1

MARATHON COUNTY DEPARTMENT OF SOCIAL SERVICES

REQUEST FOR PROPOSALS

INTENSIVE IN–HOME AND PARENT AIDE SERVICES

I. PURPOSE:

The Marathon County Department of Social Services (Purchaser) is requesting proposals to provide services to Marathon County residents. The primary purpose of this service is to either prevent out of home placement or to reunify families where out of home placements have already occurred. Recipients of these services may be from families with issues related to:

Child Abuse or neglect and/or delinquency

Emotional disturbance

Developmental disability

Descriptions of services requested are found in the general definition section. The department further intends to offer a contract for the period beginning on or about January 1, 2015. Upon mutual agreement of the parties, this contract may be extended annually through December 31, 2017. The respondent is required, as part of the proposal, to submit a statement of unit cost for each year and for each service. A unit is an hour of direct service staff time spent on program activities that is inclusive of all other non-direct service activities such as overhead, training, staff meetings, and staffing the case. The proposal should also indicate how units will be calculated if

the full unit is not used. A separate budget sheet is required for each service and for each of the

three years covered by the proposal.

Department staff will use the unit rate from the selected proposal to determine the quantity of service it will purchase in each of the contracted years.

II. ISSUING AGENCY

This Request for Proposal (RFP) is issued for the County of Marathon by the Marathon County Department of Social Services. The Marathon County Department of Social Services is the sole point of contact in the County of Marathon for this RFP.

III. MARATHON COUNTY PROCUREMENT POLICY; WISCONSIN STATUTES, CHAPTER 46;

WISCONSIN ADMINISTRATIVE CODE

All aspects of this Request for Proposal will be in accordance with the Marathon County

Procurement Policy, Sections 3.01 through 3.16 of the General Code of the County of Marathon. A copy of the Procurement Policy is available at the office of the Marathon County Clerk, Marathon County Courthouse, at 500 Forest Street, Wausau, Wisconsin 54403. This Procurement will also be in accordance with Wisconsin Statutes, Chapter 46, and the provisions of the Wisconsin Administrative Code referenced herein.

2

IV. INCURRING COSTS

The County of Marathon is not liable for any costs incurred by any applicant in replying to this RFP.

V. CANCELLATION

The Marathon County Department of Social Services reserves the right to cancel this solicitation;

any or all proposals may be accepted, modified or rejected in whole or in part, and Marathon County further reserves the right to accept the proposal most advantageous to the Department of Social Services.

VI. RESPONSES TO THE RFP SPECIFICATIONS

Proposals submitted in reply to the RFP shall respond to the specifications stated herein. Failure to respond to the specifications may be a basis for an applicant being eliminated from consideration during the selection process.

Marathon County Department of Social Services reserves the right to reject any or all proposals and any part of a given proposal.

VII. PROPOSALS CONTENT/CONTRACTUAL OBLIGATIONS

All aspects of the proposal from a successful applicant will become a contractual obligation

(contract format attached). Marathon County Department of Social Services reserves the right to negotiate the award amount and budget items with the selected applicant prior to entering into a contract.

The contract may be modified only by written amendment duly executed by all parties. Justifiable

modifications may be made in the course of the contract only through prior consultations with and written approval from the Social Services Department. Failure of the successful applicant to accept these obligations in the contractual agreement may result in cancellation of the contract.

VIII. REPORT & CORRESPONDENCE DISSEMINATION

A. The contractor shall, at the option of the Department of Social Services, appear before Administrators of the Department of Social Services to clarify findings and to answer any questions at any time during the contract or after the contract is completed. Contractor must be willing to appear before any county governmental committee, if so requested.

B. Reports of both programmatic and fiscal activities will be required for documenting the satisfactory meeting of service outcomes in accordance with the work plan.

1. A family assessment resulting in the identification of measurable outcomes within 40

days of the first consumer contact (due to the Juvenile Justice Supervisor) 2. Monthly treatment summary per agreed upon format submitted monthly by the second

(2nd) Monday of the month following the reporting period (due to the Juvenile Justice Supervisor).

3. A discharge report within 15 days of discharge showing the extent to which the provider agency achieved the stated case outcomes and providing a statement of any post service recommendations (due to the Juvenile Justice Supervisor).

4. A quarterly and annual report of the number of families served, including names, new

3

cases served, include date service began and include date case closed. 5. The Provider shall comply with the reporting requirements of Purchaser. All reports shall

be in writing and, when applicable, in the format specified by the Purchaser. The Provider's records shall support all reports (See Article 17 "Records"). All reports shall be hand-delivered to the Purchaser or sent to the Purchaser via registered mail at the address listed in this contract. The following reports are required:

a) A monthly report for payment b) An annual Audit Report c) As needed:

A report on employee charged with or convicted of crime

A report on determination of debarment or suspension status

C. Reports must contain information in a format to be prescribed by the Social Services Department. The Provider should submit a recommended report format describing the specific data content. The actual reporting forms will be negotiated prior to contracting and modified during the life of the contract by mutual consent.

D. A final project evaluation report must contain documentation on the achievement of the project’s specific objectives and outcomes (i.e., what has been done, how successful has it been). The contractor may be expected to participate in an independent outside evaluation of their program.

IX. NON-DISCRIMINATION LANGUAGE

All reports and correspondence written under the auspices of the applicant shall not imply language that could be construed as discriminatory based on age, race, color, creed, religion, handicap, sex, sexual preference or national origin.

X. FUNDING FOR CALENDAR YEARS 2015 - 2017

Continuation of funding for the program for calendar years 2015 – 2017 shall be based upon contractors successful or non-successful achievement of the program objectives outlined in the application and the availability of federal, state, and local funding.

XI. APPLICATION PROCESS

A. Number of Copies The proposer must submit five (5) copies of the sealed proposal in the envelope provided to: Marathon County Department of Social Services Attn: Intensive In Home RFP 400 E. Thomas Street Wausau, Wisconsin 54403

B. Closing Date

The closing date for the receipt of all applications is October 10, 2014.

4

C. Proposals

Proposals may be mailed or hand delivered. Proposals received after 4:00 PM on October

10, 2014 will not be accepted and will be returned to the Proposer. Actual receipt is required. Deposit in the mail is not sufficient. There will be no exceptions allowed.

Proposals will be opened and recorded in a register on October 10, 2014 after 4:00 PM. opening, recording, evaluation and award procedures will be carried out in accordance with Section 3.05(2) (d-f) of the Procurement Code.

D. Clarifications and /or Revisions to the Specifications and Requirements Any questions concerning this RFP must be submitted to: Pam Cotton, Child Welfare Manager at pam.cotton@co.marathon.wi.us Written questions must be submitted prior to 4 p.m. on Tuesday, September 30, 2014.

