HomeMy WebLinkAboutMINUTES - 11081994 - 2.4 TO: BOARD OF SUPERVISORS _ �
FROM: MarkFinucane, Health Services Director ` Contra
t
�`ra
L_By: . _c Eliza�)sth A. Spooner, Contracts Administrator
Costa
DATE: October 27, 1994 County
SUBJECT: Approval of Standard Agreement #29-488 (State #NNA07-94) with the
State Department of Alcohol and Drug Programs
SPECIFIC REQUEST(S) OR RECOMMENDATION(S) & BACKGROUND AND JUSTIFICATION
I. RECOMMENDED ACTION:
Approve and authorize the Health Services Director or his designee (Chuck
Deutschman) to execute on behalf of the County, Standard Agreement #29-488 (State
#NNA07-94) with the State Department of Alcohol and Drug Programs, for the 3-year
period from July 11 1994 through June 30, 1997, with a Fiscal Year 1994-95 payment
limit of $5,547,856, to fund a portion of the County's Community Substance Abuse
services.
II. FINANCIAL IMPACT:
This State Net Negotiated Amount (NNA) Agreement represents a fundamental change in
the way that the State transmits funding to counties for alcohol and drug abuse
services; the funding amounts are basically the same as last fiscal year.
The Agreement covers only the Federal Substance Abuse Prevention and Treatment
(SAPT) Block Grant, Federal Drug Free Schools and Community (DFSC) Funds, State-
funded Parolee Services Projects, and State-funded Perinatal Treatment Expansion
Projects (PTEP) , and Fiscal Year 1994-95 funding for these Programs is allocated as
follows:
CONTRACT REQUIRED
FUNDING COUNTY
AMOUNTS MATCH
Federal SAPT B1ock ;Grant $ 4,758,361 $ -0-
Federal DFSC Funds ' 176,901 -0-
State Parolee Services Funds 379,535 -0-
State Perinatal Treatment Funds 233,059 25,895
FY 1994-95 FUNDING..TOTAL $ 5,547,856 $ 25,895
COMBINED EXPENDITURE TOTAL $5,573,751
Funding amounts for future fiscal years under this Agreement are estimated to be
$5,491,989 for Fiscal Year 1995-96, and $5,436,589 for Fiscal Year 1996-97.
CONTINUED ON ATTACHMENT: X YES SIGNATURE:
RECOMMENDATION OF COUNTY ADMINISTRATOR RECOMME ATI N OF BOARD COMMITTEE -�
APPROVE OTHER
SIGNATURE(S) Q
ACTION OF BOARD ON ��� :� O 1 fly- APPROVED AS RECOMMENDED OTHER
VOTE OF SUPERVISORS
UNANIMOUS (ABSENT 2jiP ) I HEREBY CERTIFY THAT THIS IS A TRUE
AYES: NOES:,: AND CORRECT COPY OF AN ACTION TAKEN
ABSENT: ABSTAIN: AND ENTERED ON THE MINUTES OF THE BOARD
OF SUPERVISORS ON THE DATE SHOWN.
Contact: Chuck Deutschman (313-6350)
CC: Health Services (Contracts) ATTESTED ���
Auditor-Controller (Claims) Phil Batchelor,Batchelor, Clerk�e Board ofBoard of
State Department of Alcohol and SupejvWi34PdCW1 VAdMWL,&aW
Drug Programs
M382/7•83 BY �� DEPUTY
Standard Agreement #29-488
Board 'Order ' ,
Page 2
All other funding from the State Department of Alcohol and Drug Programs will come
to the County through other State contracts or funding mechanisms, e.g. , State
funding for general substance abuse services, vocational rehabilitation, school-
community primary prevention programs, Drug Medi-Cal, and Perinatal Medi-Cal
services.
III. REASONS FOR RECOMMENDATIONS/BACKGROUND:
.
Beginning with Fiscal Year 1994-95, the State has developed a three-year contract
to replace its requitement for counties to prepare a comprehensive annual substance
abuse services plan: and its issuance of an all-inclusive allocation letter which
provided funding for the substance abuse services described in the plan.
This three-year NNA Contract obligates the County to provide a specified "dedicated
capacity" or amount -of service in exchange for funding. The dedicated capacity is
expressed in terms of providing a certain minimum number of service units, such as
available staff hours, available treatment days, and available bed days for
specified support services, primary and secondary prevention services, outpatient
aftercare treatment ,services, daycare habilitative treatment services, residential
treatment services, and ancillary services, such as case management. Furthermore,
the Contract contains provisions which will allow the County to retain and redirect
unspent State and Federal funds for use from one fiscal year to the next for the
delivery of substance abuse services.
