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Texas Department of Family and Protective Services
H. L. Whitman, Jr., Commissioner
Open Enrollment For
Substance Use Disorder (SUD) Services
Enrollment Number: HHS0000019
Enrollment Period Opens: July 11, 2017
Enrollment Period Closes: August 31, 2022*
*Unless extended by DFPS
NIGP Class/Item Code:
952-06
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TABLE OF CONTENTS
1. GENERAL INFORMATION.........................................................................................................41.1. INTRODUCTION.......................................................................................................................... 41.2. SCOPE...................................................................................................................................... 51.3. DFPS MISSION......................................................................................................................... 51.4. POINT OF CONTACT................................................................................................................... 51.5. PROCUREMENT SCHEDULE.........................................................................................................61.6. AMENDMENTS AND ANNOUNCEMENTS REGARDING THIS PEN......................................................61.7. ELIGIBLE APPLICANTS................................................................................................................61.8. DELIVERY OF NOTICES...............................................................................................................7
2. STATEMENT OF WORK.............................................................................................................82.1. PROGRAM PURPOSE.................................................................................................................. 82.2. NEED FOR SERVICE................................................................................................................... 82.3. SERVICE DELIVERY AREA(S)......................................................................................................82.4. ELIGIBLE POPULATION...............................................................................................................82.5. CLIENT CHARACTERISTICS.........................................................................................................82.6. MINIMUM QUALIFICATIONS..........................................................................................................82.7. INSURANCE STANDARDS............................................................................................................92.8. SERVICE AUTHORIZATION AND REFERRAL.................................................................................102.9. INITIAL CONTACT..................................................................................................................... 112.10. MISSED OR CANCELLED APPOINTMENTS...................................................................................112.11. MAJOR SERVICE DELIVERABLES...............................................................................................122.12. DEVELOP, MANAGE, AND MAINTAIN QUALITY.............................................................................182.13. PROVIDE CONTRACT MAINTENANCE.........................................................................................182.14. SUBCONTRACTORS.................................................................................................................. 182.15. REQUIRED RECORD KEEPING...................................................................................................202.16. REQUIRED REPORTS................................................................................................................222.17. GOAL AND PERFORMANCE MEASURES......................................................................................242.18. CONTINUITY OF TREATMENT CARE...........................................................................................25
3. UTILIZATION AND COMPENSATION......................................................................................263.1. UTILIZATION............................................................................................................................. 263.2. COMPENSATION.......................................................................................................................263.3. INVOICING PROCESS................................................................................................................283.4. SUFFICIENT RESOURCES..........................................................................................................29
4. HISTORICALLY UNDERUTILIZED BUSINESSES (HUB)........................................................305. RESPONSE INFORMATION AND REQUIREMENTS..............................................................31
5.1. USE OF IDEAS BY THE STATE OF TEXAS...................................................................................315.2. PROPERTY OF DFPS...............................................................................................................315.3. COPYRIGHT RESTRICTIONS......................................................................................................315.4. NEWS RELEASES..................................................................................................................... 315.5. HOLD FIRM STATEMENT...........................................................................................................315.6. COSTS INCURRED.................................................................................................................... 315.7. ATTACHED TERMS................................................................................................................... 325.8. ERRORS WITHIN PEN..............................................................................................................325.9. PEN CANCELLATION/PARTIAL AWARD/NON-AWARD..................................................................325.10. RIGHT TO REJECT RESPONSES OR PORTIONS OF REPONSES....................................................325.11. AMENDMENTS TO RESPONSES.................................................................................................325.12. JOINT RESPONSES................................................................................................................... 32
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5.13. WITHDRAWAL OF RESPONSES..................................................................................................325.14. DEBRIEFING............................................................................................................................. 325.15. PROTEST PROCEDURES...........................................................................................................325.16. WRITTEN QUESTIONS..............................................................................................................335.17. RESPONSE SUBMISSION INSTRUCTIONS....................................................................................33
6. EVALUATION............................................................................................................................ 366.1. SCREENING............................................................................................................................. 366.2. BEST VALUE FACTORS.............................................................................................................366.3. NON-RESPONSIVE APPLICATIONS.............................................................................................376.4. CORRECTIONS TO A RESPONSE................................................................................................386.5. REVIEW AND VALIDATION OF APPLICATIONS..............................................................................386.6. ADDITIONAL INFORMATION........................................................................................................386.7. CONTRACT AWARD.................................................................................................................. 38
7. GLOSSARY............................................................................................................................... 398. DOCUMENT EXHIBIT LIST......................................................................................................48
Exhibit A DFPS Vendor Contract Terms & ConditionsExhibit B DFPS Vendor Special ConditionsExhibit C DFPS General AffirmationsExhibit D DFPS Service Delivery Areas-Texas and Regional MapsExhibit E Performance MeasuresExhibit F Fee Schedule
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1. General Information
1.1. Introduction
1.1.1. Provider Enrollment (PEN) and Resulting ContractThis PEN, Enrollment Number HHS0000019, begins with §1 and concludes with §8.
The contracts resulting from this PEN consist of this solicitation document, the Application and Contract (Form 2280PEN); supporting documents submitted by the Applicant, contract plans, and all attachments and forms named and incorporated by reference. Accordingly, some language may be written in a manner that presents content as contractual language, rather than provider enrollment solicitation language, but should be regarded as applicable to both the PEN and the resulting Contract.
1.1.2. Terms and ConditionsThe terms and conditions outlined throughout this solicitation govern the PEN and any resulting contract. Any Contract awarded under this PEN includes the following: The current version of DFPS Vendor Uniform Terms and Conditions (UTC) -
Form 5645V which Contractor can access at Section 8, Exhibit A.
Form 5622V – DFPS Vendor Special Conditions -- which Contractor can access at Section 8, Exhibit B.
DFPS General Affirmations - Form 5647, which contractor can access at Section 8, Exhibit C.
Subcontractors must also comply with applicable DFPS Vendor Uniform Terms and Conditions.
1.1.3. Effective Date of ContractThe effective date of a contract awarded from this PEN will be the date entered by DFPS after contract award on Form 2280PEN, Application and Contract.
1.1.4. Substance Use Disorder Services BackgroundSafety and well-being of children in Texas has always been the goal of the Department of Family and Protective Services (DFPS) and more specifically Child Protective Services (CPS). DFPS will use Substance Use Disorder (SUD) Services to help assess and treat adults; and make placement decisions that are in the best interest of the child.
Services procured under this solicitation are intended to support the safety of children based on the definition of a child being safe. A child is not safe when:
1.1.4.1. Threats of dangers exist in the family related to substance use;1.1.4.2. The child is vulnerable to such threats; and 1.1.4.3. The parent who is using substances does not have sufficient protective capacities
to manage or control threats.
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1.2. ScopeThe State of Texas, by and through the Texas Department of Family and Protective Services (DFPS or the Department) and pursuant to its authority under Texas Human Resources Code §40.058, seeks to enter into contracts under its Child Protective Services (CPS) program with evaluation and treatment providers of substance use disorder services in accordance with the specifications contained in and referenced by this Provider Enrollment (PEN).
1.3. DFPS MissionThe mission of DFPS is to protect children, the elderly, and people with disabilities from abuse, neglect, and exploitation by working with clients, families, and communities.
1.4. Point of ContactThe Point of Contact for inquiries concerning this enrollment until the completion of the initial application screening is:
Point of Contact: Delayne Williams, Purchased Client Services Support
Address: Texas Department of Family & Protective Services701 W. 51st Street; MC E-541Austin, Texas 78751
Email: [email protected]
Applicant must direct all communications and questions relating to this PEN to the Point of Contact named above.
1.4.1. Application Delivery OptionsApplicants are encouraged but not required to submit Application via email. See §5.18 for additional instructions regarding submission of responses to PEN.
1.4.1.1. EmailPEN response may be delivered electronically via email to:
1.4.1.2. Delivery ServicePEN response may be delivered in hard copy via a delivery service addressed as follows:
Table 1 - Delivery Options
U.S. Postal Service and Overnight Express Mail or Hand Deliver
Texas Department of Family & Protective ServicesAttn: Delayne Williams
701 W. 51st Street; MC E-541Austin, Texas 78751
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1.5. Procurement ScheduleAll dates are subject to change at discretion of DFPS.
Table 2 - Procurement SchedulePEN Enrollment Period Opens1 July 11, 2017PEN Enrollment Period Closes August 31, 2022
Anticipated Contract Start Date Approximately Sixty days (60) after all screening requirements are met.
1.6. Amendments and Announcements Regarding this PENHHSC will post all official communication regarding this PEN on the HHS Enrollment Opportunities web page (https://apps.hhs.texas.gov/pcs/openenrollment.cfm). DFPS reserves the right to revise the PEN at any time. It is the responsibility of each Applicant to comply with any changes, amendments, or clarifications posted to the HHS Enrollment Opportunities page. Applicants must check the HHS Enrollment Opportunities page frequently for changes and notices of matters affecting the PEN.
Applicant or Contractor’s failure to periodically check the HHS Enrollment Opportunities page will in no way release the selected Contractor from “addenda or additional information” resulting in additional costs to meet the requirements of the PEN.
1.7. Eligible ApplicantsEntities eligible to contract with DFPS are:
1.7.1. Not barred or suspended from participating in Federal contracts;
1.7.2. Not barred from participating in state contracts under Government Code § 2155.077;
1.7.3. On the date of its submittal of an application in response to this PEN, the holder, in its name, must have a license to operate as a Substance Abuse Treatment Facility (SATF), also known as Chemical Dependence Treatment Facility (CDTF) by the Department of State Health Services (DSHS) to provide SUD Services. The license must include the Region covered by the application. Applicant must remain appropriately licensed throughout the screening process and any resulting contract including any renewals.
1.8. Delivery of NoticesAny notice required or permitted under this Contract by one party to the other party must be in writing and correspond with the contact information noted in this section. At all times, Contractor will maintain and monitor at least one active electronic mail (email) address for the receipt of Contract-related communications from DFPS. It is the Contractor's responsibility to monitor this email address for Contract-related information.
1 DFPS accepts applications throughout the enrollment period, award recommendations are made as screening is completed. Applicants should not wait until the end of the enrollment period to submit applications.
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2. Statement of Work
2.1. Program PurposeThe purpose of the Child Protective Services (CPS) Program is to protect children and to act in the children’s best interest. CPS focuses on children and their families and seeks active involvement of the children’s parents and other family members to solve problems that lead to abuse or neglect. The objectives of CPS are to:
2.1.1. Prevent further harm to children and to keep children with their families when possible;
2.1.2. Provide permanence for children in substitute care by resolving safety threats or enhancing parental protective capacities and returning children to their families; and
2.1.3. Provide permanence for children who cannot return to their families.
2.2. Need for ServiceDFPS seeks to Contract with qualified providers to assist CPS in achieving program purpose and objectives by providing Substance Use Disorder Services. DFPS does not guarantee any minimum level of utilization or specific number of referrals. Utilization rate will vary according to the needs of staff, individual client needs and regional allocations. The final decision for use, partial use, and non-use of these professional services lies within the authority of DFPS.
2.3. Service Delivery Area(s)SUD Services are purchased on a statewide basis; however, contracts are awarded on a regional basis. Contract is for the DFPS Region(s) specified in the Application and Contract, Form 2280PEN. The DFPS Regional map can be accessed at Section 8, Exhibit D.
DFPS may adjust the service delivery areas served by the Contractor at any time to meet the service needs of DFPS.
2.4. Eligible Population Individual adults referred directly by DFPS are eligible for services. DFPS determines eligibility; Contractor must serve all clients properly referred by DFPS.
2.5. Client CharacteristicsDue to the nature of DFPS responsibilities Contractor must be prepared to serve individuals with characteristics including, but not limited to:
2.5.1. Involuntary clients, especially for assessments;2.5.2. Parents or caregivers who are responsible for the care of abused and neglected
children and need these services as a means of preventing future abuse or neglect;2.5.3. Person(s) to whom a court has ordered DFPS to provide services;2.5.4. Person(s) who have been or are currently involved in the criminal justice system: or 2.5.5. Person(s) with limited English language proficiency.
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2.6. Minimum Qualifications
2.6.1. Minimum Organizational QualificationsThe Contractor must:
2.6.1.1. Be licensed as a Substance Abuse Treatment Facility (SATF), also known as Chemical Dependence Treatment Facility (CDTF) by the Department of State Health Services (DSHS) to provide Substance Use Disorder (SUD) Services.
2.6.1.2. Maintain licensure throughout the life of this contract and any renewals; and2.6.1.3. CDTF must be enrolled in Medicaid and Medicaid Managed Care program(s)
operating in their service area.
2.6.2. Minimum Staff QualificationsContractor will assign only qualified personnel to this Contract. Contractor must ensure service providers and staff responsible for their supervision is as allowed by SATF/CDTF licensure:
2.6.2.1. Qualified Credentialed Counselors (QCC) as defined by the DSHS licensure standard for assessment completion;
2.6.2.2. Have the necessary experience to perform the service; and2.6.2.3. Eligible as a Medicaid provider to perform and bill for the service.
DFPS has provided a resource for Contractors that supports services purchased under this PEN for certification and training in Trauma-Informed Child Welfare Practice, evidence based program interventions, and other resources at the DFPS website: http://www.dfps.state.tx.us/PCS/Regional_Contracts/forms.asp
SubstitutionsContractor, in its reasonable discretion, may substitute appropriate key personnel to accomplish its duties so long as the substituted personnel are equally qualified and skilled in the tasks necessary to accomplish the tasks and services required as identified under SATF/CDTF licensure. Contractor will provide to DFPS prior written notice of any proposed change in key personnel who will be involved in providing services under this Contract. DFPS will make the final determination whether staff is equally skilled and qualified.
2.7. Insurance StandardsContractor must submit insurance coverage documentation with the signed contract. DFPS will not execute a contract if this documentation is not provided or is found to not meet the insurance requirements.
2.7.1. Coverage must be provided through an insurance company licensed and authorized to do business in the State of Texas with a "B" or higher rating.
2.7.2. All policies and coverage are to be maintained throughout the contract term.
2.7.3. The required insurance types, endorsements and coverage are:
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2.7.3.1. Commercial General Liability CoverageA minimum coverage of one million dollar ($1,000,000) for each occurrence and two million dollar ($2,000,000) aggregate limit.
2.7.3.2. Professional LiabilityEach licensed professional service provider must secure professional liability insurance with the minimum limits of one million dollar ($1,000,000) for each occurrence and two million dollar ($2,000,000) aggregate limit.
Insurance may be provided as a blanket policy by the CDTF or by the individual professionally licensed employee of the CDTF.
2.7.3.3. Crime PolicyCommercial crime policy including:
2.7.3.3.1. Minimum coverage of twenty-five thousand $25,000 for each occurrence; and2.7.3.3.2. A third party endorsement.
2.7.4. Insurance VerificationIn order to mitigate risk under this contract, DFPS will require the Contractor to submit verification of insurance that meets or exceeds current minimum DFPS requirements and provide the Certificate of Insurance Form 4736, an ACORD Certificate of Insurance, or a copy of the policy before this contract is finally executed.
2.7.5. Contractor Notice to DFPS of Any Material ChangesContractor will immediately provide written notice to DFPS of any material changes to any document submitted under this Subsection; such notification include cancellation of coverage before the expiration date (i.e., end of policy period) of the applicable document.
2.8. Service Authorization and ReferralClients must be referred via Service Authorization Form (Form 2054), whether services are billable to DFPS or Texas Medicaid including Traditional Fee for Service or a Medicaid Managed Care Organization. The referral packet includes:
2.8.1. Authorization FormServices must be authorized on a valid Form 2054, Service Authorization prior to services being rendered. The individual case record must include Form 2054 and the Contractor must follow the specifics addressed in the form, including but not limited to:
2.8.1.1. The time limit specified;2.8.1.2. Services end at the earliest date, based on when one of these events occurs:
2.8.1.2.1. The number of units specified on Form 2054 have been delivered; or2.8.1.2.2. The request for service is withdrawn by DFPS.
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2.8.1.3. Specifics related to non-payment:The following claims will be subject to non-payment or collection.
2.8.1.3.1. Services or service types not specifically authorized by this contract, for example detoxification, and inpatient services;
2.8.1.3.2. Service claims that exceed the number of units;2.8.1.3.3. Services provided outside the time frames specified on the Form 2054;2.8.1.3.4. Services billed for a Medicaid eligible client without an acceptable denial
from Medicaid; or2.8.1.3.5. Missed appointments.
2.8.2. Referral FormThe referral must include a completed Form 2062, Referral for Substance Abuse Services Form.
2.8.3. Release of Confidential Information FormThe referral must include a completed Form 2063, Release of Confidential Information Form complete, signed and dated by the client.
2.8.3.1. Section 1 completed by DFPS;2.8.3.2. Section 2 must be completed by Contractor.
2.8.4. Additional Referral InformationIn addition, the referral packet may include:
2.8.4.1. A cover memo requesting the services;2.8.4.2. A description of the psychological testing report or other assessment; 2.8.4.3. A Family Plan of Service; and2.8.4.4. Other information that would help the Contractor provide appropriate services.
2.9. Initial ContactContractor must utilize an appropriate contact method designed to maximize the chances the referred individual will respond and honor appointment times and dates.
2.9.1. Contractor must contact client within three (3) business days of receipt of forms listed in §2.8, Service Authorization and Referral to schedule initial appointment.