Responses to questions received from prospective proposer will be posted to the Marathon County website, Work, Bids/RFP at www.co.marathon.wi.us on Friday, October 3, 2014.

E. Timeline of RFP Process RFP Packet Issue Date: Monday, September 22, 2014 Receive Questions from Prospective Proposer’s until: Tuesday, September 30, 2014 Response to Questions: Friday, October 3, 2014 Deadline for Proposal Submission: Friday, October 10, 2014 Anticipated Award Date: November 17, 2014

XII. WITHDRAWAL OF PROPOSALS

Proposals may be withdrawn prior to opening by written notice. The applicant or his/her authorized representative may withdraw proposals in person, providing that his/her identity is made known and he/she signs the receipt for the proposal.

XIII. SUPPLEMENTAL & CLARIFYING INFORMATION

Unless requested by the Department of Social Services, no additional information will be accepted from the applicant after the deadline for submission of the proposal.

XIV. PROGRAM GOALS AND REQUIREMENTS

A. Program Eligibility and Authorization

Eligibility criteria determination and authorization of this service will be at the sole discretion

of Marathon County Department of Social Services.

B. Initial service Contact

The provider staff must make contact with the youth and his/her family within two working days of receipt of a referral.

C. General Definition

5

These services are provided in the home of the consumer and designed to provide children and families with education, therapy, and the support necessary to assist them in meeting life situations of both an emergent and non-emergent nature. Therapist and parent aide services may be required jointly or as individual services. The short term objective of the intervention and the provision of service is to prevent family break-up and avoid the need to place children out of their homes as well as to provide services necessary to expedite the return of children who have previously been placed out of the home. The more general or long-term goal is to assist families to increase their coping skills and improve their overall adaptive functioning and decision-making abilities.

Wherever therapy and parent aide services are provided jointly, the provider of care should

anticipate that 30% of the treatment will include the primary therapist and remaining 70% will be educational and supportive services. This ratio should be reflected in the units of services proposed for each component.

There will be a variety of target populations including, but not limited to, families with children involved in delinquency and status offenses or subjects of abuse or neglect, families where children, and sometimes the parents, are developmentally disabled or severely emotionally disturbed, and families where alcohol and drug abuse on the part of children or parents has been identified as a concern. In general, families will be referred to the program when there is good reason to believe that if current problems continue there will be a need to place one or more children in a substitute care setting. There will also be some instances where referrals will be appropriate as part of the transition of a child from substitute care back to the parental home.

D. Service Duration This service is intended to last for a period of four to six months including a thirty-day period for assessment and three to five months of treatment.

E. Referral Criteria

1. As a result of abuse and/or neglect, or delinquency the social worker judges the risk of

removal from the parental home to be high. 2. Child has already been removed from the home but is transitioning back into the home

and is expected to be back in the home within 30-45 days from the start of service. 3. Traditional outpatient therapy models have not been effective or social worker has

reason(s) why such model would not be effective. 4. Designated supervisory approval is needed. 5. Family has serious skill deficits in one or more of the following areas: financial

management, child development, communication, emotional response, access to community resources, and disciplinary techniques.

F. Expected Outcomes Children reside in a safe, permanent home.

1. For children placed outside of the home

a) At least 70% will, at the completion of service, either be returned to their nuclear

family, placed with a relative, or have an approved permanency plan of long-term out of home care.

6

b) Of the number achieving the above objective, 85% will remain in that designated placement for at least 6 months following the service termination.

c) For children residing in the home at the time the service is administered, 85% of the youth will continue to reside in their home at the time the service is complete.

d) Of the youth who initially began the service and completed the service while living in the home, 75% of those youth will continue to reside in the home 6 months after the service has be completed.

e) Six months post service, 90% of the families served will not have any substantiated abuse/neglect reports.

2. Children are free of abuse/neglect

a) There will be no primary caregiver substantiated abuse/neglect reports during the

time the service is offered. b) There will be no subsequent law enforcement referrals for the juvenile 6 months

following completion of service.

XV. REVIEW CRITERIA

Applications received will be reviewed on a competitive basis by the staff of the Department of Social Services and ranked accordingly. All proposals will be reviewed and rated using the following “RFP Evaluation Format and Rating Scale”.

Budget (20 points maximum)

Salary/ Fringe Breakdown (5 points maximum)

Detailed Operating Expenses (5 points maximum)

Efficiency/ Cost per Unit (10 points maximum) History of Provision of Services / Continuity of Care (10 points maximum) Program / Project Objectives (15 points maximum) Service Methodology and Implementation Plan (20 points maximum) Coordination with Other Community Services (5 points maximum) Responsiveness to the Requirements of the Proposal (15 points maximum) Evidence Based Principal (15 points maximum)

XVI. AWARD PROCEDURE

The agency director acts on staff recommendations and is the final approval authority for awarding contracts. Marathon County Department of Social Services reserves the right to reject any or all proposals and to negotiate the award amount, authorized budget line items and specific programmatic goals with the selected applicant(s) prior to entering into a contract.

XVII. PROPRIETARY RIGHTS

The Request for Proposals and all responses thereto shall become public record after the award of the contract.

XVIII. NOTIFICATION OF APPROVAL OR NON-APPROVAL

7

Each applicant whose proposal is reviewed by Department of Social Services staff shall receive written notice of the determination of the funding or non-funding of the proposed project Each applicant whose proposal was not funded shall be given the opportunity to discuss with the staff of the Department of Social Services the reason for non-funding or may write the Department of Social Services requesting the reasons for their decision.

XIX. APPEAL PROCESS All appeals must be made in writing pursuant to Section 3.12 (1) of the Procurement Code, and all appeals must fully identify any contested issues. Subjective interpretations by the Department of Social Services are not subject to protest or appeal.

Written notice of appeal must be postmarked or received by the Director of the Marathon County Department of Social Services within five (5) business days after the notice of awards.

XX. DETAILED PROGRAM NARRATIVE In this section of the application, you are to give detailed information about your proposal. Proposed programming must be evidenced based. The proposal must be consistent with the requirements enumerated in the RFP. Specific information regarding the proposal will be necessary to understand and review the application. Precise language, as opposed to jargon,

should be used. Please respond to each capital lettered item in order.

A. Qualifications

1. Describe your agency’s qualifications as they relate to delivering Intensive In Home and Parent Aide services.

2. Describe your agency’s experience in providing Intensive In Home or comparable services.

3. Provide any data available demonstrating your ability to achieve the purchaser’s desired outcomes.

B. Staffing

1. Describe your staffing pattern including the number of Full Time Equivalent positions necessary to provide each service. It is required that applicants provide an organizational chart(s) that indicates positions proposed to implement this project and copies of position descriptions.

2. Include a functional description of the responsibilities of all relevant positions that are involved in this project.

3. Describe the qualifications of all personnel who are to be assigned or are proposed for

this project. Information about education, training, experience and certifications should be included.