Three (3) copies of the certified/sealed Board Order should be returned to the
Health Services Contracts and Grants Unit for submission to the State.
STA F CALIFOgNUk
ST fWARD AGREEMENT— APPROVED BY THE' CONTRACTNUMBER AM.NO.
ATTORNEY GENERAL
sTD.x(REv.s t+,) , NNA07-94
• TAXPAYERS FEDERAL EMPLOYER IDENTIFICATION NUMBER
THIS AGREEMENT,made and entered into this 1st day of July '1994 94-6000509
in the State of California,by and between State of California,through its duly elected or appointed,qualified and acting
TITLE OF OFFICER ACTING FOR STATE AGENCY
DEPUTY DIRECTOR, DIV. OF ADMIN. ALCOHOL AND DRUG PROGRAMS „here-aft"called the State,and
CONTRACTOR'S NAME
COUNTY OF CONTRA COSTA 2 ✓ — 4 ' 's , +. ,hereafter called the Contractor.
I
WITNESSETH: That the Contractor for and in consideration of the covenants,conditions,agreements,and'stipulations of the State hereinafter expressed,
does hereby agree to furnish to the State services and materials as follows: (Set forth service to be rendered by Contractor,amount to be paid Contractor,
time for performance or completion,and attach plans and specifications,if any.) 1
Whereas, the Department of Alcohol and Drug Programs, (hereinafter referred to
as the State) administers Division 10.5 of the Health and Safety Code commencing
with Section 11750, et seq., which provides for the rendering of alcohol and/or
drug services throughout California; and
Whereas, such agreements are authorized and provided for by the provision of
Chapter 3, Division 10.5 of the Health and Safety Code, commencing with Section
11758.10.
Therefore, the State and the County do hereby enter into the following agreement
in an amount not to exceed $16,476,434 for the three-year multi-year contract
period as detailed in Exhibit Al, Fiscal Allocation Detail .
19
CONTINUED ON SHEETS,EACH BEARING NAME OF CONTRACTOR AND CONTRACT NUMBER.
The provisions on the reverse side hereof constitute a part of this agreement.
IN WITNESS WHEREOF,this agreement has been executed by the parties hereto,upon the date first above written.
STATE OF CALIFORNIA CONTRACTOR
AGENCY CONTRACTOR(ll other than an endwdua(stats whapPer a corporation,pertnershp.etc.)
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS COUNTY OF CONT COSTA
\(AUTHORI �NVRE) BY AIrTH D SIC>�1TUF(E)
DRINTED AME OF PERSON SIGNING P INTED NAME AND TITLE O ERSON SIGNING
Ric and Frantz Chuck Deutsctman, S. A. Division Director
TITLE ADDRESS
Deputy Director Division of Administration 597--enter Avenue, jSuite 320, Martinez, CA 94553
,
MOUNT ENCUMBERED BY THIS PROGRAM/CATEGORY(CODE AND TITLE) FUND TITLE Department of General Services
)OCUMENT Local Assistance Gen/Fed use only
Q
`P (OPTIONAL USE)
IS CONTRACT NT ENCUMBERED FOR
"HIS CONTRACT Negotiated Net Amount Contract
'H � PoLtcY euo�rT
$ -0- (TEM 4200-001-001 CHAPTER STATUTE FISCAL YEAR De mint of General Services
fO,DTALAMOUNT ENCUMBERED TO 4200-101-890/-102-0011 139 1994 94/95 APPROVED
)ATE OBJECT OF EXPENDITURE(CODE AND TITLE)
$ 5,547,856.00 See Exhibit Al Fiscal Allocation Detail DEC 12 1994
I hereby certify upon my own personal knowledge that budgeted funds T.B.A.NO. B.R.NO.
are available for the period andp tposa of the expenditure ata ed above.
HGNATURE OF ACCOUNTING OFFICy,
DAA B 4
"'t.chief Gamer
CONTRACTOR STATE AGENCY D DEPT.OF GEN.SER. CONTROLLER
1 ARTICLE I: FORMATION
2
3 8. Authority
4
5 The State Department of Alcohol and Drug Programs, hereinafter
6 called the State, and the identified county, hereinafter
7 called the County, enter into this contract by authority of
8 Chapter 3 , Part 1, Division 10.5- of the Health and Safety Code
9 and with approval of the County Board of Supervisors or
10 designee for the purpose of providing alcohol and drug
11 services, which will be reimbursed through a negotiated net
12 amount. The parties identified are the only parties to the
13 contract and are exclusive of any third party beneficiaries.