2.9.2. Contractor must begin the authorized service within ten (10) business days of receipt of forms listed in §2.8.
2.9.3. EmergencyIt is anticipated that emergency situations may occur requiring a need for expedited services. Contractor must work closely with DFPS to expedite service delivery as requested.
2.10. Missed or Cancelled Appointments
2.10.1. Missed by Client2.10.1.1. Contractor must contact the CPS Caseworker by 5:00 P.M. on the business day
following a missed appointment. When two (2) consecutive appointments are missed Contractor must contact the DFPS caseworker for instructions on how to proceed. Further appointments must not be scheduled unless instructed by DFPS to schedule additional appointments.
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2.10.1.2. Missed appointments are not billable to DFPS.
2.10.2. Cancelled by ContractorThe Contractor is responsible for a twenty-four (24) hour notification to clients when a group session must be canceled. If the twenty-four (24) hour notification cannot be met due to unforeseen circumstances such as acts of nature, notification to the Contract Manager must occur by the next work day following the cancelled session. Contractor must maintain documentation of notification and contacts in each client file regarding cancellation.
2.11. Major Service DeliverablesDFPS purchases SUD SERVICES to assess individual service needs and meet identified need for treatment, as appropriate for clients who abuse alcohol or engage in the abuse of, improper use of, or dependency on illegal or legal drugs. Major Service deliverables include any individual or combination of the following:
2.11.1. Assessment;2.11.2. Substance Use Disorder treatment;2.11.3. Court related services; and2.11.4. Case specific diagnostic consultation.
2.11.5. Substance Abuse AssessmentAn assessment will be authorized for each individual referred to the CDTF. Individual must be assessed by a qualified credentialed counselor (QCC) (as defined by theDSHS licensure standard) to determine the severity of a client’s substance abuse disorder and identify their treatment needs.
As part of child safety, substance abuse assessment needs to address current use of drugs and alcohol. The assessment process consists of two main tasks:
2.11.5.1. Intake includes the completion of the following, but not limited to:2.11.5.1.1. Basic demographics;2.11.5.1.2. Reason for referral;2.11.5.1.3. Drug of choice; and 2.11.5.1.4. To some extent, a brief summation of the client’s expectations regarding the
proposed services.2.11.5.2. Assessment
The administration and the determination of results of a substance abuse assessment tool. The assessment tool should identify problems associated with substance use including but not limited to the following minimum requirements:
2.11.5.2.1. The most recent version of Diagnostic and Statistical Manual (DSM) diagnosis, if applicable;
2.11.5.2.2. The issues identified in the CPS client referral information;2.11.5.2.3. The identification of the parent/caregiver’s strengths, diminished protective
capacities and unmet needs of the child(ren);2.11.5.2.4. The parent/caregivers’ perception of family problems, to include how the
parent/caregivers’ substance use poses threat to child safety and risk and why the child is in care or involved with CPS;
2.11.5.2.5. The parent/caregivers’ ability to protect the child(ren) from abuse or neglect;2.11.5.2.6. The parent/caregivers’ ability to problem solve and utilize resources;
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2.11.5.2.7. The family’s support system and extended family;2.11.5.2.8. Substance abuse;2.11.5.2.9. Family violence issues; 2.11.5.2.10. Parent/Caregivers’ ability to function as provider for the family;2.11.5.2.11. Evaluation of safety threats and continued risk to the child; and2.11.5.2.12. Specific recommendations for further evaluation or continued treatment.
2.11.5.3. Additional AssessmentsDFPS normally authorizes only one assessment per client; however, additional assessments may be considered when:
2.11.5.3.1. Medically indicated; or2.11.5.3.2. Individual is transitioning in their level of treatment (e.g. residential to
outpatient treatment).2.11.5.4. Documentation of Assessment
Documentation of the assessment must be maintained in the client's record.2.11.5.5. Due Date Assessment
Assessment is due to DFPS not later than ten (10) business days following face to face meeting.
2.11.5.5.1. Include a copy of completed Form 2063.
2.11.6. Substance Use Disorder TreatmentSubstance use disorder treatment services are authorized individually as a separate service after review of the assessment report completed by CDTF. DFPS may consult with the CDTF, but the decision to refer for treatment is solely that of DFPS.
Substance abuse treatment must be provided on an:2.11.6.1. Outpatient basis;2.11.6.2. Face to face; and2.11.6.3. Within guidelines consistent with Medicaid requirements.
DFPS does not authorize detoxification, residential treatment, or medical services under this contract. DFPS may authorize two types of counseling treatment:
2.11.6.4. Group CounselingGroup counseling by QCC is the preferred DFPS treatment. Treatment is designed to equip clients with skills needed to understand the disease concept and maintain sobriety.
2.11.6.5. Individual CounselingIf there are issues with group counseling, DFPS may, after consultation with the CDTF authorize individual counseling; however, the decision to refer client for individual counseling treatment is solely that of DFPS.
2.11.6.6. Communication to CPS2.11.6.6.1. Substance Abuse Treatment Exceptions
2.11.6.6.1.1. Form 2040, Substance Abuse Treatment Exception Form must be completed by the Contractor as a means of communicating client changes to CPS.
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2.11.6.6.1.2. Form 2040 must be sent to the CPS Caseworker/Supervisor within twenty-four (24) hours of appointment;
2.11.6.6.1.3. Form 2040 must provide this information in at least two (2) of the following ways:
2.11.6.6.1.3.1. Phone call;2.11.6.6.1.3.2. E-mail; or2.11.6.6.1.3.3. Fax.
2.11.6.7. Treatment PlanAll treatment services require documentation to support the medical necessity of the service rendered. The client’s written treatment plan is therefore required and must be provided and maintained within requirements outlined below throughout the course of treatment:
2.11.6.7.1. Initial Treatment PlanThe Contractor's initial treatment plan shall identify the issues, intervention strategies, and goals of treatment.
2.11.6.7.1.1. Treatment Plan – Minimum RequirementsA treatment plan and supporting documentation must include, but is not limited to, the following components:
2.11.6.7.1.1.1. Identification and rank the issues to be addressed based on the client’s assessment; including those identified in the CPS referral and any child safety threats
2.11.6.7.1.1.2. Define goals;2.11.6.7.1.1.3. Write an objective for each goal;2.11.6.7.1.1.4. Determine strategies/interventions;2.11.6.7.1.1.5. Address DSM-TR axis;2.11.6.7.1.1.6. Recommended projected length of services and frequency;2.11.6.7.1.1.7. Dated signature of participating client;2.11.6.7.1.1.8. Dated signature of performing CDTF staff;2.11.6.7.1.1.9. Drug testing method and frequency of testing, if appropriate;2.11.6.7.1.1.10.A Relapse Prevention Safety Plan; and2.11.6.7.1.1.11.Date and manner in which the plan was submitted to the CPS
Caseworker.2.11.6.7.1.2. Due Date for Initial Plan
Initial treatment plan is due to the DFPS caseworker no later than twenty-one (21) business days following the initial referral for treatment.
2.11.6.7.2. Updates to Treatment Plan2.11.6.7.2.1. Treatment plan must be updated at least every ninety (90) days; and2.11.6.7.2.2. At one (1) year.
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2.11.6.7.2.3. Due Date for Updates to Treatment PlanContractor must submit each update to the plan to the CPS Caseworker no later than ten (10) business days following the cycles cited in §2.11.6.7.2.1 and §2.11.6.7.2.2.
2.11.6.8. Quarterly Summary NotesQuarterly summary notes must be provided to DFPS caseworker detailing approach, progress or lack of progress at least every ninety (90) days. Notes must include sufficient information to keep the DFPS caseworker updated at a minimum the notes must address:
2.11.6.8.1. Sessions scheduled and attended by client;2.11.6.8.2. Primary purpose of session;2.11.6.8.3. Level of participation, engagement, and responsiveness of client;2.11.6.8.4. Discussion summary by session;2.11.6.8.5. Progress toward treatment goals;2.11.6.8.6. Number of substance abuse tests, results; and2.11.6.8.7. Plans for upcoming sessions.
It may be necessary or required between quarterly summary notes to communicate in writing with CPS. Form 2040, Substance Abuse Treatment Exception Form is one tool available to the Contractor for that purpose.
2.11.6.9. Discharge PlanTo document and report closure of treatment services case due to either completion or termination. Contractor must provide a discharge plan to DFPS no later than ten (10) business days after closure. A Discharge Plan must include, but is not limited to, the following:
2.11.6.9.1. Name of client(s) seen;2.11.6.9.2. Summary with sufficient detail to support the client’s participation and
progress, or lack thereof, in meeting goals identified in the Treatment Plan as applicable;
2.11.6.9.3. Reason for case closure;2.11.6.9.4. Dated signature of performing QCC;2.11.6.9.5. Date and manner in which the summary report was submitted to the CPS
caseworker; and2.11.6.9.6. Any recommended protective measures.
2.11.6.10.Substance Abuse and Alcohol TestingSubstance abuse and alcohol testing is not payable as a separate expense in this Contract. It is expected that the Contractor will have a method for testing as needed for treatment services.
2.11.6.10.1. Positive Test Results2.11.6.10.1.1.Client Admission
DFPS considers a clients’ admission of current drug use or abuse of alcohol as a "positive" drug result. Clients’ denial of drug use should not be considered a negative drug test result.
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2.11.6.10.1.2.DocumentationContractor must communicate and document the clients’ self-reporting or the positive test result to the DFPS caseworker within twenty-four (24) hours, including:
2.11.6.10.1.2.1.Substances tested; and2.11.6.10.1.2.2.Cut off levels.
2.11.7. Limits on Service DurationLimits on service duration are defined by:
2.11.7.1. Medicaid protocol; or2.11.7.2. Form 2054, Service Authorization; and2.11.7.3. The needs of the referred client; and2.11.7.4. Request from CPS for discontinuation of services.
Specific maximum units are detailed in §8.2, Exhibit F Fee Schedule.
2.11.8. DFPS Support Resources and InformationThe following documents used in the delivery of SUD services can be located at:
http://www.dfps.state.tx.us/PCS/Regional_Contracts/forms.asp2.11.8.1. Form 2062, Referral for Substance Abuse;2.11.8.2. Form 2063, Release of Confidential Information;2.11.8.3. Form 2040, Substance Abuse Treatment Exception Form;2.11.8.4. Form 2057, Court Related Services Case Note;2.11.8.5. PCS-102SUD, Contracting Entity and List of Staff, Subcontractors, and
Volunteers;2.11.8.6. Form 4736, Certificate of Insurance, an ACORD Certificate of Insurance, or a
copy of the policy; and2.11.8.7. Background checks Information:
2.11.8.7.1. Form 2970c, Disclosure and Consent to Release of Information Regarding Criminal or Abuse/Neglect History for Applicants and Employees; and Volunteers or Contractor and Subcontractor;
2.11.8.7.2. Form 2971c, Request for Criminal History and DFPS History Check
2.11.9. Court Related ServicesDFPS purchases court related services when legally necessary and appropriate for the well-being, safety, or permanency of the child. This service is not optional and is an allowable charge to the contract only when requested by DFPS.
2.11.9.1. PreparationThe Contractor and its representatives must ensure that they and the applicable service providers have personal knowledge of the matters to be discussed and are adequately prepared to provide the service.
2.11.9.2. Payment RestrictionsTo be paid for court related services, the Contractor must:
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2.11.9.2.1. Receive a valid Form 2054 Service Authorization, prior to the service being delivered.
2.11.9.2.2. Complete the Court Related Services Case Note, Form 2057, for all court related services delivered. This form is located on the DFPS website at URL: http://www.dfps.state.tx.us/PCS/Regional_Contracts/forms.asp.
2.11.9.2.3. Obtain a DFPS signature on Form 2057 attesting to the delivery of service. 2.11.9.2.4. Submit a completed, signed Form 2057 with its associated monthly billing
invoice.
2.11.9.3. AttendanceThe Contractor must ensure and require all requested or subpoenaed parties to attend depositions and court appearances at the times requested by DFPS.
2.11.9.4. Court Related DocumentationThe following information must be maintained in the client file:
2.11.9.4.1. A copy of the completed Court Related Services Case Note, Form 2057; and 2.11.9.4.2. Subpoena, if applicable.
2.11.10.Case Specific Diagnostic ConsultationDFPS purchases diagnostic consultation services to obtain professional recommendations and opinions about a specific client.
2.11.10.1.PreparationThe Contractor and its representatives must ensure that they are prepared to discuss relevant information at the case specific diagnostic consultation.
2.11.10.2.AttendanceThe Contractor is required and must ensure the service Providers are available as requested by DFPS to provide case specific diagnostic consultation services, including attendance at case staffing.
2.11.10.3.DocumentationCase specific diagnostic consultation documentation includes but is not limited to the following information:
2.11.10.3.1. A case note dated (month/day/year) and signed by the performing provider to the appropriate and specific file is required and must include:
2.11.10.3.1.1.Name of client;2.11.10.3.1.2.Date start and end time of consultation;2.11.10.3.1.3.Location of consultation;2.11.10.3.1.4.Purpose of diagnostic consultation;2.11.10.3.1.5.Brief summary of case information shared at consultation: and2.11.10.3.1.6.Summary of any recommendations made by CDTF.
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2.12. Develop, Manage, and Maintain Quality
2.12.1. Quality Product Delivered to DFPSThe Contractor is responsible for implementing and maintaining quality assurance to ensure the product satisfies the requirements of this contract. Contractor is responsible for responding to feedback from appropriate parties relative to services provided under contract and incorporating that feedback into SUD services provided to DFPS.
The Contractor is responsible for monitoring, evaluating and applying actions necessary for continuous improvement of SUD services.
2.12.1.1. Timely Product Delivered to DFPSContractor must manage referrals to ensure timeframes and quality expectations can be met.
2.13. Provide Contract Maintenance
2.13.1. Contract Monitoring and EvaluationThe Contractor must cooperate with the Department in monitoring and evaluating services provided under this contract.
2.13.2. Provide Feedback to CPS StaffAt the request of DFPS the Contractor must provide DFPS informal information on the status and progress of referrals. The informal information will be at no charge to DFPS.
2.13.3. Participate In Contract MeetingsMeetings related to the contract, such as complaint investigations, billing issues, and other contract related issues may be requested by DFPS. The Contractor and appropriate Service Providers must attend contract meetings at no cost to DFPS.
2.14. SubcontractorsA subcontract is a written contract that assigns some of the obligations of a prime contract to the subcontractor. Subcontracts are between a primary contractor and the individual or entity assuming some of the obligations of the primary contractor. The requirements in this section are in addition to requirements stated in § 2.14.1.1 of this PEN.
The prime contractor remains fully responsible for compliance with and full performance of all its duties and obligations under the original contract with DFPS. All activities associated with subcontracts must go through the prime contractor.
2.14.1. Subcontract Requirements
2.14.1.1. Subcontractors providing services under the Contract must meet the same requirements as specified in this contract as the Prime Contractor. No subcontract under the Contract shall relieve the Contractor of the responsibility for
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ensuring the requested services are provided in compliance with the prime contract.
2.14.1.2. The Contractor must submit a copy of the agreement/contract that they will be using with subcontractor(s). The agreement/contract must:
2.14.1.2.1. Contain a clause requiring the subcontractor to accept and abide by all terms and conditions applicable to subcontractors under the prime contract.
2.14.1.2.2. Hold DFPS harmless for the payment for services performed by the subcontractor.
2.14.1.2.3. Contain agreement/contract terms that include but are not limited to the following:
2.14.1.2.3.1. All parties to the contract;2.14.1.2.3.2. The scope of work to be performed; 2.14.1.2.3.3. The administrative duties associated with the delivery of services; 2.14.1.2.3.4. Work schedules or when work is to be performed; 2.14.1.2.3.5. The credentialing requirements; 2.14.1.2.3.6. Compensation and rates of pay to include a measurable method of
payment and incentives or remedies and their basis; 2.14.1.2.3.7. Contract performance requirements;2.14.1.2.3.8. Description of monitoring to be conducted;2.14.1.2.3.9. Reference or includes all terms required by the DFPS contract;2.14.1.2.3.10.A termination clause; and2.14.1.2.3.11.All appropriate clauses to accomplish the contracted services at the
service level expected in the prime contract.2.14.1.2.4. Contractors utilizing subcontractors must submit and obtain written
acceptance of its subcontracting policies and procedures from the designated DFPS contract manager no later than 90 days from the contract effective date. The Contractor's subcontracting policies and procedures must at the minimum:
2.14.1.2.4.1. Detail the prime Contractor’s method(s) of selecting a subcontractor. The method identified must adequately meet all applicable state, federal, and program requirements, including any requirements for competitive procurement.
2.14.1.2.4.2. Include the requirement to maintain a copy of the subcontractor’s cleared or otherwise acceptable background check and documents to support the subcontractor has met any contract requirements for insurance, licensure, certifications, or applicable credentials. Exception: Subcontracted Translators and Interpreters.
2.14.1.2.4.3. Detail the subcontracting monitoring process to include: contract monitoring scope to include making the selection for monitoring, monitoring processes and tools, and methods used to report the results to the subcontractor and documented efforts to the obtainment of resolution for substandard performance.
2.14.1.2.4.4. Detail procedures to monitor that subcontracted services are being delivered as reported and claimed by the subcontractor.
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2.14.1.2.4.5. Procedures that result in clear documentation of subcontractors being paid timely as required by the contract.