4. Describe how the proposer intends to meet the needs of a culturally diverse population.

5. Indicate the amount of start up time necessary to fully implement each of the services.

8

C. Program Design

Indicate how the respondent proposes to provide each of the services: 1. In narrative form, describe the tasks, activities and procedures in a logical progression

that will be used to provide the services and their components.

2. The methods identified should:

a) Be clearly stated, and should be accompanied by an explanation of the rationale underlying your choice of them. Explain how the activities are to be carried out, where, and by whom.

b) Be consistent with objectives, staffing pattern and budget. Applications should not propose to do more than available resources will allow.

c) Describe in chronological sequence your implementation design, process, projects tasks and time lines necessary for the accomplishment of objectives.

d) Include how referrals are processed and what records are kept relative to referrals. Identify what information will be collected, how it is to be collected and how it will be used. Be sure to coordinate this information with your evaluation.

D. Methods/Work Plan

For the program components, Intensive in Home/Parent Aide: 2. Describe the tasks, activities and procedures in a logical progression that will be used to

deliver the service in accordance with its expected outcomes. The methods identified should be understandable, and should be accompanied by any validated research that supports the rationale underlying your choice of methods.

3. Explain how the activities are to be carried out, where, and by whom. Methods should be consistent with planned outcomes, staffing pattern and budget. Applications should not propose to do more than available resources will allow.

4. Provide criteria for determining whether professional, para-professional or a combination of services will be used.

5. If this is a new program or substantially different program than what applicant agency is currently providing in Marathon County then describe your implementation design, process, and time line.

6. Describe in chronological sequence the service delivery tasks and time lines necessary for the accomplishment of objectives.

E. Budget

1. Complete the required budget forms, available for download in excel format at the Marathon County website, Work, Bids/RFP at www.co.marathon.wi.us for the service components listed for each calendar year 2015 - 2017. Include printouts of all tabs with the submitted proposal for each respective year.

2. Complete the required budget forms to calculate a separate unit rate for professional and for para-professional services if necessary.

All direct and indirect activities must be calculated into one unit rate that is inclusive of all of the costs based on case management activities (direct face to face, collateral contacts, transportation and report writing / paperwork) with the client. Note that this will be part of the unit rate and the proposer will not be allowed to bill separately for non-case management activities such as clerical support, overhead, training, staff meetings and staff supervision.

9

. Department staff will use the unit rate from the selected proposal to determine the quantity of units of service it will purchase in each of the contracted years.

F. Project Objectives:

1. Project Objectives should form the link between the program design and project activities.

2. Include program objectives that are measurable and can be used to judge the effectiveness of the program. Make sure objectives describe outcomes, or end states, define the population being served, state the time when objectives will be met, and are all in measurable terms. Do not confuse methods with objectives. All objectives should be achievable during the project period.

G. Coordination Provide a full statement of how you will coordinate the project within the Department of

Social Services system and with any other community resources that are providing related supportive or complimentary services.

H. Self Evaluation

Propose a method by which the outcome of services will be evaluated. A sound evaluation of the merits and accomplishments of this project is of great importance. At a minimum, the self-evaluation/methodology must be addressed (but need not be limited) to the following areas: 1. Target population and actual recipients of service (including recruitment, referral, and

coordination strategies). Include whom you were unable to serve due to the project limitations (monies, definitions, etc.).

2. Were the project activities and tasks implemented as planned? Project work plans and timetables must be submitted with the application.

3. Were the services successful or not? Include reflection on program. Recipients of service should have the opportunities to provide a subjective evaluation of the project as they experience it.

4. Describe in what fashion this will be provided with the purchaser and the frequency that this information will be shared.

I. Assurances and Attachments

Parties submitting proposals are also required to respond to the numbered items that follow:

1. If you have not contracted with the Department of Social Services within the past three years, provide documentation of your ability to successfully contract with a public agency.

2. Indicate a willingness to accept the conditions of a Marathon County Purchase of Services contract (See Appendix B).

3. Include a budget establishing the basis for a required unit rate (hourly) for each of the three (3) twelve month contract periods (Budget format enclosed as Appendix A).

Specify Appendix Materials that you may find necessary to further explain and make understandable your project proposal.

10

Appendix A

Required Budget Format

Required budget forms are available for download in excel format at the Marathon County website, Work, Bids/RFP at www.co.marathon.wi.us.

11

Appendix B

Marathon County Purchase of Services Contract

The following is the contract format that will serve as the basis for the actual contract between the Purchaser and Provider for services detailed in this Request for Proposals.

PURCHASE OF SERVICES CONTRACT Purchaser and Provider Information

Provider:

Program Name:

Address:

Name of Contact person:

Telephone:

Fax:

E-Mail:

Provider’s Fiscal year End: December 31

Provider’s Employer Identification Number:

Purchaser: Marathon County Department of Social Services

Address: 400 East Thomas Street, Wausau, WI 54403-9916

Telephone: (715) 261-7500

Fax: (715) 261-7510

Name of Contact person:

E-Mail:

Initial questions and telephone calls may be referred to Purchaser’s employee responsible for technical

administration of this contract, Mary Kujawa, whose telephone number is (715) 261-7589.

CONTRACT INFORMATION

Services to be provided: Intensive In-Home and Parent Aide

Contract start date:

Contract end date:

Maximum payment under this contract:

12

Source of Funding: Funding verification will be provided at year end.

ARTICLE 1 – AUDIT

Section 1.1 - Type of Audit

The Provider shall submit an annual agency-wide audit to the Purchaser if the total amount of annual

funding provided by the Purchaser through this and other contracts is $75,000 or more.

Section 1.2 - Audit Standards

The audit shall be in accordance with the requirements of OMB Circular A-133 “Audits of States, Local

Governments and Non-Profit Organizations” (on line at

http://www.whitehouse.gov/omb/circulars_default/) if the Provider meets the criteria of that Circular for

needing an audit in accordance with the following department standard:

1. The State Single Audit Guidelines (on line at www.ssag.state.wi.us) if the Provider is a local

government that meets the criteria of OMB circular A-133 for needing an audit in accordance

with that Circular or:

2. The Provider Agency Audit Guide (on line at http://www.dhs.wisconsin.gov/grants/index.htm

and http://dcf.wisconsin.gov/contractsgrants/contract_administration.htm) and for all other

Providers.

Section 1.3 - Audit Schedules

In addition to the schedules required under the State Single Audit Guidelines or the Provider Agency

Audit Guide, the reporting package sent to the Purchaser shall include a supplemental schedule showing

revenue and expenses for this contract.

For profit Providers shall include a schedule in their audit reports showing the total allowable costs and

the calculation of the allowable profit by contract or by service category.

