Housing (10 Page Limit)
1. Applicant Capability Describe your agency’s experience and ability to attain and manage a residence(s) for ten (10) chronically homeless, alcohol abusing/addicted individuals. Include a description of how your agency will:
a. Secure fully furnished housing unit(s) within 60 days of notice to award contract including license, if applicable, and/or compliance with local zoning and occupancy ordinances;
b. Provide 24-hour on-site house supervision and management, including personnel qualifications, assurance of valid CDL and training in CPR and basic first aid;
c. Provide and/or assist participants in utilizing public transportation; 2. Proposal Description: Transitional Supported Housing
Provide a sample proposed housing structure and programmatic rules that includes, but is not limited to:
An overall description of “supportive services” that will be provided on-site. Include a
sample of weekly schedule including participant responsibilities such as house chores, daily structure, curfews, etc. Include your agency’s experience in working with available community resources that will be used to assist participants in gaining
RFP-HHS-2014-20 9
sustainable independence. Include, at a minimum, those items described in Section IV. Proposed Project/Scope of Work;
The County anticipates a need for harm reduction models for this population.
Describe how use/relapses will be managed and what specific resources may be used to assist participants in attainment of an alcohol/drug free life (ie use of Vivitrol, community support groups, treatment, etc.)
3. Reporting and Performance Requirements
Provide a description and assurance of how your agency plans to comply with the
reporting and performance requirements identified in Section V. Reporting and Performance Requirements.
C. Budget and Budget Narrative - (No Page Limit) Provide an itemized budget for the project including items such as staffing costs, housing and transportation costs, supplies, etc. A sample blank budget sheet is provided as Attachment B. Provide a budget narrative explaining all costs contained in the proposed budget. Explain the expected program costs and a rationale for each line item in the budget. List and briefly explain each staff position, including number of hours worked weekly, number of hours worked yearly, and hourly rate. Provide your agency’s indirect rate and a detailed description of what is included in calculating the indirect rate. Indirect rates cannot exceed 15% of personnel and direct costs. If your agency has a federally-approved indirect rate, attach a copy of the documentation with your proposal. D. Letters of Participation (No Page Limit) A. Letters of Participation Applicants are encouraged to collaborate with other agencies in planning and implementing the proposed project. Collaborators that are referred to in the Narrative as having committed to participate must submit a Letter of Participation. Letters of Participation must be on official letterhead and include the following: Agency Name and Address Relevant background information about the agency Original signature of the individual authorized to bind the agency to participate Clear description of how the agency will participate in the project If funding is being subcontracted to the agency or provided to the proposed project,
then the amount of funding (direct funds, in-kind resources, etc.) and a detailed description of how the funds will be used must be included.
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IX. Application Submission Requirements A. General Policies
1. The County assumes no obligation for any of the costs associated with proposal development, preparation and submission.
2. This RFP is in no way an agreement, obligation or contract. 3. Proposals will become the property of the County upon submission and may be subject
to the terms of the Public Records Act, as required by law. 4. After submission of the proposals and closing of the application period, no information
other than what is outlined in this RFP, will be released until after an award becomes final.
5. The County reserves the right to make an award without further discussion of the proposals received. Therefore, it is important that the proposal be submitted initially on the most favorable terms from both a technical and cost standpoint.
6. While it is the intention to award the contract to one respondent, the County reserves the right to split the award in any manner deemed most advantageous to the County.
7. In an effort to reach a decision concerning the most qualified applicant, Marin County reserves the right to evaluate all factors it deems appropriate, whether or not such factors have been stated in the RFP.
8. The County reserves the sole right to interpret or change any provision of the RFP at any time prior to the proposal submission date. Any such interpretation or change shall be in the form of a written addendum and shall become part of the RFP.
9. A proposal may be immediately rejected/disqualified for any of the following reasons: a. The application is not received at the time and place specified in the RFP; b. The application does not adhere to the required material elements of format and
guidelines and/or substantive requirements set forth in this RFP; c. Evidence indicates that the applicant, applicant’s staff and/or consultants have in any
way attempted to influence the confidential nature of the review through contact with the Marin County MHSUS staff or members of the selection review committee.
10. A respondent may not be recommended for funding, regardless of the merits of the proposal submitted, if they have a history of contract non-compliance with any Marin County Health and Human Services (HHS) or other funding source and/or poor past or current contract with any HHS or other funding source. The respondent may be given a provisions award with the stipulation that special terms and conditions regarding the areas of concern will be a part of the contract.
11. Applicant acknowledges and agrees that the County is a public agency subject to the disclosure requirements of the California Public Records Act (“PRA”). If Applicant proprietary information is contained in documents or information submitted to the County, and Applicant claims that such information falls within one or more PRA exemptions, Contractor must clearly mark such information “CONFIDENTIAL AND PROPRIETARY,” and identify the specific lines containing the information. In the event of a request for such information, the County will make reasonable efforts to provide notice to Applicant prior to such disclosure. If Applicant contends that any documents are exempt from the PRA and wishes to prevent disclosure, it is required to obtain a protective order, injunctive relief or other appropriate remedy from a court of law in Marin County before the County’s deadline for responding to the PRA request. If Applicant fails to obtain such remedy within County’s deadline for responding to the PRA request, County may disclose the requested information without penalty or liability. Applicant further agrees that it shall defend, indemnify and hold County harmless against any
RFP-HHS-2014-20 11
claims, action or litigation (including but not limited to all judgments, costs, fees, and attorneys fees) that may result from denial by County of a PRA request for information arising from any representation or any action (or inaction), by the Applicant.
B. Submission Deadline and Format One (1) original application and three (3) additional copies of all documents must be received by 3:00pm on October 20, 2014 Submit applications to:
Jason Satterfield Marin County Department of Health and Human Services
899 Northgate Drive, San Rafael, CA 94903 San Rafael, California 94903
1. Proposals may not be faxed or electronically transmitted. Proposals must be received by
the date and time recited above. POST MARKS or delivery service marks will not be accepted. Proposals and/or modifications and/or corrections thereof, received after the deadline specified will not be considered.
2. Only proposals submitted in the format described within this RFP will be considered. Proposals must be submitted on standard 8-1/2" x 11", plain white paper, typed, single- spaced, in no less than 12-point typeface, with one-inch (1”) margins and pages numbered consecutively. Designer or hard covers are not permitted, and will be removed from proposals prior to their being shared with the review committee. Proposals shall be fastened in the top left-hand corner with a metal staple, clasp or other type of fastener.
3. A proposal may be rejected if incomplete and/or if it contains any alterations of form and/or other irregularities of sufficient magnitude or quantity to warrant a finding of being substantially non-compliant.