2.14.1.2.4.6. Subcontractor complaint process which allows the subcontractor to resolve issues with the prime contractor.
2.14.1.2.5. The DFPS contract manager will review and provide written notification of acceptance with the prime contractor’s subcontracting:
2.14.1.2.5.1. Policies and procedures; 2.14.1.2.5.2. Subcontracting document;2.14.1.2.5.3. Monitoring policies and procedures; and2.14.1.2.5.4. Background checks procedures.
2.14.1.2.6. Contractor must submit a listing of all personnel initially and on an annual basis using the Contracting Entity and List of Staff, Subcontractors, and Volunteers, Form PCS-102SUD; available on the DFPS website at URL: http://www.dfps.state.tx.us/PCS/Regional_Contracts/forms.asp.
2.15. Required Record Keeping
The Contractor must ensure compliance with all record keeping requirements stated in this contract as well the DFPS Standard Terms and Conditions, Record Keeping. All records must be housed in a central location and made available and accessible to DFPS without limitations.
Table 3 - Required Records2.15.1. Individual Client Service Case RecordPurpose To support and maintain details of services requested by DFPS and
provided by the Contractor. Minimum
RequirementsContractor must maintain (hard copy) individual case records for each referred client. Individual file must include at a minimum, but is not limited to the following documentation:2.15.1.1. Valid Form 2054, “Service Authorization,” date stamped
with receipt date;2.15.1.2. Referral Form - Form 2062;2.15.1.3. Release of Confidential Information Form – Form 20632.15.1.4. Additional referral information, if applicable;2.15.1.5. All contacts, attempts to contact;2.15.1.6. All appointments including:
2.15.1.6.1. The agreed upon date and time;2.15.1.6.2. Any subsequent additional appointments or
rescheduling; and2.15.1.6.3. Record of missed or rescheduled appointments
including required notifications to CPS Caseworker.2.15.1.7. Record of CPS worker notifications or other contract
related contacts;
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Table 3 - Required Records2.15.1.7.1. Copy of each Form 2040 completed and shared with
CPS;2.15.1.8. Completed Substance Abuse Assessment to include:
2.15.1.8.1. Contractor’s signed and dated review and notes;2.15.1.8.2. Completed tools and any information provided by the
client;2.15.1.8.3. Specific results of the assessment;2.15.1.8.4. Specific recommendations, if any, to reference
additional treatment; and2.15.1.8.5. Date submitted to DFPS and to whom it was
submitted.2.15.1.9. If applicable, records detailing Substance Abuse
Treatment to include:2.15.1.9.1. Treatment Plan2.15.1.9.2. Session notes specific to each group and individual
session held;2.15.1.9.3. Changes to Treatment Plan as treatment
progresses; and2.15.1.9.4. Results of any drug or alcohol tests and date and
name of DFPS staff to whom any positive results were reported.
2.15.1.10.Detail of any court related services, if provided;2.15.1.11.Detail of any case specific diagnostic consultation, if
provided;2.15.1.12.Detail of any other service authorized and provided under
this contract; and2.15.1.13.Copy of all required reports.
2.15.2. Required Personnel RecordsPurpose To support and maintain for monitoring purposes evidence of the
Contractor’s minimum requirements for staff, subcontractors, and volunteers with regards to qualifications.
Minimum Requirements
Individual file for each staff, subcontractor and volunteer must include at a minimum, but is not limited to the following documentation:2.15.2.1. Documentation clearly establishing that the Contractor's
service providers meet the minimum qualifications required by:
2.15.2.1.1. Medicaid;2.15.2.1.2. Any State Licensing Authority;2.15.2.1.3. The Contractor’s personnel policy; and2.15.2.1.4. Requirements stated in this contract.
2.15.2.2. Copy of Forms 2970c and 2971c, Criminal and DFPS
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Table 3 - Required RecordsHistory Check;
2.15.2.3. Copy of background check results;2.15.2.4. Copy of Insurance, if applicable;2.15.2.5. Copy of signed DFPS Form PCS-102SUD including
approval to work on contract; and2.15.2.6. Subcontract, if applicable.
2.15.3. Billing RecordsPurpose To support and maintain for monitoring purposes evidence
invoices, payments and adjustments related to services provided by the Contractor and billed to DFPS.
Minimum Requirements
Contractor must create and maintain reliable and accurate records to support all actions related to invoicing, payments and adjustments for services provided to DFPS clients including those billed to and paid by Medicaid. Records must include at a minimum, but are not limited to the following:2.15.3.1. Copy of all pre-bills provided by DFPS and submitted by
the Contractor as an invoice;2.15.3.2. Form 2016, delivered Services Input;2.15.3.3. Form 4116X, State of Texas Purchase Voucher;2.15.3.4. Documentation clearly establishing date signed invoice
was submitted; and2.15.3.5. Any other supporting documentation requested by DFPS.
2.16. Required Reports
Table 4 - Required Reports2
2.16.1. Substance Abuse AssessmentPurpose To assess and determine the severity of an individual’s substance
use disorder and identify treatment needs.Minimum
RequirementsContractor must maintain (hard copy) in individual case records for each referred client. The assessment must include at a minimum:2.16.1.1. Elements and items identified in §2.11.5, Substance Abuse
Assessment.Format 2.16.1.2. To be determined by DFPS and the Contractor.
Due Date 2.16.1.3. Assessment is due to DFPS not later than ten (10) days following face to face meeting.
Who Receives 2.16.1.4. DFPS referring Caseworker2.16.2. Form 2040, Substance Abuse Treatment Exception Form Purpose To help keep CPS updated as needed or required between Quarterly
Summaries on essential events or information.
2 DFPS reserves the right to require additional reports from the Contractor.
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Table 4 - Required ReportsMinimum
RequirementsContractor must maintain (hard copy) in individual case records. The Form 2040 must include at a minimum:2.16.2.1. Information referenced in Form 2040 applicable to the
event or information being reported.Format 2.16.2.2. Use the required Form 2040 available via DFPS Support
Resources and Information. Form 2040 and can be located at: http://www.dfps.state.tx.us/PCS/Regional_Contracts/forms.asp.
Due Date 2.16.2.3. Form 2040 is due to DFPS not later than twenty-four (24) hours following any event of information required to be reported by the Form.
Who Receives 2.16.2.4. DFPS referring Caseworker
2.16.3. Treatment PlansPurpose To document and support the medical necessity of services to be
provided under outpatient (ambulatory) substance abuse treatment.Minimum
Requirements2.16.3.1. Elements and items identified in §2.13.6, Outpatient
(Ambulatory) Substance Abuse Treatment.Format 2.16.3.2. To be determined by DFPS and the Contractor.
Due Date 2.16.3.3. Initial treatment plan is due twenty-one (21) business days after initial DFPS referral for treatment.
2.16.3.4. Treatment plan must be updated at least every ninety (90) days and at one (1) year, if services are still authorized.
Who Receives 2.16.3.5. DFPS referring Caseworker.2.16.4. Quarterly Summary NotesPurpose To provide DFPS caseworker information detailing approach,
progress or lack of progress.Minimum
RequirementsMust include sufficient information to keep the DFPS caseworker updated on:2.16.4.1. Elements and items identified in §2.11.6.8, Quarterly
Summary Notes.Format 2.16.4.2. To be determined by DFPS and the Contractor.
Due Date 2.16.4.3. Assessment is due to DFPS not later than ten (10) business days following the initial session and continuing every ninety (90) days through the end of treatment.
Who Receives 2.16.4.4. DFPS referring Caseworker2.16.5. Drug and Alcohol TestingPurpose To support decisions regarding child safety where substance abuse is
known or suspected to be a contributing factor.Minimum
Requirements2.16.5.1. Elements and items identified in §2.11.6.10, Substance
Abuse and Alcohol Testing.
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Table 4 - Required ReportsFormat 2.16.5.2. To be determined by DFPS and the Contractor.
Due Date 2.16.5.3. Within twenty-four (24) hours.Who Receives 2.16.5.4. DFPS referring Caseworker
2.16.6. Discharge PlanPurpose To document and report termination of treatment services and closure
of the case by the Contractor.Minimum
RequirementsA closure summary report must include, but is not limited to, the following:2.16.6.1. Elements and items identified in §2.11.6.9, Discharge Plan.
Format 2.16.6.2. To be determined by DFPS and the Contractor.Due Date 2.16.6.3. Ten (10) business days of completion or termination of
servicesWho Receives 2.16.6.4. DFPS referring Caseworker
2.16.7. Contract Performance Data ReportPurpose To collect, document and report contract performance measure data.Minimum
Requirements2.16.7.1. Elements and items identified in §2.17.2 and Exhibit E,
Performance Measures.Format 2.16.7.2. To be determined by DFPS and the Contractor.
Due Date 2.16.7.3. Quarterly as defined in the Report and instructions contained in Exhibit E, Performance Measures.
Who Receives 2.16.7.4. DFPS Contract Performance Division2.16.8. Complaint ReportPurpose To document, coordinate, respond and report the results of
Contractor investigations into complaints related to service delivery.Minimum
Requirements2.16.8.1. Elements and items identified in DFPS Standard Terms and
Conditions, Complaint Process.Format 2.16.8.2. To be determined by DFPS and the Contractor.
Due Date 2.16.8.3. Within five (5) business days of being notified of the complaint
Who Receives 2.16.8.4. DFPS Contract Manager
2.17. Goal and Performance MeasuresContractor performance evaluation is based on assessment of the output and outcome measures outlined in Exhibit E, Performance Measures and compliance with the terms and conditions of the Contract, as indicated by DFPS records and contract monitoring performed by DFPS staff.
2.17.1. GoalThe goal of this Contract is to purchase SUD services in order for DFPS to develop a plan of service that addresses child safety and caregiver sobriety.
2.17.2. Performance Measures
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In addition to the Contractor's compliance with all of its obligations and duties under the contract, DFPS measures the performance of the Contractor on the basis of the performance measures contained in Exhibit E, Performance Measures.
The contractor may be required to report certain performance measure data in the DFPS Performance Management Evaluation Tool (PMET), which is an internet-based data collection and reporting system. The Contractor is required to register an account in the PMET system within 30 days the first service, according to the instructions found at: https://www.dfps.state.tx.us/application/PCSPMET. Select Help>PMET User Guide.
2.18. Continuity of Treatment CareThe Contractor must ensure continuity of care.
2.18.1. The term continuity is used to refer to the client record or information continuity as it applies to treatment providers working with parents or caregiver involved in a case with Child Protective Services. Documentation of client records is thought to improve the quality of care in at least two ways:
2.18.1.1. First by improving efficiency by preventing duplication and promoting follow-up of important clinical findings; and
2.18.1.2. Second, reducing possible harm by preventing inappropriate actions or taking actions that the patient has expressly declined.
2.18.2. A continuous treatment relationship is thought to promote trust which is a core part of the clinician-patient relationship and can itself be a part of the healing process. In the event there is a reason for a treatment provider to discontinue treatment provision to a client, that provider must:
2.18.2.1. Work with the new provider to prevent a disruption in treatment, and 2.18.2.2. Provide client records to the new treatment provider, which contain all relevant
information that is up-to-date, accurate, retrievable, understood, and used by the new provider.
2.18.2.3. New providers are required to read and use the information as they work with the new client.
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3. Utilization and Compensation
3.1. UtilizationDFPS does not guarantee any minimum level of utilization or specific number of referrals. Utilization rates will vary according to the needs individual clients and DFPS budgetary allocations. Actual utilization is within the discretion of DFPS.
3.1.1. Historical UtilizationHistorical service utilization within the region is not available for the services being purchased under this PEN. Purchase of the specific deliverables, the duration of the services and the limitations are a new and unique approach for the SUD services being purchased under this PEN useful historical utilization is not available.
3.2. Compensation
3.2.1. Availability of FundsThis Contract depends upon the availability and receipt of state or federal funds that the Department has allocated to this Contract. Contract is contingent upon the continued availability of lawful appropriations by the Texas Legislature. If funds for this Contract become unavailable during any budget period, DFPS may immediately terminate or reduce the amount of this Contract at the discretion of the Department. Contractor will have no right of action against DFPS if DFPS cannot perform its obligations under this Contract as a result of lack of funding for any activities or functions contained within the scope of this Agreement.
3.2.1.1. DFPS does not guarantee funding at any level and may increase or decrease funds at any time during the term of a contract resulting from this procurement.
3.2.1.2. Contractor may not use funds received from DFPS to replace any other federal, state, or local source of funds awarded under any other contract. Additionally, Contractors may not use DFPS funds as match (in-kind or cash match) for any other funding opportunity (grant application) in which the awarded Contractor may be participating.
3.2.2. Method of PaymentThe contract resulting from this procurement will be paid on a fee for service unit rate basis.
3.2.2.1. Acceptance of RatesContractor accepts the method of payment and rates set by DFPS.
3.2.2.2. Acceptance of Billing PoliciesContractor accepts and agrees to adhere to the fiscal and billing policies and procedures of DFPS. DFPS is not obligated to pay more than the contracted rates and Contractor will not receive any payment, unless services are provided, documented and accepted by a DFPS representative.
3.2.2.3. Fee ScheduleContractor will be paid in accordance with Exhibit F, “Fee Schedule” with the following additional restrictions related to payment under this contract:
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3.2.2.3.1. Court Related ServicesThe unit of service for court related services is per hour spent waiting to testify or delivering services. Time spent preparing for or documenting Court Related Services are not billable. Time is to be claimed in increments of fifteen (15) minutes.
3.2.2.3.2. TravelTravel within the Service Delivery Area related expenses and time to provide court related services are not directly billable.
3.2.2.3.3. Contracts Specific TrainingExpenses for contract specific training even if requested by DFPS are not billable. The Contractor will not receive direct compensation for time spent in training.
3.2.3. Medicaid – Condition of PaymentDFPS requires that Medicaid (Traditional and Managed Care) be the first source of payment for eligible clients who receive covered services.
3.2.3.1. Process RequirementsIndividuals referred by DFPS and served through the Contract may be Medicaid (Traditional or Managed Care) eligible. Contractor must have a process to verify the Medicaid eligibility of the individual served, initially and on an on-going basis. This process should include requesting a copy of the Medicaid card at the first encounter and periodic verifications of eligibility, as well as being informed and following the process for service providers based on the individual's Medicaid plan.
3.2.3.2. Utilization RequiredMedicaid must be utilized for Medicaid eligible services for Medicaid eligible clients except as stated in §3.2.3.6. The Contractor must use Medicaid (Traditional or Managed Care) as the source of payment for eligible individuals when Medicaid reimburses for the identified service. If the Contractor chooses not to utilize Medicaid for any Medicaid eligible individual, then the Contractor cannot bill DFPS for the service.
3.2.3.3. DocumentationThe Contractor must keep documentation to support Medicaid requirements and results of Medicaid and Managed Care verification and claims in the client file.
3.2.3.4. Failure to Bill AppropriatelyFailure to appropriately bill Medicaid for an eligible service will result in reimbursement to DFPS for any payments made by DFPS.
3.2.3.5. Payment In FullThe Contractor will accept Medicaid or Medicaid Managed Care compensation as payment in full for covered services.
3.2.3.5.1. The Contractor must not bill DFPS until the Medicaid claim is finalized.3.2.3.5.2. If there is a double billing, the Contractor will reimburse DFPS for the
payment.
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3.2.3.6. Medicaid Refusal to PayPayment will be made through this contract with proof of denial from Medicaid except when the Medicaid denial is due to Contractor:
3.2.3.6.1. Error; or3.2.3.6.2. Failure to take appropriate and timely action to bill or appeal Medicaid denial
of payment.
3.2.4. Regulation ComplianceThe Contractor will remain in compliance with 45 CFR Part 74 as applicable, Office of Management and Budget (OMB) Circulars A-133, A-110, A-21, A-87, and A-122 as applicable, the Uniform Grant Management Standards (UGMS) as applicable, and 40 Texas Administrative Code (TAC) §§732.240–256 as applicable
3.2.4.1. Prompt PaymentSubject to the foregoing, DFPS makes all payments in accordance with the Texas Prompt Payment Act, Government Code, Chapter 2251.
3.3. Invoicing ProcessThe Contractor will submit to DFPS a total bill each month in the format prescribed by the Department, and will accept as payment in full the contracted unit rate.
3.3.1. Medicaid3.3.1.1. DFPS requires that Texas Medicaid (Traditional Fee-For-Service and Medicaid
Managed Care) be the first source of payment for eligible clients who receive covered services. The Contractor agrees to accept Medicaid fee as PAYMENT IN FULL for the services rendered.
3.3.1.2. If Medicaid refuses a claim submitted by the Contractor for reasons other than invoicing error, payment will be made through this Contract with proof of denial from Texas Medicaid (Traditional Fee-For-Service and Medicaid Managed Care). The Contractor must take necessary action to resolve invoice denials and exhaust all appeals before submitting a request for payment from DFPS.
3.3.2. Instructions for Invoicing DFPSDetailed instructions on the invoicing process and procedures for SUD SERVICES are located at: http://www.dfps.state.tx.us/PCS/Regional_Contracts/forms.asp
3.3.2.1. No payment whatsoever shall be made under this Contract without the prior submission of detailed, correct invoices mailed to regional Contract office.