Non-profit Providers shall include a Reserve Supplemental Schedule (Section 7.1.6 of the Provider

Agency Audit Guide) in their audit reports, and this schedule shall also be by contract or service category.

Section 1.4 - Submitting the Reporting Package

The Provider shall send the required reporting package to the Purchaser at the address listed in this

contract. The reporting package is due to the Purchaser within 180 days of the end of the Provider’s

fiscal year.

Section 1.4.1 - Penalty for Failure to Submit Audit Report

Purchaser will impose a $1,000 penalty if audit report is not received within 180 days of the end of the

13

Provider’s fiscal year. Penalty will be deducted directly from future payments to Provider.

Section 1.5 - Access to Auditor’s Work Papers

When contracting with an audit firm, the Provider shall authorize its auditor to provide access to work

papers, reports, and other materials generated during the audit to the appropriate representatives of the

Purchaser. Such access shall include the right to obtain copies of the work papers and computer disks, or

other electronic media, which document the audit work.

Section 1.6 - Failure to Comply with the Requirements of this Section

If the Provider fails to have an appropriate audit performed or fails to provide a complete audit reporting

package to the Purchaser within the specified time frame, the Purchaser may:

1. Conduct an audit or arrange for an independent audit of the Provider and charge the cost of

completing the audit to the Provider.

2. Charge the Provider for all loss of federal or state aid or for penalties assessed to the Purchaser

because the Provider did not submit a complete audit report within the required time frame.

3. Disallow the cost of the audit that did not meet the applicable standards; and/or:

4. Withhold payment, cancel the contract, or take other actions deemed by the Purchaser to be

necessary to protect the Purchaser’s interests.

ARTICLE 2 – CAREGIVER BACKGROUND CHECKS

The Purchaser and the Provider agree that the protection of the clients served under this contract is

paramount to the intent of this contract. In order to protect the clients served, the Provider shall

comply with the provisions of DHS 12, Wis. Admin. Code (online address at

http://docs.legis.wisconsin.gov/code/admin_code/dhs/001/12.pdf or

http://dcf.wisconsin.gov/childrenresidential/Index.HTM).

Section 2.1 - Background Checks

The Provider shall conduct caregiver background checks at its own expense of all employees assigned to

do work for the Purchaser under this contract if such employee has actual, direct contact with the clients

of the Purchaser. The Provider shall retain in its Personnel Files all pertinent information, to include a

Background Information Disclosure Form and/or search results from the Department of Health Services

and/or the Department of Children and Families, and the Department of Regulation and Licensing, as

well as out of state records, tribal court proceedings and military records, if applicable.

After the initial background check, the Provider must conduct a new caregiver background search every

four years, or at any time within that period when the Provider has reason to believe a new check should

be obtained.

14

Section 2.2 - Records

The Provider shall maintain the results of background checks on its own premises for at least the

duration of the contract. The Purchaser may audit the Provider’s personnel files to assure

compliance with the State of Wisconsin Caregiver Background Check Manual (online at

http://dhs.wisconsin.gov/caregiver/publications/CgvrProgMan.htm or

http://dcf.wisconsin.gov/childrenresidential/Index.HTM).

Section 2.3 - Assignment of Staff

The Provider shall not assign any individual to conduct work under this contract who does not meet the

requirement of this law.

Section 2.4 - Notification to Purchaser

The Provider shall notify the Purchaser in writing and send via registered mail within one business

day if an employee has been charged with or convicted of any crime specified in DHS 12.07(2)

(online at http://docs.legis.wisconsin.gov/code/admin_code/dhs/001/12.pdf or

http://dcf.wisconsin.gov/childrenresidential/Index.HTM)

ARTICLE 3 – CIVIL RIGHTS COMPLIANCE PLAN

The Civil Rights Compliance (CRC) Plan contains three components that cover Affirmative Action,

Civil Rights/Equal Employment Opportunity, and Language Access. Providers that have more than fifty

(50) employees and receive more than fifty thousand dollars ($50,000) must develop and submit a Civil

Rights Compliance Plan with all the three components mentioned above.

Providers that have less than fifty (50) employees or receive less than a total of fifty thousand ($50,000)

dollars must develop and submit a Letter of Assurance.

For policies concerning this service please refer to Appendix A - Civil Rights Compliance Plan.

ARTICLE 4 – CLIENT FUNDS

Not Applicable.

ARTICLE 5 – CLIENT RIGHTS AND GRIEVANCES

The Provider shall have a formal written grievance procedure that is approved by the licensing or

certification authority, if applicable, and the Purchaser. The Provider shall, prior to or at the time of

admission to the Program, provide oral and written notification to each client of his or her rights and the

grievance procedure. The Provider shall post the client rights and the grievance procedure in an area

readily available to clients and staff of the program.

The Provider shall give the Purchaser a written report for each grievance that is filed in writing against

15

the Provider by any clients or their guardians. The Provider shall deliver these reports to the Purchaser in

person or via registered mail within five (5) business days of the Provider’s receipt of the grievance. The

Provider shall also inform the Purchaser in writing of the resolution of each grievance.

At least once a year, or more frequently when requested by the Purchaser, the Provider shall give the

Purchaser a written summary report of all grievances that have been filed with the Program by clients or

their guardians since the period covered by the previous summary report and of the resolution of each

grievance. The Provider shall deliver the annual summary report to the Purchaser in person or via

registered mail within 30 days of the end of the contract period. Additional summary reports requested

by the Purchaser shall be due within ten (10) days of the Purchaser’s request for the reports. All reports

shall be delivered to the Purchaser in person or via registered mail.

ARTICLE 6 – CONDITIONS OF THE PARTIES’ OBLIGATIONS

Section 6.1 - Contingency

This contract is contingent upon authorization of Wisconsin and United States laws and any material

amendment or repeal of the same affecting relevant funding or authority of the Department of Health

Services and/or the Department of Children and Families shall serve to terminate this Agreement, except

as further agreed to by the parties hereto.

Section 6.2 - Powers and Duties

Nothing contained in this contract shall be construed to supersede the lawful powers or duties of either

party.

Section 6.3 - Items Comprising the Contract

It is understood and agreed that the entire contract between the parties is contained herein, except for

those matters incorporated herein by reference, and that this Agreement supersedes all oral agreements

and negotiations between the parties relating to the subject matter thereof.

ARTICLE 7 – CONFIDENTIALITY

Section 7.1 - Client Confidentiality

The Provider shall not use or disclose any information concerning eligible clients who receive services

from Provider for any purpose not connected with the administration of Provider’s or Purchaser’s

responsibilities under this contract, except with the informed, written consent of the eligible client or the

client’s legal guardian.

Section 7.2 - Contract Not Confidential

Except for documents identifying specific clients, the contract and all related documents are not

16

confidential.