4. The County may in its discretion accept or reject in whole or in part any or all proposals, may cancel, amend or reissue the RFP at any time prior to contract approval and may waive any immaterial defect in a proposal. The County's waiver of an immaterial defect shall in no way modify the proposal requirements or excuse the applicant grantee from full compliance with the objective if awarded the contract.
C. Contact between Applicant and County
1. County staff contact: During the period from issuance of this RFP and the award of the contract to a successful applicant, contact regarding the specific subject of this RFP between potential or actual applicant and County staff is restricted under the terms of this section. Except as otherwise expressly authorized in this RFP, neither applicant nor County staff shall discuss, question or answer questions, or provide or solicit information, opinion, interpretation, or advocate or lobby regarding this RFP. A documented instance of such contact by an actual or potential applicant shall be grounds for disqualification from the process. County staff is defined as any County employees, agents or contractors involved in or connected with this RFP process.
2. Questions regarding the RFP: To maintain a fair and impartial process, all questions regarding this RFP must be submitted in writing via the County website and contain a contact name and address. The final date and time to submit questions in writing is 3:00 pm on October 6, 2014. All questions and responses will be available on the County website on or before October 8, 2014. No telephone consultation will be provided. Questions must be submitted via the County website at www.marinhhs.org/rfp.
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X. Application Review and Selection Process A. Application Review and Selection
Staff from the Department of Health and Human Services will conduct an initial technical review to ensure that the format requirements outlined in this RFP have been fulfilled. If any of the material format or substantive requirements are missing or incorrect, the application may be disqualified. All applications that pass the initial technical review will then be submitted to a proposal review committee that shall evaluate and rank the applications. The committee may consist of persons experienced in mental health services, alcohol and other drug program services, representatives from other county departments, representatives from local advisory boards, and any other individuals that the Health and Human Services deems capable and appropriate for the selection of potential providers. The committee shall not include potential contractors and no one on the committee may apply or assist others in applying for this contract. The purpose of the evaluation is to determine which applicants demonstrate the skills, expertise and experience to successfully perform the tasks specified in the RFP. Each committee member will read and score each application using a standardized scoring instrument. The scoring instrument will reflect the requirements of the RFP. The committee will make an award recommendation to the Division Director, who will make the final decision. Prior to making an award, the County may choose to conduct interviews with applicants. The purpose of the interviews would be to ask follow-up questions that may arise from the review committee and collect any additional information not gleaned from the proposals. The County may also request additional information necessary to determine the applicant’s financial stability, ability to perform on schedule or willingness to incorporate additional features in the application, and any other relevant information necessary to make the award. In the event no applicants or proposals are deemed acceptable for Marin County, the County may select to terminate the RFP process and operate by other means. Once a decision is made, a Notice of Intent to Award will be mailed to all applicants evaluated by the committee.
B. Post Award
Once the Notice of Intent to Award has been issued, the provider selected will be contacted to execute the County’s Standard Professional Services Contract. At that time, the selected provider and the County may discuss adjustments to the budget and/or the scope of work. However, no other provisions of the County’s Standard Professional Services Contract will be negotiated. Refer to Attachment C for a copy of the County’s Standard Professional Services Contract. The applicant grantee awarded a contract under this bid process will be required to adhere to the reporting requirements set forth by the Division of Mental Health and Substance Use Services, as well as to provide any additional data needed to satisfy other County, state or federal reporting requirements.
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For the duration of the contract period, contract renewals are contingent upon the continued availability of contract project funding (note: this is currently a one-time funded project), demonstration of progress in achieving measurable results to the County’s satisfaction and compliance with all contract requirements. Award of a contract under this process does not preclude the County from conducting another RFP process for these services at a future date.
C. Appeal
Should an applicant not accept the decision in the Notice of Intent to Award, the following appeal process may be exercised. The appellant applicant must file a Notice of Intent to Appeal with the County Office that issued the RFP. No other method of delivery will be accepted. The Notice of Intent to Appeal must be received at the address stated below no later than ten (10) working days after the Notice of Intent to Award letter has been posted and mailed to all participating applicants.
Sparkie Spaeth, Deputy Director Marin County Department of Health and Human Services
Division of Public Health 899 Northgate Drive, 4th Floor, San Rafael, CA 94903
The Notice of Intent to Appeal must include a full and complete written statement specifying the grounds for the appeal. Certified or registered mail must be used. The notice will be forwarded, through the appropriate administrative channels, to the Director of the Marin County Department of Health and Human Services, or designee. The Department Director or designee may review the original RFP proposal(s), the public notice, the Request for Proposal document, and the scoring instruments of the proposal review committee, and any other document deemed appropriate. The decision of the Department Director or designee shall be final.
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RFP-HHS-2014-20 14
Attachment B
BUDGET DETAIL
Total
Salaries, Wages & Benefits
$0
$0
$0
Sub-Total $0 $0 $0 $0
Employee Benefits $0
Total of Salaries & Benefits $0 $0 $0 $0
Services & Supplies
Office Supplies $0
Printing/Copying $0
Postage $0
Repairs & Maintenance $0
Rent $0
Utilities $0
Security $0
Communications $0
Advertising/Recruiting $0
Consultants - Acctg/Other $0
Educational Materials $0
Insurance $0
Vehicle Expense $0
Consultants - Medical $0
Lab Tests & Urinalysis $0
Medical Supplies $0
Training/Travel $0
$0
Total Services & Supplies $0.00 $0.00 $0.00 $0.00
Indirect Costs
Indirect Costs @ X % $0
TOTAL EXPENSE $0 $0 $0 $0
2
Workers’ Compensation: The Contractor acknowledges the State of California requires every employer to be insured against liability for workers’ compensation or to undertake self-insurance in accordance with the provisions of the Labor Code. If Contractor has employees, a copy of the certificate evidencing such insurance, a letter of self-insurance, or a copy of the Certificate of Consent to Self-Insure shall be provided to County prior to commencement of work. Errors and Omissions, Professional Liability or Malpractice Insurance. Contractor may be required to carry errors and omissions, professional liability or malpractice insurance. All policies shall remain in force through the life of this Contract and shall be payable on a "per occurrence" basis unless County specifically consents to a "claims made" basis. The insurer shall supply County adequate proof of insurance and/or a certificate of insurance evidencing coverages and limits prior to commencement of work. Should any of the required insurance policies in this Contract be cancelled or non-renewed, it is the Contractor’s duty to notify the County immediately upon receipt of the notice of cancellation or non-renewal. If Contractor does not carry a required insurance coverage and/or does not meet the required limits, the coverage limits and deductibles shall be set forth on a waiver, Exhibit C, attached hereto. Failure to provide and maintain the insurance required by this Contract will constitute a material breach of this Contract. In addition to any other available remedies, County may suspend payment to the Contractor for any services provided during any time that insurance was not in effect and until such time as the Contractor provides adequate evidence that Contractor has obtained the required coverage. 7. ANTI DISCRIMINATION AND ANTI HARASSMENT: Contractor and/or any subcontractor shall not unlawfully discriminate against or harass any individual including, but not limited to, any employee or volunteer of the County of Marin based on race, color, religion, nationality, sex, sexual orientation, age or condition of disability. Contractor and/or any subcontractor understands and agrees that Contractor and/or any subcontractor is bound by and will comply with the anti discrimination and anti harassment mandates of all Federal, State and local statutes, regulations and ordinances including, but not limited to, County of Marin Personnel Management Regulation (PMR) 21.
