240104 SOUTHWEST BEHAVIORAL CONTRACT.PDF
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CONTRACT FELONY DIVERSION AND OFFENDER
EDUCATION PROGRAMS 240104-RFP
This contract is entered into this 26th day of June, 2024 by and between Maricopa County (“County”), a
political subdivision of the State of Arizona, and Southwest Behavioral and Health Services, Inc., an Arizona
corporation (“Contractor”) for the purchase of an alternative to traditional criminal case processing so
specific individuals accused of committing a crime may participate in an education or treatment program
that addresses the risk factors related to recidivism.
1.0
CONTRACT TERM
This contract is for a term of two years and six months, beginning on the 1st of July, 2024 and
ending the 31st of December, 2026.
2.0
OPTION TO RENEW
The County may, at its option and with the concurrence of the Contractor, renew the term of this
contract up to a maximum of two years and six months, (or at the County’s sole discretion, extend
the contract on a month-to-month basis for a maximum of six months after expiration). The
Contractor shall be notified in writing by the Office of Procurement Services of the County’s
intention to renew the contract term at least 60 calendar days prior to the expiration of the original
contract term.
3.0
CONTRACT COMPLETION
In preparation for contract completion, the Contractor shall make all reasonable efforts for an
orderly transition of its duties and responsibilities to another provider and/or to the County. This
may include, but is not limited to, preparation of a transition plan and cooperation with the County
or other providers in the transition. The transition includes the transfer of all records and other data
in the possession, custody, or control of the Contractor that are required to be provided to the
County either by the terms of this agreement or as a matter of law. The provisions of this clause
shall survive the expiration or termination of this agreement.
4.0
PRICE ADJUSTMENTS
Any requests for reasonable price adjustments must be submitted 60 calendar days prior to
contract expiration. Requests for adjustment in cost of labor and/or materials must be supported
by appropriate documentation. The reasonableness of the request will be determined by comparing
the request with the Consumer Price Index or by performing a market survey. If County agrees to
the adjusted price terms, County shall issue written approval of the change and provide an updated
version of the contract. The new change shall not be in effect until the date stipulated on the
updated version of the contract.
5.0
PAYMENTS
5.1
As consideration for performance of the duties described herein, County shall pay
Contractor the sum(s) stated in Exhibit A – Vendor Information and Pricing.
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5.2
Payment shall be made upon the County’s receipt of a properly completed invoice.
5.3
INVOICES
5.3.1
In addition to any requirements listed in program details, the contractor shall
submit one legible copy of their detailed invoice before payment(s) will be made.
Invoices shall be received by the eighth of each month. Incomplete invoices will
not be processed. At a minimum, the invoice must provide the following
information:
•
Company name, address, and contact information
•
County bill-to name and contact information
•
Contract serial number
•
County purchase order number
•
Program and participant name
•
Invoice number and date
•
Payment terms
•
Dates of service or delivery
•
Number of sessions/case management hours
•
Contract item number(s)
•
Description of purchase (product or services)
•
Pricing per session
•
Extended price
•
Total amount due
5.3.2
Labor, services, and maintenance must be billed as a separate line item.
5.3.3
Problems regarding billing or invoicing shall be directed to the department as listed
on the purchase order.
5.3.4
Payment shall only be made to the contractor by Accounts Payable through the
Maricopa County Vendor Express Payment Program. This is an Electronic Funds
Transfer (EFT) process. After contract award the contractor shall complete the
Vendor Registration Form located on the County Department of Finance Vendor
Registration Web Site (https://www.maricopa.gov/5169/Vendor-Information).
5.3.5
Discounts offered in the contract shall be calculated based on the date a properly
completed invoice is received by the County.
5.3.6
EFT payments to the routing and account numbers designated by the contractor
shall include the details on the specific invoices that the payment covers. The
contractor is required to discuss remittance delivery capabilities with their
designated financial institution for access to those details.
5.4
APPLICABLE TAXES
5.4.1
It is the responsibility of the contractor to determine any and all applicable taxes
and include those taxes in their proposal. The legal liability to remit the tax is on
the entity conducting business in Arizona. Tax is not a determining factor in
contract award.
5.4.2
The County will look at the price or offer submitted and will not deduct, add, or alter
pricing based on speculation or application of any taxes, nor will the County
provide Contractor any advice or guidance regarding taxes. If you have questions
regarding your tax liability, seek advice from a tax professional prior to submitting
your bid. You may also find information at https://www.azdor.gov/Business.aspx.
Once your bid is submitted, the offer is valid for the time specified in this solicitation,
regardless of mistake or omission of tax liability. If the County finds overpayment
of a project due to tax consideration that was not due, the contractor will be liable
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to the County for that amount, and by contracting with the County agrees to remit
any overpayments back to the County for miscalculations on taxes included in a
bid price.
5.4.3
Tax Indemnification: Contractor and all subcontractors shall pay all Federal, State,
and local taxes applicable to their operation and any persons employed by the
Contractor. Contractor shall, and require all subcontractors to, hold Maricopa
County harmless from any responsibility for taxes, damages, and interest, if
applicable, contributions required under Federal and/or State and local laws and
regulations, and any other costs including: transaction privilege taxes,
unemployment
compensation
insurance,
Social
Security,
and
workers’
compensation. Contractor may be required to establish, to the satisfaction of
County, that any and all fees and taxes due to municipality or the State of Arizona
for any license or transaction privilege taxes, use taxes, or similar excise taxes are
currently paid (except for matters under legal protest).
6.0
AVAILABILITY OF FUNDS
6.1
The provisions of this contract relating to payment for services shall become effective when
funds assigned for the purpose of compensating the Contractor as herein provided are
actually available to County for disbursement. The County shall be the sole judge and
authority in determining the availability of funds under this contract. County shall keep the
Contractor fully informed as to the availability of funds.
6.2
If any action is taken by, any State agency, Federal department, or any other agency or
instrumentality to suspend, decrease, or terminate its fiscal obligations under, or in
connection with, this contract, County may amend, suspend, decrease, or terminate its
obligations under, or in connection with, this contract. In the event of termination, County
shall be liable for payment only for services rendered prior to the effective date of the
termination, provided that such services are performed in accordance with the provisions
of this contract. County shall give written notice of the effective date of any suspension,
amendment, or termination under this section, at least 10 days in advance.
7.0
STRATEGIC ALLIANCE for VOLUME EXPENDITURES (SAVE)
The County is a member of the SAVE cooperative purchasing group. SAVE includes the State of
Arizona, many Phoenix metropolitan area municipalities, and many K-12 unified school districts.
Under the SAVE Cooperative Purchasing Agreement, and with the concurrence of the successful
respondent under this solicitation, a member of SAVE may access a contract resulting from a
solicitation issued by the County. If contractor does not want to grant such access to a member of
SAVE, state so in contractor’s bid. In the absence of a statement to the contrary, the County will
assume that contractor does wish to grant access to any contract that may result from this bid. The
County assumes no responsibility for any purchases by using entities.
8.0
INTERGOVERNMENTAL COOPERATIVE PURCHASING AGREEMENTS (ICPAs)
County currently holds ICPAs with numerous governmental entities. These agreements allow those
entities, with the approval of the Contractor, to purchase their requirements under the terms and
conditions of the County contract. It is the responsibility of the non-County government entity to
perform its own due diligence on the acceptability of the contract under its applicable procurement
rules, processes, and procedures. Certain governmental agencies may not require an ICPA and
may utilize this contract if it meets their individual requirements. Other governmental agencies may
enter into a separate Statement of Work with the Contractor to meet their own requirements. The
County is not a party to any uses of this contract by other governmental entities.
9.0
DUTIES
The Contractor shall perform all duties stated in Exhibit B – Scope of Work, or as otherwise directed
in writing by the procurement officer.
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10.0
TERMS AND CONDITIONS
10.1
INDEMNIFICATION
10.1.1 To the fullest extent permitted by law, and to the extent that claims, damages,
losses, or expenses are not covered and paid by insurance purchased by the
contractor, the contractor shall defend, indemnify, and hold harmless the County
(as Owner), its agents, representatives, officers, directors, officials, and employees
from and against all claims, damages, losses, and expenses (including, but not
limited to attorneys' fees, court costs, expert witness fees, and the costs and
attorneys' fees for appellate proceedings) arising out of, or alleged to have resulted
from, the negligent acts, errors, omissions, or mistakes of the contractor, a
subcontractor, anyone directly or indirectly employed by them, or anyone for
whose acts they may be liable relating to the performance of this contract.
10.1.2 Contractor's duty to defend, indemnify, and hold harmless the County, its agents,
representatives, officers, directors, officials, and employees shall arise in
connection with any claim, damage, loss, or expense that is attributable to bodily
injury, sickness, disease, death, or injury to, impairment of, or destruction of
tangible property, including loss of use resulting therefrom, caused by negligent
acts, errors, omissions, or mistakes in the performance of this contract, but only to
the extent caused by the negligent acts or omissions of the contractor, a
subcontractor, anyone directly or indirectly employed by them, or anyone for
whose acts they may be liable, regardless of whether or not such claim, damage,
loss, or expense is caused in part by a party indemnified hereunder.
10.1.3 The amount and type of insurance coverage requirements set forth herein will in
no way be construed as limiting the scope of the indemnity in this section.
10.1.4 The scope of this indemnification does not extend to the sole negligence of County.
10.2
INSURANCE
10.2.1 Contractor, at Contractor’s own expense, shall purchase and maintain, at a
minimum, the herein stipulated insurance from a company or companies duly
licensed by the State of Arizona and possessing an AM Best, Inc. category rating
of B++. In lieu of State of Arizona licensing, the stipulated insurance may be
purchased from a company or companies, which are authorized to do business in
the State of Arizona, provided that said insurance companies meet the approval of
County. The form of any insurance policies and forms must be acceptable to
County.
10.2.2 All insurance required herein shall be maintained in full force and effect until all
work or service required to be performed under the terms of the contract is
satisfactorily completed and formally accepted. Failure to do so may, at the sole
discretion of County, constitute a material breach of this contract.
10.2.3 In the event that the insurance required is written on a claims-made basis,
Contractor warrants that any retroactive date under the policy shall precede the
effective date of this contract and either continuous coverage will be maintained,
or an extended discovery period will be exercised for a period of two years
beginning at the time work under this contract is completed.
10.2.4 Contractor’s insurance shall be primary insurance as respects County, and any
insurance or self-insurance maintained by County shall not contribute to it.
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10.2.5 Any failure to comply with the claim reporting provisions of the insurance policies
or any breach of an insurance policy warranty shall not affect the County’s right to
coverage afforded under the insurance policies.
10.2.6 The insurance policies may provide coverage that contains deductibles or self-
insured retentions. Such deductible and/or self-insured retentions shall not be
applicable with respect to the coverage provided to County under such policies.
Contractor shall be solely responsible for the deductible and/or self-insured
retention and County, at its option, may require Contractor to secure payment of
such deductibles or self-insured retentions by a surety bond or an irrevocable and
unconditional letter of credit.
10.2.7 The insurance policies required by this contract, except Workers’ Compensation
and Errors and Omissions, shall name County, its agents, representatives, officers,
directors, officials, and employees as additional insureds.
10.2.8 The policies required hereunder, except Workers’ Compensation and Errors and
Omissions, shall contain a waiver of transfer of rights of recovery (subrogation)
against County, its agents, representatives, officers, directors, officials, and
employees for any claims arising out of Contractor’s work or service.
10.2.9 If available, the insurance policies required by this contract may be combined with
Commercial Umbrella Insurance policies to meet the minimum limit requirements.
If a Commercial Umbrella insurance policy is utilized to meet insurance
requirements, the Certificate of Insurance shall indicate which lines the
Commercial Umbrella Insurance covers.
10.2.9.1 Commercial General Liability
Commercial General Liability (CGL) insurance and, if necessary,
Commercial Umbrella insurance with a limit of not less than $1,000,000
for each occurrence, $2,000,000 Products/Completed Operations
Aggregate, and $2,000,000 General Aggregate Limit. The policy shall
include coverage for premises liability, bodily injury, broad form property
damage, personal injury, products and completed operations and
blanket contractual coverage, and shall not contain any provisions which
would serve to limit third party action over claims. There shall be no
endorsement or modifications of the CGL limiting the scope of coverage
for liability arising from explosion, collapse, or underground property
damage.
10.2.9.2 Professional Liability Insurance
Contractor shall maintain Professional Liability insurance and, if
necessary, Commercial Umbrella insurance, which will insure and
provide coverage for Professional Liability of the contractor, with limits
of no less than $5,000,000 for each claim.
10.2.9.3 Sexual Molestation and Physical Abuse
When services involve working with these groups of individuals, the
insurance requirements in the contract need to be revised to include
coverage for "sexual molestation and physical abuse". Coverage for
this type of claim, or allegation, is excluded from standard general
liability policies. Therefore, contractors whose services include working
with and/or caring for children/elderly and disabled persons should have
their policies specifically endorsed to include this coverage.
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10.2.9.4 Commercial General Liability – Occurrence Form
10.2.9.4.1 Policy shall include bodily injury, property damage and
broad form contractual liability coverage.
10.2.9.4.2 The policy shall be endorsed to include coverage for
physical/sexual abuse and molestation/criminal sexual
misconduct, with limits of no less than $5,000,000 for each
claim (see Commercial General Liability)
10.2.10 Certificates of Insurance
10.2.10.1 Prior to contract award, Contractor shall furnish the County with valid
and complete Certificates of Insurance, or formal endorsements as
required by the contract in the form provided by the County, issued by
Contractor’s insurer(s), as evidence that policies providing the required
coverage, conditions and limits required by this contract are in full force
and effect. Such certificates shall identify this contract number and title.
10.2.10.1 In the event any insurance policy(ies) required by this contract is (are)
written on a claims-made basis, coverage shall extend for two years past
completion and acceptance of Contractor’s work or services and as
evidenced by annual certificates of insurance.
10.2.10.2 If a policy does expire during the life of the Contract, a renewal certificate
must be sent to County 15 calendar days prior to the expiration date.
10.2.10.3 Certificates of Insurance shall identify Maricopa County as the certificate
holder as follows:
Maricopa County
c/o Risk Management
301 W Jefferson St, Suite 910
Phoenix, AZ 85003
10.2.11 Cancellation and Expiration Notice
Applicable to all insurance policies required within the insurance requirements of
this contract, Contractor’s insurance shall not be permitted to expire, be
suspended, be canceled, or be materially changed for any reason without 30 days
prior written notice to Maricopa County. Contractor must provide to Maricopa
County, within two business days of receipt, if they receive notice of a policy that
has been or will be suspended, canceled, materially changed for any reason, has
expired, or will be expiring. Such notice shall be sent directly to Maricopa County
Office of Procurement Services and shall be mailed, or hand delivered to 301 W.
Jefferson, Suite 700, Phoenix, AZ 85003, or emailed to the procurement officer
noted in the solicitation.
10.3
FORCE MAJEURE
10.3.1 Neither party shall be liable for failure of performance, nor incur any liability to the
other party on account of any loss or damage resulting from any delay or failure to
perform all or any part of this contract, if such delay or failure is caused by events,
occurrences, or causes beyond the reasonable control and without negligence of
the parties. Such events, occurrences, or causes include, but are not limited to,
acts of God/nature (including fire, flood, earthquake, storm, hurricane, or other
natural disaster), war, invasion, act of foreign enemies, hostilities (whether war is
declared or not), civil war, riots, rebellion, revolution, insurrection, military or
usurped power or confiscation, terrorist activities, nationalization, government
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sanction, lockout, blockage, embargo, labor dispute, strike, and interruption or
failure of electricity or telecommunication service, and pandemic.
10.3.2 Each party, as applicable, shall give the other party notice of its inability to perform
and particulars in reasonable detail of the cause of the inability. Each party must
use best efforts to remedy the situation and remove, as soon as practicable, the
cause of its inability to perform or comply.
10.3.3 The party asserting Force Majeure as a cause for non-performance shall have the
burden of proving that reasonable steps were taken to minimize delay or damages
caused by foreseeable events, that all non-excused obligations were substantially
fulfilled, and that the other party was timely notified of the likelihood or actual
occurrence which would justify such an assertion, so that other prudent
precautions could be contemplated.
10.4
ORDERING AUTHORITY
Any request for purchase shall be accompanied by a valid purchase order issued by a
County department or directed by a Certified Agency Procurement Aid (CAPA) with a
purchase card for payment.
10.5
PROCUREMENT CARD ORDERING CAPABILITY
County may opt to use a procurement card (Visa or Master Card) to make payment for
orders under this contract.
10.6
NO MINIMUM OR MAXIMUM PURCHASE OBLIGATION
This contract does not guarantee any minimum or maximum purchases will be made.
Orders will only be placed under this contract when the County identifies a need and proper
authorization and documentation have been approved.
10.7
PURCHASE ORDERS
10.7.1 County reserves the right to cancel purchase orders within a reasonable period of
time after issuance. Should a purchase order be canceled, the County agrees to
reimburse the Contractor for actual and documentable costs incurred by the
Contractor in response to the purchase order. The County will not reimburse the
Contractor for any costs incurred after receipt of County notice of cancellation, or
for lost profits, or for shipment of product prior to issuance of purchase order.
10.7.2 Contractor agrees to accept verbal notification of cancellation of purchase orders
from the County procurement officer with written notification to follow. Contractor
specifically acknowledges to be bound by this cancellation policy.
10.8
BACKGROUND CHECK
Respondents may be required to pass multiple background checks (e.g. Sheriff’s Office,
County Attorney's Office, Courts, as well as Maricopa County general government) to
determine if the respondent is acceptable to do business with the County. This applies to,
but is not limited to, the company, subcontractors, and employees, and the failure to pass
these checks shall deem the respondent non-responsible.
10.9
SUSPENSION OF WORK
The procurement officer may order the Contractor, in writing, to suspend, delay, or interrupt
all or any part of the work of this contract for the period of time that the procurement officer
determines appropriate for the convenience of the County. No adjustment shall be made
under this clause for any suspension, delay, or interruption to the extent that performance
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would have been so suspended, delayed, or interrupted by any other cause, including the
fault or negligence of the Contractor. No request for adjustment under this clause shall be
granted unless the claim, in an amount stated, is asserted in writing as soon as practicable
after the termination of the suspension, delay, or interruption, but not later than the date of
final payment under the contract.
10.10
STOP WORK ORDER
10.10.1 The procurement officer may, at any time, by written order to the Contractor,
require the Contractor to stop all, or any part, of the work called for by this contract
for a period of 90 calendar days after the order is delivered to the Contractor, and
for any further period to which the parties may agree. The order shall be specifically
identified as a stop work order issued under this clause. Upon receipt of the order,
the Contractor shall immediately comply with its terms and take all reasonable
steps to minimize the incurrence of costs allocable to the work covered by the order
during the period of work stoppage. Within a period of 90 calendar days after a
stop work order is delivered to the Contractor, or within any extension of that period
to which the parties shall have agreed, the procurement officer shall either:
10.10.1.1 cancel the stop work order; or
10.10.1.2 terminate the work covered by the order as provided in the Termination
for Default or the Termination for Convenience clause of this contract.
10.10.1.3 The procurement officer may make an equitable adjustment in the
delivery schedule and/or contract price, and the contract shall be
modified, in writing, accordingly, if the Contractor demonstrates that the
stop work order resulted in an increase in costs to the Contractor.
10.11
TERMINATION FOR CONVENIENCE
Maricopa County may terminate the resultant contract for convenience by providing 60
calendar days advance notice to the Contractor.
10.12
TERMINATION FOR DEFAULT
10.12.1 The County may, by written Notice of Default to the Contractor, terminate this
contract in whole or in part if the Contractor fails to:
10.12.1.1 deliver the supplies or to perform the services within the time specified
in this contract or any extension;
10.12.1.2 make progress, so as to endanger performance of this contract; or
10.12.1.3 perform any of the other provisions of this contract.
10.12.2 The County’s right to terminate this contract under these subparagraphs may be
exercised if the Contractor does not cure such failure within 10 business days (or
more if authorized in writing by the County) after receipt of a Notice to Cure from
the procurement officer specifying the failure.