3.3.2.2. Invoice billing statements submitted to DFPS must include:3.3.2.2.1. Department pre-bill, signed and dated, reflecting services authorized and
delivered; 3.3.2.2.2. Signed State of Texas Purchase Voucher, Form 4116X; 3.3.2.2.3. Delivered Services Input, Form 2016, for anyone served but not listed on pre-
bill. A separate Form 2016 is required for each month of service when a resubmitted or supplemental claim is being made;
3.3.2.2.4. Medicaid denial notice, if applicable;
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3.3.2.2.5. If applicable, a signed and dated certification completed by the interpreter/translator documenting the following:
3.3.2.2.5.1. The date and actual service time for each episode of service delivery;3.3.2.2.5.2. The amount due per episode; and3.3.2.2.5.3. The calculation of the total amount billed for the billing month.
3.3.2.2.6. Any other supporting documentation requested by the Department.
3.3.3. PaymentPayment will be made after receipt of a complete and correct invoice. The Contractor will utilize a DFPS pre-bill to indicate the services authorized and delivered.
3.3.3.1. Contractor will not be paid for services provided:3.3.3.1.1. Without a DFPS signed Form 2054, Service Authorization or,3.3.3.1.2. Services provided within a date range that exceeds the authorized date range
on the Form, 2054, Service Authorization; or3.3.3.1.3. Without the required supporting documentation.
3.3.4. Due DateThe Contractor must submit a signed and dated Department pre-bill, reflecting services authorized and delivered data by the 15th of each month. Invoices must be received at the designated DFPS contract office.
Failure to submit invoices on time may be considered a contract compliance issue and be used in evaluating whether to renew or terminate the contract.
3.4. Sufficient ResourcesThe Contractor should expect a two (2) month delay between the time the Contractor incurs costs and the time that DFPS makes payment for those costs; therefore, Contactor must maintain a minimum of two (2) months reserve during the entire term of the contract including any renewals.
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4. Historically Underutilized Businesses (HUB)
DFPS adheres to the administrative rules, policies, and forms developed by the Health and Human Services Commission relating to Historically Underutilized Businesses (HUBs). This PEN does not require Respondents to complete a HUB Subcontracting Plan. For more information about the HUB program at DFPS, contact the DFPS HUB Coordinator at:
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5. Response Information and Requirements
5.1. Use of Ideas by the State of TexasDFPS reserves the right to use any and all ideas presented in an application unless the Applicant presents a valid legal case that such ideas are a trade secret or confidential information, and identifies the information as such in its application. An Applicant may not object to the use of ideas that are not the Applicant’s intellectual property and so designated in the application that:
5.1.1. Are known to DFPS before the submission of the application, 5.1.2. Are in the public domain through no fault of DFPS, or 5.1.3. Become properly known to DFPS after application submission through other sources
or through acceptance of the application.
5.2. Property of DFPSExcept as otherwise provided in this PEN or the resulting contract, all products produced by Applicant as a result of this PEN or the resulting contract become the sole property of DFPS, including, without limitation, all plans, designs, software, and other contract deliverables.
5.2.1. If Applicant develops any copyrightable material as a result of this PEN or the resulting contract, then Applicant shall grant the State of Texas, DFPS, and the Health and Human Services Commission a royalty-free, non-exclusive, and irrevocable right to reproduce, publish, or otherwise use, and to authorize others to use, the work for governmental purposes.
5.2.2. This Section does not apply to any report, document, or other data, or any invention of Applicant which existed prior to, or was developed or discovered independently from, its activities related to or funded by this PEN or the resulting contract.
5.3. Copyright RestrictionsDFPS will not consider an Application that bears copyright.
5.4. News ReleasesPrior to award, an Applicant may not issue a press release or provide any information for public consumption regarding its participation in the procurement. After award, an Applicant must receive prior written approval from DFPS before issuing a press release or providing information for public consumption regarding its participation in the procurement. Requests should be directed to the Point of Contact identified in §1.4. This Section does not preclude business communications necessary for an Applicant to develop their response including discussions with potential subcontractors, or required reporting to shareholders or governmental authorities.
5.5. Hold Firm StatementUnless withdrawn under §5.13 of this PEN, Applicant's Response, as amended, will be firm and binding through the effective date of any contract awarded under this PEN. Applicant guarantee’s the delivery of all applicable services specified in this PEN at the payment rates specified through the period of performance of the contract awarded under this PEN, including any renewals.
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5.6. Costs IncurredApplicants understand that issuance of this PEN in no way constitutes a commitment by DFPS to award a contract or to pay any costs incurred by an Applicant in the preparation of a response to this PEN. DFPS is not liable for any costs incurred by a Respondent prior to issuance of or entering into a formal agreement, contract, or purchase order. Costs of developing responses, preparing for or participating in oral presentations and site visits, or any other similar expenses incurred by an Applicant are entirely the responsibility of the Applicant, and will not be reimbursed in any manner by the State of Texas.
5.7. Attached TermsAny terms and conditions attached to the response will not be considered unless specifically referred to in this PEN and may result in disqualification of the response.
5.8. Errors within PENApplicants must notify DFPS of any ambiguity, conflict, discrepancy, exclusionary specifications, omission or other error in the PEN before submitting a response. If an Applicant fails to notify DFPS of these issues, it will submit a response at its own risk, and if awarded a contract:
5.8.1. Will have waived any claim of error or ambiguity in the PEN or resulting contract,5.8.2. Will not contest DFPS’ interpretation of such provisions(s), and5.8.3. Will not be entitled to additional compensation, relief or time by reason of the
ambiguity, error, or its later correction.
5.9. PEN Cancellation/Partial Award/Non-AwardAt its sole discretion, DFPS may cancel this entire PEN make partial award or no awards.
5.10. Right to Reject Responses or Portions of ReponsesAt its sole discretion, DFPS may reject any and all responses or portions thereof.
5.11. Amendments to ResponsesApplicants have the right to amend their responses at any time prior to the response deadline stated in §1.5, by submitting a written amendment to the Point of Contact, as designated in §1.4. DFPS may request modifications to response at any time.
5.12. Joint ResponsesDFPS will not consider joint or collaborative responses that require it to contract with more than one Applicant.
5.13. Withdrawal of ResponsesApplicants have the right to withdraw their Application from consideration at any time prior to contract award, by submitting a written request for withdrawal to the Point of Contact, as designated in §1.4.
5.14. DebriefingAn unsuccessful Applicant may request a debriefing which is an informal review of a non-award during which DFPS provides information concerning the strengths and
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weaknesses of a response application. Although an unsuccessful applicant may request an oral debriefing, the written debriefing serves as the official response.
5.15. Protest ProceduresAn unsuccessful Applicant may protest an award decision as specified in 40 TAC §732.229. A procurement protest is limited to when an Applicant is dissatisfied or aggrieved in connection with the award of a DFPS contract.
5.16. Written Questions5.16.1. Format
All questions and comments regarding this PEN must:5.16.1.1. Be submitted electronically to the Point of Contact identified in §1.4;5.16.1.2. Reference the appropriate PEN page and section number;5.16.1.3. Be received no later than thirty (30) days prior to the PEN enrollment period
closing date set forth in the Procurement Schedule in §1.5.5.16.2. Response to Questions
HHSC will post responses to written questions on the HHS Enrollment Opportunities page. Once posted on the HHS Enrollment Opportunities website, responses are binding on both DFPS and any Applicants.
5.16.2.1. All questions received may not be answered.5.16.2.2. Similar questions may be combined prior to response.5.16.2.3. Answers may be amended at any time prior to the PEN enrollment period
closing date.5.16.2.4. DFPS reserves the right to review questions, and determine applicability prior to
inclusion on the posted Question and Answer document.5.16.2.5. Questions received after the due date may be reviewed by DFPS but will not
receive a response.5.16.2.6. Prior to inclusion and posting of questions DFPS considers the following factors:
5.16.2.6.1. Applicability to the PEN;5.16.2.6.2. Applicability to other possible Applicants to the PEN; and5.16.2.6.3. Impact on Applicants’ approach to providing deliverables.
It is the responsibility of interested parties to periodically check the HHS Enrollment Opportunities page for updates to the procurement prior to submitting an application. The Applicant’s failure to periodically check the HHS Enrollment Opportunities page will in no way release the Applicant from “addenda or additional information” resulting in additional costs to meet the requirements of the PEN.
5.17. Response Submission InstructionsIt is Applicant’s responsibility to appropriately mark and deliver the application and related materials in response to this PEN by the response due date. Submission of an application does not execute a contract.
DO NOT submit both an e-mailed application and a mailed application.
5.17.1. Electronic SubmissionThe preferred method of application submission is via email submission to:
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5.17.1.1. Subject LineWhen submitted via email the electronically submission, the subject line should include: “PEN HHS0000019 - Legal Name of Entity”
5.17.1.2. Organization of Electronic ResponseApplicant must submit an electronically scanned copy of its application and all required forms in the following order and format.
All required forms are available in Packages 2-9 on this Enrollment’s main page at https://apps.hhs.texas.gov/PCS/HHS0000019.
5.17.1.2.1. Application and Contract, and Contractor Service Information-Form 2280PEN Application and Contract: All information must be provided as requested by the application form. Incomplete/partial applications may not be accepted. APPLICATION MUST BE SIGNED.-Form A-3 Contractor Service Information
5.17.1.2.2. Required FormsApplicant must return all required forms with the application response. Forms must be signed where applicable. Scan all forms into one or more attachments and submit in the following order:-Form 2970C Disclosure and Consent to Release of Information-Form F-500-2971C Request for Criminal History and DFPS History Check-Form 4108x Vendor Direct Deposit Authorization-Form 4109x Application for Texas Identification Number and Instructions-Form 4736 Certificate of Insurance-Form PCS-102SUD Contracting Entity and List of Staff, Subcontractors and Volunteers
5.17.1.3. Additional Requirements5.17.1.3.1. Each document, as appropriate must bear original signatures where
indicated.5.17.1.3.2. The name of the Applicant must appear at the top right hand corner of
each page;5.17.1.3.3. The solicitation number must appear at the top right hand corner of each
page under the Applicant's name;5.17.1.3.4. All pages must be collated;5.17.1.3.5. All pages must be sequentially numbered.
5.17.2. Alternate Submission Regular Mail (Paper Copy PLUS Flash Drive)
DO NOT submit both an emailed application and a mailed application.
Regular mail submission should be used only if applicant is unable to email the completed application, supporting documentation, and attachments as per the guidelines in §5.18.1
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5.17.2.1. One original set of the application, related documentation and forms must be placed in a package and correctly identified with the PEN number and follow the additional guidelines in §5.18.1.2. It is the Applicant’s responsibility to appropriately mark and deliver the application and related materials in response to this PEN.
5.17.2.1.1. The entire application package must be packaged in one or more letter size file folders.
5.17.2.1.2. Label the folders as follows:
Line 1: Applicant/Organization NameLine 2: HHS0000019 – Substance Use Disorder Services
5.17.2.1.3. For each set, include the following labeled dividers and place response items behind the appropriate divider:
Table 6 - Dividers Within Expandable FoldersDivider Label Items
Application -Application and Contract (Form 2280PEN)-Form A-3 Contractor Service Information
Required Forms
-Form 2970C Disclosure and Consent to Release of Information-Form F-500-2971C Request for Criminal History and DFPS History Check-Form 4108x Vendor Direct Deposit Authorization-Form 4109x Application for Texas Identification Number -Form 4736 Certificate of Insurance-PCS-102SUD Contracting Entity and List of Staff, Subcontractors and Volunteers
Digital Copy All required documentation recorded on a digital media device
5.17.2.1.4. Digital CopyApplicant is required to submit a flash drive or compact disc with a copy of the complete application in the same file format as the electronic response submission in Section 5.18.1.
5.17.2.1.4.1. Label the Digital Media DeviceEach device must be labeled with the:
5.17.2.1.4.1.1. Name of the Applicant; and5.17.2.1.4.1.2. Enrollment number HHS0000019.
5.17.2.2. Delivery of ApplicationsApplications must be submitted as instructed in §1.4.1, Application Delivery Options.
5.17.3. Transmission via FaxApplications submitted by fax will not be accepted.
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6. Evaluation
6.1. ScreeningApplications will be screened according to the evaluation process described in this section.
6.2. Best Value FactorsIn accordance with 1 TAC §391.131, the following best value factors will be considered in making contract award:
Table 7 - Best Value FactorsBest Value
Factor Criterion Considered Weight
6.2.1.Delivery Terms & Conditions
A signed application indicates acceptance of the terms and conditions outlined within the:
PEN Statement of Work; All other terms in the PEN solicitation
document; and Section 4 Contract Uniform Terms and
Conditions.Any terms and conditions attached to the response application will not be considered unless specifically referred to in this PEN and may result in disqualification of the response.
Pass/Fail
6.2.2.Price
Submission of a response to this PEN will constitute acceptance of the rates specified in the Fee Schedule. Pass/Fail
6.2.3.MinimumQualifications Organization
Applicant must clearly establish that they meet the Contractor qualifications.
Be licensed as a Substance Abuse Treatment Facility (SATF), also known as Chemical Dependence Treatment Facility (CDTF) by the Department of State Health Services (DSHS) to provide SUD Services; and
CDTF must be actively enrolled as a Medicaid and MCO eligible facility.
Pass/Fail
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Table 7 - Best Value FactorsBest Value
Factor Criterion Considered Weight
6.2.4.Probable Performance Based on Past Contracts3
Past performance based upon Texas Comptroller's Vendor Performance System:
An acceptable score, if available; Not on a Corrective Action Plan; Not having repeated negative Performance Reports
for the same reason; or Not having purchase orders that have been
cancelled in the previous twelve (12) months for non-performance (i.e. late delivery, etc.).
Contractor performance information can be located on the Comptroller's web site at:
http://www.window.state.tx.us/procurement/prog/vendor_performance/
Documented past performance based upon DFPS experience with the Applicant.
Documented past performance based upon DFPS Enterprise Agency experience with the Applicant.
Documented past performance based upon experience with any other governmental entity.
Note : Applicant may be denied a contract or a contract already in existence maybe terminated if negative information becomes known to DFPS at a later date or during the contract term.
Pass/Fail
In compliance with the provisions of Texas Government Code, Title 10, Subtitle D, Section 2155.074, Section 2155.075, Section 2156.007, Section 2157.003 and Section 2157.125, and Texas Administrative Code, Title 1, Chapter 113.6, information obtained from the Texas Procurement and Support Services Vendor Performance Tracking System may be used in evaluating responses to solicitations for goods and services to determine the best value for the state.
6.3. Non-Responsive ApplicationsUnless subject to §6.4, an application will be considered non-responsive and will not be considered further when any of the following conditions occurs:
6.3.1. The Applicant fails to meet major PEN specifications;
3 DFPS is required by rule (34 TAC §20.108(b)) to report vendor performance through the Vendor Performance Tracking System (VPTS). VPTS entries may provide DFPS with important information prior to making a contract award. DFPS may also use other past performance records including but not limited to our own records, records of other contractors including private contractors, and public records to access past performance.
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6.3.2. The Applicant is not eligible under §1.7;6.3.3. Applicant does not accept the rate established in the PEN;6.3.4. Opportunity to Reapply
If an application is determined to be non-responsive while the procurement is still open, the Applicant may submit another complete application prior to the application deadline as long as the Applicant meets eligibility criteria as provided in §1.7 of this solicitation.
6.3.5. No Responsive ApplicationsIf no responsive applications are received, DFPS reserves the right to award a contract based on noncompetitive negotiations in compliance with DFPS procurement policy.
6.4. Corrections to a Response40 TAC §§732.215-217 describe when DFPS may allow for corrections to a Response during the screening process. Allowable corrections include but are not limited to:
6.4.1. The application is not signed.6.4.2. The Applicant’s response is not clearly legible. Typewritten is preferred.6.4.3. The Applicant fails to submit required supporting documentation or forms.
Corrections allowed to the Application must be made within the timeframes set by DFPS and meet any additional requirements specified by DFPS.
6.5. Review and Validation of ApplicationsThe Applicant must provide full, accurate, and complete information as required by this solicitation. As part of the review process, DFPS staff may validate any aspect of the Response. Validation may consist of on-site visits, review of records, and confirmation of the information submitted by the Applicant with the Applicant and third parties.
6.6. Additional InformationBy submitting a Response, the Applicant grants DFPS the right to obtain information from any lawful source regarding the Applicant’s and its directors’, officers’, and employees’:
6.6.1. Past business history, practices, and conduct,6.6.2. Ability to supply the goods and services, and6.6.3. Ability to comply with contract requirements.
By submitting a Response, an Applicant generally releases from liability and waives all claims against any party providing DFPS information about the Applicant. DFPS may take such information into consideration in evaluating Applications.
6.7. Contract Award
DFPS intends to award contracts throughout the life of this posting and may award multiple contracts within a service delivery area, see §2.3. At the sole discretion of DFPS, enrollment in an individual Service Delivery Area may be opened or closed as appropriate to meet the business needs of DFPS.
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7. Glossary
TERM DEFINITIONAgreement A promise or a set of promises, for breach of which the law gives
a remedy, or the performance of which the law in some way recognizes as a duty. It is an agreement between two or more parties creating obligations that are enforceable or otherwise recognizable at law. The term also encompasses the written document that describes the terms of the agreement. For state contracting purposes, it generally describes the terms of a purchase of goods or services from a vendor or service provider.
Amendment A formal revision or addition to a contract.