8. SUBCONTRACTING: The Contractor shall not subcontract nor assign any portion of the work required by this Contract without prior written approval of the County except for any subcontract work identified herein. If Contractor hires a subcontractor under this Contract, Contractor shall require subcontractor to provide and maintain insurance coverage(s) identical to what is required of Contractor under this Contract and shall require subcontractor to name Contractor and County of Marin as an additional insured under this Contract for general liability. It shall be Contractor’s responsibility to collect and maintain current evidence of insurance provided by its subcontractors and shall forward to the County evidence of same. 9. ASSIGNMENT: The rights, responsibilities and duties under this Contract are personal to the Contractor and may not be transferred or assigned without the express prior written consent of the County.
10. LICENSING AND PERMITS: The Contractor shall maintain the appropriate licenses throughout the life of this Contract. Contractor shall also obtain any and all permits which might be required by the work to be performed herein. 11. BOOKS OF RECORD AND AUDIT PROVISION: Contractor shall maintain on a current basis complete books and records relating to this Contract. Such records shall include, but not be limited to, documents supporting all bids, all income and all expenditures. The books and records shall be original entry books with a general ledger itemizing all debits and credits for the work on this Contract. In addition, Contractor shall maintain detailed payroll records including all subsistence, travel and field expenses, and canceled checks, receipts and invoices for all items. These documents and records shall be retained for at least five years from the completion of this Contract. Contractor will permit County to audit all books, accounts or records relating to this Contract or all books, accounts or records of any business entities controlled by Contractor who participated in this Contract in any way. Any audit may be conducted on Contractor's premises or, at County's option, Contractor shall provide all books and records within a maximum of fifteen (15) days upon receipt of written notice from County. Contractor shall refund any monies erroneously charged.
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12. WORK PRODUCT/PRE-EXISTING WORK PRODUCT OF CONTRACTOR: Any and all work product resulting from this Contract is commissioned by the County of Marin as a work for hire. The County of Marin shall be considered, for all purposes, the author of the work product and shall have all rights of authorship to the work, including, but not limited to, the exclusive right to use, publish, reproduce, copy and make derivative use of, the work product or otherwise grant others limited rights to use the work product. To the extent Contractor incorporates into the work product any pre-existing work product owned by Contractor, Contractor hereby acknowledges and agrees that ownership of such work product shall be transferred to the County of Marin.
13. TERMINATION:
A. If the Contractor fails to provide in any manner the services required under this Contract or otherwise fails to comply with the terms of this Contract or violates any ordinance, regulation or other law which applies to its performance herein, the County may terminate this Contract by giving five (5) calendar days written notice to the party involved.
B. The Contractor shall be excused for failure to perform services herein if such services are prevented by acts of God, strikes, labor disputes or other forces over which the Contractor has no control.
C. Either party hereto may terminate this Contract for any reason by giving thirty (30) calendar days written notice
to the other parties. Notice of termination shall be by written notice to the other parties and be sent by registered mail.
D. In the event of termination not the fault of the Contractor, the Contractor shall be paid for services performed to
the date of termination in accordance with the terms of this Contract so long as proof of required insurance is provided for the periods covered in the Contract or Amendment(s).
14. APPROPRIATIONS: The County's performance and obligation to pay under this Contract is contingent upon an annual appropriation by the Marin County Board of Supervisors, the State of California or other third party. Should the funds not be appropriated County may terminate this Contract with respect to those payments for which such funds are not appropriated. County will give Contractor thirty (30) days’ written notice of such termination. All obligations of County to make payments after the termination date will cease. Where the funding source for this Contract is contingent upon an annual appropriation or grant from the Marin County Board of Supervisors, the State of California or other third party, County's performance and obligation to pay under this Contract is limited by the availability of those funds. Should the funding source for this Contract be eliminated or reduced, upon written notice to Contractor, County may reduce the Maximum Cost to County identified in section 4 to reflect that elimination or reduction. 15. RELATIONSHIP BETWEEN THE PARTIES: It is expressly understood that in the performance of the services herein, the Contractor, and the agents and employees thereof, shall act in an independent capacity and as an independent Contractor and not as officers, employees or agents of the County. Contractor shall be solely responsible to pay all required taxes, including but not limited to, all withholding social security, and workers’ compensation.
16. AMENDMENT: This Contract may be amended or modified only by written Contract of all parties. 17. ASSIGNMENT OF PERSONNEL: The Contractor shall not substitute any personnel for those specifically named in its proposal unless personnel with substantially equal or better qualifications and experience are provided, acceptable to County, as is evidenced in writing.
18. JURISDICTION AND VENUE: This Contract shall be construed in accordance with the laws of the State of California and the parties hereto agree that venue shall be in Marin County, California.
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19. INDEMNIFICATION: Contractor agrees to indemnify, defend, and hold County, its employees, officers, and agents, harmless from any and all liabilities including, but not limited to, litigation costs and attorney’s fees arising from any and all claims and losses to anyone who may be injured or damaged by reason of Contractor’s negligence, recklessness or willful misconduct in the performance of this Contract. 20. COMPLIANCE WITH APPLICABLE LAWS: The Contractor shall comply with any and all Federal, State and local laws and resolutions: including, but not limited to the County of Marin Nuclear Free Zone, Living Wage Ordinance, and Board of Supervisors Resolution #2005-97 prohibiting the off-shoring of professional services involving employee/retiree medical and financial data affecting services covered by this Contract. Copies of any of the above-referenced local laws and resolutions may be secured from the Contract Manager referenced in section 21. In addition, the following NOTICES may apply:
1. Pursuant to California Franchise Tax Board regulations, County will automatically withhold 7% from all payments made to vendors who are non-residents of California.
2. Contractor agrees to meet all applicable program access and physical accessibility requirements under State and Federal laws as may apply to services, programs or activities for the benefit of the public.
3. For Contracts involving any State or Federal grant funds, Exhibit D must be attached. Exhibit D shall
consist of the printout results obtained by search of the System for Award Management at www.sam.gov. Exhibit D - Debarment Certification By signing and submitting this Contract, the Contractor is agreeing to abide by the debarment requirements as set out below.