10.13
PERFORMANCE
It shall be the contractor’s responsibility to meet the proposed performance requirements.
Maricopa County reserves the right to obtain services on the open market in the event the
contractor fails to perform, and any price differential will be charged against the contractor.
MCAO (Maricopa County Attorney’s Office) will perform contract monitoring and reserves
the right to impose a corrective action plan for contractors not meeting expectations.
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10.14
CONTRACTOR EMPLOYEE MANAGEMENT
10.14.1 Contractor shall endeavor to maintain the personnel proposed in their proposal
throughout the performance of this contract.
10.14.2 If Contractor personnel’s employment status changes, Contractor shall provide
County a list of proposed replacements with equivalent or greater experience.
10.14.3 Under no circumstances shall the implementation schedule to be impacted by a
personnel change on the part of the Contractor.
10.14.4 Contractor shall not reassign any key personnel identified in their proposal without
the express consent of the County.
10.14.5 County reserves the right to immediately remove from its premises any Contractor
personnel it determines to be a risk to County operations.
10.14.6 County reserves the right to request the replacement of any Contractor personnel
at any time, for any reason.
10.15
INSPECTION OF SERVICES
10.15.1 The Contractor shall provide and maintain an inspection system acceptable to
County covering the services under this contract. Complete records of all
inspection work performed by the Contractor shall be maintained and made
available to County during contract performance and for as long afterwards as the
contract requires.
10.15.2 County has the right to inspect and test all services called for by the contract, to
the extent practicable at all times and places during the term of the contract.
County shall perform inspections and tests in a manner that will not unduly delay
the work.
10.15.3 If any of the services do not conform to contract requirements, County may require
the Contractor to perform the services again in conformity with contract
requirements, at no cost to the County. When the defects in services cannot be
corrected by re-performance, County may:
10.15.3.1 require the Contractor to take necessary action to ensure that future
performance conforms to contract requirements; and
10.15.3.2 reduce the contract price to reflect the reduced value of the services
performed.
10.15.4 If the Contractor fails to promptly perform the services again or to take the
necessary action to ensure future performance in conformity with contract
requirements, County may:
10.15.4.1 by contract or otherwise, perform the services and charge to the
Contractor, through direct billing or through payment reduction, any cost
incurred by County that is directly related to the performance of such
service; or
10.15.4.2 terminate the contract for default.
10.16
USAGE REPORT
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Unless otherwise indicated, the contractor shall furnish the County a usage report, upon
request, delineating the acquisition activity governed by the contract. The format of the
report shall be approved by the County and shall disclose the quantity and dollar value of
each contract item by individual unit of measure.
10.17
STATUTORY RIGHT OF CANCELLATION FOR CONFLICT OF INTEREST
Notice is given that, pursuant to A.R.S. § 38-511, the County may cancel any contract
without penalty or further obligation within three years after execution of the contract, if any
person significantly involved in initiating, negotiating, securing, drafting, or creating the
contract on behalf of the County is at any time, while the contract or any extension of the
contract is in effect, an employee or agent of any other party to the contract in any capacity
or consultant to any other party of the contract with respect to the subject matter of the
contract. Additionally, pursuant to A.R.S. § 38-511, the County may recoup any fee or
commission paid or due to any person significantly involved in initiating, negotiating,
securing, drafting, or creating the contract on behalf of the County from any other party to
the contract arising as the result of the contract.
10.18
OFFSET FOR DAMAGES
In addition to all other remedies at Law or Equity, the County may offset from any money
due to the Contractor any amounts Contractor owes to the County for damages resulting
from breach or deficiencies in performance of the contract.
10.19
SUBCONTRACTING
10.19.1 The Contractor may not assign to another Contractor or subcontract to another
party for performance of the terms and conditions hereof without the written
consent of the County. All correspondence authorizing subcontracting must
reference the bid serial number and identify the job or project.
10.19.2 The subcontractor’s rate for the job shall not exceed that of the prime Contractor’s
rate, as bid in the pricing section, unless the prime Contractor is willing to absorb
any higher rates. The subcontractor’s invoice shall be invoiced directly to the prime
Contractor, who in turn shall pass-through the costs to the County, without mark-
up. A copy of the subcontractor’s invoice must accompany the prime Contractor’s
invoice.
10.20
AMENDMENTS
All amendments to this contract shall be in writing and approved/signed by both parties.
Maricopa County Office of Procurement Services shall be responsible for approving all
amendments for Maricopa County.
10.21
ADDITIONS/DELETIONS OF REQUIREMENTS
The County reserves the right to add and/or delete materials and services to a contract. If
a service requirement is deleted, payment to the Contractor will be reduced proportionately,
to the amount of service reduced in accordance with the bid price. If additional materials
or services are required from a contract, prices for such additions will be negotiated
between the Contractor and the County.
10.22
RIGHTS IN DATA
10.22.1 The County shall have the use of data and reports resulting from a contract without
additional cost or other restriction except as may be established by law or
applicable regulation. Each party shall supply to the other party, upon request, any
available information that is relevant to a contract and to the performance
thereunder.
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10.22.2 Data, records, reports, and all other information generated for the County by a third
party as the result of a contract are the property of the County and shall be provided
in a format designated by the County or shall be and remain accessible to the
County into perpetuity.
10.23
ACCESS TO AND RETENTION OF RECORDS FOR THE PURPOSE OF AUDIT AND/OR
OTHER REVIEW
10.23.1 In accordance with Section MC1-372 of the Maricopa County Procurement Code,
the Contractor agrees to retain (physical or digital copies of) all books, records,
accounts, statements, reports, files, and other records and back-up documentation
relevant to this contract for six years after final payment or until after the resolution
of any audit questions, which could be more than six years, whichever is longest.
The County, Federal or State auditors and any other persons duly authorized by
the department shall have full access to and the right to examine, copy, and make
use of, any and all said materials.
10.23.2 If the Contractor’s books, records, accounts, statements, reports, files, and other
records and back-up documentation relevant to this contract are not sufficient to
support and document that requested services were provided, the Contractor shall
reimburse Maricopa County for the services not so adequately supported and
documented.
10.24
AUDIT DISALLOWANCES
If at any time it is determined by the County that a cost for which payment has been made
is a disallowed cost, the County shall notify the Contractor in writing of the disallowance.
The course of action to address the disallowance shall be at sole discretion of the County,
and may include either an adjustment to future invoices, request for credit, request for a
check, or a deduction from current invoices submitted by the Contractor equal to the
amount of the disallowance, or to require reimbursement forthwith of the disallowed amount
by the Contractor by issuing a check payable to Maricopa County.
10.25
STRICT COMPLIANCE
Acceptance by County of a performance that is not in strict compliance with the terms of
the contract shall not be deemed to be a waiver of strict compliance with respect to all other
terms of the contract.
10.26
VALIDITY
The invalidity, in whole or in part, of any provision of this contract shall not void or affect
the validity of any other provision of the contract.
10.27
SEVERABILITY
The removal, in whole or in part, of any provision of this contract shall not void or affect the
validity of any other provision of this contract.
10.28
RELATIONSHIPS
10.28.1 In the performance of the services described herein, the Contractor shall act solely
as an independent Contractor, and nothing herein or implied herein shall at any
time be construed as to create the relationship of employer and employee, co-
employee, partnership, principal and agent, or joint venture between the County
and the Contractor.
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10.28.2 The County reserves the right of final approval on proposed staff. Also, upon
request by the County, the Contractor will be required to remove any employees
working on County projects and substitute personnel based on the discretion of
the County within two business days, unless a different time period was previously
approved by the County.
10.29
NON-DISCRIMINATION
Contractor agrees to comply with all provisions and requirements of Arizona Executive
Order 2009-09, including flow down of all provisions and requirements to any
subcontractors. Executive Order 2009-09 supersedes Executive Order 99-4 and amends
Executive Order 75-5 and is hereby incorporated into this contract as if set forth in full
herein. During the performance of this contract, contractor shall not discriminate against
any employee, client, or any other individual in any way because of that person’s age, race,
creed, color, religion, sex, disability, or national origin. (Arizona Executive Order 2009-09
can be viewed at https://apps.azsos.gov/public_services/register/2009/46/governor.pdf)
10.30
WRITTEN CERTIFICATION PURSUANT to A.R.S. § 35-393.01
If vendor engages in for-profit activity and has 10 or more employees, and if this agreement
has a value of $100,000 or more, vendor certifies it is not currently engaged in, and agrees
for the duration of this agreement to not engage in, a boycott of goods or services from
Israel. This certification does not apply to a boycott prohibited by 50 U.S.C. § 4842 or a
regulation issued pursuant to 50 U.S.C. § 4842.
10.31
CERTIFICATION REGARDING DEBARMENT AND SUSPENSION
10.31.1 The undersigned (authorized official signing on behalf of the Contractor) certifies
to the best of his or her knowledge and belief that the Contractor, its current
officers, and directors:
10.31.1.1 are not presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from being awarded any
contract or grant by any United States department or agency or any
state, or local jurisdiction;
10.31.1.2 have not within a three-year period preceding this contract:
10.31.1.2.1 been convicted of fraud or any criminal offense in
connection with obtaining, attempting to obtain, or as the
result of performing a government entity (Federal, State or
local) transaction or contract; or
10.31.1.2.2 been convicted of violation of any Federal or State antitrust
statutes or conviction for embezzlement, theft, forgery,
bribery, falsification or destruction of records, making false
statements, or receiving stolen property regarding a
government entity transaction or contract;
10.31.1.3 are not presently indicted or criminally charged by a government entity
(Federal, State or local) with commission of any criminal offenses in
connection with obtaining, attempting to obtain, or as the result of
performing a government entity public (Federal, State or local)
transaction or contract;
10.31.1.4 are not presently facing any civil charges from any governmental entity
regarding obtaining, attempting to obtain, or from performing any
governmental entity contract or other transaction; and
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10.31.1.5 have not within a three-year period preceding this contract had any
public transaction (Federal, State or local) terminated for cause or
default.
10.31.2 If any of the above circumstances described in the paragraph are applicable to the
entity submitting a bid for this requirement, include with your bid an explanation of
the matter including any final resolution.
10.31.3 The Contractor shall include, without modification, this clause in all lower tier
covered transactions (i.e. transactions with subcontractors or sub-subcontractors)
and in all solicitations for lower tier covered transactions related to this contract. If
this clause is applicable to a subcontractor or sub-subcontractor, the Contractor
shall include the information required by this clause with their bid.
10.32
VERIFICATION REGARDING COMPLIANCE WITH A.R.S. § 41-4401 AND FEDERAL
IMMIGRATION LAWS AND REGULATIONS
10.32.1 By entering into the contract, the Contractor warrants compliance with the
Immigration and Nationality Act (INA using E-Verify) and all other Federal
immigration laws and regulations related to the immigration status of its employees
and A.R.S. § 23-214(A). The Contractor shall obtain statements from its
subcontractors certifying compliance and shall furnish the statements to the
procurement officer upon request. These warranties shall remain in effect through
the term of the contract. The Contractor and its subcontractors shall also maintain
Employment Eligibility Verification forms (I-9) as required by the Immigration Reform
and Control Act of 1986, as amended from time to time, for all employees performing
work under the contract and verify employee compliance using the E-Verify system
and shall keep a record of the verification for the duration of the employee’s
employment or at least three years, whichever is longer. I-9 forms are available for
download at www.uscis.gov.
10.32.2 The County retains the legal right to inspect documents of Contractor and
subcontractor employees performing work under this contract to verify compliance
with paragraph 10.32.1 of this section. Contractor and subcontractor shall be given
reasonable notice of the County’s intent to inspect and shall make the documents
available at the time and date specified. Should the County suspect or find that the
Contractor or any of its subcontractors are not in compliance, the County will
consider this a material breach of the contract and may pursue any and all remedies
allowed by law, including, but not limited to: suspension of work, termination of the
contract for default, and suspension and/or debarment of the Contractor. All costs
necessary to verify compliance are the responsibility of the Contractor.
10.33
CONTRACTOR LICENSE REQUIREMENT
10.33.1 The Contractor shall procure all permits, insurance, and licenses, and pay the
charges and fees necessary and incidental to the lawful conduct of his/her
business, and as necessary complete any requirements, by any and all
governmental or non-governmental entities as mandated to maintain compliance
with and remain in good standing. The Contractor shall keep fully informed of
existing and future trade or industry requirements, and Federal, State, and local
laws, ordinances, and regulations which in any manner affect the fulfillment of a
contract and shall comply with the same. Contractor shall immediately notify both
the Office of Procurement Services and the department of any and all changes
concerning permits, insurance, or licenses.
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10.34
INFLUENCE
10.34.1 As prescribed in MC1-1203 of the Maricopa County Procurement Code, any effort
to influence an employee or agent to breach the Maricopa County Ethical Code of
Conduct or any ethical conduct, may be grounds for disbarment or suspension
under MC1-902.
10.34.2 An attempt to influence includes, but is not limited to:
10.34.2.1 A person offering or providing a gratuity, gift, tip, present, donation,
money, entertainment or educational passes or tickets, or any type of
valuable contribution or subsidy that is offered or given with the intent to
influence a decision, obtain a contract, garner favorable treatment, or
gain favorable consideration of any kind.
10.34.3 If a person attempts to influence any employee or agent of Maricopa County, the
chief procurement officer, or his designee, reserves the right to seek any remedy
provided by the Maricopa County Procurement Code, any remedy in equity or in
the law, or any remedy provided by this contract.
10.35
CONFIDENTIAL INFORMATION
10.35.1 Any information obtained in the course of performing this contract may include
information that is proprietary or confidential to the County. This provision
establishes the Contractor’s obligation regarding such information.
10.35.2 The Contractor shall establish and maintain procedures and controls that are
adequate to assure that no information contained in its records and/or obtained
from the County or from others in carrying out its functions (services) under the
contract shall be used by or disclosed by it, its agents, officers, or employees,
except as required to efficiently perform duties under the contract. The Contractor’s
procedures and controls, at a minimum, must be the same procedures and controls
it uses to protect its own proprietary or confidential information. If, at any time
during the duration of the contract, the County determines that the procedures and
controls in place are not adequate, the Contractor shall institute any new and/or
additional measures requested by the County within 15 business days of the
written request to do so.
10.35.3 Any requests to the Contractor for County proprietary or confidential information
shall be referred to the County for review and approval, prior to any dissemination.
10.36
PUBLIC RECORDS
Under Arizona law, all offers submitted and opened are public records and must be
retained by the County at the Maricopa County Office of Procurement Services. Offers shall
be open to public inspection and copying after contract award and execution, except for
such offers or sections thereof determined to contain proprietary or confidential information
by the Office of Procurement Services. If an offeror believes that information in its offer or
any resulting contract should not be released in response to a public record request, under
Arizona law, the offeror shall indicate the specific information deemed confidential or
proprietary and submit a statement with its offer detailing the reasons that the information
should not be disclosed. Such reasons shall include the specific harm or prejudice which
may arise from disclosure. The records manager of the Office of Procurement Services
shall determine whether the identified information is confidential pursuant to the Maricopa
County Procurement Code.
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10.37
INTEGRATION
This contract represents the entire and integrated agreement between the parties and
supersedes
all
prior
negotiations,
proposals,
communications,
understandings,
representations, or agreements, whether oral or written, expressed, or implied.
10.38
UNIFORM ADMINISTRATIVE REQUIREMENTS
By entering into this contract, the Contractor agrees to comply with all applicable provisions
of
Title
2,
Subtitle
A,
Chapter
II,
Part
200—UNIFORM
ADMINISTRATIVE
REQUIREMENTS, COST PRINCIPLES, AND AUDIT REQUIREMENTS FOR FEDERAL
AWARDS contained in Title 2 C.F.R. § 200 et seq.
10.39
GOVERNING LAW
This contract shall be governed by the laws of the State of Arizona. Venue for any actions
or lawsuits involving this contract will be in Maricopa County Superior Court, Phoenix,
Arizona.
10.40
FORCED LABOR
10.40.1 By submitting a bid for this solicitation and/or entering into a contract as a result of
this solicitation, contractor agrees to comply with all applicable portions of Arizona
Revised Statutes Section 35-394. Contracting; procurement; prohibition; written
certification; remedy; termination; exception; definitions.
10.40.2 Contractor certifies that it does not currently, and agrees for the duration of the
contract, that it will not use:
10.40.2.1 The forced labor of ethnic Uyghurs in the People’s Republic of China.
10.40.2.2 Any goods or services produced by the forced labor of ethnic Uyghurs
in the People’s Republic of China.
10.40.2.3 Any contractors, subcontractors or suppliers that use the forced labor or
any good or services produced by the forced labor of ethnic Uyghurs in
the People’s Republic of China.
10.40.3 If contractor becomes aware during the term of the agreement that contractor is
not in compliance with this paragraph, the contractor shall notify the County within
five business days after becoming aware of the noncompliance. If the contractor
fails to provide a written certification to the County that the contractor has remedied
the noncompliance within 180 days after notifying the County of its noncompliance,
then the agreement terminates, except that if the agreement termination date
occurs before the end the 180 day period, the agreement terminates on the
agreement termination date.
10.41
PRICES
Contractor warrants that prices extended to County under this contract are no higher than
those paid by any other customer for these or similar services.
10.42
ORDER OF PRECEDENCE
In the event of a conflict in the provisions of this contract and Contractor’s license
agreement, if applicable, the terms of this contract shall prevail.
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10.43
UNIQUE ENTITY IDENTIFIER (UEI) AND SYSTEM FOR AWARD MANAGEMENT
REGISTRATION
All
contractors
that
receive
funding
must
have
a
UEI
number
through
https://sam.gov/content/entity-registration. Contractor must also remain current with the
System for Award Management www.sam.gov throughout the term of the contract.
10.44
RELIGIOUS ACTIVITIES
The contractor agrees that costs, planned or claimed, including costs incurred, shall not
include any expense for any religious activity.
10.45
POLITICAL ACTIVITY PROHIBITED
None of the funds, materials, property, or services contributed by the County or the
contractor under the agreement shall be used in the performance of this agreement for any
partisan political activity, or to further the election or defeat of any candidate for public
office.
10.46
EQUAL EMPLOYMENT OPPORTUNITY
10.46.1 The contractor shall not discriminate against any employee or applicant for
employment because of race, age, disability, color, religion, sex, or national origin.
The contractor shall take affirmative action to ensure applicants are employed and
that employees are treated during employment without regard to their race, age,
disability, color, religion, sex, or national origin. Such action shall include but is not
limited to the following: employment, upgrading, demotion or transfer, recruitment,
or recruitment advertising, lay-off or termination, rates of pay or other forms of
compensation, and selection for training, including apprenticeship.
10.46.2 Contractor shall comply with the following provisions:
10.46.2.1 Title VI and VII of the Civil Rights Act of 1964, as amended (42 U.S.C.
§§ 2000a, et seq.);
10.46.2.2 The Rehabilitation Act of 1973, as amended (29 U.S.C. §§ 701, et
seq.);
10.46.2.3 The Age Discrimination in Employment Act of 1967, as amended (29
U.S.C. §§ 621, et seq.);
10.46.2.4 The Americans With Disabilities Act of 1990 (42 U.S.C. §§ 12101, et
seq.); and Arizona Executive Order 2009-09, as amended, et seq.
which mandates that all persons shall have equal access to
employment opportunities.
10.46.2.5 Contractor understands that the United States has the right to seek
judicial enforcement of this assurance.
10.47
CERTIFICATION REGARDING LOBBYING
10.47.1 Contractor certifies, to the best of their knowledge and belief, that:
10.47.1.1 No federal appropriated funds have been paid or will be paid, by or on
behalf of the contractor, to any person for influencing or attempting to
influence an officer or employee of any agency. This applies to a
Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with the awarding of
any federal contract, the making of any federal grant. Including the
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making of any federal, loan the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or
modification of any federal contract, grant, loan, or cooperative
agreement.