Applicant Any individual or entity that submits an application for the enrollment pursuant to this PEN.
Assessment A process used to gain sufficient information to identify the client’s strengths, problems, and needs as they relate to substance use.
Best Interests of the State Most advantageous to the state in light of all relevant circumstances.
Business Day Any day other than a Saturday, Sunday, or day in which Texas state offices are authorized or obligated by law or executive order to be closed.http://sao.hr.state.tx.us/compensation/holidays.html
Caregiver An individual who attends to the needs of a child.
Chemical Dependency Treatment Facility (CDTF)
Facility licensed by the Texas Department of State Health Services (DSHS). Also known as Substance Abuse Treatment Facility (SATF) provides chemical dependency treatment services to chemically dependent individuals. Within this solicitation the terms CDTF and SATF are used interchangeably.
Licensed Chemical Dependency Treatment Facility (CDTF). A list of licensed facilities can be found at:https://www.dshs.texas.gov/facilities/find-a-licensee.aspx#SAunder ‘Substance Abuse Treatment Facilities’
Child A person under 18 years of age who is not and has not been married or who has not had the disabilities of minority removed for general purposes.
Child Safety Child Safety is when there are no safety threats within the family or the parent possesses sufficient protective capacity to manage any threats.
Commission Texas Health and Human Services Commission.
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TERM DEFINITIONComplaint A concern reported to DFPS contract staff about the Contractor’s
professionalism and/or quality of work.
Confidential Information Any communication or record (whether oral, written electronically stored or transmitted, or in any other form) that consist of: (1) Confidential Client information, including Protected Health Information; (2) All non-public budget, expense, payment and other financial information; (3) All privileged Work Product; (4) All information designated by DFPS or any other State agency as confidential, including all information designated as confidential under the Texas Public Information Act, Texas Government Code, Chapter 552; (5) Unless publicly disclosed by DFPS or the State, the pricing , payments, and terms and conditions of the Agreement;(6) Information that is utilized developed, received, or maintained by DFPS, the Contractor, or participating State agencies for the purpose of fulfilling a duty or obligation under this Agreement and that has not been publicity disclosed; and(7) Any other information deemed confidential under state or federal confidentiality laws.
Conservatorship Legal responsibility, rights and duties that define the relationship between a child and the persons(s) or entity appointed by a court to assume these responsibilities.
Contact To get in touch with or communicate with via face-to-face, electronic communication (telephone, text, email, or computer/webcam) or letter.
Contract A promise or a set of promises, for breach of which the law gives a remedy, or the performance of which the law in some way recognizes as a duty. It is an agreement between two or more parties creating obligations that are enforceable or otherwise recognizable at law. The term also encompasses the written document that describes the terms of the agreement. For state contracting purposes, it generally describes the terms of a purchase of goods or services from a vendor or service provider.
Contract Action The exercise of any action authorized under the terms of the contract related to the contract. Contract actions include, but are not limited to, modifications, renewals, and assessment of remedies.
Contract Management Contract management is a core function that involves the continual monitoring of a contractor's performance to ensure its compliance with terms and conditions of a contract. It begins once all parties have signed a contract.
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TERM DEFINITIONContract Performance Measures Report
A tool developed and utilized by DFPS to evaluate the Contractor’s performance related to the Performance Measures during the life of the contract.
Contract Renewal The exercise of a renewal option included in a preexisting contract, e.g. to extend end date for a set period of time.
Contract Term The period of time beginning with the commencement date or effective date of a contract and ending when the contract expires in accordance with its terms, or when it has been terminated. The contract term includes renewal options that have actually been exercised.
Contractor An entity or person holding a written agreement with DFPS to provide goods and services.
Court Appearance Consists of an appearance at a court session or hearing with the intent to testify whether or not the testimony is actually provided.
CPS Child Protective Services, a division of Texas Department of Family and Protective Services.
Credentialing The process of reviewing a potential provider's role, background check results, insurance coverage, licenses, experience and certifications to determine whether that provider meets the minimum requirements to provide the contracted service.
Credentialing Documents Documents which support the provider met the required qualifications for provision of service, such as a license, background check results, and insurance coverage.
Cultural Competence The ability of individuals and systems to provide services effectively to people of various cultures, races, ethnic backgrounds, and religions in a manner that recognizes, values, affirms, and respects the worth of the individuals and protects and preserves their dignity.
Culturally Appropriate Services are provided in a way that is respectful of the values, beliefs, traditions, customs, and parenting styles of the people that the provider serves.
Damages Money claimed by, or ordered to be paid to, a person as compensation for loss or injury. The sum of money, which a person wronged, is entitled to receive from the wrongdoer as compensation for the wrong.
Data Source The system or process from which information about a performance measure will be gathered.
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TERM DEFINITIONDeliverable A written, recorded or otherwise tangible work product prepared,
developed, or procured by the contractor that is to be provided as part of the contractor’s obligations under the contract. A discrete type or increment of work. The work may involve the delivery of goods or services.
Department Texas Department of Family and Protective Services
Deposition Consists of testimony given out of court under oath for later use in open court.
DFPS Texas Department of Family and Protective Services
Effective Date The date of complete execution of the contract or the date upon which the parties agree the contract shall take effect.
Electronic State Business Daily (ESBD)
The electronic marketplace described in Texas Government Code, § 2155.083, where state agency procurement opportunities over $25,000 are posted.
Estoppel A legal bar to alleging or denying a fact because of one’s previous actions or words to the contrary.
Expectation Applicant’s perception of satisfaction as indicated by responses made to the items on the Applicant Satisfaction Survey Questionnaire.
Face-to-Face Contact In person; directly.
Favorable Response An affirmative answer such as yes, very satisfied, satisfied, strongly agree, agree or any other affirmative answer, as determined by DFPS.
Financial Audit An independent audit to establish the reliability of an entity's financial information by determining whether the information is presented fairly in accordance with recognized criteria, performed in accordance with applicable auditing standards. Financial audits performed in accordance with Generally Accepted Government Auditing Standards (GAGAS) also provide users information regarding the entity's internal controls and compliance with laws, regulations and provisions of contracts and grant agreements as they relate to financial transactions, systems and processes.
Financial Remedies Liquidated damages reflecting loss and damages to the State due to Contractor failure to provide acceptable services as specified in the contract.
Financial Resources Cash or cash equivalent resources of that are sufficiently liquid and available to the Contractor sufficient to meet the estimated minimum cash requirements for the DFPS Region in which services are provided.
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TERM DEFINITIONFiscal Monitoring A review of a contractor's financial operations which may include
a review of internal controls for program funds in accordance with state and/or federal requirements, an examination of principles, laws and regulations, and a determination of whether costs are reasonable and necessary to achieve program objectives.
Fiscal Year (State of Texas) The period beginning September 1 and ending August 31 of each year.
Foster Care DFPS-paid substitute care.
Foster Child A child who is in a DFPS-paid substitute care placement
Health and Human Services Agency A state agency identified in § 531.001, Government Code.
Health and Human Services Commission (HHSC)
An agency of the state established by Government Code, Chapter 531.
Historically Underutilized Business (HUB)
A minority or women-owned business as defined by Government Code, Chapter 2161.
Indicator The operational description of a performance measure.
Individual Cultural Competence
The knowledge, skill or attribute one has relative to cultures other than his/her own that is observable in the consistent patterns of an individual’s behavior, interaction and work related activities over time, which contributes to the ability to effectively and equitably meet the needs of families receiving services. Individual Cultural Competence must be an on-going journey achieved through formal training and subsequent opportunities for open and honest discussions of racial and ethnic identity and the importance of a healthy racial and ethnic identity.
Invoice A contractor’s bill or written request for payment under the contract for services performed.
Liquidated Damages Amounts contractually stipulated as a reasonable estimation of actual damages to be recovered by one party if the other party breaches. The amounts that the parties agree on as liquidated damages will be fixed as the measure of damages for a breach, whether they exceed or fall short of the actual damages. Liquidated damages are appropriate only when it would be difficult or impossible to ascertain actual damage amounts, but they must also be reasonably related to what the actual damages are likely to be. If liquidated damage amounts are determined to be excessive they will be considered punitive, and therefore unenforceable.
Maltreatment An incidence of physical, mental or emotional abuse or neglect of a child.
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TERM DEFINITIONMethodology A general description of the process that is used to calculate a
performance measure.
Non-cooperative Failure or refusal to cooperate, uncooperative.
Non-responsive Noncompliance with a material aspect of the solicitation document resulting in a proposal being excluded from contract award consideration.
Official Case Record Any documentation and materials in both the electronic file (primarily IMPACT) and external file (primarily paper or photos) associated with a specific case.
Organizational Cultural Competence
A set of values, behaviors, attitudes, and practices within a system, organization, program or among individuals, which enables staff, subcontractors and volunteers to work effectively with families from other cultures. Furthermore, it refers to their ability to honor and respect the beliefs, language, interpersonal styles, and behaviors of individuals and families receiving services. The organization must demonstrate these values by providing formal education and on-going opportunities for staff, subcontractor and volunteer discussions to promote understanding of the importance of racial and ethnic identity for the CPS client family.
Outcome A measure that demonstrates the effect a service has on clients, typically related to improvements in the lives of clients with regard to safety, permanency, and well-being or support for DFPS staff in meeting these goals.
Parent/Caregiver Protective Capacities
Parent/Caregiver Protective Capacities refers to personal cognitive, behavioral, and emotional characteristics that are specifically and directly associated with a person being protective of his or her child can be observed, understood and demonstrated as a part of the way a parent/caregiver thinks, feels, and acts that makes her or him protective “strengths” specifically related to keeping a child safe.
Performance Based Contracting
The structuring of all aspects of the procurement of services around the purpose of the work to be performed and the desired results with the contract requirements set forth in clear, specific, and objective terms with measurable outcomes.
Performance Measure A client outcome, a system improvement, or an administrative measure used to assess the performance of the contractor.
Performance Period The period of time during which performance will be measured.
Placement An event where DFPS places or authorizes placement of a child.
Procurement The acquisition of goods or services.
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TERM DEFINITIONProcurement Protest Procedures
Procedures for resolving vendor protests relating to purchasing issues.
Professional and Respectful Manner
Behavior, appearance and interactions exhibit courtesy, consideration and competence.
Proprietary Products or services manufactured or offered under exclusive rights of ownership, including rights under patent, copyright or trade secret law.
Provider Any individual providing services under a contract to a DFPS client under a contract award as a result of this Provider Enrollment.
Purpose The reason for inclusion of a performance measure.
Qualified Personnel Persons with proper training and, in some cases, credentials.
Referral To assign or direct a client or family for services by a DFPS Service Authorization Form 2054.
Relative A person related to a child by consanguinity (a close relation or connection) as determined under § 573.022, Government Code.
Remedies Rights or opportunities under the terms of a contract or applicable law to take action against a contracting party to ensure performance or to redress wrongs. Some examples include the right to pursue actual damages, require corrective action plans, assess liquidated damages, seek an injunction, withhold payment, or terminate the contract.
Risk Risk is the reasonable likelihood that children in a family will be abused or neglected in the foreseeable future.
Safety Secure from maltreatment or the risk of maltreatment.
Safety Threats Safety threats are dynamics, conditions, or situations in a home that, alone or in combination, could indicate or contribute to an existing or developing danger for children.
Satellite Office Any office, other than the contractor's main office, where services are provided by the contractor, employees, or subcontractors.
Service Delivery Area A geographical area designated by DFPS, within which contracted services may be provided. Specific SERVICE DELIVERY AREA's contracted are specified in Form 2280PEN, Application and Contract.
Service Providers A person conducting testing, assessments, and counseling.
Siblings Children having one or both parents in common.
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TERM DEFINITIONSoftware All operating systems and applications software used by the
Contractor to provide the services described in this Provider Enrollment contract.
Solicitation A document requesting submittal of an application to provide goods or services in accordance with the advertised specifications.
Specifications A description of what the purchaser requires and what an applicant must offer. The written statement or description and enumeration of particulars of goods to be purchased or services to be performed.
State The state of Texas.
State Agency Agency of the State of Texas as defined in Texas Government Code 2056.001.
Subcontract A written agreement between the original contractor and a third party to provide all or a specified part of the goods, services, work, and materials required in the original contract.
Subcontractor Any individual or entity that has entered into a subcontract with contractor.
Substance Abuse Treatment Facility (SATF)
Facility licensed by the Texas Department of State Health Services (DSHS), also known as Chemical Dependency Treatment Facility (CDTF) provides chemical dependency treatment services to chemically dependent individuals. Within this solicitation the terms SATF and CDTF are used interchangeably.
Licensed Substance Abuse Treatment Facility (SATF). A list of licensed facilities can be found at:https://www.dshs.texas.gov/facilities/find-a-licensee.aspx#SAunder ‘Substance Abuse Treatment Facilities’
Treatment Planning A process by which the counselor and the client identify the client’s problems needing resolution. There is agreement between the counselor with the client for both immediate and long term goals. Each client’s plan must to be individualized. Goals and objectives need to be measurable and within a time. Goals and objectives are prioritized. The treatment plan also needs to address strategies and interventions and DSM-TR. The LCDC counselor completes Axis I, IV, and V (Axis II and III are deferred unless the client reports a medical condition).
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TERM DEFINITIONValid Service Authorization, Form 2054
A Form 2054 that at a minimum Includes: Issuance to the correct Contractor, A service begin date that is no earlier than the date of
receipt, and CPS staff signature, date, and any special approvals such
as location of service provision.
Validated Complaint A complaint DFPS contract staff has determined is supported by the information gathered about the complaint.
Whole Percentage Point Each percentage point less than one whole percentage point is rounded up to a whole percentage point if .5 or greater and rounded down to 0 if less than .5.
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DOCUMENT EXHIBIT LIST
Exhibit Title Page
Exhibit ADFPS Vendor Uniform Terms &Conditions, Form 5645V
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Exhibit B DFPS Vendor Special Conditions, Form 5622V 60
Exhibit C DFPS General Affirmations, Form 5647 65
Exhibit D DFPS Service Delivery Areas-Texas and Regional Maps 67
Exhibit E Performance Measures 79
Exhibit F Fee Schedule 83
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F502-5645VNovember 2017
Exhibit ADEPARTMENT OF FAMILY AND PROTECTIVE SERVICES
VENDOR UNIFORM TERMS AND CONDITIONS
ARTICLE ICONSIDERATION
1.1 PROMPT PAYMENT. DFPS will pay Contractor in accordance with the Prompt Payment Act, Texas Government Code Chapter 2251.
1.2 EXPENSES. Except as otherwise provided in the Contract, no ancillary expenses incurred by the Contractor in connection with its provision of the Services or Deliverables will be reimbursed by DFPS. Ancillary expenses include, but are not limited to costs associated with transportation, delivery, and insurance for each Deliverable.
When the reimbursement of travel expenses is authorized by the Contract, all such expenses will be reimbursed in accordance with the rates set by the State of Texas Textravel.
ARTICLE IISTATE AND FEDERAL FUNDING
2.1 AVAILABILITY OF STATE AND FEDERAL FUNDING. This Contract is contingent upon the availability of sufficient and adequate funds. If funds become unavailable through lack of appropriations, budget cuts, transfer of funds between programs or agencies, amendment of the Texas General Appropriations Act, agency consolidation, or any other disruptions of current funding for this Contract, DFPS may restrict, reduce, or terminate funding under this Contract.
This Contract is also subject to immediate cancellation or termination, without penalty to DFPS, if sufficient and adequate funds are not available.
Contractor will have no right of action against DFPS if it cannot perform its obligations under this Contract as a result of lack of funding for any activities or functions contained within the scope of this Contract.
In the event of cancellation or termination under this Section, DFPS will not be required to give notice and will not be liable for any damages or losses caused or associated with such termination or cancellation.
2.2 NO DEBT AGAINST THE STATE.The Contract will not be construed as creating any debt by or on behalf of the State of Texas.
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2.3 DEBT TO STATE. If a payment law prohibits the Texas Comptroller of Public Accounts from making a payment, the Contractor acknowledges DFPS’ payments under the Contract will be applied toward eliminating the debt or delinquency. This requirement specifically applies to any debt or delinquency, regardless of when it arises.
2.4 RECAPTURE OF FUNDS. DFPS may withhold all or part of any payments to Contractor to offset overpayments made to Contractor. Overpayments, as used in this Section, include payments made by DFPS that exceed the maximum allowable rates, not allowed under applicable laws, rules, or regulations or that are otherwise inconsistent with this Contract, including any unapproved expenditures.
Contractor understands and agrees that it will be liable to DFPS for any costs disallowed pursuant to financial and compliance audit(s) of funds received under this Contract.
Contractor further understands and agrees that reimbursement of such disallowed costs will be paid by Contractor from funds which were not provided or otherwise made available to Contractor under this Contract.
ARTICLE IIIWARRANTY
3.1 WARRANTY. Contractor warrants that all services, deliverables and work under this Contract will be completed in a manner consistent with standards in the applicable trade, profession, or industry, conform to or exceed the specifications set forth in the Contract and be; fit for ordinary use, of good quality, and with no material defects.
If Contractor fails to complete any services deliverables or work timely, or to perform satisfactorily under conditions required by this Contract DFPS may require Contractor, at its sole expense, to repair or replace all defective or damaged services, or refund any payment received for all defective or damaged services, deliverables or work and require Contractor to accept the return of such, as applicable to the Contract.