ARTICLE 8 – CONFLICT OF INTEREST

The Provider shall ensure the establishment of safeguards to prevent employees, consultants, or members

of the board from using their positions for purposes that are, or give the appearance of being, motivated

by a desire for private gain for themselves or others, such as those with whom they have family, business,

or other ties.

It shall be unethical for any person to offer, give, or agree to give any elected official, employee or

former employee, or for any elected official, employee or former employee to solicit, demand, accept, or

agree to accept from another person, a gratuity or an offer for employment in connection with any

decision, approval, disapproval, recommendation, preparation or any part of a program requirement or a

purchase request, influencing the contents of any specification or procurement standard, rendering of

advice, investigation, auditing, or in any other advisory capacity in any proceedings or application,

request for ruling, determination, claim or controversy, or other particular matter, pertaining to any

program requirement or a contract or subcontract, or to any solicitation or proposal therefore.

It shall be unethical for any payment, gratuity, or offer of employment to be made by or on behalf of a

subcontractor under a contract to the prime contractor or a higher tier subcontractor of any person

associated therewith, as an inducement for the aware of a subcontract, or order.

ARTICLE 9 – DEBARMENT AND SUSPENSION

The Provider certifies through signing this contract that neither the Provider nor any of its principals are

debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from

participating in federal assistance programs by any federal department or agency. In addition, the

Provider shall notify the Purchaser within five (5) business days in writing and sent by registered mail if

the Provider or its principals receive a designation from the federal government that they are debarred,

suspended, proposed for debarment, or declare ineligible by a federal agency. The Purchaser may

consider revising or terminating the contract under Article 20 “Revision or Termination of this

Contract”.

ARTICLE 10 – ELIGIBILITY

The Provider shall provide services only to individuals who are eligible for services. The Provider and

Purchaser agree that the eligibility of individuals to receive the services to be purchased under this

Agreement from the Provider will be determined by the Purchaser.

An individual has a right to an administrative hearing concerning eligibility and the Purchaser shall

inform individuals of this right. The Provider shall provide clients with information concerning their

eligibility and how to appeal actions affecting their rights.

ARTICLE 11 – HEALTH INSURANCE PORTABILITY AND

ACCOUNTABILITY ACT OF 1996 “HIPAA” APPLICABILITY

17

The Provider agrees to comply with the federal regulations implementing the Health Insurance

Portability and Accountability Act of 1996 (HIPAA) to the extent those regulations apply to the services

the Provider provides or purchases with funds provided under this contract.

ARTICLE 12 – INDEMNITY AND INSURANCE

Section 12.1 - Indemnity

The Provider agrees that it will at all times during the existence of this Contract indemnify the Purchaser

against any and all loss, damages, and costs or expenses which the Purchaser may sustain, incur, or be

required to pay by reason of any eligible client’s suffering, personal injury, death or property loss

resulting from participating in or receiving the care and services to be furnished by the Provider under

this Agreement. However, the provisions of this paragraph shall not apply to liabilities, losses, charges,

costs, or expenses caused by the Purchaser.

Section 12.2 - Insurance

The Provider agrees that, in order to protect itself as well as the Purchaser under the indemnity provision

set forth in the above paragraph, the Provider will at all times during the terms of this Contract keep in

force a liability insurance policy issued by a company authorized to do business in the State of Wisconsin

and licensed by the Office of the Commissioner of Insurance. The types of insurance coverage and

minimum amounts shall be as follows:

Comprehensive General Liability: minimum amount $1,000,000

Auto Liability (if applicable): minimum amount $1,000,000

Professional Liability (if applicable): minimum amount $1,000,000 per occurrence and

$3,000,000 for all occurrences in one (1) year

Umbrella Liability (as necessary): minimum amount $1,000,000

The Provider shall furnish the Purchaser with a Certificate of Insurance countersigned by a Wisconsin

Resident Agent or Authorized Representative indicating that the Provider meets the insurance

requirements identified above. The Certificate of Insurance shall include a provision prohibiting

cancellation of said policies except upon thirty (30) days prior written notice to the county and specify

the name of contract or project covered. A copy of the Certificate of Insurance shall be delivered to the

Risk Management Division 15 days prior to execution of this agreement for final approval.

In the event of any action, suit, or proceedings against Provider upon any matter indemnified against,

Provider shall notify the Purchaser by certified mail within five (5) working days.

ARTICLE 13 – INDEPENDENT CONTRACTOR

Section 13.1 - Independent Contractor Status

18

Nothing in this Contract shall create a partnership or joint venture between the Purchaser and the

Provider. The Provider is at all times acting as an independent contractor and is in no sense an employee,

agent or volunteer of the Purchaser.

Section 13.2 - Provider Has Workers’ Compensation Insurance

Provider represents that it has procured statutory workers’ compensation insurance for itself and any

employees unless exempt as provided by law. Provider will furnish Purchaser with Proof of Insurance

prior to the commencement of any work under this contract.

Section 13.3 - Provider Exempt From Workers’ Compensation Coverage

In the event Provider has not procured statutory workers’ compensation, Provider represents that it is

lawfully exempt from statutory workers’ compensation requirements. Provider specifically releases,

holds harmless, and indemnifies Purchaser from any and all claims, damages, costs, or causes of action

arising from a work-related injury covered by the Wisconsin Workers’ Compensation Law, Chapter 102,

Wis. Stats., suffered by the Provider or any employee of the Provider in the course of providing services

under this Agreement.

ARTICLE 14 – LICENSE, CERTIFICATION, AND STAFFING

Section 14.1 - License and Certification

The Provider shall meet state and federal service standards and applicable state licensure and

certification requirements as expressed by state and federal rules and regulations applicable to the

services covered by this contract. The Provider shall attach copies of its license or certification

document and the most recent licensing or certification report concerning the Provider to this contract

when returning the signed contract to the Purchaser. During the contract period, the Provider shall also

send the Purchaser copies of any licensing inspection reports within five (5) days of receipt of such

reports.

All Providers of regular or respite care are required to be fully licensed as foster homes throughout the

period of placement.

Section 14.2 - Staffing

The Provider shall ensure that staff providing services are properly supervised and trained and that they

meet all of the applicable licensing and certification requirements.

Section 14.3 - Mandated Reporter

All contract employees performing work related to this agreement are considered to be mandated

19

reporters with reference to suspicions of child maltreatment; and, are therefore required to report

suspicions of child abuse or neglect to Marathon County Department of Social Services or a local

law enforcement agency.

ARTICLE 15 – MATCHING, LEVEL OR EFFORT AND EARMARKING

No matching, level of effort and earmarking requirement.

ARTICLE 16 – PAYMENT AND ALLOWABLE COSTS

Section 16.1 – Amount Paid Under Contract

The maximum payment under this contract is _______. Actual total payment will be based upon the

amount of service authorized by the Purchaser and the amount of service performed by Provider. It is

understood and agreed by all parties that the Purchaser assumes no obligation to purchase from the

Provider any minimum amount of services as defined in the terms of this contract.