10.47.2 If any funds other than federal appropriated funds, have been paid or will be paid
to any person for influencing or attempting to influence an officer or employee of
any agency, member of Congress, an officer or employee of Congress, or an
employee of a member of Congress in connection with this federal contract, grant,
loan, or cooperative agreement, the undersigned shall complete and submit
Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its
instructions.
10.47.3 Contractor shall include Lobbying Certification language in the award documents
for all subcontractors (including sub-grants, and contract under grants, loans, and
cooperative agreements) and that all sub-recipients shall certify and disclose
accordingly.
10.47.3.1 The Lobbying Certification is a material representation of fact upon
which reliance was placed when this transaction is made or entered
into. Submission of this certification is prerequisite for making or
entering into this transaction imposed by section 1352, Title 31, U.S.
Code. Any successful proposer(s) who fail to file the required
certification shall be subject to a civil penalty of not less than
$10,000.00 and not more than $100,000.00 for each such failure.
10.48
CLEAN AIR ACT & CLEAN WATER ACT
Contractor must comply with all applicable standards, orders, or requirements issued under
section 306 of the Clean Air Act (42 U.S.C. 7606), section 508 of the Clean Water Act (33
U.S.C. 1368) Executive Order 11738, and Environmental Protection Agency regulations.
10.49
ENERGY POLICY AND CONSERVATION ACT
Contractor must adhere to the standards and policies relating to energy efficiency, which
are contained in the State energy conservation plan issued in compliance with the Energy
Policy and Conservation Act (Pub. L. 94-163, 89 Stat.871).
10.50
CONTRACT DISPUTES
All Contract disputes will be handled in accordance with the Maricopa County Procurement
Code, MCI-906
10.51
INCORPORATION OF DOCUMENTS
10.51.1 The following are to be attached to and made part of this Contract:
10.51.2 Exhibit A – Vendor Information and Pricing
10.51.3 Exhibit B – Scope of Work
10.51.4 Exhibit B-1 – Respondent Narrative
10.51.5 Exhibit C – Defendant Eligibility Requirements and Reimbursement Guidelines
10.52
NOTICES
All notices given pursuant to the terms of this contract shall be addressed to:
SERIAL# 240104-RFP
For County:
Maricopa County
Office of Procurement Services
301 W. Jefferson St. Suite 700
Phoenix, Arizona 85003-1647
For Contractor:
Southwest Behavioral and Health Services, Inc
Lynne Emmons or Ken Curry
3450 N. 3rd Street
Phoenix, AZ 85012
10.53
INQUIRIES
10.53.1 Inquiries concerning information herein must be submitted prior to the question
deadline date/time posted in the e-procurement platform, Periscope S2G, using
the link in the “Q&A” tab.
10.53.2 Administrative telephone/email inquiries shall be addressed to:
ANDREA STUPKA, PROCUREMENT OFFICER
TELEPHONE: (602) 506-3504
Andrea.stupka@maricopa.gov
10.53.3 Inquiries may be submitted by telephone but must be followed up in writing. No
oral communication is binding on Maricopa County.
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IN WITNESS WHEREOF, this contract is executed on the date set forth above.
CONTRACTOR
AUTHORIZED SIGNATURE
PRINTED NAME AND TITLE
ADDRESS
DATE
MARICOPA COUNTY
CHAIRMAN, BOARD OF SUPERVISORS
DATE
ATTESTED:
CLERK OF THE BOARD
DATE
APPROVED AS TO FORM:
DEPUTY COUNTY ATTORNEY
DATE
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EXHIBIT A
VENDOR INFORMATION AND PRICING
COMPANY NAME:
Southwest Behavioral and Health Services, Inc.
DOING BUSINESS AS (dba):
Southwest Behavioral and Health Services
MAILING ADDRESS:
3450 N. 3rd Street, Phoenix, AZ 85012
REMIT TO ADDRESS:
3450 N. 3rd Street, Phoenix, AZ 85012
TELEPHONE NUMBER:
(602) 268-8748 Ext. 4276 or (602) 265-8338
FAX NUMBER:
(602) 265-8559 or (602) 265-8377
WWW ADDRESS:
www.sbhservices.org
REPRESENTATIVE NAME:
Lynne Emmons & Ken Curry
REPRESENTATIVE TELEPHONE NUMBER:
Ken (602) 525-4264
REPRESENTATIVE EMAIL ADDRESS
Kellieby@sbhservices.org; kenc@sbhservices.org
PAYMENT TERMS:
NET 30 DAYS
Developmental
Disabilities
Serious Mental
Illness
Units per
hour
Assessment/Intake: this shall include
ORAS plus any additional screening
required for each program as defined in
the scope of work.
$239.47
1
$200 ea
Behavioral Health Counseling - Group
N/A
N/A
$25/hr
Behavioral Health Counseling 1:1
$32.41
4
$100/hr
Behavioral Health Counseling: In Home
$32.41
4
Case Coordination (Out of State/TPA)
$22.21
4
$100/hr
Case Management
$22.21
4
Other Fees:
YES
NO
REBATE
WILL ALLOW OTHER GOVERNMENTAL ENTITIES TO
PURCHASE FROM THIS CONTRACT:
X
WILL ACCEPT PROCUREMENT CARD FOR PAYMENT:
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EXHIBIT B
Scope of Work
1.0
INTENT
1.1
Maricopa County seeks responses from qualified respondents who can provide education
and programming for felony diversion and other educational programs to specific offenders
as an alternative to prosecution.
1.2
The purpose of all Maricopa County Attorney’s Office Diversion Programs is to offer an
alternative to traditional criminal case processing so specific individuals accused of
committing a crime may participate in an education or a treatment program that addresses
the risk factors related to recidivism. Reducing rates of recidivism while preserving limited
prosecutorial resources is a goal for all diversion programs and is ultimately beneficial to
the citizens of Maricopa County.
1.3
The Maricopa County Attorney has authorized the following diversion programs:
1.3.1
Developmental Disabilities – Felony Diversion Program (DD-FDP) - Eligibility
includes offenders charged with a lower-level felony with a qualifying DD
diagnosis, as defined by the Arizona Department of Economic Security (DES) that
is identified in an evaluation or medical record and completed by a licensed
physician or psychologist. Examples of qualifying diagnoses include but are not
limited to Intellectual Disability, Autism, Cerebral Palsy, and Epilepsy. MCAO made
4 referrals for this program in 2023.
1.3.2
Serious Mental Illness - Felony Diversion Program (SMI-FDP Diversion) -
SMI-FDP Diversion is a cognitive-behavioral treatment program for eligible adults
charged with lower-level felony offenses who have minimal criminal histories and
must have an SMI designation. MCAO made 72 referrals for this program in 2023.
1.4
The County reserves the right to add or remove programs as it determines necessary.
Current contractors shall be expected to complete required treatment programs with
participants who are enrolled at the time of contract award, and upon contract termination,
contractors shall be expected to assist in the orderly transition of duties and/or records.
1.5
Other governmental entities under agreement with Maricopa County (County) may have
access to services provided hereunder (see also Sections 7.0 and 8.0 above).
1.6
The County reserves the right to add additional contractors, at the County’s sole discretion,
in cases where the currently listed contractors are of an insufficient number or skill-set to
satisfy the County’s needs or to ensure adequate competition on any project or task order
work.
1.7
Maricopa County reserves the right to award this contract to multiple vendors. The County
reserves the right to award in whole or in part, by item or group of items, by section or
geographic area, or make multiple awards, where such action serves the County’s best
interest.
2.0
SCOPE OF WORK
2.1
GENERAL REQUIREMENTS
2.1.1
Contractors shall be responsible for providing quality evidenced based curricula
for treatment tracks and education programs in a community-based setting at
multiple locations throughout Maricopa County. All programs shall be approved by
MCAO prior to implementation.
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2.1.2
Service delivery shall be culturally relevant and linguistically appropriate to the
population
served.
The
contractor
shall
be
responsible
to
provide
interpreter/language line services if other alternatives cannot be arranged.
2.1.3
The contractor shall comply with all professional and ethical obligations and code
of conduct of licensure and maintain good standing with the Arizona Bureau of
Medical Facilities Licensing (BMFL). Further, the contractor shall protect
information and records protected by federal confidentiality rules (e.g., 42 CFR
Part 2 and HIPAA Rules at 45 CFR Parts 160, 162, and 164) and state
confidentiality rules (e.g., A.R.S. §§ 12-2291 et seq.), and ensure that contractor
and its employees and subcontractors comply with said rules and employ all
administrative and physical safeguards as may be required by law to protect
confidential information.
2.1.4
The contractor shall hold and maintain during the performance of this contract, a
current, applicable Arizona Department of Health Services license that is in good
standing, for each facility from which services shall be provided. Contractor shall
ensure that all buildings and grounds, equipment and furnishings are maintained
in a manner that provides a safe, sanitary, and comfortable environment for youth,
visitors, and employees.
2.1.5
The contractor shall have the ability to send and receive encrypted information
electronically and have appropriate safeguards in place to protect any criminal
history information as well as personally identifiable information. Contractor shall
have ability to conduct telehealth visits by the time services are set to be delivered.
2.1.6
Unless otherwise indicated or required by law, staff providing services shall have
a master’s degree in a human services-related field and licensed to practice
independently by the Arizona Board of Behavioral Health Examiners or is exempt
from licensure pursuant to A.R.S. Title 32, Chapter 33 to deliver services.
However, services may also be delivered by Behavioral Health Technicians under
the supervision of a master’s level clinician. All staff delivering direct care services
shall possess sufficient education and aptitude to deliver services.
2.1.7
The contractor shall be responsible for ensuring the execution of any business
associate
agreements,
qualified
service
organization
agreements,
and
nondisclosure/confidentiality agreements that may be required under federal and
state confidentiality rules. Contractor shall use trained, appropriately licensed staff
and shall have sufficient capacity to accommodate program requirements in
accordance with industry standards.
2.1.8
Contractor may be required to attend, at contractor’s expense, workshops or
training sponsored by MCAO, or provide training to MCAO staff as requested by
the Director of the MCAO Diversion Strategies Group, the County Attorney or her
duly authorized employees, agents, or assigns.
2.1.9
Unless otherwise indicated, contractors shall administer the Ohio Risk
Assessment System – Community Supervision Tool (ORAS-CST) for offender
assessment and rehabilitation in order to assess the offender’s overall risk to
reoffend, risk level score, and identify targeted criminogenic needs and domains.
2.1.9.1
ORAS-CST shall be administered within 30 days of referral by end users
certified in the ORAS-CST.
2.1.9.2
Contractor shall review existing social history and referral packet
including consent forms for all referrals prior to administering the ORAS-
CST.
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2.1.9.3
Contractor shall administer assessment as intended with fidelity and
accuracy in an unbiased manner that yields appropriate results and
treatment recommendations.
2.1.9.4
All documentation supporting the fidelity of ORAS-CST scoring, notes,
client self-report, scoring and interview guide shall be retained in the
offender’s file (digital storage is acceptable).
2.1.9.5
Upon the ORAS’ determination of the offender’s overall risk to reoffend
and targeted criminogenic needs and domains, contractor shall assign
the offender to the appropriate “track” of treatment.
2.1.9.6
Contractor will develop a dynamic Individual Service Plan and goals
relative to the targeted criminogenic needs and domains, so the service
is beneficial and appropriate for the offender’s learning style, motivation,
abilities, and strengths.
2.1.9.7
Upon termination, the contractor shall complete and provide to MCAO:
using the MCAO Diversion Strategies Group Discharge Report template
with identified ORAS Risk Level, ORAS Risk Score, top three (3)
identified criminogenic needs and domains, treatment goals, offender
participation and engagement, case management goals and outreach,
financial obligation compliance, reasons for successful or unsuccessful
completion, and documented attempts by the contractor to engage the
offender. If drug testing is a requirement for the offender, provider testing
results, any aggravating or mitigating factors, and how the results were
integrated into the recommendation for successful or unsuccessful
discharge.
2.1.10 The contractor may use additional assessment tools in conjunction with the ORAS
pertinent to the offender’s specific needs.
2.1.11 Unless otherwise indicated respondents may propose alternative evidence-based
curriculum/curricula by treatment track. A detailed description of the proposed
curriculum, how long the agency has been using this curriculum, the number of
staff trained in this curriculum, and citations for meta-analyses of this curriculum
must be included in the proposal.
2.1.12 The contractor shall be an AHCCCS provider, in good standing, and not subject to
any suspensions. The contractor shall maintain contracts with all AHCCCS
Complete Care Plans serving the Central Region Geographical Service Area.
2.1.13 All contractor materials, including but not limited to pamphlets, brochures, forms,
flyers shall conform with Maricopa County branding standards, and shall be
approved by MCAO before use. The contractor shall not include any
representation of the County Attorney, MCAO or the MCAO Felony or other
diversion programs.
2.1.14 Contractor shall develop a case file for all participants to include the consent
agreement, individual service plan, case notes, results of initial assessment. All
contacts shall be documented and included in the file notes. Case notes shall
demonstrate compliance or non-compliance with program requirements, and shall
include any referrals for additional or wrap around services, including employment
services, housing placement and assistance, etc.
2.1.15 All contacts between the contractor, offenders, and MCAO employees, agents and
assigns shall be conducted with professionalism, fairness, respect, and dignity to
the offender. The offender shall not be discriminated against based on race,
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national origin, religion, gender, sexual orientation, gender identification, age,
disability, marital status, diagnosis, or source of payment.
2.1.16 Contractors shall ensure participating offenders exhibit progress on treatment
goals as outlined in the Individual Service Plan, and that discharge includes
strategies and resources for maintaining support and resilience in the community.
2.1.17 Contractors shall provide a standardized offender financial assessment process
that includes an application, instructions and a consistent sliding scale fee
structure based upon current Federal Poverty Guidelines (FPLs). The contractor
shall provide a copy of these documents to the County Attorney via the MCAO
Diversion Strategies Group. The documents shall be approved by the County
Attorney.
2.1.17.1 Contractor shall establish timeframes for completing the assessment
and shall notify participants of any financial obligations prior to rendering
services. Contractor shall not allow participants to be in arrears for any
services. Arrears is defined as the participant having a balance due for
missing required payment(s) to the Contractor for services rendered.
The Contractor shall make efforts when notified by the participant that a
financial hardship exists and that other areas of documented assistance
or possible eligibility for assistance have been met, including spreading
out services to give the participant additional time to pay the impending
fees. However, the spreading out of services’ time must be reasonable
and not jeopardize the clinical benefit of delaying services. Contractor
may also staff such cases with MCAO to determine next steps. MCAO
is not responsible for payment for any outstanding participants fees.
2.1.17.2 The contractor shall establish a policy which outlines a standardized
financial assessment process. The contractor shall provide a copy of this
policy to the County Attorney via the MCAO Diversion Strategies Group.
The policy shall be approved by the County Attorney.
2.1.18 For those offenders owing restitution, the offender shall make restitution payments
via the MCAO Diversion Payment Portal or mail payments directly to MCAO using
the approved payment methods. The contractor shall periodically check the MCAO
Diversion Payment Portal and remind the offender of the restitution obligation.
2.1.18.1 The contractor shall confirm that payments are made according to
program requirements, through the MCAO Diversion Payment Portal
and take appropriate action if not made. This may include multiple
reminders, discussions about barriers to payment with offender, etc.
2.1.18.2 Contractor shall work with offender to set payment amount and
frequency so that all restitution is fulfilled before being successfully
discharged from the program. The balance can be made in payments as
determined by the contractor.
2.1.18.3 Per the Consent Agreement, the offender’s failure to pay restitution as
owed by the determined due date may result in an unsuccessful
termination from the program. Treatment shall not be extended solely
because of unpaid restitution unless otherwise authorized by the
Director of Diversion Strategies Group.
2.1.18.4 The contractor shall ascertain if co-defendants agreed to pay as joint
and several liability requirements and verify restitution payments via the
MCAO Diversion Payment Portal prior to discharging the offender from
the Diversion Program.
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2.1.18.5 Full restitution shall be paid before any successful discharge.
2.1.18.6 The total amount of restitution paid shall be documented on the MCAO
Discharge Report, whether successful or unsuccessful discharge.
2.1.19 For offenders who do not live near the contractor’s site for services (outside the
State of Arizona or outside of Maricopa County Arizona) when telehealth services
are not available:
2.1.19.1 It shall be the responsibility of the offender to locate a Third-Party
Administrator (TPA) in their jurisdiction that can provide comparable
services with consideration for the practicality and locality of the
jurisdiction to the specific diversion program requirements as
determined by the contractor.
2.1.19.2 The contractor shall be authorized to provide monthly case coordination
services and charge a monthly case coordination fee to the offender as
described in Exhibit A – Vendor Information and Pricing Page.
2.1.19.3 Provided the contractor and the TPA enter into the contractor’s Provider
Application and Agreement without any amendments or modifications
thereto, the TPA shall be considered to be approved by the County
Attorney. An executed copy of the contractor Provider Application and
Agreement shall be maintained in the offender’s file.
2.1.19.4 The contractor shall provide specific information about the TPA’s
services, the offender’s level of compliance, and how this supports a
successful or unsuccessful termination in the MCAO Discharge Report
template.
2.1.20 Contractor shall maintain detailed and accurate documentation of participation and
completion of the program. All absences (excused and unexcused) shall be
recorded. Regardless of the reason for the absences, in order to earn a successful
discharge, the offender must complete all required sessions. Contractor shall
consult MCAO staff prior to removing a participant from the program for poor
attendance or behavior issues. A written report detailing the infractions leading to
removal from the program shall be provided to MCAO within 72 hours of student’s
removal from the program.
2.1.21 Contractor shall provide notification to MCAO within 72 hours of enrollment or
termination.
2.1.22 Provide requested diversion programs’ monthly metrics from the preceding month
to MCAO, by the 5th business day of the month.
2.1.23 Should public monies become available to the MCAO for diversion programs,
these funds may at the discretion of the County Attorney, be used in whole or part
to offset discounts provided by the contractor to the offender for program service
fees. As such, MCAO may impose offender eligibility requirements and an MCAO
Sliding Scale that shall be used to determine offender discounts and copays.
2.1.23.1 The use of public monies is subject to applicable legal requirements,
applicable approval processes or requirements, fiscal agent conditions
and requirements, expiration date, and available balance. The use of
public funds shall also require the contractor to maintain and provide
monthly metrics to MCAO regarding the offenders’ discounts. Contractor
reimbursement is contingent on the availability of funds and not
guaranteed. See Exbibit C - MCAO Defendant Eligibility Requirements
and Reimbursement Guidelines.
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2.2
PROGRAM REQUIREMENTS
2.2.1
Developmental Disabilities – Felony Diversion Program (DD-FDP) - Eligibility
includes offenders charged with a lower-level felony with a qualifying DD
diagnosis, as defined by the Arizona Department of Economic Security (DES) that
is identified in an evaluation or medical record and completed by a licensed
physician or psychologist. Examples of qualifying diagnoses include but are not
limited to Intellectual Disability, Autism, Cerebral Palsy, and Epilepsy.
2.2.1.1
Only certain offenders who are charged with lower-level felony charges
may be eligible for and offered this diversion program. Additionally, the
offender must have a qualifying diagnosis for a developmental disability
as defined by the Arizona Department of Economic Security (DES)
Division of Developmental Disabilities (DDD) and is identified in an
evaluation or medical record completed by a licensed physician or
psychologist. Examples of qualifying diagnoses include but are not
limited to: Intellectual Disability, Autism, Cerebral Palsy, and Epilepsy. If
diversion is accepted by the offender, prosecution is suspended for two
years so the offender can participate in prescribed treatment.
2.2.1.2
After administering a validated risk to reoffend assessment for adults,
contractor shall provide treatment services to referred offenders using
an approved evidence-based curriculum/curricula or other proposal to
best meet the individual needs of this population. Offenders who earn a
Successful Discharge shall have their pending charges dismissed.
Offenders who are Unsuccessfully terminated will return to Court and
prosecution will be resumed.