ARTICLE IVOWNERSHIP AND INTELLECTUAL PROPERTY
4.1 OWNERSHIPDFPS will own and Contractor will assign to DFPS, all right, title, and interest in all services, deliverables and work performed by Contractor under this Contract.
4.2 INTELLECTUAL PROPERTY. To the extent any services, deliverables or work performed by Contractor results in the creation of intellectual property, all right, title, and interest in, and to such Intellectual Property, will vest in DFPS upon creation and will be deemed to be a “work made for hire,” and made in the course of the services rendered pursuant to this Contract.
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To the extent that title to any such Intellectual Property may not by law vest in DFPS, or such Intellectual Property may not be considered a “work made for hire,” all rights, title, and interest therein are hereby irrevocably assigned to DFPS. DFPS will have the right to obtain and to hold in its name, any and all patents, copyrights, trademarks, service marks, registrations, or such other protection as may be appropriate to the subject matter, including extensions and renewals thereof.
Contractor must give DFPS and the State of Texas, as well as, any person designated by DFPS or the State of Texas, all assistance required to perfect the rights defined herein, without any charge or expense beyond the stated amount payable to Contractor for the services authorized under this Contract.
ARTICLE VRECORDS, AUDIT, CONFIDENTIAL INFORMATION
AND PUBLIC INFORMATION ACT
5.1 BOOKS AND RECORDS.Contractor will keep and maintain under Generally Accepted Accounting Principles (GAAP) or Generally Accounting Standards Board (GASB), as applicable, full, true, and complete records necessary to fully disclose to DFPS, the Texas State Auditor’s Office, the United States Government, and their authorized representatives, sufficient information to determine compliance with the terms and conditions of this Contract and all state and federal rules, regulations, and statutes. Unless otherwise specified in this Contract, Contractor will maintain legible copies of this Contract and all related documents for a minimum of seven years after the termination of the contract period, or seven years after the completion of any litigation or dispute involving the Contract, whichever is later.
5.2 ACCESS TO RECORDS, BOOKS, AND DOCUMENTS.Contractor will keep and maintain under Generally Accepted Accounting Principles (GAAP) or Generally Accounting Standards Board (GASB), as applicable, full, true, and complete records necessary to fully disclose to DFPS, the Texas State Auditor’s Office, the United States Government, and their authorized representatives, sufficient information to determine compliance with the terms and conditions of this Contract and all state and federal rules, regulations, and statutes. Unless otherwise specified in this Contract, Contractor will maintain legible copies of this Contract and all related documents for a minimum of seven years after the termination of the contract period or seven years after the completion of any litigation or dispute involving the Contract, whichever is later.
5.3 RESPONSE/COMPLIANCE WITH AUDIT OR INSPECTION FINDINGS.Contractor (and their Subcontractors) will ensure compliance with all corrections necessary to address any finding of noncompliance with any law, regulation, audit requirement, or generally accepted accounting principle, or any other deficiency identified in any audit, review, or inspection of the Contract and the goods or services provided hereunder. Any such correction will be at Contractor or its Subcontractor's sole expense. Whether Contractor's action corrects the noncompliance will be solely the decision of DFPS.
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Contractor must provide at DFPS’ request, a copy of those portions of Contractor's and its Subcontractors' internal audit reports relating to this Contract.
5.4 SAO AUDIT.Contractor understands that acceptance of funds directly under the Contract or indirectly through a subcontract acts as acceptance of the authority of the SAO or any successor agency to it, to conduct an audit or investigation in connection with those funds. Under the direction of the legislative audit committee, an entity that is the subject of an audit or investigation by the SAO must provide the SAO with access to any information the SAO considers relevant to the investigation or audit. Contractor agrees to cooperate fully with the SAO, or its successor, in the conduct of the audit or investigation, including providing all records requested. Contractor will ensure that this clause, concerning the authority to audit funds received indirectly by Subcontractors through Contractor, and the requirement to cooperate, is included in any Subcontract it awards.
5.5 CONFIDENTIAL INFORMATION.
A. Contractor agrees to only use DFPS confidential information for the purpose of this Contract and comply with all applicable state and federal law when it receives and stores DFPS confidential information, including, but not limited to, the following enumerated. This includes any communication or record (whether oral, written, electronically stored or transmitted, or in any other form) provided or made available to them electronically or through any other means and includes records or information that is identifies DFPS children or clients. 1. Section 106 of the Child Abuse Prevention and Treatment Act (CAPTA), codified
at 42 U.S.C. 5106a;2. Section 471 of Title IV-E of the Social Security Act, codified at 42 U.S.C. 671(a)
(8), and related federal rules at 45 CFR 1355.30 & 45 CFR 205.50;3. Social Security Administration Data, including, without limitation, Medicaid
information (The Social Security Act, 42 U.S.C. Chapter 7);4. Family Educational Rights and Privacy Act, (FERPA), 20 U.S.C. § 1232g; 34
CFR Part 99; 5. Protected Health Information, including Electronic Protected Health Information
or Unsecured Protected Health Information under the Health Insurance Portability and Accountability Act of 1996 (HIPAA), 42 U.S.C. Chapter 7, Subchapter XI, Part C; 45 CFR Parts 160 and 164;
6. Confidentiality of Alcohol and Drug Abuse Patient Records, 42 U.S.C. §290dd-2:, 42 CFR Part 2;
7. Federal Tax Information, Internal Revenue Code, Title 26 of the United States Code including IRS Publication 1075;
8. The Privacy Act of 1974, as amended by the Computer Matching and Privacy Protection Act of 1988, 5 U.S.C. § 552a;
9. Personal Identifying Information defined by Texas Business and Commerce Code Ch. 521, and OMB Memorandum 07-16, Safeguarding Against and Responding to the Breach of Personally Identifiable Information;
10. Texas Family Code §261.201 and related provisions in Chapters 261 and 264; 11. Texas Health and Safety Code Section §81.046 and Chapters 181 and 611; 12. Texas Human Resources Code §12.003, §40.005, and Chapter 48; 13. Texas Public Information Act, Texas Government Code, Chapter 552;
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14. 19 TAC Chapter 702 Subchapter F (Child Protective Services), and Chapter 705 Subchapter M (Adult Protective Services); and
15. Criminal History Record Information guidelines in the FBI’s Criminal Justice Information Services (CJIS) Security Policy.
B. Contractor will notify DFPS immediately, but not later than 24 hours, after Contractor discovers any suspected or actual unauthorized disclosure, breach or use of DFPS confidential information. Furthermore, Contractor will fully cooperate with DFPS in investigating, mitigating to the extent practicable and issuing notifications directed by DFPS in the manner determined by DFPS.
C. Contractor agrees to only disclose this information in accordance with the applicable law and to notify DFPS as required by the applicable law, when it makes a disclosure under it.
D. If Contractor receives any request or demand for disclosure of confidential information by oral questions, documents, subpoenas, civil investigative demand, interrogatories, requests for information, or other similar legal process, Contractor will provide DFPS with prompt notice of such request (no later than two business days) so that DFPS may determine whether to seek an appropriate protective order and/or consent to Contractor's disclosure of the requested records. This subsection does not preclude the Contractor from asserting its own privileges or objections against release of confidential information to a third-party based on applicable law.
E. The Section will remain in full force and effect following termination or cessation of the services performed under this Contract.
5.6 PUBLIC INFORMATION ACT.Information related to the performance of this Contract may be subject to the Public Information Act (PIA) (Texas Government Code Chapter 552) and will be withheld from public disclosure or released only in accordance therewith. Contractor must make all information not otherwise excepted from disclosure under the PIA available in portable document file (".pdf") format, or any other format agreed between the Parties.
ARTICLE VICONTRACT MANAGEMENT AND EARLY TERMINATION
6.1 CONTRACT MANAGEMENT.To ensure full performance of the Contract and compliance with applicable law, DFPS may take actions including:A. Suspending all or part of the Contract;B. Requiring the Contractor to take specific corrective actions in order to remain in
compliance with term of the Contract;C. Recouping payments made to the Contractor found to be in error;D. Suspending, limiting, or placing conditions on the continued performance of Work; E. Imposing any other remedies authorized under this Contract; andF. Imposing any other remedies, sanctions or penalties permitted by federal or state
statute, law, regulation, or rule.
6.2 TERMINATION FOR CONVENIENCE.DFPS may terminate the Contract, in whole or in part, at any time when, in its sole discretion, DFPS determines that termination is in the best interests of the State of
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Texas. The termination will be effective on the date specified in DFPS’s notice of termination.
6.3 TERMINATION FOR CAUSE.Except as otherwise provided by the U.S. Bankruptcy Code, or any successor law, DFPS may terminate the Contract, in whole or in part, upon either of the following conditions:a. Material Breach. DFPS will have the right to terminate the Contract in whole or in
part if DFPS determines, at its sole discretion, that Contractor has materially breached the Contract or has failed to adhere to any laws, ordinances, rules, regulations or orders of any public authority having jurisdiction and such violation prevents or substantially impairs performance of Contractor’s duties under the Contract. Contractor's misrepresentation in any aspect of Contractor’s Solicitation Response, if any, or Contractor's addition to the Excluded Parties List System (EPLS) will also constitute a material breach of the Contract.
b. Failure to Maintain Financial Viability. DFPS may terminate the Contract if, in its sole discretion, DFPS has a good faith belief that Contractor no longer maintains the financial viability required to complete the Services and Deliverables, or otherwise fully perform its responsibilities under the Contract.
6.4 CONTRACTOR RESPONSIBILITY FOR ASSOCIATED COSTS.If DFPS terminates the Contract for cause, the Contractor will be responsible to DFPS for all costs incurred by DFPS and the State of Texas to replace the Contractor. These costs include, but are not limited to, the costs of procuring a substitute vendor and the cost of any claim or litigation that is reasonably attributable to Contractor’s failure to perform any Work in accordance with the terms of the Contract.
6.5 EQUITABLE SETTLEMENT.Any early termination under this Article will be subject to the equitable settlement of the respective interests of the Parties up to the date of termination.
ARTICLE VIIMISCELLANEOUS PROVISIONS
7.1 AMENDMENT.The Contract may only be amended by an Amendment executed by both Parties.
7.2 UNILATERAL AMENDMENT.A. In conformance with federal and state law, DFPS may issue instructions,
clarifications, or interpretations as may be required during this Contract in the form of a Unilateral Amendment, which will be in incorporated as part of this Contract. DFPS has sole discretion as to whether a modification or change to the Contract will require an Amendment as provided for in Section 7.1 DFPS may issue a Unilateral Amendment to:
1. Correct an obvious clerical error;2. Change Contract number;3. Incorporate new or revised state or federal laws, regulations, rules or policies;
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4. Comply with court order or judgment; 5. Update service level description or daily rates;6. Update Contractor’s name as recorded by the Secretary of State, as required
law or as authorized by DFPS;7. Change either Party’s contract manager or legal notice designee and if
applicable, their contact information; and8. Change any recorded license number to reflect a change to license number
by the agency or entity issuing the license.B. Unilateral Amendment will be effective 10 days from the date that DFPS issues
the Unilateral Amendment to the Contractor.
7.3 INSURANCE.Unless otherwise specified in this Contract, Contractor will acquire and maintain, for the duration of this Contract, insurance coverage necessary to ensure proper fulfillment of this Contract and potential liabilities thereunder with financially sound and reputable insurers licensed by the Texas Department of Insurance, in the type and amount customarily carried within the industry as determined by DFPS. Contractor will provide evidence of insurance, as required under this Contract, including a schedule of coverage or underwriter’s schedules establishing to the satisfaction of DFPS the nature and extent of coverage granted by each such policy, upon request by DFPS. In the event that any policy is determined by DFPS to be deficient to comply with the terms of this Contract, Contractor will secure such additional policies or coverage as DFPS may reasonably request or that are required by law or regulation. If coverage expires during the term of this Contract, Contractor must produce renewal certificates for each type of coverage.
These and all other insurance requirements under the Contract apply to both Contractor and its Subcontractors, if any. Contractor is responsible for ensuring its Subcontractors' compliance with all requirements.
7.4 E-VERIFY.By entering into this Contract, Contractor certifies and ensures that it utilizes and will continue to utilize, for the term of this Contract, the U.S. Department of Homeland Security's e-Verify system to determine the eligibility of all persons employed during the contract term to perform duties within Texas and all persons (including subcontractors) assigned by the contractor to perform services, deliverables and work pursuant to the Contract.
7.5 PERMITTING AND LICENSURE.At Contractor's sole expense, Contractor will procure and maintain for the duration of this Contract any state, county, city, or federal license, authorization, insurance, waiver, permit, qualification or certification required by statute, ordinance, law, or regulation to be held by Contractor to provide the goods or services required by this Contract. Contractor will be responsible for payment of all taxes, assessments, fees, premiums, permits, and licenses required by law. Contractor agrees to be responsible for payment of any such government obligations not paid by its subcontractors during performance of this Contract.
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7.6 INDEMNITY.To the extent allowed by law, Contractor will defend, Indemnify, and hold harmless the State of Texas and its officers and employees, and DFPS and its officers and employees, from and against all claims, actions, suits, demands, proceedings, costs, damages, and liabilities, including attorneys’ fees and court costs arising out of, or connected with, or resulting from: A. Contractor's performance of the Contract, including any negligent acts or omissions
of Contractor, or any agent, employee, subcontractor, or supplier of Contractor, or any third party under the control or supervision of Contractor, in the execution or performance of this Contract; or
B. any breach or violation of a statute, ordinance, governmental regulation, standard, rule, or breach of Contract by Contractor, any agent, employee, subcontractor, or supplier of Contractor, or any third party under the control or supervision of Contractor, in the execution or performance of this Contract; or
C. employment or alleged employment, including claims of discrimination against Contractor, its officers, or its agents; or
D. Work under this Contract that infringes or misappropriates any right of any third person or entity based on copyright, patent, trade secret, or other intellectual property rights.
Contractor will coordinate its defense with DFPS and its counsel. This paragraph is not intended to and will not be construed to require Contractor to indemnify or hold harmless the State or DFPS for any claims or liabilities resulting solely from the gross negligence of DFPS or its employees.
Nothing in the Contract will be construed as a waiver of sovereign immunity by DFPS.
7.7 ASSIGNMENTS. Contractor may not assign all or any portion of its rights under, interests in, or duties required under this Contract without prior written consent of DFPS, which may be withheld or granted at the sole discretion of DFPS. Except where otherwise agreed in writing by DFPS, assignment will not release Contractor from its obligations under the Contract.
Contractor understands and agrees DFPS may in one or more transactions assign, pledge, or transfer the Contract. This assignment will only be made to another State agency or a non-state agency that is contracted to perform agency support.
7.8 HUB/MENTOR PROTÉGÉ. In accordance with State law, it is DFPS’s policy to assist HUBs whenever possible in providing goods and services to DFPS. DFPS encourages those parties with whom it contracts for the provision of goods and services to adhere to this same philosophy in selecting Subcontractors to assist in fulfilling their obligations with DFPS. In addition to information required by this Contract, the contracting Party will provide the procurement department of DFPS with pertinent details of any participation by a HUB in fulfilling the duties and obligations arising hereunder.DFPS encourages the Parties it contracts with to partner with certified HUBs that participate in the Texas Comptroller of Public Accounts' Mentor Protégé Program.
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7.9 RELATIONSHIP OF THE PARTIES.Contractor is, and will be, an independent contractor and, subject only to the terms of this Contract, will have the sole right to supervise, manage, operate, control, and direct performance of the details incident to its duties under this Contract. Nothing contained in this Contract will be deemed or construed to create a partnership or joint venture, to create relationships of an employer-employee or principal-agent, or to otherwise create for DFPS any liability whatsoever with respect to the indebtedness, liabilities, and obligations of Contractor or any other Party.
7.10 GOVERNING LAW AND VENUE.This Contract and the rights and obligations of the Parties hereto will be governed by, and construed according to, the laws of the State of Texas, exclusive of conflicts of law provisions. Venue of any suit brought under this Contract will be in a court of competent jurisdiction in Travis County, Texas unless otherwise elected by DFPS. Contractor irrevocably waives any objection, including any objection to personal jurisdiction or the laying of venue or based on the grounds of forum non conveniens, which it may now or hereafter have to the bringing of any action or proceeding in such jurisdiction in respect of this Contract or any document related hereto.
7.11 SEVERABILITY.If any provision contained in this Contract is held to be unenforceable by a court of law or equity, this Contract will be construed as if such provision did not exist and the non-enforceability of such provision will not be held to render any other provision or provisions of this Contract unenforceable.
7.12 SURVIVABILITY.Termination or expiration of this Contract or a Contract for any reason will not release either party from any liabilities or obligations in this Contract that the parties have expressly agreed will survive any such termination or expiration, remain to be performed, or by their nature would be intended to be applicable following any such termination or expiration, including maintaining confidentiality of information and records retention.
7.13 FORCE MAJEURE.Except with respect to the obligation of payments under this Contract, if either of the Parties, after a good faith effort, is prevented from complying with any express or implied covenant of this Contract by reason of war; terrorism; rebellion; riots; strikes; acts of God; any valid order, rule, or regulation of governmental authority; or similar events that are beyond the control of the affected Party (collectively referred to as a “Force Majeure”), then, while so prevented, the affected Party’s obligation to comply with such covenant will be suspended, and the affected Party will not be liable for damages for failure to comply with such covenant. In any such event, the Party claiming Force Majeure will promptly notify the other Party of the Force Majeure event in writing and, if possible, such notice will set forth the extent and duration thereof.