Section 16.2 – Basis for Payments

Payments for services covered by this contract shall be made on a unit-times-unit-price basis with limited

profit or reserve and in accordance with the “order of payment” requirements for the funding program,

less client fees and other collections made by the Provider for services covered by this contract. Final

settlement of the contract will be based on audit. (See Article 1 “Audit”)

Section 16.2.1 – Units and Prices

The units and prices for each service purchased from the Provider are included in the following table:

Service Description Units Unit Costs Total

Intensive In-Home Hours

The Purchaser shall determine the type of services provided and the number of units of services provided

for each client. Units and prices may be re-negotiated. The Purchaser will not reimburse the Provider

for any unit of service not previously authorized by the Purchaser.

Section 16.2.2 – Profit or Reserves

The Purchaser allows the Provider to have profit (for-profit providers only) or reserve (non- profit

providers only). The profit and reserve are limited by expenditures on allowable costs that the

Provider incurs in performing the services purchased under this contract. Allowable cost, profit, and

reserve are defined in the Allowable Cost Policy Manual (online at

http://dcf.wisconsin.gov/contractsgrants/pdf/allowable_cost_manual.pdf and

http://www.dhs.wisconsin.gov/grants/index.htm).

20

Section 16.2.3 – Client Fees and Third Party Collections

All amounts collected from clients and third parties shall be supported by the Provider’s records and

shall be reported to the Purchaser.

Section 16.2.4 – Audit

The amount earned under this contract shall be confirmed through an annual audit (see Article 1 “Audit).

For-profit providers shall include a schedule in their audit reports showing the total allowable costs and

the calculation of the allowable profit by contract or by service category. Non-profit providers shall

include a Reserve Supplemental Schedule (Section 7.1.6 of the Provider Agency Audit Guide) in their

audit reports, and this schedule shall also be by contract or service category.

Section 16.3 – Advance and Surety Bond

Not Applicable.

Section 16.4 - Reporting for Payment

Each month, the Provider shall report by invoice the units of service provided during the month.

All information reported to the Purchaser shall be supported by the Provider’s records. The invoice

is due to the Purchaser on the 3rd

day following the end of the report month.

Section 16.5 - Payment in Excess of Earned Amount

The Provider shall return to Purchaser any funds paid in excess of the amount earned under this contract

within 90 days of the end of the contract period. If the Provider fails to return funds paid in excess of the

amount earned, the Purchaser may recover the excess payment from subsequent payments made to the

Provider or through other collection means.

ARTICLE 17 – RECORDS

Section 17.1 – Maintenance of Records

The Provider shall maintain such records and financial statements as required by state and federal laws,

rules, and regulations.

Section 17.2 – Access to Records

The Provider shall permit appropriate representatives of the Purchaser to have timely access to the

Provider’s records and financial statements as necessary to review the Provider’s compliance with

contract requirements for the use of the funding.

Section 17.3 - Disaster Plan

21

Not Applicable.

ARTICLE 18 – REPORTING

The Provider shall comply with the reporting requirements of Purchaser. All reports shall be in writing

and, when applicable, in the format specified by the Purchaser. All reports shall be supported by the

Provider’s records (See Article 17 “Records”). All reports shall be hand-delivered to the Purchaser or

sent to the Purchaser via registered mail at the address listed in this contract.

The following reports are required:

Monthly

1. Invoice for payment to include youth’s name and number of units provided and what service was

provided. Units of service must be paired with individual’s name receiving the service and the

type of service provided.

Annually

1. Audit Report as listed in Article 1.

2. Summary report on all client grievances as listed in Article 5.

As needed

1. Report on employee charged with or convicted of crime as listed in Article 2.

2. Reports on client grievances as they occur and summary report on all client grievances upon

request of Purchaser as listed in Article 5.

3. Report on determination of debarment or suspension status as listed in Article 9.

4. Report on eligibility determinations made by the Provider as listed in Article 10.

5. Copies of Certificate of Liability of Insurance as listed in Article 12.

6. Copies of licensing, inspection reports as listed in Article 14.

7. Copy of Civil Rights Compliance Plan as listed in Article 3.

*** All reporting should include youth’s name, dates served and date of discharge. ***

ARTICLE 19 – RESOLUTION OF DISPUTES

The Provider may appeal decisions of the Purchaser in accordance with the terms and conditions of the

contract Chapter 68 Wis. Stats.

Should Administrative Review Procedure under Chapter 68 not resolve disputes, and then disputes shall

be resolved as herein:

1. If a dispute related to this agreement arises, all parties shall attempt to resolve the dispute through

direct discussions and negotiations. If the dispute cannot be resolved by the parties, and if all parties

agree, it may be submitted to either mediation or arbitration. If the matter is arbitrated, the

procedures of Chapter 788 of the Wisconsin Statues or any successor statute shall be followed. If the

parties cannot agree to either mediation or arbitration, any party may commence an action in any

22

court of competent jurisdiction. If a lawsuit is commenced, the parties agree that the dispute shall be

submitted to alternate dispute resolution pursuant to §802.12, Wis. Stats., or any successor statute.

2. Unless otherwise provided in this contract, the parties shall continue to perform according to the

terms and conditions of the contract during the pendency of any litigation or other dispute resolution

proceeding.

3. The parties further agree that all parties necessary to the resolution of a dispute (as the concept of

necessary parties is contained in Chapter 803, Wisconsin Statutes, or its successor chapter) shall be

joined in the same litigation or other dispute resolution proceeding. This language relating to dispute

resolution shall be included in all contracts pertaining to this project so as to provide for expedient

dispute resolution.

ARTICLE 20 – REVISION OR TERMINATION OF THIS CONTRACT

Section 20.1 - Cause for Revision or Termination of this Contract

Failure to comply with any part of this contract may be considered cause for revision or termination of

this contract.

Section 20.2 - Revision of this Contract

Either party may initiate revision of this contract. Revision of this contract must be agreed to by both

parties by an amendment signed by their authorized representatives.

Section 20.3 - Termination of this Contract

Either party may terminate this contract by a 30-day written notice to the other party.

Upon termination, the Purchaser’s liability shall be limited to the costs incurred by the Provider up to the

date of termination. If the Purchaser terminates the contract for reasons other than non-performance by

the Provider, the Purchaser may compensate the Provider for an amount determined by mutual agreement

of both parties. If the Purchaser terminates the contract for the Provider’s breach, the Provider may be

liable for any additional costs the Purchaser incurs for replacement services.

Notwithstanding anything contained in this contract to the contrary, no Event of Default shall be deemed

to have occurred under this contract if adequate funds are not appropriated during a subsequent fiscal

period during the term of this contract so as to enable the County to meet its obligations hereunder, and

at least thirty (30) days written notice of the non-appropriation is given to Provider.