2.2.1.3
In addition to ORAS Assessment, the contractor shall administer a
Behavioral Health Assessment by a contractor clinician qualified and/or
trained in working with the DD population. The assessment shall include
an evaluation of the offender’s strengths and deficits in the areas of
communication, behavioral skills, social skills, and daily living skills,
which will be correlated with the identified targeted criminogenic needs
and domains from the ORAS to understand the offender’s ability to
sustain attention, comprehend their environment and diversion
requirements, and understand cause and effect. The contractor may use
other assessment/screening tools in conjunction with the ORAS and
required Behavioral Health Assessment pertinent to the offender’s
specific needs.
2.2.1.4
Upon the ORAS’ determination of the offender’s overall risk to reoffend
and results of the Behavioral Health Assessment, contractor shall
develop an individualized treatment plan and goals relative to the
targeted criminogenic needs and domains. Ongoing evaluation of
progress shall occur at least monthly and treatment goals may be
adjusted depending on the success or barriers to treatment.
2.2.1.5
Contractor shall provide a comprehensive and evidence-based
therapeutic approach for the DD offender population: The clinical
approach/techniques applied in DD-FDP shall be rooted in Behavioral
Modification where target behaviors are shaped through repeated
reinforcement and the reward of desired behaviors over undesirable
behaviors. Individual services including cognitive behavioral therapy
techniques and social thinking shall be combined with Applied
Behavioral Analysis (ABA) principles. Contractor staff shall work through
repetitive lessons to help reshape behavior and make connections
regarding criminal behavior and consequences.
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2.2.1.6
Due to the uniqueness of this population, the preference is to provide
services in person setting with the ability to use telehealth services
occasionally if appropriate for the offender and their DD diagnosis. The
contractor capacity for DD-FDP may be limited per contract year. MCAO
is open to further discussing what a reasonable cap should be to ensure
qualitative services. In the event that possible referrals exceed their
capacity, MCAO Diversion Strategies Group shall consult with the
contractor to determine if they have the ability to accept new cases.
2.2.1.7
Contractor staff may also coordinate with the Arizona Division of
Developmental Disabilities (DDD) providers and other stakeholders (if
applicable) to meet the specific needs of the diversion offender,
including: coordinate physical and mental health care, establish
reconnection to offender’s AHCCCS Clinical Team (if applicable),
secure emergency shelter/housing assistance, provide day to day living
skills, and offer assistance with obtaining clothing/food, vocational skills,
and navigating through court processes.
2.2.1.8
For those offenders who successfully complete diversion, the County
Attorney will dismiss the charges with prejudice. If an offender fails to
successfully complete MCAO diversion, MCAO shall review the reasons
for the offender’s unsuccessful termination and decide what action
should be taken depending on the circumstances presented. If it
appears that the termination is solely due to an offender’s non-payment
of program costs and fees (not including restitution), MCAO shall consult
with the contractor to review the offender’s financial assessment
application, financial responsibility determination, and any other
available information regarding the offender’s financial circumstances.
MCAO shall determine whether to reinstate prosecution or undertake
alternatives.
2.2.2
Serious Mental Illness – Felony Diversion Program (SMI-FDP Diversion) -
SMI-FDP Diversion is a cognitive-behavioral treatment program for eligible adults
charged with lower-level felony offenses who have minimal criminal histories and
must have an SMI designation.
2.2.2.1
Only certain offenders who are charged with specific felony offenses and
designated as having a Serious Mental Illness as defined under A.R.S.
§36-550 may be eligible for and offered this diversion program. If
diversion is accepted by the offender, prosecution is suspended for two
years so the offender can participate in prescribed treatment.
2.2.2.2
After administering a validated risk to reoffend assessment for adults,
contractor shall provide treatment services to referred offenders.
Contractor shall provide the evidenced-based Decision Points
curriculum, an open-group cognitive-behavioral intervention program,
released nationally in July 2015 by the authors: Jack Bush, Charles R.
Robinson, Steven L. Swisher, and Juliana Taymans. Curriculum shall
be delivered by certified instructors. Contractor shall be responsible for
the cost of maintaining certifications for the life of the contract.
2.2.2.3
The SMI-FDP shall have multiple treatment tracks, where dose and
duration of treatment services (treatment tracks) shall be determined
based on risk level and identified criminogenic needs.
2.2.2.4
Contractor shall integrate required curriculum lessons with offender
supportive services: life skills training, vocational/job training if
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applicable, and coordinate community-based care for stable housing
and other case management services.
2.2.2.5
For those offenders owing restitution, the contractor shall ensure that
payments are made according to program requirements and take
appropriate action if not made. SMI-FDP does not require periodic
payments; however, the contractor may impose periodic payments to
assist the offender in staying on track.
2.3
INCIDENT REPORTING
2.3.1
“Incident” means an unusual or significant event involving client(s) and/or staff,
which requires notification to the designated authorities.
2.3.2
“Incident Report” means a report that is verbal or written communication to the
MCAO as described below.
2.3.3
Health, Safety, and Welfare Incidents: The Contractor shall immediately report all
incidents impacting the health, safety, and welfare of clients served under this
contract to MCAO. This includes death or significant physical injury occurring at
any contractor facility or during any client contact.
2.3.4
Health, safety, and welfare incidents include the following when they occur while
a client was in a contract service and the event occurred on Contractor premises:
2.3.4.1
Physical assault that requires medical treatment beyond first aid.
2.3.4.2
Any medical treatment beyond first aid.
2.3.4.3
Emergency room or urgent care visits.
2.3.4.4
Request for emergency mental health stabilization provided by first
responders and/or crisis intervention teams.
2.3.4.5
Use of seclusion and/or restraint.
2.3.4.6
Actions which pose an immediate and serious threat directed toward
self, others, and/or offenders in the Contractor’s care and/or
Contractor’s staff.
2.3.4.7
Acts of inappropriate discipline or sexual behavior (consensual or not)
between staff and clients.
2.3.4.8
Any event that Contractor is aware of and is likely to have media interest.
2.3.5
Significant Incidents: The Contractor shall report the following significant incidents
involving clients served under this contract:
2.3.5.1
Death of a client that occurs while client was in a contract service.
2.3.5.2
Weapons possession while in a contract service.
2.3.5.3
Acts by clients or staff where the Contractor involves law enforcement.
2.3.5.4
Traffic accidents involving clients transported by the Contractor or its
personnel, non-employees or transport contractor.
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2.3.6
The contractor shall report incidents to the MCAO by telephone at 602-372-7300
by 5:00 pm on the next business day after the incident occurs or after becoming
aware of the incident.
2.3.7
The contractor shall report incidents to law enforcement as required by law and
according to the Contractor’s policies and procedures. Contractor shall comply with
all mandatory reporting requirements as required by law.
2.3.8
Incident Report Form: The contractor shall use the MCAO approved Incident
Report form to complete and submit incident reports.
2.3.9
The contractor must submit a written report to the MCAO via email to
mcaodiv@mcao.maricopa.gov not later than three calendar days after the incident
occurs or after becoming aware of the incident. All reports must be legible and be
signed by the staff who prepared the report as well as by the staff who approved
the report. The contractor shall maintain a file of written incident reports that are
available for review under this contract.
2.3.10 All incident reports will be maintained by MCAO’s Diversion Strategies Group as
directed by the Director. Upon notification of an incident the Director or his or her
designee will do the following:
2.3.10.1 Review the information to determine if the incident requires further
investigation.
2.3.10.2 Request additional information as needed and direct corrective action to
comply with this contract.
2.3.10.3 Refer the matter to any relevant authorities if necessary.
2.4
INSPECTION AND EVALUATION OF SERVICES/FACILITIES
2.4.1
The contractor shall provide and maintain an inspection system that continuously
ensures the services under this contract. Complete records of all inspection work
performed by the Contractor shall be maintained and made available to MCAO
during contract performance and for as long afterwards as the contract requires.
2.4.2
MCAO has the right to inspect all services and facilities and places during the term
of the contract called for by the contract, to the extent practicable with appropriate
notice, MCAO shall perform inspections in a manner that will not unduly delay the
work.
2.4.3
If any of the services or facilities do not conform to contract requirements, MCAO
may require the contractor to perform the services again in conformity with contract
requirements, at no cost to the County or MCAO.
2.4.4
MCAO may design and implement a system of program evaluation to use to
determine the contractor’s performance as contemplated by this contract. Such
evaluations may, in MCAO’s sole discretion, be shared with the Contractor.
2.4.5
When the defects in services cannot be corrected by re-performance, the County
or MCAO may:
2.4.5.1
require the contractor to take necessary action to ensure that future
performance conforms to contract requirements.
2.4.6
If the contractor fails to promptly perform the services again or to take the
necessary action to ensure future performance in conformity with contract
requirements, the County may terminate the contract for default.
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EXHIBIT B-1
Narrative
Developmental Disabilities
5.6.1.1 Proposal – This section shall contain an executive summary (an outline of the general approach
utilized in the proposal), and a statement of all of the programs and services proposed, including
conclusions and generalized recommendations. Proposals should be all-inclusive, detailing
respondent’s best offer.
SB&H’s Proposal for DD-FDP Program
Developmental Disabilities Diversion Program Proposal
Southwest Behavioral Health Services, Inc. (SBH) will provide a highly specialized Felony Diversion
Program for adults with a verified diagnosis qualifying under the definition of a Developmental Disability
(DD). Services will be provided through SBH’s Southwest Autism Center of Excellence (SACE). SACE is
a specialized program serving persons experiencing Developmental Disabilities with expertise in Autism
and Intellectual Disabilities. The program provides services throughout the life span and promotes high-
quality community-based services that are tailored to each member and family, delivering services in the
most appropriate setting. Services provided include; Psychiatry, Psychology, Nursing, Individual
Counseling, Applied Behavior Analysis, Residential, Day Treatment Programs, Teen transition programs,
and Group Therapy. Program staff coordinate with the Division of Developmental Disability (DDD)
providers, Speech Therapists, Occupational Therapists, Group Homes, schools, and places of
employment to meet the needs of persons served.
The therapeutic requirements proposed for work with the DD population are highly individualized and
based upon individual skill level and ability to understand and participate in a treatment-based diversion
program. The proposed diversion program is therefore based on progress and completion of a
professionally designed course of treatment for an individual provided by the SACE program within a
given period of time. It is proposed that an MCAO Diversion Program would involve adult defendants who
are at least 18 years or age or older. MCAO should verify that program candidates have a valid
evaluation completed by a licensed physician, a psychiatrist, psychologist or developmental pediatrician
and were diagnosed with an Intellectual Disability or Autism in order to qualify for the program. Each
person referred will receive a full Behavioral Health assessment by a clinician qualified and/or trained in
work with the DD population. Assessment includes evaluation of strengths and deficits of the client in the
areas of communication, behavior, social skills, and daily living skills. For the purpose of Felony cases,
the staff will identify and correlate the criminal behaviors, adaptive behaviors, cognitive functioning with
the Behavioral Health Assessment, in order to develop individualized comprehensive treatment plans for
each person. Members that are referred will complete an initial intake appointment. During this
appointment members complete a comprehensive Behavioral Health assessment, service plan and safety
support plan, along with a Social Determinants of Health (SDOH) assessment to determine other socio-
economic, educational, housing, employment, access to food, traumatic experiences, and community
involvement aspects of their lives that need addressing and support. The Total Wellness Outcome Scale
(TWOS) will also be completed, which addresses member’s perceived health, presenting concerns, and
progress towards goals. In addition to the comprehensive assessment completed at the initial intake,
additional assessments/tools will be utilized to further assess the specific needs of the member during
future appointments. These assessment tools include; the Ohio Risk Assessment/Community Supervision
Tool (ORAS/CST), the Vineland Adaptive Behavior Scales-3 (Comprehensive) – Third Edition (VABS-3)
and/or the Wechsler Adult Intelligence Scales – Fifth Edition (WAIS-V***).
Persons experiencing DD’s have a varied level of ability to sustain attention, comprehend the
environment, and to understand cause and effect. As a result, and due to varied levels of functioning and
cognitive abilities, the assessment and interview process may be extended in order to develop an
effective course of treatment. The client will be interviewed by the assigned clinician over a few days and
up to a few weeks as needed and involve parents/guardians in the assessment process as collateral
sources, while still following the ORAS/CST, VABS-3 and WAIS-V scoring guidelines. Ongoing evaluation
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of progress will continuously occur through a combination of therapist judgement, and subjective and
objective markers of improvement and treatment goals may be adjusted depending on the success or
barriers to treatment. Each person in the program will have an individualized treatment plan based off of
assessment findings, where staff work through repetitive lessons to help persons reshape behavior, help
persons understand what to do and what not to do, and understand how their behavior has caused a
problem leading to a felony charge. The Clinical Approach applied is rooted in Behavior Modification
where target behaviors are shaped through repeated reinforcement. Individual therapy-based services
are combined with Applied Behavior Analysis (ABA) principles which are core evidenced based practices
for work and treatment of persons experiencing DD. SACE Therapists use a variety of evidence-based
practices such as; Functional Analytic Psychotherapy (FAP), Cognitive Behavioral Therapy (CBT),
Acceptance and Commitment therapy (ACT), Exposure and Response Prevention (E/RP), Dialectical
Behavioral therapy (DBT), Rational Emotive Behavioral therapy, Motivational Interviewing, Applied
Behavior Analysis (ABA) and interpersonal approaches in service delivery. Our therapists place additional
emphasis on mindfulness, self-attunement, and radical acceptance. SACE Therapists also incorporate
references/resources that support the evidence-based practices used in sessions, for example, the books
listed below.
•
Motivational interviewing with offenders: Engagement, rehabilitation, and reentry by Jill D.
Stinson and Michael D. Clark
•
A new direction: Criminal and addictive thinking workbook: A cognitive-behavioral therapy
program by Minnesota Department of Corrections
•
The Wiley Handbook on what works for offenders with intellectual and developmental
disabilities: An evidence-based approach to theory, assessment, and treatment by William R.
Lindsay, Leam A. Craig, and Dorothy Griffithsons & Hazelden Publishing
•
CBT with justice-involved clients: Interventions for antisocial and self-destructive behaviors by1st
addition by Raymond Chip Tafrate (Author), Damon Mitchell (Author), David J. Simourd (Author)
The recommended time in treatment to complete the DD Felony Diversion Program is broken down into 3
tracks based off of the members risk level, adaptive behaviors and cognitive functioning. Track 1 for low
risk members, track 2 for medium risk members and track 3 for high risk members. The tracks will
recommend treatment ranging from 6 months to a year and a half based off of their risk level. Upon
assessment, the staff will assign frequency of services in line with criminogenic risk based on the ORAS
rating outcome level and other assessment findings. The program staff may require clients assessed with
higher risk levels to attend individual counseling sessions more frequently and add additional services
assessed to meet the needs of the person served and address the case specific issues involved from a
treatment perspective.
In order to determine if the program has been successful or unsuccessful, SBH will track attendance as
one measure. The client must participate in the treatment at a rate of at least 80% of the recommended
treatment track, in order to be successful. During the recommended treatment track, engagement and
benefit from services will be continuously re-assessed over the course of treatment through a
combination of therapist judgement, and subjective and objective markers of improvement and adjust
treatment accordingly. At the end of the recommended treatment track, staff will complete a peer review
of the case history and progress in treatment. If the client has completed the assigned treatment as
evidenced by their attendance and effort, the case will be considered successful. If the client has not
attended, has not applied themselves, and is substantially lacking in progress given their ability, then the
case will be considered unsuccessful. All clients will receive an assessment and post ORAS assessment
as part of the determination process.
Under Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. § 701), a disability is defined as follows:
2. A developmental disability, as defined in Section 102(7) of the Developmental Disabilities Assistance
and Bill or Rights Act (42 U.S.C. § 6001-6007) which reads as follows:
The term ‘‘developmental disability’’ means a severe, chronic disability of an individual 5 years of age or
older that—
(A) is attributable to a mental or physical impairment or combination of mental and physical
impairments;
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(B) is manifested before the individual attains age 22;
(C) is likely to continue indefinitely;
(D) results in substantial functional limitations in three or more of the following areas of major life
activity—
(i)
self-care;
(ii)
receptive and expressive language;
(iii)
learning;
(iv)
mobility;
(v)
self-direction;
(vi)
capacity for independent living; and
(vii)
economic self-sufficiency; and
(E) reflects the individual’s need for a combination and sequence of special, interdisciplinary, or generic
services, supports, or other assistance that is of lifelong or extended duration and is individually planned
and coordinated, except that such term, when applied to infants and young children means individuals
from birth to age 5, inclusive, who have substantial developmental delay or specific congenital or acquired
conditions with a high probability of resulting in developmental disabilities if services are not provided.
The SACE Program Specializes in the treatment of Autism and Intellectual Disability, which includes a
variety of diagnoses that have a mental or behavioral component. MCAO should consult with SACE staff
for questions about applicable diagnoses.
Treatment services may be 100% covered for Arizona Health Care Cost Containment System (AHCCCS)
verified members. SBH will assist in AHCCCS enrollment for those who may qualify, but not currently
enrolled. A discount in fees may be available to those who qualify as low income or moderate low income.
As applicable, SBH will complete a financial assessment for eligibility in its Sliding Scale Fee program.
Otherwise, persons will be required to pay SBH’s published fees per service. In most cases a reasonable
plan for payment can be developed.
SBH is a large multi-faceted provider of Behavioral Health Services having presence in nearly every
aspect of service provision in the Behavioral Health field with expansions in Integrated Care and
Community Partnerships across a large variety of diverse projects statewide; serving approximately
26,000 persons/families annually. Additionally, the company is the sponsor of 10 HUD Corporations
providing contract oversight and management of 25 scattered site low-income Special Needs Housing
projects with Supportive Services. The agency was Incorporated in 1974 as a 501(c)3 non-profit and has
been in business for almost 50 years. Today, the company employs over 1,300 full time employees and
has expanded throughout the State of Arizona spanning the Phoenix Metropolitan area and four Northern
Arizona Counties. Cross-Sector Agency Assets include; Integrated Outpatient Clinics with amenities for
the inclusion of Primary Care services/ Medical Assessment offering clients confidential and supportive
care, Psychiatry and Medication Services, Child and Adolescent High Needs Case Management;
Substance Abuse/ Co-Occurring Disorders services with full Medication Assisted Treatment services for
Opioid Addiction. A large In Home and Permanent Supported Housing Services program providing
Housing Search, In Home counseling, and support for housing stability based on the SAMHSA model of
Permanent Supported Housing, Housing Based Case Management; An Expanded Criminal Justice
Engagement Team with Criminogenic Assessment and Treatment, Court and Jail In- Reach, and a
Felony SMI Diversion Program, Justice Involved Homeless Outreach Team; 25 years’ Experience,
Homeless- Housing Opportunities for Persons with HIV/Aids (HOPWA) to include 176 beds in Transitional
Housing, Permanent Supportive Housing Services based on a Housing First Model, Short Term Mortgage
Rent and Utility Assistance Program with Permanent Housing Placement funds. Two Crisis Recovery
Units; SBH has a large capacity for Contingency Housing with assets of 65 Independent Housing units
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within our 10 HUD corporations and other housing programs; SBH has strong experience in employment
services with a Large Day Program with proven 35 plus years Vocational Work Development Programs;
Supported Employment Services, Career Development Center and connections with community
employers. Additionally, SBH has a large presence in school-based programs within more than 150
schools and 25 districts; with full array of Prevention Programs. The company operates 22 Residential
and Community Placement Treatment Programs, and 6 Outpatient Clinics in Maricopa County.
Included in SBH programs and relevant is the Southwest Autism Center of Excellence (SACE), which
originated on 2017 as partnership between SBH, Southwest Human Development, U of A College of
Medicine, Midwestern University, Mountain Park Health Center and Sunshine Pediatrics; and will serve in
a specialized whole-health capacity to focus on the physical and behavioral health of children, families
and adults living with or at risk of Autism Spectrum Disorder (ASD).
5.6.1.2 Qualifications – This section shall describe the respondent’s ability and experience related to the
programs and services proposed. All project personnel, as applicable, shall be listed, including a
description of assignments and responsibilities, a resume of professional experience, an estimate
of the time each would devote to this program, and other pertinent information.