7.14 DISPUTE RESOLUTION.If a contract dispute arises that cannot be resolved to the satisfaction of the Parties, either Party may notify the other Party in writing of the dispute. If the Parties are unable to satisfactorily resolve the dispute within 14 days of the written notification, the Parties
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must use the dispute resolution process provided for in Texas Government Code Chapter 2260 to attempt to resolve the dispute. This provision will not apply to any matter with respect to which either Party may make a decision within its respective sole discretion.
7.15 NO WAIVER OF PROVISIONS.Neither failure to enforce any provision of this Contract nor payment for services provided under it constitute waiver of any provision of the Contract.
7.16. PUBLICITY.Except as provided in the paragraph below, Contractor must not use the name of, or directly or indirectly refer to, DFPS, the State of Texas, or any other State agency in any media release, public announcement, or public disclosure relating to the Contract or its subject matter, including in any promotional or marketing materials, customer lists, or business presentations.
Contractor may publish, at its sole expense, results of Contractor performance under the Contract with DFPS’s prior review and approval, which DFPS may exercise at its sole discretion. Any publication (written, visual, or sound) will acknowledge the support received from DFPS and any Federal agency, as appropriate.
7.17 PROHIBITION ON NON-COMPETE RESTRICTIONS.Contractor will not require any employees or Subcontractors to agree to any conditions, such as non-compete clauses or other contractual arrangements that would limit or restrict such persons or entities from employment or contracting with the State of Texas.
7.18 CIVIL RIGHTS.A. Contractor agrees to comply with state and federal anti-discrimination laws,
including: 1. Title VI of the Civil Rights Act of 1964 (42 U.S.C. §2000d et seq.); 2. Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. §794); 3. Americans with Disabilities Act of 1990 (42 U.S.C. §12101 et seq.); 4. Age Discrimination Act of 1975 (42 U.S.C. §§6101-6107); 5. Title IX of the Education Amendments of 1972 (20 U.S.C. §§1681-1688);6. Food and Nutrition Act of 2008 (7 U.S.C. §2011 et seq.); and 7. DFPS's administrative rules, as set forth in the Texas Administrative Code, to the
extent applicable to this Contract.
B. Contractor agrees to comply with all amendments to these laws, and all requirements imposed by the regulations issued pursuant to these laws. These laws provide in part that no persons in the United States may, on the grounds of race, color, national origin, sex, age, disability, political beliefs, or religion, be excluded from participation in or denied any service or other benefit provided by Federal or State funding, or otherwise be subjected to discrimination.
C. Contractor agrees to comply with Title VI of the Civil Rights Act of 1964, and its implementing regulations at 45 C.F.R. Part 80 or 7 C.F.R. Part 15, prohibiting a contractor from adopting and implementing policies and procedures that exclude or have the effect of excluding or limiting the participation of clients in its programs,
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benefits, or activities on the basis of national origin. Civil rights laws require contractors to provide alternative methods for ensuring access to services for applicants and recipients who cannot express themselves fluently in English. Contractor agrees to take reasonable steps to provide services and information, both orally and in writing and electronically, in appropriate languages other than English, to ensure that persons with limited English proficiency are effectively informed and can have meaningful access to programs, benefits, and activities.
D. Contractor agrees to post applicable civil rights posters in areas open to the public informing clients of their civil rights and including contact information for the HHS Civil Rights Office. The posters are available on the HHS website at: http://hhscx.hhsc.texas.gov/system-support-services/civil-rights/publications
E. Contractor agrees to comply with Executive Orders 13279 and 13559, and their implementing regulations at 45 C.F.R. Part 87 or 7 C.F.R. Part 16. These provide in part that any organization that participates in programs funded by direct financial assistance from the United States Department of Agriculture or the United States Department of Health and Human Services shall not discriminate against a program beneficiary or prospective program beneficiary on the basis of religion or religious belief. Contractor must provide written notice to beneficiaries of their rights.
F. Upon request, Contractor will provide HHSC Civil Rights Office with copies of the Contractor's civil rights policies and procedures.
G. Contractor must notify HHSC’s Civil Rights Office of any civil rights complaints received relating to its performance under this Agreement. This notice must be delivered no more than ten calendar days after receipt of a complaint. This notice must be directed to:
HHSC Civil Rights Office 701 W. 51st Street, Mail Code W206 Austin, Texas 78751 Phone Toll Free: (888) 388-6332 Phone: (512) 438-4313 TTY Toll Free: (877) 432-7232 Fax: (512) 438-5885.
7.19 NOTICE OF LEGAL MATTER OR LITIGATION.Contractor shall notify the contract manager assigned to this Contract of any litigation or legal matter related to or affecting this Contract within seven calendar days of becoming aware of the litigation or legal matter.
7.20 PROHIBITION ON CONTRACTS WITH COMPANIES BOYCOTTING ISRAEL.If the Contractor is a “Company” under Texas Government Code § 808.001, the Contractor certifies that at the time of executing this Contract, that it is not boycotting Israel and will not boycott Israel during the term of this Contract.
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F502-5622VNovember 2017
Exhibit B
DEPARTMENT OF FAMILY AND PROTECTIVE SERVICESSPECIAL CONDITIONS FOR VENDORS
INSTRUCTIONS1. SELECT FOLLOWING SPECIAL CONDITIONS THAT ARE APPLICABLE TO THIS
CONTRACT & DELETE SECTIONS YOU WILL NOT USE. 2. IF YOU ARE UNSURE WHAT TO DELETE, PLEASE CONTACT YOUR ASSIGNED
ATTORNEY OR MAKE A REQUEST TO THE EMAIL BOX.3. IF SECTIONS ARE DELETED, RENUMBER REMAINING SECTIONS.4. ONCE DOCUMENT IS FINAL, DELETE INSTRUCTIONS IN RED BEFORE YOU SEND
THIS DOCUMENT TO THE ATTORNEY FOR FINAL REVIEW.In addition to the DFPS Uniform Terms and Conditions for Vendors, the Contractor agrees to comply with the following DFPS Special Conditions for Vendors.
I. Payments under State Plans approved under Title IV-E and TANF. As applicable, Contractors must seek payment or adjustment to payments in accordance with the time limit specified in 45 CFR 95.1 (Code of Federal Regulations), which establishes a two-year (eight quarter) time limit for a State to claim Federal financial participation in expenditures under State plans approved under Title IV-E and Temporary Assistance for Needy Families (TANF).
Any bill or amended bill, which is submitted to DFPS later than seven quarters after the end of the quarter of the expense, will not be processed, unless DFPS determines that submission for payment of the bill to the federal government can be executed in a proper and timely fashion.
II. Reporting Abuse, Neglect, or Exploitation. Contractor will promptly report any suspected case of abuse, neglect, or exploitation to the appropriate authority as required by the Texas Family Code Chapter 261. All reports must be made within 24 hours of the discovery of the suspected abuse, neglect, or exploitation.
III. Testimony in Proceedings. Contractor will require its employees to testify in judicial and administrative proceedings at the request of DFPS. To the extent possible, Contractor will also assist the DFPS in locating past employees, agents, volunteers, consultants, or subcontractors when DFPS requires past employees, agents, volunteers, consultants, or subcontractors to appear and testify in accordance with this subsection.
IV. Removal of Access. Contractor will immediately remove access capabilities to any DFPS automated/internet-based application(s), or immediately notify DFPS that access to such applications needs to be terminated for an employee, subcontractor, or volunteer whose employment, subcontract, or volunteer term with Contractor has ended for any reason.
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V. Cultural Competence. Contractor will make reasonable efforts to provide services that meet the individual needs of the client. Contractor will develop and maintain a cultural competence plan that effectively provides services to people of various cultures, races, ethnic backgrounds and religions, in a manner that recognizes and affirms their worth, protects and preserves their dignity, and ensures equity of service delivery. Contractor will take into consideration the intellectual functioning, literacy, level of education, and comprehension ability of each client, in order to, ensure that all information is presented in a way that meets the individual needs of each client. Contractor will provide services in the client's primary language, whether provided directly by Contractor or through a translator.
VI. Subcontracting. In addition to the subcontracting requirements listed in the Solicitation Document, if applicable, and DFPS Uniform Terms and Conditions, Contractor must also comply with the requirements of this Section. Contractor will be responsible to DFPS for any subcontractor's performance under this Contract. Subcontractors providing services under the Contract will meet the same requirements and level of experience as required of Contractor. No subcontract under the Contract will relieve Contractor of responsibility for ensuring the requested services are provided. If Contractor uses a subcontractor for any or all of the work required, the following conditions will apply:A. Contractors planning to subcontract all, or a portion, of the work to be performed will
identify the proposed subcontractors.B. Subcontracting will be solely at Contractor’s expense.C. DFPS retains the right to check subcontractor’s background and approve or reject
the use of submitted subcontractors. D. Contractor will be the sole contact for DFPS and Contractor will list a designated
point of contact for all DFPS inquiries.E. Subcontracts. Contractor will include a term in all proposed subcontracts that
incorporates this Contract by reference and binds subcontractor to all the requirements, terms, and conditions of this Contract related to the service being provided by the subcontractor, as well as explicitly hold that this Contract controls in the event of any conflict with subcontract. DFPS approval of Contractor's use of any subcontractor is conditioned upon the extent that any subcontract does not conflict with any requirements of the Contract between DFPS and Contractor.
F. Payment to Subcontractors. Will be made pursuant to the Texas Prompt Payment Act (Texas Government Code Chapter 2251).
G. Additional Remedies. In addition to the contract management remedies in the DFPS Uniform Terms and Conditions, DFPS, based on information from monitoring or other verifiable sources, expressly reserves the right to remove any subcontractor or employee of the Contractor from the provision of services under this contract.
VII. DFPS Background Check Policy. Contractors will submit criminal abuse and neglect history information for background checks electronically through the DFPS Automated Background Check System (ABCS) according to the instructions in the user guide located at http://www.dfps.state.tx.us/PCS/About_PCS/help.asp .
(A) Disclosure and Release. Contractor will disclose and release, or cause its employees, subcontractors, and volunteers with direct client contact and/or access to client records to disclose and release, any allegation made against that employee, subcontractor, or volunteer alleging the commission of:
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1. An act of abuse, neglect, or exploitation of children, the elderly, or persons with disabilities;
2. Criminal history or any current criminal indictment (for felonies) or information (for misdemeanors) involving an offense under the Texas Penal Code against:
a. The person;b. The family;c. Public order or decency;d. Public health, safety, or morals; or e. Property;
3. An offense under Texas Health and Safety Code Chapter 481 (Texas Controlled Substances Act); or
4. Any act or offense that can reasonably be associated with potential risk of harm or loss to DFPS and/or its clients based on the job duties or contractual role(s) of the person in question at any time during the contract period.
(B) Method of Disclosure and Release. This disclosure and release is required of all individuals who have, or will have, direct contact with clients and/or access to client records, prior to such contact or access and will be accomplished through the use of:
1. A criminal history background check;2. A DFPS abuse and neglect history check; and3. A signed disclosure and release by each person attesting to this
information, which will be maintained by Contractor, available for review by DFPS, and renewed at intervals not to exceed 24 months while the Contract is in effect.
(C) Direct Contact with Clients. 1. Contractor will prevent or promptly remove any employee, subcontractor,
or volunteer from direct client contact and/or from access to client records who is alleged to have committed any act listed in this Contract.
2. If it is determined with certainty that the person in question has not committed the acts or offenses alleged, that person may again be assigned to direct client contact and/or access to client records. However, the Contractor or subcontractor will notify DFPS of its intent to do so no later than ten business days of proposed reassignment. If requested, the Contractor or subcontractor must provide DFPS with further information concerning the reasons for the reassignment. Contractor must receive DFPS approval prior to the reassignment.
3. If the person in question is found to have committed any of the acts or offenses listed in this Contract, that person will not be reassigned to duties involving any direct contact with clients and/or access to client records.
VIII. Limitation on Use of DFPS Seal and Name. Contractor may not use the DFPS seal in any form or manner without the prior written approval of DFPS. Contractor also may not use the name of DFPS to imply any endorsement, approval, or sponsorship of Contractor's goods or services by DFPS.
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IX. Notifications. Contractor will notify DFPS immediately of any significant change affecting Contractor or this Contract, including, but not limited to, change of Contractor's name or identity, ownership, control, governing board membership, key personnel, any problem or potential problem associated with performance or services, or payee identification number. Contractor will also provide DFPS with any documentation or information related to a notification provided for under this section. Contractor will notify DFPS of any lawsuit brought against Contractor related to the services provided for in this Contract. Unless otherwise noted in this Contract, Contractor will provide all notices in writing to DFPS within ten working days.
X. Authority of DFPS Staff. DFPS staff are not authorized to sign non-DFPS forms, unless those forms have received prior approval by DFPS. DFPS is not bound by unauthorized staff actions in signing such forms.
XI. Complaint Reporting. Unless otherwise noted in this Contract, DFPS will contact Contractor when a complaint is received, and advise the Contractor whether DFPS will conduct an investigation or will coordinate with the Contractor for an investigation and a response. When DFPS requires the Contractor to conduct any part of the complaint investigation, Contractor must respond in writing to DFPS with all information and according to DFPS requirements and specified time frames. If Contractor is unwilling or unable to provide any information within the time required, Contractor will provide a written explanation for any information that Contractor does not submit, any applicable date by which Contractor will provide the information, and the detailed reasons why Contractor is unwilling or unable to provide such information.
XII. Information Security Requirements. Contractor must comply with the following:
(A) The DFPS IT Security Policy located at: https://www.dfps.state.tx.us/PCS/About_PCS/documents/Contractor_Information_Security.pdf
(B) Upon reasonable notice, Contractor must provide, and cause its subcontractors and agents to provide, DFPS or its designee, prompt, reasonable, and adequate access to any information security records, books, documents, and papers that are directly pertinent to the performance of the Contract including, but not limited to:
1. Contractor information security policies, procedures, standards, guidelines;
2. Contractor security violation reports; 3. Contractor employee security acknowledgement agreements; and 4. Lists of Contractor’s employees, subcontractors, and agents with
authorized access to DFPS confidential information. (C) The information in Subsection C above are subject to DFPS’ review and approval.
Neither DFPS’ review or approval, nor its failure to review or approve, will relieve, waive, or satisfy any of Contractor’s obligations under this Contract.
(D) Contractor will provide, and will cause its subcontractors and agents to provide, to DFPS, upon reasonable notice, written certifications of compliance with controls and provisions relating to information security, including but not limited to, those related to confidential data transfers and the handling and disposal of Personally
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Identifiable Information (PII). Acceptable forms of written compliance may be, but are not limited to:
1. Statement on Auditing Standards No.70, Service Organizations (SAS-70) Report;
2. General Security Controls Audit; 3. Application Controls Audit; 4. Vulnerability Assessment; and 5. Network/Systems Penetration Test.
XIII. Transition after Termination. At the end of the contract term, or other contract termination or cancellation, Contractor will in good faith and in reasonable cooperation with the DFPS, aid in the transition to any new arrangement or provider of services. The respective accrued interests or obligations incurred to date of termination must also be equitably settled. Upon termination or expiration of this Contract, DFPS will work with Contractor to transfer all services as efficiently as possible with the goal to have all necessary services transferred by the effective date of the expiration or termination of the Contract. However, in the event that a transfer of all necessary services is not possible, Contractor will continue to provide necessary services in accordance with all terms and conditions of this Contract until all necessary client services are completely transferred.
XIV. DFPS Required Conflict of Interest Certification. In accordance with Texas Human Resources Code §40.034, Contractor certifies that it did not receive assistance, either directly or indirectly, from a former DFPS employee who was directly concerned with or had administrative responsibility related to the subject of this contract and had been separated from DFPS for less than one year at the time the assistance began. If DFPS later determines that the Contractor knowingly rendered an erroneous certification, DFPS may pursue all available remedies under law.
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F502-5647November 2017
Exhibit CDFPS GENERAL AFFIRMATIONS
By entering into this Contract, Contractor affirms, without exception, as follows:
1. Contractor represents and warrants that these General Affirmations apply to Contractor, and all of Contractor's principals, officers, directors, shareholders, partners, owners, agents, employees, Subcontractors, independent contractors, and any other representatives who may provide services under, who have a financial interest in, or otherwise are interested in this Contract.
2. Contractor represents and warrants that all statements and information provided to the Department of Family and Protective Services (“DFPS”) are current, complete, and accurate. This includes all statements and information relating in any manner to this Contract and any solicitation resulting in this Contract. Contractor understands, acknowledges, and agrees that any false representation or any failure to comply with a representation, warranty, or certification made by Contractor is subject to all civil and criminal consequences provided at law or in equity, including but not limited to, immediate termination of this Contract.
3. Contractor has not given, has not offered to give, and does not intend to give at any time hereafter any economic opportunity, future employment, gift, loan, gratuity, special discount, trip, favor, or service to a public servant in connection with this Contract.
4. Under Texas Government Code Section 2155.004 (relating to financial participation in preparing solicitations), Contractor certifies that it is not ineligible to receive this Contract and acknowledges that this Contract may be terminated and payment withheld if this certification is inaccurate.