ARTICLE 21 – SERVICES TO BE PROVIDED

Section 21.1 – Description of Services

For each eligible client referred by the Purchaser, the Provider agrees to provide the following services:

In-home parent aide and therapy services to families referred to the program.

23

The goal of the service is to reduce the need for out of home placements or if placed, reduce the length of

time a child is in placement.

Section 21.2 – Developing Individual Service Plans

The Provider shall develop an Individual Service Plan for each client within 15 days following the date

the Purchaser referred the client to the Provider, except when the service provided is assessment only.

The Provider shall:

1. Ensure that the Individual Service Plan complies with applicable standards; and

2. Promptly submit the plan upon completion to the Purchaser for review and approval.

3. Provider and Purchaser agree to work together as necessary when developing individual service

plans.

Section 21.3 – Implementing Individual Service Plans

The Provider shall provide the services specified in this Article and in the Provider’s Individual Service

Plan for each client, as authorized by the Purchaser. In providing services, the Provider shall:

1. Transfer a client from one category of care or service to another only with the approval of the

Purchaser (§46.036(4) (d) Wis. Stats.).

2. Coordinate with other service providers as necessary to achieve the client’s goals as identified in

the Purchaser’s and Provider’s Individual Service Plans.

3. Obtain service from another party only with prior written approval from the Purchaser. If the

Provider obtains services for any part of this Agreement from another party, the Provider is

responsible for fulfillment of the terms of the contract.

Section 21.4 – Other Program Requirements

In providing required services under this contract, the Provider shall comply with the requirements

described.

Section 21.5 – Inability to Provide Quality or Quantity of Services

The Provider shall notify the Purchaser in writing and delivered in person or by registered mail whenever

it is unable to provide the required quality or quantity of services. Upon such notification, the Purchaser

and Provider shall determine whether such inability will require a revision or termination of this contract.

24

(See Article 20 “Revision or Termination of this Contract.”)

Section 21.6 – Documentation of Quality and Quantity of Services

The Provider shall retain all documentation necessary to adequately demonstrate the time, duration,

location, scope, quality, and effectiveness of services rendered under the contract. The Purchaser

reserves the right to not pay for units of services reported by the Provider that are not supported by

documentation required under this contract.

Section 21.7 – Standards for Performance in Delivery of Services

The Purchaser will monitor the Provider’s performance and will use the results of this monitoring to

evaluate the Provider’s ability to provide adequate services to clients. If the Provider fails to meet

contract goals and expected results, the Purchaser may reduce or terminate the contract. When in

providing these services, the Provider agrees to meet the following standards of performance:

1. For children placed outside of the home.

a) At least 70% will, at the completion of service, either be returned to their nuclear family,

placed with a relative, or have an approved permanency plan.

b) Of the number achieving the above objective, 85% will remain in that designated

placement for at least 6 months following the service termination.

c) For children residing in the home at the time the service is administered, 85% of the

youth will continue to reside in their home at the time the service is complete.

d) Of the youth who initially began the service and completed the service while living in the

home, 75% of those youth will continue to reside in the home 6 months after the service

has been completed.

e) Six months post service, 90% of the families served will not have any substantiated

abuse/neglect reports.

2. Children are free of abuse/neglect

a) There will be no primary caregiver substantiated abuse/neglect reports during the time the

service is offered.

b) There will be no subsequent law enforcement referrals for the juvenile 6 months

following completion of service.

3. If the provider has a wait list for services, the provider shall make contact with the referring

social worker and inform them of the wait list and a potential date that service may begin.

4. Annual report of program evaluation is due 1/15/2015 to reflect 2014 data – youth served and

outcomes.

Section 21.8 – Assessing Performance in Delivery of Services

25

The Purchaser retains sole authority to determine whether the Provider’s performance under the contract

is adequate. The Provider agrees to the following:

1. The Provider shall allow the Purchaser’s care manager and contract staff to visit the Provider’s

facility or work site any time for the purposes of ensuring that services are being provided as

specified in the Individual Service Plan and the contract.

2. Upon request by the Purchases or its designee, the Provider shall make available to the Purchaser

all documentation necessary to adequately assess Provider performance.

3. The Provider will cooperate with the Purchaser in its efforts to implement the Purchaser’s quality

improvement and quality assurance program.

4. The Provider shall develop and implement a process for assessing client satisfaction with

services provided. The Provider shall report in a timely manner the results of its client

satisfaction assessment effort to the Purchaser. The Purchaser reserves the right to review and

approve the Provider’s client satisfaction assessment process, and to require the Provider to

submit a corrective action plan to address concerns identified in the review.

5. The Provider shall cooperate with the Purchaser in implementing the Purchaser’s program for

assessing client satisfaction with services. The Purchaser reserves the right to require the

Provider to submit a corrective action plan to address concerns identified in the review.

6. The Provider (therapist and/or Parent Aide) will regularly meet with designated agency staff to

develop and review family goals and progress. The Purchaser will determine frequency based on

length of service. Prior to ongoing in-home services, the Provider will meet with designated

agency staff to create treatment plan including goals and frequency of client/family contact.

7. The Provider shall submit all performance and other program reports listed above in Section

21.7.

CONTRACT PENALTIES

A family assessment is due to this agency within 40 days of the first consumer contact unless the

assigned contract service gatekeeper approves an extended due date/

1. Each assessment received seven or more calendar days after the due date will result in the

assessment of a penalty of $25 against the Provider.

Monthly progress notes must be submitted to this agency by the second Monday of each month unless the

assigned contract service gatekeeper approves an extended due date.

1. Each progress note received seven or more calendar days after the due date will result in the

assessment of a penalty of $25 against the Provider.

26

A discharge report must be submitted within 15 days of discharge unless the assigned contract service

gatekeeper approves an extended due date. The discharge summary must indicate whom the family was

referred to for ongoing services; whether or not the services were successful or unsuccessful. If

unsuccessful, the discharge summary must give reasons for this.

Each discharge report received seven (7) or more calendar days after the due date will result in the

assessment of a penalty of $25 against the Provider.

SIGNATURES

This contract becomes null and void if the time between the Purchaser’s authorized representative

signature and the Provider’s authorized representative signature on this contract exceeds sixty (60) days.

For Purchaser: ______________________________________ _________________

Vicki Tylka, Director Date

Marathon County Department of Social Services

For Provider: ______________________________________ _______________ _

Authorized Representative signature Date

______________________________________

(Provider – Typed name & Title)

SAMPEL CONTRACT APPENDIX A CIVIL RIGHTS COMPLIANCE PLAN

Section 1.1 - Affirmative Action Component

1. Affirmative Action (AA) is the first component of the CRC Plan. A Provider must develop and

submit an Affirmative Action Plan that covers a two or three-year period.