Phoenix-based Southwest Behavioral & Health Services (SB&H) has been providing integrated
behavioral and mental health services to communities throughout Arizona for over 50 years. SACE has
locations throughout the greater Phoenix Metro area, with offices located in Mesa and the Metro/Phoenix
areas. SACE has contracted with Maricopa County Attorney’s Office to provide Felony Diversion Services
for 3 years. The SACE program has the capacity to take a maximum of 12 DD-FDP members at a time.
MCAO can contact the SACE Program director at any time to determine if there is further capacity once
SACE meets the maximum capacity.
Key staff, assignment and responsibilities, and level of effort can be requested on an as needed basis.
2.1.20.2 The contractor shall be authorized to provide monthly case coordination services and
charge a monthly case coordination fee to the offender as described in Pricing Page.
SACE acknowledges and agrees to comply with the requirement to contract and coordinate with TPA’s
for monitoring and reporting compliance, but SACE is concerned with the level of activity and issues
around obtaining weekly or monthly updates from out of state agencies and providing services to
clients who we may never meet face-to-face at agency. It would be our preference (SACE’s) to limit
the number of referrals requiring TPA arrangements if possible.
2.1.20.3 Provided the contractor and the TPA enter into the contractor’s Provider Application and
Agreement without any amendments or modifications thereto, the TPA shall be considered to
be approved by the County Attorney. An executed copy of the contractor Provider Application
and Agreement shall be maintained in the offender’s file.
SACE acknowledges and agrees to comply with the requirement to contract and coordinate with TPA’s
for monitoring and reporting compliance, but SACE is concerned due to not having experience or
familiarity with this document, as a sample was not provided.
ATTACHMENT E: RESPONDENT QUESTIONNAIRE
1. ORAS Assessment Tool – Described understanding of ORAS. Provided information if they are
currently an ORAS user, have staff certified, if currently administering the ORAS in person or virtually,
and length of time using the ORAS, If not currently using the ORAS, indicated how many staff would
need to be trained, the need for an ORAS trainer in their agency, length of time it would take to have
staff trained and how they would support the ORAS.
Ohio Risk Assessment Scale (ORAS) is used to determine the risk of recidivism in members and
identifies which criminogenic factors play the largest role in a person’s life and should therefore be
emphasized as a focus of treatment.
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All SACE therapists have been trained on the use of ORAS, and currently use ORAS in working with
members in the Developmental Disability – Felony Diversion Program (DD-FDP), in both in-person and
virtual formats. Length of time to complete ORAS ranges between 1-3 sessions, depending on the
members’ criminal record, how much information they share, and their cognitive functioning (e.g.,
members with lower intellectual functioning may need multiple explanations to help them understand
questions, may provide incorrect/mixed information, and may often need to be redirected to stay on
track).
SB&H currently has 2 staff that are trainers for the ORAS assessment. All SACE therapists are currently
trained to administer the ORAS assessment. The ORAS training is typically scheduled for 2 days, back-
to-back days, for a total of 13 hours of training. ORAS training is offered to staff on an as needed basis.
2. Additional Assessment Tool(s) – Provided information on their use of any additional assessment
tool(s), specific to a criminal justice involved population. Name of the tool(s), any certification and/or
expiration dates, length of time using the tool(s), how many staff are trained, any trainers in their
agency, refresher training schedule. May have provided attachments related to this tool(s).
During the initial intake appointment, members complete a comprehensive Behavioral Health
assessment, service plan and safety support plan along with a Social Determinants of Health (SDOH)
assessment to determine other socio-economic, educational, housing, employment, access to food,
traumatic experiences, and community involvement aspects of their lives that need addressing and
support. SACE Therapists also complete the Total Wellness Outcome Scale (TWOS) which addresses
member’s perceived health, presenting concerns, and progress towards goals. In addition to the
comprehensive Behavioral Health assessment, social determinants of health and the total wellness
outcomes scale, additional assessments/tools utilized to further assess the specific needs of the member
are the Vineland Adaptive Behavior Scales-3 (Comprehensive) – Third Edition (VABS-3) or the Wechsler
Adult Intelligence Scales – Fifth Edition (WAIS-V***).
The Vineland Adaptive Behavior Scales (VABS) (Vineland-3) is the leading instrument for supporting
the diagnosis of intellectual and developmental disabilities. Vineland-3 is a standardized assessment tool
that utilizes semi-structured interview to measure adaptive behavior and support the diagnosis of
intellectual and developmental disabilities, autism, and developmental delays. Vineland-3 not only aids in
diagnosis but provides valuable information for developing educational and treatment plans. The
Vineland-3 provides scores in 4 adaptive domains and 11 subdomains along with maladaptive behavior.
The assessment's outcomes will aid the therapists in developing an individualized treatment plan
addressing the domains of need, based off assessment data on current presentation of the member. The
therapist can utilize the VABS-3 to reassess progress throughout their assigned track to guide treatment
decisions. The 4 domains and 11 subdomains are listed below. The VABS-3 can be administered and
analyzed by the assigned therapist. We currently have 3 staff members that have an average of 3 years’
experience with the VABS-3. The experienced SACE staff members can train, refresh and provide
support to staff on how to interpret the scores as needed.
•
Communication (Receptive, Expressive, Written)
•
Daily Living Skills (Personal, Domestic, Numeric, Community, School Community)
•
Socialization (Interpersonal Relationships, Play and Leisure, Coping Skills)
•
Motor Skills (Gross Motor, Fine Motor)
•
Maladaptive Behavior (Internalizing, Externalizing, Critical Items)
The Wechsler Adult Intelligence Scale, Fifth Edition (WAIS-5) is the most advanced psychometric
measure of adult cognitive ability, based on recent research in the area of cognitive neuroscience and the
theories and work of David Wechsler, PhD. It is an individually administered clinical instrument for
assessing cognitive functioning. WAIS-5 measures a variety of abilities, such as crystallized and fluid
intelligence, visuospatial and fluid reasoning, working memory, attention, and expressive and motor
problems. Because the WAIS-5 will be released later this year, its specific domains are not yet known, but
according to Pearson (publisher), the assessment will include 7 subtests that determine the Full-Scale IQ
(FSIQ) and 10 primary indices. The WAIS-5 will be administered in conjunction with the Vineland
Adaptive Behavior Scales (VABS) to provide a holistic picture of members’ daily functioning and areas of
strength and weakness that would determine prognosis and help inform treatment. The WAIS-5 has to be
administered and analyzed by a licensed Psychologist. We currently have 1 licensed Psychologist on the
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SACE team and other Psychologist and Postdoctoral residence that have an average of 2 years’
experience with administering the WIAS-IV. SB&H currently has one of the largest programs in the state
of Arizona, that provides opportunities for Postdoctoral placement and internships for staff seeking
licensure as a Psychologist.
•
Members who had a cognitive evaluation completed over 2 years ago at the time of intake may
need to be re-evaluated with the WAIS-5 and the Vineland-3 scales before starting treatment.
Members who had a cognitive evaluation completed within the last 1-2 years at the time of intake
will need to provide supporting documentation and may not need to be re-evaluated. SACE
therapists will work with each member to determine their unique needs for engagement in DD-
FDP.
•
Vineland Adaptive Behavior Scales (comprehensive) – Third Edition (VABS-3)
▪
VABS: Age range, birth – 90
•
Wechsler Adult Intelligence Scales – Fifth Edition (WAIS-V***):
▪
WAIS-V: Age range, 16:0 – 90:11
o
WAIS-V coming out soon in 2024** will want to wait to order a copy
SACE therapists use a variety of evidence-based practices, for example but not limited to; Motivational
Interviewing, Cognitive Behavioral Therapy techniques, Social Thinking and Applied Behavior Analysis
(ABA) principles. The 3 SACE therapists currently have an average of 3-8 years’ experience with utilizing
these evidence-based practices. Within the 3 SACE therapists, 2 of them provide supervision to other
staff that are newer to the field for ongoing supervision, training and support as needed. The therapists
also incorporate references/resources that support the evidence-based practices used in sessions, for
example, the books listed below.
•
-Motivational interviewing with offenders: Engagement, rehabilitation, and reentry by Jill D. Stinson
and Michael D. Clark
•
-A new direction: Criminal and addictive thinking workbook: A cognitive-behavioral therapy program
by Minnesota Department of Corrections
•
The Wiley Handbook on what works for offenders with intellectual and developmental disabilities:
An evidence-based approach to theory, assessment, and treatment by William R. Lindsay, Leam A.
Craig, and Dorothy Griffithsons & Hazelden Publishing
•
CBT with justice-involved clients: Interventions for antisocial and self-destructive behaviors: 1st
addition by Raymond Chip Tafrate (Author), Damon Mitchell (Author), David J. Simourd (Author)
A list of ORAS Trained and ORAS Train the Trainer will be provided upon request.
3. Vendor’s Individualized Treatment Plan – Provided examples of treatment plans with goals
addressing criminogenic factors and time frames. Treatment plan is attached with identified
criminogenic factors/domains and a plan of action is described to address high risk domains.
The ORAS-specific objectives have been included in members’ electronic charts, progress notes, and
treatment plans. Please see attached treatment plan and goal vignettes.
4. Curriculum Used/Proposed – Described and provided information on any current or proposed
curriculum for the solicited program. Name and details of the curriculum, background of the
curriculum, support for evidence based, length of time and experience using the curriculum, and the
requirements for enrolled offenders. Attached examples of lesson plans/modules and modality of
treatment.
SACE Therapists use a variety of evidence-based practices such as Motivational Interviewing (MI),
Cognitive Behavioral Therapy (CBT), Functional Analytic Psychotherapy (FAP), Exposure and Response
Prevention (E/RP), Acceptance and Commitment therapy (ACT), Dialectical Behavioral therapy (DBT),
Rational Emotive Behavioral therapy (REBT), Applied Behavior Analysis (ABA), and interpersonal
approaches in service delivery. SACE therapists place additional emphasis on mindfulness, social
thinking, self-attunement, and radical acceptance in working with our members. Due to services being
provided on a 1:1 basis, we are not currently using a specific curriculum.
•
See Treatment Tracks* MCAO can request if needed.
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5. Continuum of Care/Levels of Care – Described and provided information on their current offered or
proposed levels of care as determined by an individual’s criminogenic factors, history, needs and/or
risk of re-offend. Provided a detailed description of their levels of care: frequency, duration, step
down, aftercare services, community-based supports or capability of referrals for additional support.
The recommended time in treatment to complete the DD Felony Diversion Program is broken down into 3
tracks based off of the members risk level, adaptive behaviors and cognitive functioning. Track 1 for low-
risk members, track 2 for medium risk members and track 3 for high risk members. The tracks will
recommend treatment ranging from 6 months to a year and a half based off of their risk level. Upon
assessment, the staff will assign frequency of services in line with criminogenic risk based on the ORAS
rating outcome level and other assessment findings. The program staff may require clients assessed with
higher risk levels to attend individual counseling sessions more frequently and add additional services
assessed to meet the needs of the person served and address the case specific issues involved from a
treatment perspective.
TREATMENT TRACKS
•
Track One – low-risk offenders (based off ORAS assessment scores and other assessments
administered, if needed)
o
6-8 months
o
Individual therapy sessions will be held bi-weekly or weekly for 1 hour
•
Track Two – medium-risk offenders (based off ORAS assessment scores and other
assessments administered, if needed)
o
10-14 months
o
Individual therapy sessions will be held 1 -2 times weekly for 1 hour
•
Track Three – high-risk offenders (based off ORAS assessment scores and other assessments
administered, if needed)
o
16-18 months
o
Individual therapy sessions will be held 1 -2 times weekly for 1-2 hours
*Applicable to all tracks
•
*Step down: Member engagement and benefit from services will be continuously re-assessed
over the course of treatment through a combination of therapist judgement, and subjective and
objective markers of improvement.
•
*Aftercare services: Depending of member need, ongoing case management services may be
provided by their felony diversion therapist or another SACE therapist to maintain continuity of
care even after the diversion program requirements have been completed.
•
*Community-based supports or capability for additional support: SACE therapists will work
on helping members identify, develop, and maintain relevant natural and formal supports to assist
in maintaining their recovery after treatment completion. Depending on the members risk level,
therapists will determine the amount of additional help a member is likely to need to maintain a
stable level of functioning. This may include coordinating physical and mental health care,
establish reconnection to offender’s AHCCCS Clinical Team (if applicable), coordinate with DDD
(if applicable), secure emergency shelter/housing assistance, provide day to day living skills, and
help with obtaining clothing/food, vocational skills, and navigating through court processes.
6. MCAO Members: Co-mingling of Members with Others and Risk Levels – Described and provided a
detailed plan if MCAO members will be co-mingled with members referred from other agencies. The
information provided should address how different risk levels will be kept separated during treatment.
Detailed information was provided related to how different risk levels will differ in treatment plan.
Members of the DD-FDP will not be co-mingling with members referred from other agencies. Members
receive individual therapy services that are provided at an outpatient clinic where member’s identities are
protected and not communicated to others receiving individual therapy through the DD Diversion
program.
7. Service Delivery – Described and provided information on their ability to provide services across
Maricopa County. Provided a detailed class schedule or proposed class schedule. If services are
provided remotely (tele-health), a detailed description is provided as to how attendance and
SERIAL# 240104-RFP
engagement is measured/tracked, and what is the vendor’s class capacity/facilitator to client ratios for
in person and telehealth services. Described the expectation of participation in remote sessions and
how those expectations are communicated with members. Described the process of moving a
participant to in-person sessions when they are not meeting the expectations of remote sessions.
Phoenix-based Southwest Behavioral & Health Services (SB&H) has been providing integrated
behavioral and mental health services to communities throughout Arizona for over 50 years. SACE has
locations throughout the greater Phoenix Metro area, with offices located in Mesa and the Metro/Phoenix
areas. SACE has contracted with Maricopa County Attorney’s Office to provide Felony Diversion Services
for 3 years.
Members of the DD-FDP program, attend scheduled individual therapy sessions, 1:1 with their assigned
therapist. Appointments may be conducted in-person or virtually, and on occasion (e.g., in unusual
circumstances) over the phone. SACE Therapists do their best to accommodate scheduling for members
to ensure success. Member engagement is measured at each appointment in the Assessment section of
the progress note and attendance is tracked in our electronic medical record, Axiom. Members would
typically begin their meetings in-person, except in situations where they were unable to make it to an
appointment one day (for various reasons, client- and staff-related). Virtual sessions may be offered for
members struggling with transportation or other challenges related to in-person attendance; however,
members receiving virtual services must demonstrate generally consistent engagement in treatment in
order to continue with virtual meetings. If a member who was moved to virtual meetings was later deemed
to be struggling to maintain stable functioning in their daily life, then they may be asked to resume
attending sessions in-person to help with engagement and participation. Currently, SACE does not offer
group classes for this population due to their specific needs.
8. Multiple/Flexible Options for Members – Described and provided information if flexible options are
available/offered: individual/group setting, open entry format to reduce wait times, varied days for
service, hours of operation include evenings and weekends, same gendered groups, staff to
participant ratio is safe and effective to meet the needs of the members.
SACE strives to be inclusive and compassionate in the care that we offer members. These values extend
to those enrolled in our DD Felony Diversion Program. SACE understands that individuals may have
different barriers that hinder them from completing the program successfully. Due to these barriers, SACE
offers flexible scheduling to ensure therapy sessions can be completed online or in person. SACE
understands that members may have jobs or transportation issues that prohibit them from attending their
individual therapy appointments. SACE staff are also very flexible with the intake appointment times and
try to get members enrolled on a date/time that works best for them. This may include early morning, late
afternoon, or telehealth intake appointments when necessary.
9. Culturally Relevant and Linguistically Appropriate – Provide information on how they are able to meet
the cultural and language needs of the population served. Provided information related to bilingual
staff. If none the agency does not have bilingual staff or bilingual staff are limited, provided
information as to how language needs will be met.
SB&H has a process to make sure that staff meet qualifications for providing interpretation and translation
services. SB&H utilizes ALTA for testing. SACE advertises on job postings to encourage individuals who
are bilingual to apply. For members who speak other languages that our staff are not certified for, we hold
contracts with Cyrocom and LTC for interpretation and translation services. If a member has an AHCCCS
plan that provides interpreter services, we use their health plan.
SACE will offer and provide language assistance services, including bilingual staff members and
interpreter services, at no cost to each behavioral health recipient with Limited English Proficiency (LEP)
at all points of contact, in a timely manner during all hours of operation. SACE will provide both verbal
offers and written notices informing behavioral health service recipients of their right to receive language
assistance services in their preferred language. SACE will ensure the competence of language
assistance provided to LEP persons by interpreters and bilingual staff members. This may take the form
of qualified bilingual staff members or translation/interpreter services purchased through a local vendor,
family and friends of the individual and/or minors should not interpret for the individual, and SACE will
SERIAL# 240104-RFP
make easily understood patient-related materials and post signage in the languages, available in the
commonly encountered service areas, in a conspicuous public area such as a facility waiting room.
10. Program Rules and Requirements – Provided a copy of the agency’s rules and expectations as well
as when and how this information is delivered. Described all methods of outreach and the strategies
for re-engaging members.
Upon intake into SACE’s DD Felony Diversion Program, members are provided with a Felony Diversion
Program Manual that goes over rules and regulations for the program. All members are also provided
with SB&H’s general program handbook, which goes over their rights as a member. All members are
given a copy of their individualized service plan created during the intake appointment. Their
individualized service plan goes over the services offered to them and the goals they have set for
themselves. During the initial intake appointment, SACE staff inform all members of the different
treatment tracks, assessments that will be administered and follow up appointments needed to complete
the individualized service plan. Once all assessments are completed and analyzed, SACE staff will inform
the member of the treatment track they will be enrolled in, will update the individualized service plan and
provide the member a copy. SACE staff inform members of expectations surrounding programming and
what discharge protocol looks like if a trend of non-compliancy occurs. This includes contact expectations
related to absences, and what would happen if the participant stopped attending individual therapy
session, ceases communication with SACE staff or was re-arrested. SACE staff provides diligent
outreach when members have stopped attending individual sessions or are not complying with program
requirements:
1. SACE staff will attempt to reach the participant via phone after two weeks of no contact.
2. SACE staff will attempt to reach the participant on a different day and time via
phone/email.
3. SACE staff will attempt to reach an emergency contact, group home manager, or
guardian on a different day and time via email or phone.
4. If the participant has still not been reached and is still not attending individual therapy
sessions or responding to outreach attempts, an outreach letter will be sent to the
address SACE has on file. This outreach letter will state the date that they last attended
group and that SACE staff have been trying to get in touch with them. The letter will state
that the participant has two weeks from the day the letter is sent to contact SB&H staff,
and if no contact is made, the participant will be unsuccessfully discharged from the
program.
5. If two weeks have gone by and the participant has not contacted SACE, an MCAO
Unsuccessful Discharge Report will be completed, and the offender will be discharged
from services offered by SB&H during their enrollment for DD-FDP.
11. Notification of Cost – Described what is shown/provided to members. Described vendor fees,
expectations of payment, how due dates are determined, and payment schedule. Provided methods
of acceptable payments. Described process of participant outreach when payment is not made
according to proposed schedule.
Treatment services may be 100% covered for Arizona Health Care Cost Containment System (AHCCCS)
verified members. SBH will assist in AHCCCS enrollment for those who may qualify, but not currently
enrolled. A discount in fees may be available to those who qualify as low income or moderate low income.
As applicable, SBH will complete a financial assessment for eligibility in its Sliding Scale Fee program.
Otherwise, persons will be required to pay SACE’s published fees per service. In most cases a
reasonable plan for payment can be developed. All members of the DD-FDP program are provided with a
DD-Diversion fee responsibility agreement, a self-pay agreement (if applicable) that provides a list of
services that are offered by the SACE program, the cost of each service, when payments are due, where
to pay the fees, and what forms of payment are accepted.