The certification in this clause is a material representation of fact relied upon by County.
The Contractor shall provide immediate written notice to County if at any time the Contractor learns that its
certification was erroneous or has become erroneous by reason of changed circumstances.
Contractor certifies that none of its principals, affiliates, agents, representatives or contractors are excluded, disqualified or ineligible for the award of contracts by any Federal agency and Contractor further certifies to the best of its knowledge and belief, that it and its principals:
Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded by any Federal Department or Agency; Have not been convicted within the preceding three-years of any of the offenses listed in 2 CFR
180.800(a) or had a civil judgment rendered against it for one of those offenses within that time period;
Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or Local) with commission of any of the offenses listed in 2 CFR 180.800(a);
Have not had one or more public transactions (Federal, State, or Local) terminated within the
preceding three-years for cause or default. The Contractor agrees by signing this Contract that it will not knowingly enter into any subcontract or covered
transaction with a person who is proposed for debarment, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction.
The Contractor to this Contract and any subcontractor will provide a debarment certification that includes the
debarment clause as noted in preceding bullets above, without modification.
5
21. NOTICES: This Contract shall be managed and administered on County’s behalf by the Department Contract Manager named below. All invoices shall be submitted and approved by this Department and all notices shall be given to County at the following location:
Contract Manager:
Dept./Location:
Telephone No.:
Notices shall be given to Contractor at the following address(es):
Contractor: Address:
Telephone No.:
Contractor: Address:
Telephone No.:
22. ACKNOWLEDGEMENT OF EXHIBITS: Check applicable Exhibits CONTRACTOR’S
INITIALS EXHIBIT A.
Scope of Services
EXHIBIT B.
Fees and Payment
EXHIBIT C.
Insurance Reduction/Waiver
EXHIBIT D.
Contractor’s Debarment Certification
EXHIBIT E.
Subcontractor’s Debarment Certification
OTHER REQUIRED EXHIBITS (HHS USE ONLY)
IN WITNESS WHEREOF, the parties have executed this Contract on the date first above written. CONTRACTOR: APPROVED BY COUNTY OF MARIN: By: _________________________________ _ Name: ___________________________ Title: ___________________________ By:__________________________________
COUNTY COUNSEL REVIEW AND APPROVAL (required if template content has been modified) County Counsel: _______________________________________ Date: ____________________________________
EXHIBIT “A” SCOPE OF SERVICES
EXHIBIT “B”
FEES AND PAYMENT SCHEDULE
EXHIBIT I - Alcohol, Drug and Tobacco Services to be Performed: 1.1 Services and work provided by Contractor at the County's request under this Agreement will be performed in a timely manner, and in accordance with applicable federal and state statutes and regulations, including, but not limited to, sections 96.126, 96.127, 96.128, 96.131, and 96.132, and all references therefrom, of the Alcohol, Drug Abuse, and Mental Health Administration (ADAMHA) Reauthorization Act, Public Law 106-310, the State of California Alcohol and/or Other Drug Program Certification Standards, and any and all guidelines promulgated by the State Department of Alcohol and Drug Programs and the Marin County Department of Health and Human Services to serve special populations and groups, as applicable, County laws, ordinances, regulations and resolutions; and in a manner in accordance with the standards and obligations of Contractor's profession. Contractor shall devote such time to the performance of services pursuant to this Agreement as may be reasonably necessary for the satisfactory performance of Contractor's obligations. The County shall maintain copies of all statutes, regulations, and guidelines for Contractor's use. 2. Program Evaluation: 2.1 Contractor shall maintain books, records, files, documents and other evidence directly pertinent to all work under this Agreement in sufficient detail to make possible an evaluation of services provided and compliance with State Department of Alcohol and Drug Programs Regulations, as applicable, and in accordance with accepted professional practice and accounting procedures for a minimum of four (4) years after the termination of the Agreement. Contractor agrees to extend to the State Department of Alcohol and Drug Programs and to the County and their designees the right to review and investigate records, programs, and procedures, as well as overall operation of Contractor's program with reasonable notice. 2.2 Formal evaluation of the program shall be made annually through a Provider Self-Audit and on-site visit. This evaluation shall result in a written report to the Contractor within fifteen (15) working days of the site visit. Any report that results from a site visit shall be submitted to the Contractor within fifteen (15) working days. Contractor shall submit a written response within thirty (30) working days of receipt of such report, and such response shall be part of the official written report provided for in this section. 2.3 Contractor shall meet the requirements of and participate in the management information system of the County Alcohol and Drug Program Office, and maintain fiscal, administrative, and programmatic records and such other data as may be required by the Chief of Alcohol and Drug Programs for program evaluation and research requirements. 3. Records: 3.1 Contractor and County mutually agree to maintain the confidentiality of Contractor's participant records, including billings, pursuant to Sections 11812(c) and 11879, Health and Safety Code, and Federal Regulations for Confidentiality of Alcohol and Drug Abuse Patient Records, dated June 9, 1987, the federal Health Insurance Portability and Accountability Act, and all other applicable State and Federal laws and any amendments. Contractor shall inform all its officers, employees, and agents of the confidentiality provisions of said regulations, and provide all necessary policies and procedures and training to ensure compliance. 4. Applicable Fee: 4.1 Contractor shall charge participant fees. No one shall be denied services based solely on ability or inability to pay. 4.2 Contractor shall perform eligibility and financial determinations in accordance with a fee schedule approved by the Chief of Alcohol and Drug Programs for this purpose. Individual income, expenses, and number of dependents shall be considered in formulating the fee schedule and in its utilization. 4.3 Contractor shall conduct community-centered fundraising activities, as appropriate. 5. Consideration: 5.1 Upon Contractor’s completion of services under this Agreement to County’s satisfaction, payment to Contractor shall be made monthly in accordance with the procedures set forth in Exhibits B and D, after receipt by County of billings made by Contractor on Provider Claim and Service Level Report forms. Format or other changes may be made by County to billing and report forms from time to time as needed and shall be furnished to Contractor for billing and reporting purposes. All billings and reports shall clearly reflect and in reasonable detail give information regarding the services for which the claim is being made. It is understood and agreed that County may withhold payment until receipt of billings and reports in the prescribed detail and format. Billings and reports shall be made and forwarded to County promptly at the end of each calendar month in order to reach the Division of Alcohol, Drug & Tobacco Programs, 10 N. San Pedro Rd., # 1013, San Rafael, CA 94903, not later than the 10th day of the month following the month in which the services for which billing is made were rendered. Payments received after that date may result in a delay in payment until the next monthly billing cycle. The payment for the month of September may be withheld pending receipt of the preceding year's Cost Report on continuing services contracts. 5.2 Contractor shall provide County with an annual Cost Report no later than ninety (90) days after the termination of this Agreement. In addition to the annual Cost Report, Contractor shall furnish County, within one hundred and eighty (180) days of close of Contractor fiscal year, a certified copy of an Audit Report from an independent CPA firm. This Audit Report shall cover Contractor's fiscal year which most nearly coincides with County's fiscal year. Contractors receiving federal funds shall comply with Office of Management and Budget (OMB) Circular Number A-133, Uniform
Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals, and other Nonprofit Organizations. Cost Report settlements shall be made when a proper Cost Report has been submitted to the County. The findings of the annual Cost Report shall be subject to an audit by County and State. The State of California may make such audits as it deems necessary for the purpose of determining reimbursement due to the County. 6. Nondiscrimination: 6.1 Contractor shall develop and implement policies and procedures that ensure: nondiscrimination in the provision of services based on a diagnosis of Acquired Immune Deficiency Syndrome (AIDS) or AIDS-related Complex (ARC), or upon testing positive for Human Immunodeficiency Virus (HIV); the prohibition of the use of HIV antibody testing as a screening criterion for program participation; training of all staff and all participants in AIDS-related problems, issues, and special recovery needs; provision of information to all participants regarding high-risk behaviors, safer sex practices, and perinatal transmission of HIV infection; and development of procedures for addressing the special needs and problems of those individuals who test positive for antibodies to HIV. No individual shall be required to disclose his or her HIV status. 7. Assignability: 7.1 Except as otherwise provided in this section, Contractor shall not subcontract any portion of the performance contemplated and provided for herein without prior written approval of County. Any subcontractor(s), independent Contractor(s) or any type of agent(s) or employees performing or hired to perform any term or condition of this Agreement on behalf of Contractor, (hereinafter referred to as the “Secondary Parties”), as may be allowed by this Agreement, shall comply with and be bound by each term and condition of this Agreement. Furthermore, Contractor shall be responsible for the Secondary Parties acts and satisfactory performance of the terms and conditions of this Agreement. 8. Nondiscrimination:
8.1 Contractor and/or any permitted subcontractor, shall not unlawfully discriminate against any individual based on race, religious creed, color, national origin, ancestry, medical condition, marital status, sex, sexual orientation, age, condition of disability, or any statutorily protected status. Contractor and/or any permitted subcontractor understands and agrees that Contractor and/or any permitted subcontractor is bound by and will comply with the nondiscrimination mandates of all Federal, State and local statutes, regulations and ordinances. In the performance of the terms of this Agreement, Contractor shall not discriminate against any employee or applicant for employment, or against any applicant for or beneficiary of services, because of race, sex, sexual orientation, HIV status, color, religion, ancestry, national origin, age, disability, or any other statutorily protected status. Contractor shall take affirmative action to ensure that applicants are employed and that employees are treated fairly during employment without regard to their race, sex, sexual orientation, HIV status, color, religion, ancestry, national origin, age, or disability. Such action shall include, but not be limited to, employment, upgrading, demotion or transfer, recruitment or recruitment advertising, lay-off or termination, rates of pay or other forms of compensation, and selection for training, including apprenticeship. Contractor shall post in conspicuous places, available to employees and applicants for employment, notices setting forth Fair Employment Practices outlined in this section. Contractor shall permit access to its records of employment, employment advertisements, application forms, and other pertinent data and records by the State Fair Employment Practice Commission, or any other agency of the State of California designated by the awarding authority, for the purpose of investigation to ascertain compliance with the Fair Employment Practices section of this Agreement. 9. CONTRACTOR’S COMPLIANCE WITH PROVISIONS OF STATE CONTRACT 9.1 The County receives funding from the California Department of Alcohol and Drug Programs pursuant to an annual contracting arrangement (hereinafter “State Contract”). The State Contract contains certain requirements pertaining to the privacy and security of personally identifiable information (hereinafter “PII”) and/or protected health information (hereinafter “PHI”) and requires that the County contractually obligate any of its subcontractors to also comply with these requirements. Contractor hereby agrees to be bound by, and comply with, any and all terms and conditions of the State Contract pertaining to the privacy and/or security of PII and/or PHI, a copy of which is attached to this Agreement as Attachment One. 9.2 Additionally, in the event the State Contract requires the County to notify the State of a breach of privacy and/or security of PII and/or PHI, Contractor shall, immediately upon discovery of a breach of privacy and/or security of PII and/or PHI by Contractor, notify County of such breach by telephone and email or facsimile. Contractor further agrees that it shall notify County of any such breaches prior to the time County is required to notify the State pursuant to the State Contract. 9.3 In the event the State Contract requires the County to pay any costs associated with a breach of privacy and/or security of PII and/or PHI, including but not limited to the costs of notification, Contractor shall pay on County’s behalf any and all such costs arising out of a breach of privacy and/or security of PII and/or PHI by Contractor.
EXHIBIT M: BUSINESS ASSOCIATE AGREEMENT
TERMS AND CONDITIONS To the extent Contractor is a business associate as defined under the Federal Health Insurance Portability and Accountability Act (“HIPAA”) and the HITECH Act, Contractor shall comply with the additional terms and conditions set forth in this Exhibit (“M”) to the Professional Services Contract (“PSC” or “Contract”). This Business Associate Agreement Exhibit “M” supplements and is made a part of the Contract by and between the County of Marin, referred to herein as Covered Entity (“CE”), and ________________________________________, referred to herein as Business Associate (“BA”), to which this Exhibit “M” is an incorporated attachment. RECITALS CE and BA have entered into a business relationship through which BA may receive Protected Health Information (“PHI”) (defined below) from CE or create, collect, transmit, retain, process or otherwise use PHI on behalf of CE pursuant to the terms of the Contract. CE and BA intend to protect the privacy and provide for the security of PHI disclosed to, created by, or in any manner used by, BA pursuant to the Contract in compliance with the Health Insurance Portability and Accountability Act of 1996, Public Law 104-191 (“HIPAA”), the Health Information Technology for Economic and Clinical Health Act, Public Law 111-005 (“the HITECH Act”), and regulations promulgated thereunder by the U.S. Department of Health and Human Services (the “HIPAA Regulations”) and other applicable laws. As part of the HIPAA Regulations, the Privacy Rule and the Security Rule (defined below) require CE to enter into a contract containing specific requirements with BA 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 (“C.F.R.”) and contained in this Exhibit “M”. In consideration of the mutual promises below and the exchange of information pursuant to this Exhibit “M”, the parties agree as follows: 1. Definitions
a. Breach shall have the meaning given to such term under the HITECH Act [42 U.S.C. Section 17921]. b. Business Associate shall have the meaning given to such term under the Privacy Rule, the Security Rule, and the
HITECH Act, including but not limited to, 42 U.S.C. Section 17938 and 45 C.F.R. Section 160.103. For purposes of this Exhibit “M”, use of the term Business Associate includes all Contractor agents, employees, contractors or other associates providing services or assistance to Contractor under the Contract.