2. A Provider may request for an exemption from submitting an AA Plan if it:

a) Has an annual work force of less than fifty (50) employees.

b) Is a governmental entity (e.g., county, municipality or state university), or

c) Has a balance work force.

27

3. Nevertheless, exempt Providers that do not have a balanced work force in specific job groups are

required to develop and submit a recruitment strategy to address under representation of that job

group.

4. “Affirmative Action Plan” is a written document that details an affirmative action program. Key

parts of an affirmative action plan are:

a) A policy statement pledging nondiscrimination and affirmative action employment.

b) Internal and external dissemination of the policy.

c) Assignment of a key employee as the Equal Opportunity Coordinator.

d) A work force analysis that identifies job classifications where representation of women,

minorities and the disabled are deficient.

e) Goals and timetables that are specific and measurable and that are set to correct

deficiencies and to reach a balanced work force.

f) A revision of employment practices to ensure that they do not have discriminatory

effects, and

g) The establishment of internal monitoring and reporting systems to measure progress

regularly.

5. A non-exempt Provider shall conduct, keep on file, and update annually a separate and additional

accessibility self-evaluation of all programs and facilities, including employment practices for

compliance with the Americans with Disabilities Title I regulations, unless an updated self-

evaluation under Section 503 of the rehabilitation Act of 1973 exists which meets the ADA

requirements.

Section 1.2 - Civil Rights/Equal Employment Opportunity Components

1. Civil Rights is the second component of the CRC Plan that must be developed and submitted.

The civil rights requirements address non-discrimination in service delivery to clients,

consumers, or patients.

a) All Providers must have the following policies and procedures to ensure that no

otherwise qualified person shall be excluded from participation in, be denied the benefits

of, or otherwise be subject to discrimination in any manner on the basis of race, color,

national origin, sexual orientation, religion, sex, disability or age.

b) This policy covers eligibility for an access to service delivery and equal treatment in all

programs and activities. All employees of the Providers are expected to support goals

and programmatic activities relating to nondiscrimination in service delivery.

28

2. Equal Employment Opportunity is another part to the second component in the CRC Plan. It

addresses the requirements that the Provider must put in place to ensure non-discrimination in all

employment conditions. The federal and state laws state that:

a) No otherwise qualified person shall be excluded from employment, be denied the benefits

of employment or otherwise be subject to discrimination in employment in any manner or

term of employment on the basis of age, race/ethnicity, religion, gender, sexual

orientation, color, national origin or ancestry, disability (as defined in Section 504 of the

Rehab Act and the Americans with Disabilities Act), arrest or conviction record, marital

status, political affiliation, military participation, the use of legal products during non-

work hours, non-job related genetic and honesty testing. All employees are expected to

support goals and programmatic activities relating to non-discrimination in employment.

b) The Provider shall post the Equal Opportunity Policy, the name of the Equal Opportunity

Coordinator and the discrimination complaint process in conspicuous places available to

applicants and clients of services, and applicants for employment and employees. The

complaint process will be according to the Department’s standards and made available in

languages and formats understandable to applicants, clients and employees. The

Purchaser will continue to provide appropriate translated program brochures and forms

for distribution.

c) The Provider agrees to comply with the Purchaser’s guidelines in the Civil Rights

Compliance Plan Standards and a Resource Manual for Equal Opportunity in Service

Delivery and Employment for the Wisconsin Department of Health and Family Services,

its Service Providers and their Subcontractors.

d) Requirements herein stated apply to any subcontracts or grants. The Purchaser has

primary responsibility to take constructive steps, as per the CRC Standards, to ensure the

compliance of its subcontractors or grantees.

e) If a Provider of a county is a direct provider of the Department, this Provider will be

required to develop and submit a CRC Plan to the Department. The county need not

require this Provider to submit a second copy to the county.

f) The Purchaser will monitor the Civil rights Compliance of the Provider. The Purchaser

will conduct reviews to ensure that the Provider is ensuring compliance by its

subcontractors or grantees according to guidelines in the CRC Standards. The Provider

agrees to comply with Civil Rights monitoring review, including the examination of

records and relevant files maintained by the Provider, as well as interviews with staff,

clients, and applicants for services, subcontractors, grantees, and referral agencies. The

reviews will be conducted according to Department of Health and Family Services

procedures. The Purchaser will also conduct reviews to address immediate concerns of

complainants.

29

g) The Provider agrees to cooperate with the Purchaser in developing, implementing and

monitoring corrective action plans that result from complaint investigations or

monitoring efforts.

Section 1.3 - Language Access Plan

1. Language Access is the third component in the CRC Plan. It addresses the way programs and

services are provided for persons with disabilities and Limited English Proficient (LEP) speakers.

2. For persons with disabilities, the Provider agrees that it will:

a) Provide competent sign language interpreters for deaf or hard of hearing participants free

of charge at any stage of application or receipt of services.

b) Provide aids, assistive devices and other reasonable accommodations to the client during

the application process, in the receipt of services, and in the processing of complaint or

appeals.

c) Train staff in human relations techniques, sensitivity to persons with disabilities and

sensitivity to cultural characteristics.

d) Make programs and facilities accessible, as appropriate, through outstations, authorized

representatives, adjusted work hours, ramps doorways, elevators, or ground floor rooms,

and Braille, large print or taped information for the visually or cognitively impaired.

e) Post and/or make available informational materials in formats appropriate to the needs of

the client population.

3. For Limited English Proficient (LEP) participants, the Provider must weigh the following four

factors:

a) The number or proportion of LEP persons eligible to be served or likely to be

encountered by the provider.

b) The frequency with which LEP individuals come in contact.

c) The nature and importance of the program, activity, or service provided by the

program to people’s lives, and

d) The resources available to the Provider.

4. Upon the consideration of the four factors, the LEP policies require that the Provider have the

following program components:

a) Analyze its service area to assess the primary language needs of the participants that it

serves or encountered.

30

b) Establish a plan that will make oral interpretation available and free of charge upon

request.

c) Disseminate written notice in the primary language of the LEP group that interpretation is

available and free of charge to groups that constitute less than 50 individuals eligible to

be served or encountered.

d) Provide written translations of vital documents to LEP participants that constitute at least

5% or 1,000 LEP individuals, whichever is less, for the populations served or

encountered.

e) Train staff about the Provider’s LEP policies and procedures.

f) Collect data on primary language use of LEP participants to evaluate the program’s

effectiveness; and

g) Identify the LEP Coordinator and establish a complaint process that is accessible to LEP

participants.

5. The Provider will, to the extent possible, hire bilingual staff, work with community associations,

and contract with competent interpreters or other ways to ensure accurate interpretation while

providing critical health care to an LEP consumer of patient.