12. Indigency Determination and Sliding Scale Considerations – Provided a detailed process to
determine, reduce and/or waive fees for an indigent participant who is not AHCCCS eligible. Provided
a list of documentation requested to verify income for sliding scale eligibility. Provided process for
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reassessing a participant’s eligibility throughout their enrollment with the agency. Described the
process of assisting a participant with AHCCCS eligibility determination if applicable.
SACE provides essential services to individuals regardless of their ability to pay. Program eligibility will be
based on household income and size, SACE will not discriminate on the basis of age, gender, race,
sexual orientation, creed, religion, disability, or national origin. A sliding fee scheduled (SFS), based on
the Federal Poverty Guidelines, is used to calculate the basic discount and is updated each year using
the federal poverty guidelines. Once approved, the discount will be honored for up to six months, after
which the individual must be approved for the discount again, or if there are any changes to income. See
ATTACHMENT F-Sliding Scale Discount Program and Eligibility Determination Process.
Sliding fee scale, financial responsibility agreement, can be requested if needed.
13. AHCCCS and Insurance Contracts – Provided documentation of contracts with all seven AHCCCS
Complete Care Plans. Provided documentation of all non-AHCCCS insurance plans the agency is
contracted with. If any contract is pending or due to change, detailed information is provided about
the changes and date(s) those changes go into effect.
AHCCCS contracts can be requested if needed.
Vendor Qualification Requirements
14. Submitted copies of applicable AZ Department of Health Services licensure for each facility where
services will be provided.
Site Licenses can be requested if needed.
15. Demonstrated that the agency has a minimum of two years of experience working with adult offender
populations. Described experience, history and knowledge of providing evidence-based practices and
programs to adult offender/criminal justice populations.
SB&H has been managing programs providing services to criminal justice populations for more
than 10 years, starting with our Misdemeanor Repeat Offender Program, which led to the development of
our Court Navigation Program, 6 years ago and is still operating today. SB&H also implemented our
Criminal Justice Engagement Team, which provided In-reach and Navigational services to low level
offenders with mental illnesses and or co-occurring disorders with the Maricopa County Jail, operating out
of the 4th Ave Jail, and later relocating to the new Intake Transfer & Release Center which opened 3 years
ago. In 2018 SB&H partnered with MCAO to develop and implement one of the first Felony Diversion
Programs in the County specifically for persons with Serious Mental Illness called the “Felony Diversion
Pre-trial Intervention Program” or FPIP. This program would later become the “SMI-Felony Diversion
Program” or SMI-FDP as we know it today. In 2021 SACE partnered with MCAO to develop and
implement one of the first Felony Diversion Programs in the County specifically for persons with
Developmental Disabilities. The SACE DD-FDP program is in its 3rd year of successful operation.
Vendor Reporting Requirements and Performance
16. Acknowledge if the vendor will meet all contract reporting and performance requirements as
described in the scope of work. If not, please explain what aspects of the requirements will not be
met.
SACE has reviewed and agrees to comply with all the terms and conditions outlined.
17. Acknowledge if the vendor will meet all the terms and conditions of the draft contract. If not, please
explain what aspects of the contract will not be met.
SACE has reviewed and agrees to comply with all the terms and conditions outlined.
18. Acknowledge if the vendor will meet the technology capability requirements described in the scope of
work. If not, what aspects of the requirements will not be met.
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SACE has reviewed and agrees to comply with requirements of section 2.1.5 of the Scope of Work to
assure all SACE staff members comply with HIPAA related security measures relative to Protected Health
Information. SACE has implemented and maintained secure and appropriate technical and organizational
measures to protect PHI against unauthorized or unlawful processing and against accidental loss,
destruction, damage, theft, alteration or disclosure, including at a minimum, and as applicable, those
measures specified by the National Institute of Standards and Technology (NIST) SP800-53; A.R.S. § 18-
552 (Notification of Security System Breaches); A.R.S. § 44-7601 (Discard and Disposal of Personal
Identifying Information Records); Health Information Technology for Economic and Clinical Health
(HITECH) Act; Payment Card Industry Data Security Standards.
Procedure:
A. The SBH Security Officer is responsible for oversight of all procedures related to the security of
Protected Health Information (PHI) throughout the organization.
B. The Security Officer will provide training to all personnel and to any independent contractors or
business associates who have access to our workplace and data systems. Training will include such
things as
•
Passwords,
•
Encryption codes,
•
Security incident reporting,
•
Presence of viruses and other destructive software.
•
Authorized and unauthorized uses of hardware and software,
•
Login management
C. The Security Officer will collaborate with the People Experience Department personnel to ensure that
all staff members are apprised of these procedures and any revisions to procedures used to secure PHI.
D. The People Experience Department in conjunction with the Security Officer will develop and implement
procedures for sanctioning personnel who violate SBH Security procedures.
E. In addition, PE will collaborate with the Security Officer to develop procedures for terminated personnel
and for SBH personnel whose job duties have changed as related to PHI in all media. This will include
physical access, combinations for locks and alarms systems, removal of access privileges and the
collection of key or other objects that allow access to SBH facilities or systems.
Required Attachments
19. Organizational Chart
Provided with response, MCAO can request updated organization chart when needed.
20. Job Descriptions for positions responsible for delivering the diversion program.
We have included the job descriptions; updates can be requested if needed.
21. Proposed fee schedule
SACE services include:
•
Assessment
•
BCBA Consultation
•
Individual Counseling
•
Applied Behavior Analysis, Groups
•
Individual Applied Behavior Analysis
•
Psychological Testing
•
Psychiatric Evaluation
•
Medication monitoring
•
Case Management
•
Health Promotion
•
Vocational Services
SERIAL# 240104-RFP
Description
Billing
Frequency
Private Pay Rate
Initial Intake/Assessment
Per visit
$200.00
BCBA Consultation
Per hour
$100.00
Therapy Session/ABA
Therapy
Per hour
$100.00
ABA Group
Per hour
$60.00
ABA Therapy
Per 15 min
$25.00
Psychological Testing/
Evaluation
Per hour
$200.00
Description
Billing
Frequency
Private Pay Rate
Psychiatric Evaluation
Per visit
(1 hours)
$250.00
Medication Monitoring
Per visit
(20 to 30 min)
$100.00
Case Management
Per 30 min
$25.00
Health Promotion
Per 30 min
$25.00
Vocational Services
(on site)
Per 15 min
$25.00
Group Registration Fee (New
Member)
1-time fee
$50.00
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Serious Mental Illness
5.6.1.3 Proposal – This section shall contain an executive summary (an outline of the general approach
utilized in the proposal), and a statement of all of the programs and services proposed, including
conclusions and generalized recommendations. Proposals should be all-inclusive, detailing
respondent’s best offer.
SB&H’s Proposal for SMI-FDP Program
Southwest Behavioral Health Services, Inc. (SB&H) is proposing to continue to provide a highly
specialized Felony Diversion Program for adults with a verified diagnosis qualifying under the
definition of Seriously Mentally Ill (SMI). Services will be provided through SBH’s Criminal Justice
Engagement Team. The SMI Felony Diversion Program is a specialized program serving persons
experiencing a Serious Mental Illness as qualified through AHCCCS. The program provides services for
those that are justice involved and promotes high-quality community-based services that are tailored to
each offender; delivering services in the most appropriate setting. Services provided include;
Psychological Services, Case Management, Individual Counseling, Day Treatment Programs, Vocational
Training Programs, Court Advocacy, Transportation, and Group Therapy.
The therapeutic requirements proposed for work with the SMI population are highly individualized and
based upon individual skill level and ability to understand and participate in a treatment-based diversion
program. The proposed diversion program is therefore based on progress and completion of a
professionally designed course of treatment for an individual provided by SB&H’s program within a given
period of time. It is proposed that an MCAO Diversion Program would involve SMI adult defendants who
are at least 18 years of age or older, with qualifying felony offenses. MCAO should verify that program
candidates have a valid evaluation completed by a licensed physician, a psychiatrist, psychologist or
through AHCCCS with a qualifying SMI diagnosis in order to qualify for the program. Each person
referred will receive a full Behavioral Health assessment by a clinician qualified and/or trained in work
with the SMI population. Assessment includes evaluation of strengths and deficits of the client in the
areas of criminogenic risk, behavior, social skills, socioeconomic factors, history of trauma, and daily
living skills.
For those referred to SMI-FDP by MCAO, staff will identify and correlate their criminal behaviors with the
Behavioral Health Assessment in order to develop individualized comprehensive treatment plans for each
person. In order to help with this process, each referral will also be assessed using the Ohio Risk
Assessment/Community Supervision Tool (ORAS-CST). SB&H currently has 11 staff that are trained to
administer this tool. SB&H staff who have been trained and certified to deliver the ORAS-CST, will
administer the assessment as intended - with fidelity and accuracy in an unbiased manner to yield
appropriate results and treatment recommendations. SB&H will review the offenders' existing social
history and referral packet, including consent forms and any other collateral information, for all referrals
prior to administering the ORAS-CST. Upon determination of the offender’s overall risk to reoffend and
their targeted criminogenic needs, SB&H will assign the offender to an appropriate treatment track. SB&H
has two treatment tracks based on the offender’s overall risk level. When SB&H staff completes the initial
intake appointment and the ORAS-CST, staff use their best judgement to determine what treatment track
they should be in based on their responses. Ongoing evaluation of progress will occur monthly and
treatment goals may be adjusted depending on the success or barriers to treatment. Each person in the
program will have an individualized treatment plan where staff work with the individual on reducing
barriers to programming, understanding how their behavior has caused a problem leading to a felony
charge, reducing their chance of recidivating, and increasing their overall well-being.
SB&H staff utilize a variety of evidence-based practices such as; Cognitive Behavioral Therapy (CBT),
Decision Points, Motivational Interviewing, client centered, strengths-based approach, and Positive
Psychology curriculum in a community-based setting. SB&H understands that individuals may have
different barriers that hinder them from completing the program successfully. Due to these barriers, SB&H
offers a multitude of cohorts that can be completed online or in person. SB&H understands that
participants may have jobs or transportation issues that prohibit them from attending certain groups.
SB&H currently offers 3 cohorts that are run at different times throughout the day/week to be more
considerate of individual’s schedules. SB&H is currently operating the SMI Felony Diversion Program at
two different locations in the Phoenix Metro area. SB&H has gotten approval to create another cohort at
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our Mesa Outpatient clinic, which will allow those participants that live in the East Valley to have easier
access to programming.
SB&H currently utilizes two evidence-based curricula in SMI-FDP treatment tracks. At this time, SB&H
offers Decision Points curriculum and Positive Psychology curriculum as a means of addressing
underlying criminogenic needs by focusing on enhancing emotional regulation and decision making, as
well promoting personal growth by utilizing a curriculum centralized around a strengths-based approach.
Meta-analyses conducted by Linley, Joseph, Harrington, and Wood (2006) support the effectiveness of
strengths-based treatment modalities in improving overall well-being. By integrating this approach into
SMI-FDP, SB&H hopes to empower individuals to recognize and leverage their own strengths. SB&H also
aims to equip offenders with the skills necessary to navigate life challenges without resorting to criminal
behavior. Meta-analyses conducted by Seligman and Csikszentmihalyi (2000) and Sin and Lyubomirsky
(2009) demonstrate that the use of positive psychology interventions enhance resilience and coping
mechanisms. SB&H has utilized Positive Psychology and Decision Points curriculum when providing SMI-
FDP to referred offenders since the conception of the program in June 2019. There are currently nine
SB&H staff who are certified to facilitate Decision Points curriculum, and thirteen SB&H staff who are
certified to provide Positive Psychology curriculum.
Upon referral from MCAO, all offenders owing restitution will have restitution requirements clearly outlined
in their consent packets. SB&H will be responsible for monitoring the payment of restitution and assisting
participants with information on how to utilize the MCAO Diversion Payment Portal or the alternative
option of mailing payments in, if they are unable to use the internet to complete payments. SB&H staff will
check the payment portals upon intake, halfway through the program, and prior to completion of the
program, to ensure that all restitution was paid accordingly. SB&H will ensure that all SMI-FDP
participants are assigned a case manager to assist with monitoring their restitution payments. This
assigned case manager will work with the participants to ensure that they are on track to making
payments for their owed restitution. SB&H diversion case managers will work with participants to
eliminate barriers to payments, this may include providing transportation to job fairs, vocational training
programs, and other resources in the community to increase their financial stability. SB&H diversion case
managers will create individualized plans with participants owing restitution. This can mean that
participants will receive a payment scheduled tailored to their income, that will create a plan to have all
restitution owed by the time they are completed with the program. SB&H staff will ensure that all
participants are aware of the repercussions of failing to pay restitution that is owed before completing
their last diversion class. SB&H staff will not extend treatment if a participant has failed to pay restitution
in full by the determined due date. SB&H staff will work with all participants on their plan to pay restitution
and will determine if any co-defendants are involved in the restitution that is owed. SB&H staff will verify
all payments through the MCAO Diversion Payment Portal, prior to discharge.
For those participants that are referred to SB&H and who live outside of SB&H’s sites for services and do
not have access to telehealth, will be supported in locating a third-party administrator in their jurisdiction
to provide comparable services that meet specific diversion program requirements. SB&H will provide
program requirements that are comparable to the treatment modalities offered by SB&H to referred
offenders who require a TPA to complete diversion in the offender’s jurisdiction. Upon receival of TPA
information from the participant, SB&H will set up monthly staffing's with the TPA to ensure participant’s
compliance with the TPA. During these staffing's, SB&H will obtain specific information about the services
being offered, and any information about participant’s successful or unsuccessful completion of required
services. SB&H will document all encounters with the TPA and provide relevant information in the
corresponding MCAO Discharge Report.
SB&H will maintain detailed and accurate documentation of offender participation and completion of the
program. SB&H will record all excused and unexcused absences. To earn a successful discharge,
enrolled participants must complete all required sessions assigned by SB&H, regardless of the reason for
the absences. SB&H will consult MCAO staff prior to removing a participant from the program for poor
attendance or behavior issues. SB&H will provide a written report to MCAO detailing infractions leading to
removal from the program within 72 hours of the participants removal from the program. SB&H will also
ensure that all discharges from the program are sent to MCAO within 72 hours of discharge. SB&H will
utilize the MCAO Diversion Strategies Group Discharge Report to complete all discharges. During initial
intake into the program, staff gather criminogenic needs by using the Ohio Risk Assessment System
Community Supervision Tool (ORAS-CST). Staff also complete specified service plans that are tailored to
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the participant’s needs and goals. All this information will be provided in the discharge report sent to
MCAO through a secure email portal. The discharge report will clearly outline if the participant was
successful or unsuccessful in completing the program.
Treatment services may be 100% covered for Arizona Health Care Cost Containment System (AHCCCS)
verified participants. SBH will assist in AHCCCS enrollment for those who may qualify but are not
currently enrolled. A discount in fees may be available to those who qualify as low income or moderate
low income. As applicable, SB&H will complete a financial assessment for eligibility in its Sliding Scale
Fee program. Otherwise, participants will be required to pay SB&H’s published fees per service. In most
cases a reasonable plan for payment can be developed.
SB&H is a large multi-faceted provider of Behavioral Health Services having presence in nearly every
aspect of service provision in the Behavioral Health field with expansions in Integrated Care and
Community Partnerships across a large variety of diverse projects state-wide, serving approximately
26,000 persons/families annually. Additionally, the company is the sponsor of 10 HUD Corporations
providing contract oversight and management of 25 scattered site low-income Special Needs Housing
projects with Supportive Services. The agency was Incorporated in 1974 as a 501(c)3 non-profit and has
been in business for 50 years. Today, the company employs over 1300 full time employees and has
expanded throughout the State of Arizona spanning the Phoenix Metropolitan area and four Northern
Arizona Counties. Cross-Sector Agency Assets include; Integrated Outpatient Clinics with amenities for
the inclusion of Primary Care services/ Medical Assessment offering clients confidential and supportive
care, Psychiatry and Medication Services, Child and Adolescent High Needs Case Management;
Substance Abuse/ Co-Occurring Disorders services with full Medication Assisted Treatment services for
Opioid Addiction. A large In Home and Permanent Supported Housing Services program providing
Housing Search, In Home counseling, and support for housing stability based on the SAMHSA model of
Permanent Supported Housing, Housing Based Case Management; An Expanded Criminal Justice
Engagement Team with Criminogenic Assessment and Treatment, Court and Jail In- Reach, and a
Felony SMI Diversion Program, Justice Involved Homeless Outreach Team; 25 years’ Experience,
Homeless- Housing Opportunities for Persons with HIV/Aids (HOPWA) to include 176 beds in Transitional
Housing, Permanent Supportive Housing Services based on a Housing First Model, Short Term Mortgage
Rent and Utility Assistance Program with Permanent Housing Placement funds. Two Crisis Recovery
Units; SBH has a large capacity for Contingency Housing with assets of 65 Independent Housing units
within our 10 HUD corporations and other housing programs; SBH has strong experience in employment
services with a Large Day Program with proven 35 plus years Vocational Work Development Programs;
Supported Employment Services, Career Development Center and connections with community
employers. Additionally, SBH has a large presence in school-based programs within more than 150
schools and 25 districts; with full array of Prevention Programs. The company operates 22 Residential
and Community Placement Treatment Programs, and 6 Outpatient Clinics in Maricopa County. Included
in SBH programs and relevant is the Southwest Autism Center of Excellence (SACE), which originated on
2017 as partnership between SBH, Southwest Human Development, U of A College of Medicine,
Midwestern University, Mountain Park Health Center and Sunshine Pediatrics; and will serve in a
specialized whole-health capacity to focus on the physical and behavioral health of children, families and
adults living with or at risk of Autism Spectrum Disorder (ASD).
5.6.1.4 Qualifications – This section shall describe the respondent’s ability and experience related to the
programs and services proposed. All project personnel, as applicable, shall be listed, including a
description of assignments and responsibilities, a resume of professional experience, an estimate
of the time each would devote to this program, and other pertinent information.
Phoenix-based Southwest Behavioral & Health Services (SB&H) has been providing integrated
behavioral and mental health services to communities throughout Arizona for over 50 years. Southwest
Behavioral & Health Services has locations throughout the greater Phoenix Metro area and in rural
Maricopa, Gila, Mohave, Coconino, and Yavapai counties.
SB&H has contracted with Maricopa County Attorney’s Office to provide Felony Diversion Services for 6
years, 2 years with the Felony Pretrial Intervention Program, which later became the SMI-Felony
Diversion Program.
MCAO can request staff name, if they are key staff, assignments &responsibilities, and level of effort if
needed.
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SB&H will create a Diversion Team Lead position as part of this proposal, this position would oversee
scheduling, intakes, compliance with documentation, referral coordination and tracking, general
communications with MCAO, TPA Providers, TPA monitoring and reporting, discharges and dispositions,
providing information for required monthly reports, etc.
2.1.20.2 The contractor shall be authorized to provide monthly case coordination services and charge a
monthly case coordination fee to the offender as described in Pricing Page.
SB&H acknowledges and agrees to comply with the requirement to contract and coordinate with TPA’s for
monitoring and reporting compliance, but SB&H is concerned with the level of activity and issues around
obtaining weekly or monthly updates from out of state agencies and providing services to clients who we
may never meet face-to-face at agency. It would be our preference (SB&H’s) to limit the number of referrals
requiring TPA arrangements if possible.
2.1.20.3 Provided the contractor and the TPA enter into the contractor’s Provider Application and
Agreement without any amendments or modifications thereto, the TPA shall be considered to be approved
by the County Attorney. An executed copy of the contractor Provider Application and Agreement shall be
maintained in the offender’s file.
SB&H acknowledges and agrees to comply with the requirement to contract and coordinate with TPA’s for
monitoring and reporting compliance, but SB&H is concerned due to not having experience or familiarity
with this document, as a sample was not provided.
2.1.20.4 The contractor shall provide specific information about the TPA’s services, the offender’s level of
compliance, and how this supports a successful or unsuccessful termination in the MCAO Discharge Report
template.