5. Under Texas Government Code Sections 2155.006 and 2261.053 (relating to convictions and penalties regarding Hurricane Rita, Hurricane Katrina, and other disasters), Contractor certifies that it is not ineligible to receive this Contract and acknowledges that this Contract may be terminated and payment withheld if this certification is inaccurate.
6. Under Texas Family Code Section 231.006 (relating to delinquent child support), Contractor certifies that it is not ineligible to receive the specified grant, loan, or payment and acknowledges that this Contract may be terminated and payment may be withheld if this certification is inaccurate.
7. Contractor certifies that: (a) the entity executing this Contract; (b) its principals; (c) its Subcontractors; and (d) any personnel designated to perform services related to this Contract are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department or agency. This certification is made pursuant to the regulations implementing Executive Order 12549 and Executive Order 12689, Debarment and Suspension, 2 C.F.R. Part 376, and any relevant regulations promulgated by the department or agency funding this project. This provision shall be included in its entirety in Contractor’s Subcontracts if payment in whole or in part is from federal funds.
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8. Contractor certifies that it, its principals, its Subcontractors, and any personnel designated to perform services related to this Contract are eligible to participate in this transaction and have not been subjected to suspension, debarment, or similar ineligibility determined by any federal, state, or local governmental entity.
9. Contractor certifies it is in compliance with all State of Texas statutes and rules relating to procurement; and that (a) the entity executing this Contract; (b) its principals; (c) its Subcontractors; and (d) any personnel designated to perform services related to this Contract are not listed on the federal government's terrorism watch list described in Executive Order 13224. Entities ineligible for federal procurement are listed at https://www.sam.gov/portal/public/SAM/, which Contractor may review in making this certification. Contractor acknowledges that this Contract may be terminated and payment withheld if this certification is inaccurate. This provision shall be included in its entirety in Contractor’s Subcontracts if payment in whole or in part is from federal funds.
10. In accordance with Texas Government Code Section 669.003 (relating to contracting with the executive head of a state agency), Contractor certifies that it (1) is not the executive head of DFPS; (2) was not at any time during the past four years the executive head of DFPS; and (3) does not employ a current or former executive head of DFPS.
11. Contractor represents and warrants that it is not currently delinquent in the payment of any franchise taxes owed the State of Texas under Texas Tax Code Chapter 171.
12. Contractor represents and warrants that payments to Contractor and Contractor's receipt of appropriated or other funds under this Contract are not prohibited by Texas Government Code Sections 556.005, 556.0055, or 556.008 (relating to use of appropriated money or state funds to employ or pay lobbyists, lobbying expenses, or influence legislation).
13. Contractor represents and warrants that it will comply with Texas Government Code Section 2155.4441, relating to the purchase of products produced in the State of Texas under service contracts.
14. Under Texas Government Code Section 572.069, Contractor acknowledges that a former state officer or employee of DFPS who during the period of state service or employment participated on behalf of DFPS in a procurement or contract negotiation involving Contractor may not accept employment from Contractor before the second anniversary of the date the contract is signed.
15. DFPS’s policy is to promote consistent, legal, and ethical organizational behavior by assigning responsibilities and providing guidelines to enforce controls. Violations of law, agency policies, or standards of ethical conduct will be investigated, and appropriate actions will be taken. All employees or contractors who suspect fraud, waste or abuse (including employee misconduct that would constitute fraud, waste, or abuse) are required to immediately report the questionable activity to both the Health and Human Services Commission's Office (HHSC0) of the Inspector General at 1-800-436-6184 and the State Auditor's Office. Contractor agrees to comply with all applicable laws, rules, regulations, and both HHSC and DFPS’ policies regarding fraud.
16. Contractor represents and warrants that it has not violated state or federal antitrust laws and has not communicated its bid for this Contract directly or indirectly to any competitor or any other person engaged in such line of business. Contractor hereby assigns to DFPS any claims for overcharges associated with this Contract under 15 U.S.C. Section 1, et seq., and Texas Business and Commerce Code Section 15.01, et seq.
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Exhibit D
Service Delivery AreasDFPS Texas and Regional Maps
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Region 01 - Lubbock
COUNTIES
Armstrong, Bailey, Briscoe, Carson, Castro, Childress, Cochran, Collingsworth, Crosby, Dallam, Deaf Smith, Dickens, Donley, Floyd, Garza, Gray, Hale, Hall, Hansford, Hartley, Hemphill, Hockley, Hutchinson, King, Lamb, Lipscomb, Lubbock, Lynn, Moore, Motley, Ochiltree, Oldham, Parmer, Potter, Randall, Roberts, Sherman, Swisher, Terry, Wheeler, Yoakum
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Region 02 - Abilene
COUNTIES
Archer, Baylor, Brown, Callahan, Clay, Coleman, Comanche, Cottle, Eastland, Fisher, Foard, Hardeman, Haskell, Jack, Jones, Kent, Knox, Mitchell, Montague, Nolan, Runnels, Scurry, Shackelford, Stephens, Stonewall, Taylor, Throckmorton, Wichita, Wilbarger, Young
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Region 03 - Arlington
COUNTIES
Collin, Cooke, Dallas, Denton, Ellis, Erath, Fannin, Grayson, Hood, Hunt, Johnson, Kaufman, Navarro, Palo Pinto, Parker, Rockwall, Somervell, Tarrant, Wise
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Region 04 - Tyler
COUNTIES
Anderson, Bowie, Camp, Cass, Cherokee, Delta, Franklin, Gregg, Harrison, Henderson, Hopkins, Lamar, Marion, Morris, Panola, Rains, Red River, Rusk, Smith, Titus, Upshur, Van Zandt, Wood
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Region 05 - Beaumont
COUNTIES
Angelina, Hardin, Houston, Jasper, Jefferson, Nacogdoches, Newton, Orange, Polk, Sabine, San Augustine, San Jacinto, Shelby, Trinity, Tyler
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Region 06 - Houston
COUNTIES
Austin, Brazoria, Chambers, Colorado, Fort Bend, Galveston, Harris, Liberty, Matagorda, Montgomery, Walker, Waller, Wharton
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Region 07 - Austin
COUNTIES
Bastrop, Bell, Blanco, Bosque, Brazos, Burleson, Burnet, Caldwell, Coryell, Falls, Fayette, Freestone, Grimes, Hamilton, Hays, Hill, Lampasas, Lee, Leon, Limestone, Llano, Madison, McLennan, Milam, Mills, Robertson, San Saba, Travis, Washington, Williamson
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Region 08 – San Antonio
COUNTIES
Atascosa, Bandera, Bexar, Calhoun, Comal, De Witt, Dimmit, Edwards, Frio, Gillespie, Goliad, Gonzales, Guadalupe, Jackson, Karnes, Kendall, Kerr, Kinney, La Salle, Lavaca, Maverick, Medina, Real, Uvalde, Val Verde, Victoria, Wilson, Zavala
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Region 09 – Midland
COUNTIES
Andrews, Borden, Coke, Concho, Crane, Crockett, Dawson, Ector, Gaines, Glasscock, Howard, Irion, Kimble, Loving, Martin, Mason, McCulloch, Menard, Midland, Pecos, Reagan, Reeves, Schleicher, Sterling, Sutton, Terrell, Tom Green, Upton, Ward, Winkler
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Region 10 – El Paso
COUNTIES
Brewster, Culberson, El Paso, Hudspeth, Jeff Davis, Presidio
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Region 11 – Edinburg
COUNTIES
Aransas, Bee, Brooks, Cameron, Duval, Hidalgo, Jim Hogg, Jim Wells, Kenedy, Kleberg, Live Oak, McMullen, Nueces, Refugio, San Patricio, Starr, Webb, Willacy, Zapata
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Exhibit E
PERFORMANCE MEASURESSubstance Use Disorder Services
Contract Outcomes and Outputs
Pursuant to Texas Human Resources Code §40.058 all contracts for client services must include clearly defined goals and outcomes that can be measured to determine whether the objectives of the program are being achieved. Measures, indicators, targets, data sources, or methodologies are subject to change during the Contract period or at renewal.
Performance Measures for SAS and SUDSOUTCOME MEASURE # 1
OUTCOME # 1: Contractor reports client status to the CPS worker within 24 hours of learning of a possible substance relapse.
PERFORMANCE PERIOD: Contractor performance for this Outcome is determined for one or more of the following Performance Periods, wholly or partially, depending on the contract start and end dates: September 1 through February 28/29 (Performance Period 1) and March 1 through August 31 (Performance Period 2).
INDICATOR: Percent of client relapses that are immediately reported to the CPS worker.
TARGET: At least 95%
PURPOSE: To ensure that the CPS worker knows of a possible safety issue to child(ren) due to caregiver substance relapse.
DATA SOURCE: Self-reported in PMET by Contractor.
METHODOLOGY: The numerator is the total number of client relapses during the Performance Period reported to the CPS worker within 24 hours of Contractor learning of a possible client substance relapse. The denominator is the total number of client substance relapses during the Performance Period. The numerator is divided by the denominator, multiplied by 100, and stated as a percentage.
Performance Measures for SAS and SUDSOUTCOME MEASURE # 2
OUTCOME # 4: Authorized services provided by the Contractor are viewed positively by participating clients.
PERFORMANCE PERIOD: Contractor performance for this Outcome is determined for one or more of the following Performance Periods, wholly or partially, depending on the contract start and end dates: September 1 through February 28/29 (Performance Period 1) and March 1 through August 31 (Performance Period 2).
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INDICATOR: Percent of aggregated favorable responses made to items in the Client Satisfaction Survey Questionnaires
TARGET: 70% favorable responses
PURPOSE: To evaluate the Contractor’s overall quality of service, as perceived by their clients.
DATA SOURCE: Self-reported in PMET quarterly by Contractor.
METHODOLOGY: The numerator is the aggregated number of favorable responses to the Client Satisfaction Survey Questionnaires obtained from clients who completed a course of treatment during the Performance Period. The denominator is the aggregated number of all responses, excluding Not Applicable (NA) or Blank responses, to the Client Satisfaction Survey Questionnaires obtained from clients who completed a course of treatment during the Performance Period. The numerator is divided by the denominator, multiplied by 100, and stated as a percentage.
Performance Measures for SAS and SUDSOUTCOME MEASURE # 3
OUTCOME # 1: Contractor facilitates the development of a therapeutic relationship and effective treatment intervention by ensuring that client progress is not impacted by a change in treatment service provider during an entire course of treatment.
PERFORMANCE PERIOD: Contractor performance for this Outcome is determined for one or more of the following Performance Periods, wholly or partially, depending on the contract start and end dates: September 1 through February 28/29 (Performance Period 1) and March 1 through August 31 (Performance Period 2).
INDICATOR: Percent of unduplicated clients receiving services during a Performance Period who have had only one (1) therapist from the beginning of their treatment.
TARGET: At least 80%
PURPOSE: To evaluate the Contractor’s ability to limit disruptions to treatment by providing a consistent treatment service provider.
DATA SOURCE: Self-reported in PMET quarterly by Contractor.
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METHODOLOGY: The numerator is the total number of unduplicated clients who received Substance Abuse Treatment services anytime during the Performance Period who have had only one treatment service provider during their course of treatment as of the Performance Period end date. (NOTE: Treatment sessions for an individual client may span two or more Performance Periods, so clients may be identified for reporting purposes in more than one Performance Period.) The denominator is the total number of unduplicated clients who received Substance Abuse Treatment services anytime during the Performance Period. The numerator is divided by the denominator, multiplied by 100, and stated as a percentage.
Performance Measure Reporting (NOTE: The directions below are only for the collection and reporting of Performance Measure data, and do not replace or supersede directions for reporting to CPS Program elsewhere in this contract.) DFPS has developed PMET [Performance Management Evaluation Tool], an Internet-based data collection and reporting system for Contractors to self- report performance measure data. The Contractor will be responsible for supporting the collection and reporting of performance measure data. The Contractor must:
1. Register an account in PMET following the provision of the first Treatment Service provided under this contract. The Contractor TIN (Texas Identification Number) and the Contract Number are needed to register. Instructions can be found at https:/www.dfps.state.tx.us/application/PCSPMET. Select Help>PMET User Guide.
2. Report the results for each Performance Period in the format specified by DFPS.
3. Comply with report date time frames. Performance Measure reporting is to be entered into PMET within 30 days of the end of the Performance Period in accordance with the table below:
Performance Period Reporting PeriodSeptember 1 – February 28/29 (PP1) March 1 to March 30March 1 – August 31 (PP2) September 1 to September 30
4. Keep all records (physical or electronic) for each client documenting relapses, Client Satisfaction, and client/therapist history; and the Performance Measure results which were reported in PMET. All records must be kept on file and available to DFPS upon request for the time period specified by DFPS for supporting documentation purposes. These documents must be maintained in a manner to allow for testing the validity of the results being reported in PMET.
5. Outcome # 1; PMET Question 1 Tally and report the total number of suspected client relapses during the Performance Period. (NOTE: these do not have to be CONFIRMED relapses. They can be anecdotal, from witnesses or hearsay.)
6. Outcome # 1; PMET Question 2 How many of the relapses reported in PMET question 1 above were reported to the CPS worker within 24 hours of Contractor knowledge of the suspected relapse?
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7. Outcome # 2 Distribute and collect the Client Satisfaction Survey Questionnaire just
prior to closing out services. As much as possible, all clients should have the opportunity to fill out the survey. Participation in the survey is voluntary, and clients should not be required to give their names.
A sample copy of the survey may be offered early in the open case so clients will know they will be asked for feedback. Any surveys distributed prior to closing out services will be clearly marked as a sample, and will not be collected nor reported for the Performance Measure.
8. Outcome # 2; PMET Question 3 Report the total number of Client Satisfaction Survey Questionnaires collected during the Performance Period.
9. Outcome # 2; PMET Question 4 Compile and report the aggregate number (combined sum) of responses, excluding NAs and Blanks, in all the Surveys collected. Example: there are 7 questions in the Survey. If 7 Surveys are collected, there are 49 possible responses. If one Survey is completely Blank, and one has 2 NA responses, and a third has 4 Blanks, the AGGREGATE response is 36 (49 7 Blanks - 2 NAs - 4 Blanks = 36). That is the number to be reported.
10. Outcome # 2; PMET Question 5 Compile and report the aggregate number of POSITIVE responses in the Surveys collected.
The Survey may be used by the Contractor to collect additional data, including additional comments. Any additions or revisions to the DFPS developed Survey must be in a SEPARATE section. ONLY responses to questions 1 - 7 in the Survey provided by DFPS are to be reported to DFPS.
11. Outcome # 3; PMET Question 6 Tally and report the total number of unduplicated clients who received individual or group Substance Abuse Treatment services anytime during the Performance Period.
NOTE: Services may span multiple Performance Periods, so an individual client could be counted and reported in more than one Performance Period.
12. Outcome # 3; PMET Question 7 Tally and report the number of unduplicated clients reported in (# 6) who had only one service provider during the course of treatment as of the Performance Period end date.
The Prior to the initial treatment session, the client may have one or more assessments and evaluation sessions. The preliminary assessment/evaluation session(s) might be conducted by a different service provider and will not be counted for this Performance Measure.
Clients may have services from a different Contractor before or after their case is closed by the reporting Contractor. Such services are NOT part of this measure. ONLY services from the reporting Contractor should be counted
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EXHIBIT F
FEE SCHEDULESubstance Use Disorder Services
Payment is based on “unit of service." Unit of service is based on face to face time with the client, or the specific time spent providing the service authorized by DFPS and provided within the terms defined in PEN HHS0000019. For detailed benefits and limitations, providers should refer in the order of precedence listed to:
The details within the §2, Statement of Work and §3, Utilization and Compensation The current year’s Texas Medicaid Provider Procedures Manual and relevant issues of
the Texas Medicaid Bulletin.
Category Service - Service Codes Unit Rate Limitations
Assessment
CDTF Assessment performed by a qualified credentialed counselor (QCC) (as defined by the DSHS licensure standard) to determine the severity of an individual's SUD and identify treatment needs.
DFPS Service Code: 83FMedicaid Code: H0001-HF
$41.35 Once per episode of care
Group Counseling
CDTF Group Counseling performed by a qualified credentialed counselor (QCC) (as defined by the DSHS licensure standard) to equip clients with skills needed to understand the disease concept and maintain sobriety.
DFPS Service Code: 83HMedicaid Code: H0005 HF
$18.00Per Hour
Provided in one (1) hour increments
Maximum: 135 hours per calendar year
Individual Counseling
CDTF Individual Counseling performed by a qualified credentialed counselor (QCC) (as defined by the DSHS licensure standard) to equip clients with skills needed to understand the disease concept and maintain sobriety.
DFPS Service Code: 83GMedicaid Code: H0004 HF
$58.00Per Hour
Provided in fifteen (15) minute increments
Maximum: 26 hours per calendar year
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FEE SCHEDULE-ContinuedSubstance Use Disorder Services
Category Service - Service Codes Unit Rate Limitations
Court Related Services
When legally necessary and appropriate for the well-being, safety, or permanency of the child.
$47.00 Per Hour
Only billable when specifically requested and authorized by DFPS.
Maximum: Controlled by authoring F2054
§2.11.9 Court Related Services for more specific limits and requirements
Case Specific Diagnostic
Consultation
To obtain professional recommendations and opinions about a specific client.
$47.00 Per Hour
Only billable when specifically requested and authorized by DFPS.
Maximum: Controlled by authoring F2054
§2.11.10 Case Specific Diagnostic Consultation for more specific limits and requirements
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