c. Covered Entity shall have the meaning given to such term under the Privacy Rule and the Security Rule, including,
but not limited to, 45 C.F.R. Section 160.103. For purposes of this Contract, this term is intended to mean the County of Marin.
d. Data Aggregation shall have the meaning given to such term under the Privacy Rule, including, but not limited to,
45 C.F.R. Section 164.501.
e. Designated Record Set shall have the meaning given to such term under the Privacy Rule, including, but not limited to, 45 C.F.R. Section 164.501.
f. DHHS Secretary shall mean the Secretary of the U.S. Department of Health and Human Services. g. Electronic Health Record shall have the meaning given to such term in the HITECH Act, including, but not limited
to, 42 U.S.C. Section 17921. h. Electronic Protected Health Information means Protected Health Information that is maintained in or transmitted
by electronic media.
i. Health Care Operations shall have the meaning given to such term under the Privacy Rule, including, but not limited to, 45 C.F.R. Section 164.501.
j. Individual shall have the meaning given to such term under the Privacy Rule and the Security Rule, including, but
not limited to, 45 C.F.R. Section 160.103.
k. Privacy Rule shall mean the HIPAA Regulation that is codified at 45 C.F.R. Parts 160 and 164, Subparts A and E.
l. Protected Health Information or PHI means any information, whether oral or recorded in any form or medium: (i) that relates to the past, present or future physical or mental condition of an Individual; the provision of health care to an Individual; or the past, present or future payment for the provision of health care to an Individual; and (ii) that identifies the Individual or with respect to which there is a reasonable basis to believe the information can be used to identify the Individual, and shall have the meaning given to such term under the Privacy Rule, including, but not limited to, 45 C.F.R. Section 164.501. Protected Health Information includes Electronic Protected Health Information [45 C.F.R. Sections 160.103, 164.501].
m. Protected Information shall mean PHI provided by CE to BA or created or received by BA on CE’s behalf.
n. Security Rule shall mean the HIPAA Regulation that is codified at 45 C.F.R. Parts 160 and 164, Subparts A and C.
o. Unsecured PHI shall have the meaning given to such term under the HITECH Act and any guidance issued
pursuant to such Act including, but not limited to, 42 U.S.C. Section 17932(h). 2. Obligations of Business Associate
a. Permitted Uses. BA shall not use Protected Information except for the purpose of performing BA’s obligations under the Contract and as permitted under the Contract and this Exhibit “M”. Further, and notwithstanding anything to the contrary above, BA shall not use Protected Information in any manner that would constitute a violation of the Privacy Rule or the HITECH Act if so used by CE. However, BA may use Protected Information (i) for the proper management and administration of BA, (ii) to carry out the legal responsibilities of BA, or (iii) for Data Aggregation purposes for the Health Care Operations of CE [45 C.F.R. Sections 164.504(e)(2)(ii)(A) and 164.504(e)(4)(i)].
b. Permitted Disclosures. BA shall not disclose Protected Information except for the purpose of performing BA’s
obligations under the Contract and as permitted under the Contract and this Exhibit “M”. Further, and notwithstanding anything to the contrary above, BA shall not disclose Protected Information in any manner that would constitute a violation of the Privacy Rule or the HITECH Act if so disclosed by CE. However, BA may disclose Protected Information (i) for the proper management and administration of BA; (ii) to carry out the legal responsibilities of BA; (iii) as required by law; or (iv) for Data Aggregation purposes for the Health Care Operations of CE. If BA discloses Protected Information to a third party, BA must obtain, prior to making any such disclosure, (i) reasonable written assurances from such third party that such Protected Information will be held confidential as provided pursuant to this Exhibit “M” and only disclosed as required by law or for the purposes for which it was disclosed to such third party, and (ii) a written agreement from such third party to immediately notify BA of any breaches of confidentiality of the Protected Information, to the extent it has obtained knowledge of such breach [42 U.S.C. Section 17932; 45 C.F.R. Sections 164.504(e)(2)(i), 164.504(e)(2)(i)(B), 164.504(e)(2)(ii)(A) and 164.504(e)(4)(ii)].
c. Prohibited Uses and Disclosures. BA shall not use or disclose Protected Information for fundraising or marketing
purposes. BA shall not disclose Protected Information to a health plan for payment or health care operations purposes if the patient has requested this special restriction, and has paid out of pocket in full for the health care item or service to which the PHI solely relates 42 U.S.C. Section 17935(a). BA shall not directly or indirectly receive remuneration in exchange for Protected Information, except with the prior written consent of CE and as permitted by the HITECH Act, 42 U.S.C. section 17935(d)(2); however, this prohibition shall not affect payment by CE to BA for services provided pursuant to the Contract.
d. Appropriate Safeguards. BA shall implement appropriate administrative, physical and technical safeguards as are
necessary to prevent the use or disclosure of Protected Information otherwise than as permitted by the Contract that reasonably and appropriately protect the confidentiality, integrity and availability of the Protected Information, in accordance with 45 C.F.R. Sections 164.308, 164.310, and 164.312. [45 C.F.R. Section 164.504(e)(2)(ii)(B); 45 C.F.R. Section 164.308(b)]. BA shall comply with the policies and procedures and documentation requirements of the Security Rule, including, but not limited to, 45 C.F.R. Section 164.316. [42 U.S.C. Section 17931]
e. Reporting of Improper Access, Use or Disclosure. Unless stricter reporting requirements apply in accordance
with federal or state laws or regulations, other provisions of the Contract, or this Exhibit “M”, BA shall report to CE in writing of any access, use or disclosure of Protected Information not permitted by the Contract and this Exhibit “M”, and any Breach of Unsecured PHI of which it becomes aware without unreasonable delay and in no case later than five (5) business days after discovery [42 U.S.C. Section 17921; 45 C.F.R. Section 164.504(e)(2)(ii)(C); 45 C.F.R. Section 164.308(b)]. BA shall provide notice to CE as set forth in paragraph 6.
f. Business Associate’s Agents. BA shall ensure that any agents, including subcontractors, to whom it provides
Protected Information, agree in writing to the same restrictions and conditions that apply to BA with respect to such PHI and implement the safeguards required by paragraph d above with respect to PHI [45 C.F.R. Section 164.504(e)(2)(ii)(D); 45 C.F.R. Section 164.308(b)]. BA shall implement and maintain sanctions against agents and subcontractors that violate such restrictions and conditions and shall mitigate the effects of any such violation (see 45 C.F.R. Sections 164.530(f) and 164.530(e)(1)).