SB&H acknowledges and agrees to comply with the requirement to contract and coordinate with TPA’s for
monitoring and reporting compliance, but SB&H is concern about receiving timely, accurate, and updated
information from the TPA to remain in compliance with this contract, delays, staffing changes, client being
hospitalized or arrested out of State will impact and negatively affect our reporting compliance.
ATTACHMENT E: RESPONDENT QUESTIONNAIRE
1. ORAS Assessment Tool – Described understanding of ORAS. Provided information if they are
currently an ORAS user, have staff certified, if currently administering the ORAS in person or virtually,
and length of time using the ORAS, If not currently using the ORAS, indicated how many staff would
need to be trained, the need for an ORAS trainer in their agency, length of time it would take to have
staff trained and how they would support the ORAS.
SB&H currently utilizes the ORAS-CST as a means of addressing referred offenders' criminogenic
domains and risk of recidivism upon enrollment into SMI-FDP. SB&H applies the results of the offender's
overall risk level and criminogenic needs to a treatment plan that is individualized to address each
offender’s needs.
SB&H currently has 11 staff that are certified to administer the ORAS-CST to participants enrolled in SMI-
FDP. There are currently two SB&H staff who are certified as lead trainers to administer ORAS end user
training to staff who will be utilizing the ORAS-CST that have not yet been certified. SB&H has been
utilizing the ORAS-CST in SMI-FDP since the conception of the program in June 2019.
SB&H staff certified to administer the ORAS-CST complete the screening tool with referred offenders
upon their enrollment into SMI-FDP. Referred offenders attend their enrollment in-person at SB&H’s
Opportunity Center, unless specialized circumstances require an enrollment be completed virtually.
2. Additional Assessment Tool(s) – Provided information on their use of any additional assessment
tool(s), specific to a criminal justice involved population. Name of the tool(s), any certification and/or
expiration dates, length of time using the tool(s), how many staff are trained, any trainers in their
agency, refresher training schedule. May have provided attachments related to this tool(s).
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As mentioned above, upon intake, the ORAS, a comprehensive assessment, service plan, and safety
plan are completed. If the participant has substance abuse issues, a separate substance abuse
assessment is completed (ASAM) to address the participant’s needs on that front. We also complete a
Social Determinants of Health (SDOH) assessment to determine other socio-economic, educational,
housing, employment, access to food, traumatic experiences, and community involvement aspects of
their lives that need addressing and support. We also complete the Total Wellness Outcome Scale
(TWOS) which addresses a participant’s perceived health, presenting concerns, and progress towards
goals.
A list of ORAS Trained and ORAS Train the Trainer will be provided upon request.
3. Vendor’s Individualized Treatment Plan – Provided examples of treatment plans with goals
addressing criminogenic factors and time frames. Treatment plan is attached with identified
criminogenic factors/domains and a plan of action is described to address high risk domains. (Manny)
SB&H strives to create individualized treatment plans that address specified criminogenic needs for all
participants enrolled in the program. If the offender has substance abuse concerns, SB&H staff complete
a biopsychosocial assessment (ASAM) to address the individual’s substance-related needs. SB&H
recognizes that substance use is a primary indicator of overall success in the program, if not addressed
during treatment. SB&H staff survey referred offenders, to identify any social determinants of health that
impact overall well-being. SB&H also utilizes a Total Wellness Outcome Scale (TWOS) to address
individuals perceived health, presenting concerns, and progress towards goals. SB&H recognizes that
these biopsychosocial factors may present barriers to programming which is why they are crucial to
address during service planning and treatment programming.
Examples of treatment plans including goals addressing criminogenic factors and time frames, can be
requested by MCAO if needed.
4. Curriculum Used/Proposed – Described and provided information on any current or proposed
curriculum for the solicited program. Name and details of the curriculum, background of the
curriculum, support for evidence based, length of time and experience using the curriculum, and the
requirements for enrolled offenders. Attached examples of lesson plans/modules and modality of
treatment.
SB&H currently utilizes two evidence-based curricula in SMI-FDP treatment tracks. At this time, SB&H
offers Decision Points curriculum and Positive Psychology curriculum as a means of addressing
underlying criminogenic needs by focusing on enhancing emotional regulation and decision making, as
well promoting personal growth by utilizing a curriculum centralized around a strengths-based approach.
Both curriculums have been approved by MCAO staff for use since SB&H began providing SMI-FDP in
June 2019. There are currently nine SB&H staff who are certified to facilitate Decision Points curriculum,
and 17 SB&H staff who are certified to provide Positive Psychology curriculum. SB&H also has one staff
who is certified to distribute Decision Points facilitator training to SB&H staff administering Decision Points
curricula to referred participants, or any other individuals who require certification for their scope of work.
5. Continuum of Care/Levels of Care – Described and provided information on their current offered or
proposed levels of care as determined by an individual’s criminogenic factors, history, needs and/or
risk of re-offend. Provided a detailed description of their levels of care: frequency, duration, step
down, aftercare services, community-based supports or capability of referrals for additional support.
As mentioned above, SB&H utilizes multiple assessment tools, including the ORAS-CST, Engagement
Session Note, Total Wellness Outcome Scale (TWOS), Social Determinants of Health (SDOH),
Substance Abuse assessment (ASAM), and The Columbia Suicide Survey (CSS). Based on the
participant’s individual criminogenic factors, history, needs, and risk to re-offend. The Community
Resilience Center (CRC). This is a day program community for Seriously Mentally Ill (SMI) and General
Mental Health (GMH) clients to come socialize, attend groups, go on outings, and attend events.
Participants have the opportunity to take part in the CRC’s job development program where vocational
trainees learn job skills, healthy communication and relationship skills. Our job development program
consists of a moving crew, cleaning crews (in-house and off-site), painting crew, restoration crew,
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warehouse crew, donation center workers, receptionists, and administrative work. SB&H pays vocational
trainees for their hard work, helping to provide them with meaning, purpose, and empower them to
become more independent.
6. MCAO Participants: Co-mingling of Participants with Others and Risk Levels – Described and
provided a detailed plan if MCAO participants will be co-mingled with participants referred from other
agencies. The information provided should address how different risk levels will be kept separated
during treatment. Detailed information was provided related to how different risk levels will differ in
treatment plan.
SB&H will not co-mingle any participants with individuals that are referred from other agencies. SB&H
does not currently receive referrals for our diversion program from an agency other than MCAO.
SB&H has developed treatment tracks to accurately separate participants based on the outcomes of their
scores following the Ohio Risk Assessment System Community Supervision Tool (ORAS-CST). SB&H
has determined that there will be two treatment tracks based on offender risk levels. The first treatment
track will be for those individuals (female & male) that score in the Low and Low/Moderate categories.
This treatment track will require participants to complete 32 group counseling sessions in 4 months. The
second treatment track will be designated for those offenders that score moderate, high, and very high on
the ORAS-CST. These individuals will need to complete a total of 48 group counseling classes over the
desired span of 6 months.
7. Service Delivery – Described and provided information on their ability to provide services across
Maricopa County. Provided a detailed class schedule or proposed class schedule. If services are
provided remotely (tele-health), a detailed description is provided as to how attendance and
engagement is measured/tracked, and what is the vendor’s class capacity/facilitator to client ratios for
in person and telehealth services. Described the expectation of participation in remote sessions and
how those expectations are communicated with participants. Described the process of moving a
participant to in-person sessions when they are not meeting the expectations of remote sessions.
Currently, SB&H enrolls participants in SMI-FDP in one of two treatment “tracks”. SB&H determines a
participants treatment track based on their overall risk to reoffend, individual criminogenic domains, and
potential barriers to treatment. These determinations are made by SB&H staff utilizing both the ORAS-
CST, as well as biopsychosocial assessments, comprehensive mental health assessments, and any
other collateral information obtained at time of a participant’s enrollment.
SB&H assigns participants to either treatment “Track One” or treatment “Track Two”. Track One is
assigned to participants determined low and low/moderate. In Track One, participants are expected to
complete 32 group counseling sessions in either an in-person or telehealth format. Track one is split to
have 16 Positive Psychology group counseling sessions and 16 Decision Points group counseling
sessions. Participants determined moderate, high, or very high risk are assigned to treatment Track Two.
In Track Two, participants are expected to complete 48 group counseling sessions; Track Two is split to
have 24 Positive Psychology groups and 24 Decision Points groups. Those that are determined moderate
or high risk are offered the choice to complete their programming either in-person or in a telehealth
format. Those determined very high risk are offered only telehealth sessions to avoid co-mingling with
moderate participants in in-person settings. Both treatment tracks offer in-person sessions at SB&H’s
Community Resilience Center in Phoenix and at SB&H’s outpatient clinic in Mesa.
Three cohorts of SMI-FDP are provided by SB&H. One cohort is scheduled for Tuesday and Thursday in
person at 2pm, which will be offered at two separate SB&H locations (Community Resilience Center and
Mesa Outpatient Clinic). The second cohort is held via telehealth at 12pm on Monday and Wednesday,
and the third cohort is held via telehealth at 12pm on Tuesday and Thursday.
For both in-person and telehealth programming, SB&H maintains detailed and accurate documentation of
individual participation and attendance of the program. SB&H records all excused and unexcused
absences in a secure spreadsheet, as well as displaying trends in offender compliance and class sizes
for each cohort.
SB&H strives to continuously provide quality and compassionate services to the populations we serve in
our community. SB&H staff that provide curriculum to participants in SMI-FDP maintains staff to client
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ratios that ensure each participant can actively engage and discuss the curriculum that is presented.
SB&H staff maintain a 1:12 staff-client ratio for both our in-person and telehealth group counseling
sessions. SMI-FDP telehealth sessions are facilitated by one SB&H staff, with a class capacity of 12
participants per cohort, but is subject to additional facilitators if capacity adjustment is required. In-person
sessions are facilitated by two SB&H staff, allowing for 24 participants per session. In-person sessions
are not subject to capacity adjustments due to classroom sizes at locations where SMI-FDP are provided.
SB&H staff provide participants who are assigned to complete SMI-FDP via telehealth sessions clear
guidelines related to program expectations and participation in telehealth settings. SB&H staff who
facilitate SMI-FDP via telehealth ensure that each participant engages in the provided curriculum by
providing verbal or written responses.
If a participant in telehealth sessions for SMI-FDP begins to experience barriers that prevent them from
regularly attending their classes, SB&H staff will work with the participant in moving to in-person
programming at an SB&H location that provides SMI-FDP.
8. Multiple/Flexible Options for Participants – Described and provided information if flexible options are
available/offered: individual/group setting, open entry format to reduce wait times, varied days for
service, hours of operation include evenings and weekends, same gendered groups, staff to
participant ratio is safe and effective to meet the needs of the participants.
SB&H strives to be inclusive and compassionate in the care that we offer to individuals served in our
community. These values extend to those enrolled in our SMI Felony Diversion Program. SB&H
understands that individuals may have different barriers that hinder them from completing the program
successfully. Due to these barriers, SB&H offers a multitude of cohorts that can be completed online or in
person. SB&H understands that participants may have jobs or transportation issues that prohibit them
from attending certain groups. SB&H currently offers 3 cohorts that are run at different times throughout
the day/week to be more considerate of individual’s schedules. SB&H staff are also very flexible with the
intake appointment times and allow for the referred individual to be enrolled on a date/time that works
best for them. This may include early morning, late afternoon, or telehealth intake appointments when
necessary.
SB&H therapists and staff recognize that the size of the groups matters, which is why we strive to always
run groups with a ratio of at least one therapist to every 12 participants. For those classes run in person
at our Community Resilience Center, we always have two staff assigned to facilitate those groups due to
safety precautions and to allow for individualized care during group sessions. While SB&H staff do not
offer same gendered groups, SB&H staff do ask if offenders have a preference on whether their assigned
case manager will be male or female.
SB&H has gotten approval to create another cohort at our Mesa Outpatient clinic, which will allow those
participants that live in the East Valley to have easier access to programming.
9. Culturally Relevant and Linguistically Appropriate – Provide information on how they are able to meet
the cultural and language needs of the population served. Provided information related to bilingual
staff. If none the agency does not have bilingual staff or bilingual staff are limited, provided
information as to how language needs will be met.
SB&H staff utilizes a process to ensure that staff meet the qualifications for providing interpretation and
translation services. We go through ALTA for testing. We advertise on job postings to encourage
individuals who are bilingual to apply. For participants who speak other languages that our staff are not
certified for, we hold contracts with Cyrocom and LTC for interpretation and translation services. If an
individual has an AHCCCS plan that provides interpreter services, we use their health plan.
SB&H will offer and provide language assistance services, including bilingual staff and interpreter
services, at no cost to each behavioral health recipient with Limited English Proficiency (LEP) at all points
of contact, in a timely manner during all hours of operation. SB&H will provide both verbal offers and
written notices informing behavioral health service recipients of their right to receive language assistance
services in their preferred language. SB&H will ensure the competence of language assistance provided
to LEP persons by interpreters and bilingual staff members. This may take the form of qualified bilingual
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staff members or translation/interpreter services purchased through a local vendor, family and friends of
the individual and/or minors should not interpret for the individual, and SB&H will make available easily
understood patient-related materials and post signage in the languages of the commonly encountered
groups and/or groups represented in the service area in a conspicuous public area such as a facility
waiting room. SB&H currently has two full time employees that are bilingual in Spanish, that are assigned
to the SMI Felony Diversion case load as case managers.
10. Program Rules and Requirements – Provided a copy of the agency’s rules and expectations as well
as when and how this information is delivered. Described all methods of outreach and the strategies
for re-engaging participants.
Upon intake into SB&H’s SMI Felony Diversion Program, participants are provided with a Felony
Diversion Program Manual that goes over rules and regulations for the program. All participants are also
provided with SB&H’s general program handbook which goes over their rights as a participant. All
participants are given a copy of their individualized service plan created during the intake appointment.
Their individualized service plan goes over the services offered to them and the goals they have set for
themselves. During the initial intake appointment, SB&H staff inform all participants of what treatment
track they will be enrolled in and what cohort options are available for them. SB&H staff inform
participants of expectations surrounding programming and what discharge protocol looks like if a trend of
non-compliancy occurs. This includes contact expectations related to absences, and what would happen
if the participant stopped attending groups, ceases communication with SB&H staff or was re-arrested.
SB&H staff provides diligent outreach when participants have stopped attending groups or are not
complying with program requirements:
1. SB&H staff will attempt to reach the participant via phone after two weeks of no contact.
2. SB&H staff will attempt to reach the participant on a different day and time via phone.
3. SB&H staff will get in contact with the participant’s assigned SMI clinic to see if they have
been attending appointments with their clinical team. If the SMI case manager is in good
contact with the participant, SB&H staff will inform the SMI clinical team to set up a staffing
with the participant to get them back on track with attending their assigned programming.
4. If the participant has still not been reached and is still not attending groups or responding to
phone outreach attempts, an outreach letter will be sent to the address SB&H has on file.
This outreach letter will state the date that they last attended group and that SB&H staff have
been trying to get in touch with them. The letter will state that the participant has two weeks
from the day the letter is sent to contact SB&H staff, and if no contact is made, the participant
will be unsuccessfully discharged from the program.
5. If two weeks have gone by and the participant has not contacted SB&H, an MCAO
Unsuccessful Discharge Report will be completed, and the offender will be discharged from
services offered by SB&H during their enrollment for SMI-FDP.
11. Notification of Cost – Described what is shown/provided to participants. Described vendor fees,
expectations of payment, how due dates are determined, and payment schedule. Provided methods
of acceptable payments. Described process of participant outreach when payment is not made
according to proposed schedule.
Clients who do not have AHCCCS at the time of their intake will be provided assistance with applying for
eligibility determination. Treatment services may be 100% covered for Arizona Health Care Cost
Containment System (AHCCCS) verified members. SBH will assist in AHCCCS enrollment for those who
may qualify, but not currently enrolled. A discount in fees may be available to those who qualify as low
income or moderate low income. As applicable, SBH will complete a financial assessment for eligibility in
its Sliding Scale Fee program. Otherwise, persons will be required to pay SBH’s SMI-FDP’s published fees
per service. In most cases a reasonable plan for payment can be developed. All members of the SMI-FDP
program are provided with a FDP-Diversion fee responsibility agreement, a self-pay agreement (if
applicable) that provides a list of services that are offered by the SMI-FDP program, the cost of each service,
when payments are due, where to pay the fees, and what forms of payment are accepted.
12. Indigency Determination and Sliding Scale Considerations – Provided a detailed process to
determine, reduce and/or waive fees for an indigent participant who is not AHCCCS eligible. Provided
a list of documentation requested to verify income for sliding scale eligibility. Provided process for
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reassessing a participant’s eligibility throughout their enrollment with the agency. Described the
process of assisting a participant with AHCCCS eligibility determination if applicable.
SB&H offers a Sliding Fee Discount Program to uninsured and self-pay individuals:
Purpose:
This program is designed to provide free or discounted care to those who have no means, or limited
means, to pay for services (Uninsured or Underinsured). Southwest Behavioral Health Services provides
essential services to individuals regardless of their ability to pay. Program eligibility will be based on
household income and size, SBH will not discriminate on the basis of age, gender, race, sexual
orientation, creed, religion, disability, or national origin. A sliding fee scheduled (SFS), based on the
Federal Poverty Guidelines, is used to calculate the basic discount and is updated each year using the
federal poverty guidelines. Once approved, the discount will be honored for up to six months, after which
the individual must be approved for the discount again, or if there are any changes to income.
Definitions: SBH uses the Census Bureau definitions of each:
Family is defined as a group of two people or more (one of whom is the householder) related by birth,
marriage, or adoption and residing together; all such people (including related subfamily members) are
considered as members of one family.
Income includes: earnings, unemployment compensation, workers' compensation, social security,
supplemental security income, public assistance, veterans' payments, survivor benefits, disability
benefits, pension or retirement income, interest, dividends, rents, royalties, estates, trusts, educational
assistance, alimony, child support, financial assistance from outside of the household and other
miscellaneous sources. Noncash benefits (such as food stamps and housing subsidies) do not count.
Income verification: Applicants must provide one of the following: prior year W-2, most recent pay stub,
letter from employer, or Form 4506-T (if W-2 not filed). Self-employed individuals will be required to
submit detail of the most recent three months of income and expenses for the business. Adequate
information must be made available to determine eligibility for the program. Self-declaration of Income
may only be used in special circumstances. Specific examples include individuals who are homeless.
Individuals who are unable to provide written verification must provide a signed statement of income, and
why (s)he is unable to provide independent verification. This statement will be presented to the SBH VP
or designee for review and finial determination as to the sliding fee percentage. Self-declared patients will
be responsible for 100% of their charges until management determines the appropriate category.
Procedure:
1. Notification: Southwest Behavioral Health Services will notify individuals in services of the
Sliding Fee Discount Program by:
1. Notification of the Sliding Fee Discount Program will be offered to each individual at
the time of admission or request for services at the SBH Outpatient Clinics, as
appropriate.
2. Information about the Sliding Fee Discount Program is available on the SBH website.
3. Written information about the Sliding Fee Discount Program shall be made available
to any person who requests this information, the Sliding Fee Schedule shall also be
made available upon request.
2. SBH will serve all individuals regardless of their ability to pay. No one is refused services
because of lack of financial means to pay.
3. Requests for discounted services may be made by the individual in services, a family member,
or SBH staff who are aware of existing financial hardship. Information and forms can be
obtained from the Front Desk at all Outpatient clinics. The Sliding Fee Discount Program is
managed at each location by the Front Desk, assistance with determining eligibility for the
program can be provided if needed. Dignity and confidentiality will be respected for all
individuals seeking information or eligibility for the Sliding Fee Discount Program.
4. Applicant is eligible to apply the Sliding Fee Discount Program, if they choose, without
exhausting other options, including all third-party payment from insurance(s), Federal and State
programs
5. The individual/responsible party must complete the Sliding Fee Discount Program application
in its entirety. By signing the Sliding Fee Discount Program Application, persons authorize SBH
access to confirm income as disclosed on the application form. Providing false information on
a Sliding Fee Discount Program application will result in all Sliding Fee Discount Program
discounts being revoked and the full balance of the account(s) restored and payable
immediately.
SERIAL# 240104-RFP
If an application is unable to be processed due to the need for additional information, the
applicant has two weeks from the date of notification to supply the necessary information
without having the date on their application adjusted. If the applicant does not provide the
requested information within the two week time period, their application will be re-dated to the
date on which they supply the requested information. Any services provided during the time of
the individuals delay in providing information will not be considered for the Sliding Fee Discount
Program.
6. Eligibility: Discounts will be based on income and family size only. SBH uses the Census
Bureau definitions as stated above under definitions.
7. Discounts: Those with incomes at or below 100% of poverty will receive a full 100% discount.
Those with incomes above 100% of poverty, but at or below 200% of poverty, will be charged
according to the attached sliding fee schedule. The sliding fee schedule will be updated during
the first quarter of every calendar year according to the most recent Federal Poverty
Guidelines.
8. Waiving of Charges: In certain circumstances, individuals may not be able to pay the
discounted fee, waiving of charges may only be used in special circumstances and must be
approved by the Director/Vice President, or their designee. Any waiving of charges should be
documented in the individual's medical record along with an explanation.
9. Applicant Notification: The Sliding Fee Discount Program determination will be provided to
the applicant(s) in writing (Self-Pay Fee Agreement), and will include the qualifying discount,
or if applicable, the reason for ineligibility. If the application is approved for less than 100%
discount or is ineligible, the individual and/or responsible party will be transitioned to self-pay.
Each applicant will be required to re-apply for the Sliding Fee Discount Program every 6
months. For those individuals who were ineligible for the sliding fee discount, they may re-apply
every 6 months or when their income changes, as well as SBH will assist each individual to
determine if they are eligible for AHCCCS.
10. Refusal to Pay: If an individual verbally expresses an unwillingness to pay or vacates the
premises without paying for services, the individual will be contacted in writing regarding their
payment obligations. If the individual does not make effort to pay or fails to respond, this
constitutes refusal to pay. At this point in time, SBH can explore options including, but not
limited to, offering a payment plan, collections or discharging from services.
11. Record Keeping: Information related to Sliding Fee Discount program (Application and Fee
Agreement) will be maintained in the individual's medical record.
We have included a copy of our Sliding Fee Discount Application and Self Pay Fee Agreement
in Attachment F.
13. AHCCCS and Insurance Contracts – Provided documentation of contracts with all seven AHCCCS
Complete Care Plans. Provided documentation of all non-AHCCCS insurance plans the agency is
contracted with. If any contract is pending or due to change, detailed information is provided about
the changes and date(s) those changes go into effect.
SB&H contracts with all of the AHCCCS Complete Care Plans
Vendor Qualification Requirements
14. Submitted copies of applicable AZ Department of Health Services licensure for each facility where
services will be provided.
Turned in with response. Updated copies can be requested if needed.
15. Demonstrated that the agency has a minimum of two years of experience working with adult offender
populations. Described experience, history and knowledge of providing evidence-based practices and
programs to adult offender/criminal justice populations.
SB&H has been managing programs providing services to criminal justice populations for
more than 10 years, starting with our Misdemeanor Repeat Offender Program, which led to the
development of our Court Navigation Program 6 years ago and is still operating today. SB&H also
implemented our Criminal Justice Engagement Team, which provided In-reach and Navigational
SERIAL# 240104-RFP
services to low level offenders with mental illnesses and or co-occurring disorders with the
Maricopa County Jail, operating out of the 4th Ave Jail, and later relocating to the new Intake
Transfer & Release Center which opened 3 years ago. In 2018 SB&H partnered with MCAO to
develop and implement one of the first Felony Diversion Programs in the County specifically for
persons with Serious Mental Illness called the “Felony Diversion Pre-trial Intervention Program” or
FPIP. This program would later become the “SMI-Felony Diversion Program” or SMI-FDP as we
know it today. SB&H’s SMI-FDP Program is in its 4th year of successful operation.
Vendor Reporting Requirements and Performance
16. Acknowledge if the vendor will meet all contract reporting and performance requirements as
described in the scope of work. If not, please explain what aspects of the requirements will not be
met.
•
SB&H has reviewed and agrees to comply with all the terms and conditions outlined in
the Contract.
17. Acknowledge if the vendor will meet all the terms and conditions of the draft contract. If not, please
explain what aspects of the contract will not be met.
•
SB&H has reviewed and agrees to comply with all the terms and conditions outlined in
the Contract.
18. Acknowledge if the vendor will meet the technology capability requirements described in the scope of
work. If not, what aspects of the requirements will not be met.
•
SB&H has reviewed and agrees to comply with requirements of section 2.1.5 of the
Scope of Work to assure all SBH staff members comply with HIPAA related security
measures relative to Protected Health Information. SB&H has implemented and
maintained secure and appropriate technical and organizational measures to protect
PHI against unauthorized or unlawful processing and against accidental loss,
destruction, damage, theft, alteration or disclosure, including at a minimum, and as
applicable, those measures specified by the National Institute of Standards and
Technology (NIST) SP800-53; A.R.S. § 18-552 (Notification of Security System
Breaches); A.R.S. § 44-7601 (Discard and Disposal of Personal Identifying Information
Records); Health Information Technology for Economic and Clinical Health (HITECH)
Act; Payment Card Industry Data Security Standards.
Procedure:
A. The SBH Security Officer is responsible for oversight of all procedures related to the security of
Protected Health Information (PHI) throughout the organization.
B. The Security Officer will provide training to all personnel and to any independent contractors or
business associates who have access to our workplace and data systems. Training will include
such things as
•
Passwords,
•
Encryption codes,
•
Security incident reporting,
•
Presence of viruses and other destructive software.
•
Authorized and unauthorized uses of hardware and software,
•
Login management
C. The Security Officer will collaborate with the People Experience Department personnel to ensure
that all staff members are apprised of these procedures and any revisions to procedures used to
secure PHI.
D. The People Experience Department in conjunction with the Security Officer will develop and
implement procedures for sanctioning personnel who violate SBH Security procedures.
E. In addition, PE will collaborate with the Security Officer to develop procedures for terminated
personnel and for SBH personnel whose job duties have changed as related to PHI in all media.
This will include physical access, combinations for locks and alarms systems, removal of access
privileges and the collection of key or other objects that allow access to SBH facilities or systems.
SERIAL# 240104-RFP
Required Attachments
19. Organizational Chart
Provided with response, MCAO can request updated organization chart when needed.
20. Job Descriptions for positions responsible for delivering the diversion program.
We have included the job descriptions; updates can be requested if needed.
21. Proposed fee schedule
SB&H provides a vast array of services to the community such as the following:
•
outpatient mental health treatment and psychiatric services including medication monitoring;
•
assistance for persons with addictions;
•
intensive inpatient care for persons in crisis;
•
residential housing, in-home, and supported housing services;
•
prevention services, community outreach, and school-based counseling;
•
services throughout the lifespan for members with Autism Spectrum Disorder (ASD);
•
and four opioid replacement clinics
•
Individual counseling
•
Court navigation
•
Transportation for SB&H related appointments
•
Case management
•
Day program opportunities
Description
Billing Frequency
Private
Pay
Rate
Initial
Intake/Assessment
Per Visit
$200.00
Individual Counseling
Per Hour
$100.00
Family
Counseling/Coaching
Per Hour
$100.00
Group Counseling
Per Hour
$25.00
Psych Testing/Eval
Per Hour
$100.00
Psychiatric Eval
Per Visit (Per Hour)
$250.00
Medication
Monitoring
Per
visit
(20-30
mins)
$100.00
Case Management
Per 30 mins
$25.00
Health Promotion
Per Hour
$25.00
Vocational Services
Per Hour
$25.00
More information on our rates are listed on our Program Fee Sheet in Attachment N-Fee Sheet.
CLARIFICATION QUESTIONS
Under Attachment E
#2 Additional Assessment Tools(s)
1. Is there a process in place for refresher training on the ORAS? What does the
asterisk mean in the chart next to Joel Browner and Jordan Trout?
SERIAL# 240104-RFP
Due to having trainers within the agency, we can offer refresher courses as needed. We
also provide clinical documentation refreshers as needed as well.
A list of key staff, assignment & responsibilities, and level of effort can be provided upon
request.
#11 Notification of Cost
2.
What happens if a participant does not meet any criteria to develop a reasonable
payment plan?
•
SBH staff members are responsible to verify individual enrollment in the
AHCCCS system and eligibility for Title XIX and/or Title XXI services as well as
medically necessary Title XIX/XXI services.
•
Eligibility can be determined my using one of the following methods
o
AHCCCS web-based verification http://azweb.statemedicaid.us/Account
o
Medifax 1-800-444-4336
o
Interactive Voice Response (IVR) (call 602-417-7200 in Maricopa
County, 1-800-331-5090 outside of Maricopa County)
o
AHCCCS Consumer Eligibility Line
•
If eligibility cannot be determined SBH will contact the MCO/RBHA for
assistance or the AHCCCS Verification Unit (602-417-7000 in Maricopa County,
1-800-331-5090outside of Maricopa County).
•
If an individual refuse or declines to participate in the AHCCCS eligibility
screening and application process or refuses to enroll in the Medicare Part D
plan, SBH will encourage the person to participate.
•
If an individual refuse to participate in the screening and/or application process
for Title XIX or other eligibility, or to enroll in a Part D plan, SBH will ask the
individual to sign the Decline to Participate in the Screening and/or Referral
Process for AHCCCS Health Insurance or Medicare Part D Plan Enrollment
Form (Policy Form 101.3 or 101.4 for Spanish). If the individual refuses to sign
the form, document his/her refusal to sign in their medical record.
•
Individuals who decline to participate in the AHCCCS eligibility and/or
application process will be informed by SBH who they may contact in the
behavioral health system in the future.
•
For those individuals who decline to participate in the AHCCCS eligibility and/or
application process, they will be offered appropriate services through private
pay or SBH will assist the person to obtain alternative services that will meet the
person's needs.
What is the process for non-payment?
•
If an individual verbally expresses an unwillingness to pay or vacates the
premises without paying for services, the individual will be contacted in writing
regarding their payment obligations. If the individual does not make effort to
pay or fails to respond, this constitutes refusal to pay. At this point in time, SBH
can explore options including, but not limited to, offering a payment plan,
collections or discharging from services.
What forms of payment do you accept?
•
SACE is set up to collect multiple forms of payment and will continue to assist
members with AHCCCS enrollment. We have 6 locations throughout Maricopa
County that can collect payment. We do accept cash payments if the cash
payment is the exact amount due.
What is the outreach process for fees?
SERIAL# 240104-RFP
•
Individuals will be contacted in writing regarding their payment obligations. If
the individual does not make effort to pay or fails to respond, this constitutes
refusal to pay. At this point in time, SBH can explore options including, but not
limited to, offering a payment plan, collections or discharging from services.
#20 Job descriptions for positions
3. List all positions and how many are in each. What are the descriptions of the
other roles in your organization?
Position
Number
of Staff
Job description
Program Director
1
Plan and monitor program execution
Mange budgets
Identify and mitigate issues and risk
Maintain Program documentation
Communicate with stakeholders
Psychologist
1
Diagnoses psychological disorders
Diagnoses and treats mental health disorders
Creates individualized treatment plans according to
member needs
Conducts ongoing assessments of member progress
Provides counseling, therapy, and support to
individuals, groups, and families, helping them
address and manage their mental health concerns
Reviews and coordinates all individual/family therapy
referrals
Coordinates care for members
Therapist
2
Diagnoses and treats mental health disorders
Creates individualized treatment plans according to
member needs
Conducts ongoing assessments of member progress
Provides counseling, therapy, and support to
individuals, groups, and families, helping them
address and manage their mental health concerns
Coordinates care for members
Post Doc Resident
1
Diagnoses and treats mental health disorders
Creates individualized treatment plans according to
member needs
Conducts ongoing assessments of member progress
Provides counseling, therapy, and support to
individuals, groups, and families, helping them
address and manage their mental health concerns
Coordinates care for members
Supervises staff
Coordinates care for members
Psychiatrist
1
Uses a variety of methods to evaluate a member,
such as interviewing the member, their family or other
persons.
Develops a treatment plan according to the needs of
the member, and extent of emotional, social,
cognitive, developmental or behavioral disorder.
Treats a member using psychotherapeutic methods
and medication, monitoring the effects of any
medication and adjusting treatment where necessary.
Coordinates care for members by consulting with the
member’s Primary Care Physician, Nurses or other
health care providers
SERIAL# 240104-RFP
Board certified Behavior
Analyst (BCBA)
4
Meets with members to observe and assess their
behavior
Meets with families, teachers or doctors to discuss the
patient's treatment and progress
Designs, implements, and supervises ABA programs
for individuals with developmental disabilities
Supervises RBT’s
Reviews and coordinates all ABA referrals
Completes Functional Behavior Assessments
Provides Consultations
Coordinates care for members
Registered Behavior
Technician/
SACE Technician
15
Provides direct implementation of treatment plans
related to skill- acquisition and behavior reduction.
Collects data and provides support when needed.
Facilitates groups
Coordinates care for members
Program Coordinator
1
Oversees all Community Living programs and
Residential sites
Maintains administrative activities and support day to
day tasks related to the onsite programs
Schedules program work, oversee daily operations,
coordinate the activities of the program and set
priorities for managing the program
Reviews and coordinates all residential and
community living referrals
Provides clinical supervision to staff
Completes assessment for members treatment
Coordinates care for members
Community Living Lead
1
Maintains administrative activities and support day to
day tasks related to the onsite programs
Schedules program work, oversee daily operations,
coordinate the activities of the program
Provides direct implementation of treatment plans
related to skill- acquisition and behavior reduction.
Collects data and provides support when needed.
Facilitates Groups
Supervises staff
Coordinates care for members
Lead Group Coordinator
1
Coordinates, and has direct responsibility for all
groups
Schedules groups, oversee daily group operations,
coordinates the activities for groups
Reviews and coordinates all group referrals
Provides lesson plans and curriculum to groups
providers
Coordinates care for members
Front Office
Representative/MA
2
Answers phone calls and emails
Assists with medication and medical needs
Schedules appointments for members
Reviews referrals for Autism evaluations
Coordinates care for members
1. Describe about your agency’s ability to have and/or develop an electronic feed for MCAO
referrals and discharge information within six months of contract award. This would require your
agency’s IT resources to work with MCAO IT.
SERIAL# 240104-RFP
Our agency has the ability to work with MCAO to develop and implement an electronic feed for
MCAO referrals and discharge information. We will be able to complete the work within six (6)
months of the contract award.
2. MCAO is considering creating a Private Agency Portal for MCAO client referrals and other case
related management. This portal is not currently operational. Using the Private Agency Portal
would not require additional IT infrastructure for the agency; however, there would be required
training your staff would have to participate in. Please acknowledge that if/when this Private
Agency Portal is operational, your agency will be required to use this method of
communication/transmission if an electronic feed is not already in place.
Our agency is willing to utilize the Private Agency Portal for MCAO client referrals and case
related management should the portal become operational. This includes training our staff on the
use of the portal.
SERIAL# 240104-RFP
EXHIBIT C
DEFENDANT ELIGIBILITY REQUIREMENTS AND REIMBURSEMENT GUIDELINES
Contractors of the Developmental Disabilities – Felony Diversion Program (DD-FDP), Domestic
Violence Diversion Program (DVDP), Felony Diversion Program (FDP), Parenting Skills Diversion
Program, Serious Mental Illness – Felony Diversion Program (SMI-FDP), Veterans Diversion Program,
and Opioid Use – Felony Diversion Program Pilot (OU Pilot):
For all non-AHCCCS insured and financially assessed defendants (using Sliding Scale below)
contractors will be reimbursed for:
o 100% of the cost for the Assessment received by the defendant for the contract-prescribed service,
at the contractor’s approved rate;
o 100% of the cost for Case Management services, up to a prescribed maximum of hours as indicated
by the specific diversion program, if such fee is specified in the contractor’s contract at the
contractor’s approved rate;
o
50% for the Case Coordination Fee for managing out of state/out of County (if telehealth services
are not available) defendants receiving services through a Third Party Behavioral Health provider,
if such fee is specified in the contractor’s contract. If the contractor is billing the County/MCAO for
this Case Coordination Fee, no other treatment services can be billed to the County/MCAO; and
o Using the Sliding Scale below, the defendant’s discounted program costs for received, contract-
prescribed diversion treatment services, at the contractor’s approved rate. Adjustments to the
contracted service must be approved by MCAO in order for the Contractor to be reimbursed.
Note: A defendant will be ineligible to receive a discount in program costs given any of the following
circumstances: 1) The defendant is unwilling to be financially assessed or does not comply with
financial assessment requirements or does not complete the financial assessment process within set
timelines, 2) The defendant is financially assessed, and it is determined that the defendant is AHCCCS-
eligible but refuses to apply for AHCCCS, or 3) The defendant is financially assessed, and it is
determined that the defendant does not qualify for a discount – see Sliding Scale below. If the
defendant’s financial circumstances change while in diversion, the defendant may request a
reconsideration of their financial assessment determination by the contractor.
Contractor Reimbursement Requirements and Comments:
o
Contractors must be registered vendors with Maricopa County. If you are an unregistered
vendor, please use the following links to register: Doing Business/Vendor Registration |
Maricopa County, AZ Maricopa County VSS (hostams.com)
o
Once registered, contractors must invoice against a Purchase Order Number, which will be
provided in a subsequent email message.
Household
Size
2023
Federal
Poverty
Levels
1
$14,580
$0
$19,392
$19,393
$24,203
$24,204
$29,014
$29,015
$33,826
2
$19,720
$0
$26,232
$26,233
$32,735
$32,736
$39,243
$39,244
$45,750
3
$24,860
$0
$33,072
$33,073
$41,268
$41,269
$49,471
$49,472
$57,675
4
$30,000
$0
$39,900
$39,901
$49,800
$49,801
$59,700
$59,701
$69,600
5
$35,140
$0
$46,740
$46,741
$58,332
$58,333
$69,929
$69,930
$81,525
6
$40,280
$0
$53,580
$53,581
$66,865
$66,866
$80,157
$80,158
$93,450
7
$45,420
$0
$60,420
$60,421
$75,397
$75,398
$90,386
$90,387
$105,374
8
$50,560
$0
$67,260
$67,261
$83,930
$83,931
$100,614
$100,615
$117,299
For each additional
person over 8, add to
FPL:
$5140 annual
Adjusted for
AHCCCS Feb 2023,
add:
$570 month/or
$6840 annual
$0 Defendant Copay
25% Defendant Copay 50% Defendant Copay 75% Defendant Copay 100% Defendant Pay
$117,300
$105,375
$33,827
$45,751
$57,676
$69,601
0% Discount Range
$81,526
$93,451
MCAO Sliding Scale for ARPA Funds Using 2023 Federal Poverty Levels & AHCCCS Eligibility as of 2/13/23
Covered by Medicaid 75% Discount Range
50% Discount Range
25% Discount Range
AHCCCS-Insured
Non-AHCCCS-Insured
SERIAL# 240104-RFP
o
Contractors will submit an itemized invoice to MCAO for the preceding month, with defendant
details as indicated in the MCAO diversion program contract. The Purchase Order Number
must be referenced on the invoice.
o
The effective date is March 7, 2022. Contractor reimbursements and defendant co-pays
become effective for defendants referred to the diversion program on or after the effective date.
No contractor reimbursements or defendant co-pays will be honored retroactively.
o
Reimbursement to contractors is contingent upon the availability of ARPA funds and is not
guaranteed.
o
It is the responsibility of the Contractors to track service maximums. Providing additional
services to defendants outside of diversion requirements will be viewed as voluntary services
and will not be reimbursed.
o
ARPA funding expires on December 31, 2025, unless reauthorized by the Maricopa County
Board of Supervisors.
o
Contractors must submit to MCAO monthly reports detailing the aggregate number of
defendants receiving ARPA funds, by Sliding Scale tier, for the preceding month.
o
Use of ARPA funds for training and certification will be distributed as determined by MCAO.