g. Access to Protected Information. BA shall make Protected Information maintained by BA or its agents or
subcontractors in Designated Record Sets available to CE for inspection and copying within ten (10) business days of a request by CE to enable CE to fulfill its obligations under the Privacy Rule, including, but not limited to, 45 C.F.R. Section 164.524 [45 CF.R. Section 164.504(e)(2)(ii)(E)]. If BA maintains an Electronic Health Record, BA shall provide such information in electronic format to enable CE to fulfill its obligations under the HITECH Act, including, but not limited to, 42 U.S.C. Section 17935(e). If any Individual requests access to protected Information directly from BA or its agents or subcontractors, BA shall inform the CE of the request without unreasonable delay, in any event no later than three (3) days of receipt of the request. If the CE permits the disclosure, the CE will inform the BA within two (2) days of the receipt of the request from BA, Whereupon the BA will be authorized to provide access to the client.
h. Amendment of PHI. Within ten (10) business days of receipt of a request from CE for an amendment of Protected
Information or a record about an Individual contained in a Designated Record Set, BA or its agents or subcontractors shall make such Protected Information available to CE for amendment and incorporate any such amendment to enable CE to fulfill its obligations under the Privacy Rule, including, but not limited to, 45 C.F.R. Section 164.526. If any Individual requests an amendment of Protected Information directly from BA or its agents or subcontractors, BA must notify CE in writing within five (5) business days of the request. Any approval or denial of amendment of Protected Information maintained by BA or its agents or subcontractors shall be the responsibility of CE [45 C.F.R. Section 164.504(e)(2)(ii)(F)].
i. Accounting Rights. Within ten (10) business days of notice by CE of a request for an accounting of disclosures of
Protected Information, BA and its agents or subcontractors shall make available to CE the information required to provide an accounting of disclosures to enable CE to fulfill its obligations under the Privacy Rule, including, but not limited to, 45 C.F.R. Section 164.528, and the HITECH Act, including but not limited to 42 U.S.C. Section 17935(c), as determined by CE. BA agrees to implement a process that allows for an accounting to be collected and maintained by BA and its agents or subcontractors for at least six (6) years prior to the request. However, accounting of disclosures from an Electronic Health Record for treatment, payment or health care operations purposes are required to be collected and maintained for only three (3) years prior to the request, and only to the extent that BA maintains an Electronic Health Record and is subject to this requirement. At a minimum, the information collected and maintained shall include: (i) the date of disclosure; (ii) the name of the entity or person who received Protected Information and, if known, the address of the entity or person; (iii) a brief description of Protected Information disclosed and (iv) a brief statement of purpose of the disclosure that reasonably informs the Individual of the basis for the disclosure, or a copy of the Individuals’ authorization, or a copy of the written request for disclosure. In the event that the request for an accounting is delivered directly to BA or its agents or subcontractors, BA shall within five (5) business days of a request forward it to CE in writing. However, it shall be BA’s responsibility to prepare and deliver any such accounting requested and to do so in accordance with law. BA shall not disclose any Protected Information except as set forth in Sections 2.b. of this Exhibit “M” [45 C.F.R. Sections 164.504(e)(2)(ii)(G) and 165.528].
j. Governmental Access to Records. BA shall make its internal practices, books and records relating to the use,
disclosure and privacy protection of Protected Information available to CE and to the DHHS Secretary for purposes of determining BA’s compliance with the Privacy Rule [45 C.F.R. Section 164.504(e)(2)(ii)(H)]. BA shall provide to CE a copy of any Protected Information that BA provides to the DHHS Secretary concurrently with providing such Protected Information to the DHHS Secretary.
k. Minimum Necessary. BA and its agents or subcontractors shall request, use and disclose only the minimum
amount of Protected Information necessary to accomplish the purpose of the request, use, or disclosure. [42 U.S.C. Section 17935(b); 45 C.F.R. Section 164.514(d)(3)] BA understands and agrees that the definition of “minimum necessary” is in flux and shall keep itself informed of guidance issued by the DHHS Secretary with respect to what constitutes “minimum necessary.”
l. Data Ownership. BA acknowledges that BA has no ownership rights with respect to the Protected Information. The
CE is the owner of all protected information and/or records containing such PHI provided to BA pursuant to the Contract or this Exhibit “M.”
m. Notification of Breach. Unless stricter reporting requirements apply in accordance with federal or state laws or
regulations, other provisions of the Contract, or this Exhibit “M”, BA shall notify CE within twenty-four (24) hours of any suspected or actual breach of security, intrusion or unauthorized use or disclosure of PHI of which BA becomes aware and/or any actual or suspected use or disclosure of data in violation of any applicable federal or state laws or regulations. Unless CE provides BA with written notice within 3 (three) business days that it will undertake such obligations on behalf of BA, BA shall take (i) prompt corrective action to cure any such deficiencies and (ii) any action pertaining to such unauthorized disclosure required by applicable federal and state laws and regulations. The parties agree that CE has the sole discretion to determine whether or not it will undertake such obligations on
behalf of BA and that, if it does, CE has the right to require BA to pay for any or all costs associated therewith. BA shall provide notice to CE as set forth in paragraph 6.
n. Breach Pattern or Practice by Covered Entity. Pursuant to 42 U.S.C. Section 17934(b), if the BA knows of a
pattern of activity or practice of the CE that constitutes a material breach or violation of the CE’s obligations under the Contract or this Exhibit “M” or other arrangement, the BA must take reasonable steps to cure the breach or end the violation. If the steps are unsuccessful, the BA must terminate the Contract or other arrangement if feasible, or if termination is not feasible, report the problem to the DHHS Secretary. BA shall provide written notice to CE of any pattern of activity or practice of the CE that BA believes constitutes a material breach or violation of the CE’s obligations under the Contract or this Exhibit “M” or other arrangement within five (5) business days of discovery and shall meet with CE to discuss and attempt to resolve the problem as one of the reasonable steps to cure the breach or end the violation. BA shall provide notice to CE as set forth in paragraph 6.
o. Audits, Inspection and Enforcement. Within ten (10) days of a written request by CE, BA and its agents or
subcontractors shall allow CE to conduct a reasonable inspection of the facilities, systems, books, records, agreements, contracts, policies and procedures relating to the use or disclosure of Protected Information pursuant to this Exhibit “M” for the purpose of determining whether BA has complied with this Exhibit; provided, however, that (i) BA and CE shall mutually agree in advance upon the scope, timing and location of such an inspection, (ii) CE shall protect the confidentiality of all confidential and proprietary information of BA to which CE has access during the course of such inspection; and (iii) CE shall execute a nondisclosure agreement, upon terms mutually agreed upon by the parties, if requested by BA. The fact that CE inspects, or fails to inspect, or has the right to inspect, BA’s facilities, systems, books, records, agreements, contracts, policies and procedures does not relieve BA of its responsibility to comply with this Exhibit “M”, nor does CE’s (i) failure to detect or (ii) detection, but failure to notify BA or require BA’s remediation of any unsatisfactory practices, constitute acceptance of such practice or a waiver of CE’s enforcement rights under the Contract or this Exhibit “M”. BA shall notify CE within ten (10) business days of learning that BA has become the subject of an audit, compliance review, or complaint investigation by the Office for Civil Rights.
3. Termination of Contract
a. Material Breach. A breach by BA of any provision of this Exhibit “M”, as determined by CE, shall constitute a material breach of the Contract and shall provide grounds for immediate termination of the Contract, any provision in the Contract to the contrary notwithstanding. [45 C.F.R. Section 164.504(e)(2)(iii)].
b. Judicial or Administrative Proceedings. Notwithstanding any provision in the Contract to the contrary, CE may
terminate the Contract, effective immediately, if (i) BA is named as a defendant in a criminal proceeding for a violation of HIPAA, the HITECH Act, the HIPAA Regulations or other security or privacy laws or (ii) a finding or stipulation that the BA has violated any standard or requirement of HIPAA, the HITECH Act, the HIPAA Regulations or other security or privacy laws is made in any administrative or civil proceeding in which the party has been joined.
c. Effect of Termination. Upon termination of the Contract for any reason, BA shall, at the option of CE, return or
destroy all Protected Information that BA or its agents or subcontractors still maintain in any form, and shall retain no copies of such Protected Information. If return or destruction is not feasible, as determined by CE, BA shall continue to extend the protections of Section 2 of this Exhibit “M” to such information, and limit further use of such PHI to those purposes that make the return or destruction of such PHI infeasible. [45 C.F.R. Section 164.504(e)(ii)(2(I)]. If CE elects destruction of the PHI, BA shall certify in writing to CE that such PHI has been destroyed.
4. Indemnification In addition to any other indemnification and defense obligation under the Contract, BA will indemnify, defend and hold harmless CE and it’s respective employees, directors, officers, subcontractors, agents and affiliates from and against all claims, actions, damages, losses, liabilities, fines, penalties, costs or expenses, including without limitation reasonable attorney’s fees, suffered by CE from or in connection with any breach of Exhibit “M”, or any negligent or wrongful acts or omissions in connection with this Exhibit “M”, by BA or its employees, directors, officers, subcontractors or agents. 5. Insurance BA shall maintain insurance with respect to BA’s obligations under the Contract and this Exhibit “M” reasonably satisfying to CE and provide from time to time as requested by CE proof of such insurance. 6. Notices Any notice to be given under this Exhibit “M” to CE shall be made via overnight mail or hand delivery at CE’s address given below and by providing telephonic notification as specified below. Any such notice shall be deemed given when so delivered to or received at the proper address. Notice to CE:
a. Privacy Officer – Department of Health and Human Services, 3240 Kerner Blvd, San Rafael, CA 94901. b. Compliance and breach reporting line – (415) 473-2973.
Notice to BA: [insert address] 7. Disclaimer CE makes no warranty or representation that compliance by BA with this Exhibit “M”, HIPAA, the HITECH Act, or the HIPAA Regulations will be adequate or satisfactory for BA’s own purposes. BA is solely responsible for all decisions made by BA regarding the safeguarding of PHI. 8. Certification To the extent that CE determines that such examination is necessary to comply with CE’s legal obligations pursuant to HIPAA relating to certification of its security practices, CE or its authorized agents or contractors, may, at CE’s expense, examine BA’s facilities, systems, procedures and records as may be necessary for such agents or contractors to certify to CE the extent to which BA’s security safeguards comply with HIPAA, the HITECH Act, the HIPAA Regulations or this Exhibit. 9. Amendment
a. Amendment to Comply with Law. The parties acknowledge that state and federal laws relating to data security and privacy are rapidly evolving and that amendment of the Contract or this Exhibit “M” may be required to provide for procedures to ensure compliance with such developments. The parties specifically agree to take such action as is necessary to implement the standards and requirements of HIPAA, the HITECH Act, the Privacy Rule, the Security Rule and other applicable laws relating to the security or confidentiality of PHI. The parties understand and agree that CE must receive satisfactory written assurance from BA that BA will adequately safeguard all Protected Information. Upon the request of either party, the other party agrees to promptly enter into negotiations concerning the terms of an amendment to this Exhibit “M” embodying written assurances consistent with the standards and requirements of HIPAA, the HITECH Act, the Privacy Rule, the Security Rule or other applicable laws. CE may terminate the Contract upon thirty (30) days written notice in the event (i) BA does not promptly enter into negotiations to amend the Contract or this Exhibit “M” when requested by CE pursuant to this Section or (ii) BA does not enter not enter into an amendment to the Contract or this Exhibit “M” providing assurances regarding the safeguarding of PHI that CE, in its sole discretion, deems sufficient to satisfy the standards and requirements of applicable laws.
b. Amendment of Exhibit “M”. This Exhibit “M” may be modified or amended at any time without amendment of the
Contract, but only by written agreement of the parties. 10. Assistance in Litigation of Administrative Proceedings BA shall make itself, and any subcontractors, employees or agents assisting BA in the performance of its obligations under the Contract, available to CE, at no cost to CE, to testify as witnesses, or otherwise, in the event of litigation or administrative proceedings being commenced against CE, its directors, officers or employees based upon a claimed violation of HIPAA, the HITECH Act, the Privacy Rule, the Security Rule, or other laws relating to security and privacy, except where BA or its subcontractor, employee or agent is a named adverse party. 11. No Third-Party Beneficiaries Nothing expressed or implied in the Contract or this Exhibit “M” is intended to confer, nor shall anything herein confer, upon any person other than CE, BA and their respective successors or assigns, any rights, remedies, obligations or liabilities whatsoever. 12. Effect on Contract Except as specifically required to implement the purposes of this Exhibit “M”, or to the extent inconsistent with this Exhibit “M”, all other terms of the Contract shall remain in force and effect. 13. Interpretation The provisions of this Exhibit “M” shall prevail over any provisions in the Contract that may conflict or appear inconsistent with any provision in this Exhibit “M”. This Exhibit “M” and the Contract shall be interpreted as broadly as necessary to implement and comply with HIPAA, the HITECH Act, the Privacy Rule and the Security Rule. The parties agree that any ambiguity in this Exhibit “M” shall be resolved in favor of a meaning that complies and is consistent with HIPAA, the HITECH Act, the Privacy Rule and the Security Rule. 14. Survival of Provisions Excepting only the provisions regarding BA’s use or disclosure of Protected Information for the purpose of performing BA’s obligations under the Contract, the terms of this Exhibit “M” shall survive the termination of the Contract so long as PHI obtained or generated during the term of the Contract is retained by BA.