14
15 9. Control Requirements
16
17 a. Performance under the contract is subject to all
18 applicable federal and state laws, regulations, and
19 standards. In accepting the State drug and alcohol
20 combined program allocation pursuant to Health and Safety
21 Code section 11757 (a) and (b) , the County shall establish
22 accounting procedures consistent with the following
23 statutory requirements, and shall be held accountable for
24 audit exceptions taken by the State against the County
25 and its contract providers for failure to comply with
26 federal expenditure requirements:
27
28 (1) Health and Safety Code, Division 10.5;
29
30 (2) Title 9, California Code of Regulations, Division
31 4 ;
32
33 (3) Government Code,- Article 1.7, Federal Block Grants,
34 Chapter 2, Part 2, Division 4, Title 2, commencing
35 at Section 16366.1;
36
37 (4) Government Code, Article 7, Federally Mandated
38 Audits of Block Grant Funds Allocated to Local
39 Agencies, Chapter 1, Part 1, Division 2, Title 5,
40 commencing at Section 53130;
41
42 (5) 42 USC, Section 300x-5; Reports and Audits for
43 Block Grants;
44
45 (6) Block Grant [Public Law 102-321 (42 USC commencing
46 at Section 101) ] ; and,
47
48 (7) Single Audit Act of 1984 (Public Law 98-502) and
49 corresponding circular, OMB Circular A-128 and A-
50 133 .
51
52
2
1 The County is to be familiar with laws and regulations
2 and assures that the County's contractors will also be
3 familiar with such laws.
4
5 b. The provisions of this contract are not intended to
6 abrogate any provisions of law or regulation, or any
7 standards existing or enacted during the term of this
8 contract.
9
10 C. Exhibit B1 contains the minimal provisions which are to
11 be adhered to by the County in the expenditure of the
12 Substance Abuse Prevention and Treatment Block Grant
13 funds. Exhibit B1 Substance Abuse Block Grant
14 Requirements are attached hereto and incorporated by
15 reference.
16
17 d. This contract is subject to any additional restrictions,
18 limitations or conditions enacted by the federal or state
19 government which affect the provisions, terms, or funding
20 of this contract in any manner.
21
22 e. Exhibits Cl, C2, C3 , C4, C5, and C6 contain additional
23 miscellaneous requirements which shall be adhered to by
24 those counties that receive the types of funds referenced
25 in the exhibits. Exhibit C1, School Community Primary
26 Prevention; C2, Drug Free Schools and Communities; C3,
27 Driving Under the Influence; C4 , Perinatal Services
28 Network Requirements; C5, Department of Corrections
29 Services; and C6, Friday Night Live and Club Live are
30 attached and incorporated by reference as additional
31 requirements which attach to the identified program.
32
33 10. Term of Contract
34
35 The term ofthis contract shall be from July 1, 1994 through
36 June 30, 1997.
37
38 11. Contract Negotiation
39
40 Contract negotiations shall be conducted between the County
41 and the State through their authorized representative(s) each
42 year of the multi-year contract period. Negotiations may be
43 conducted at State headquarters at 1700 K Street, Sacramento,
44 once during the multi-year contract period. In the
45 alternative, negotiations shall be conducted by
46 correspondence. However, in the event the County and the
47 State, through their authorized representative(s) , cannot
48 resolve issues of disagreement by correspondence, the State
49 reserves the right to require the attendance of the County-
50 authorized representatives) at State headquarters for the
51 limited purpose of resolving issues of disagreement.
3
1 Any failure by the State-or the County-authorized
2 representative(s) to ' attend any scheduled headquarters
3 negotiation at the scheduled time will constitute a- delay by
4 the State or the County, respectively, pursuant to Health and
5 Safety Code section 11758.12 (b) (2) .
6
7 12. Contract Amendments
8
9 Both the County and the State may agree to amend or
10 renegotiate the net amount contract at any time. Contract
11 amendments will be required to change encumbered amounts for
12 each year of the multi-year contract period.
13
14 13 . Thirty Day Termination
15
16 This contract may be terminated at any time by either party by
17 giving thirty (30) days written notice to the other party.
18
19 ARTICLE II: DEFINITIONS
20
21 14 . The words and terms of this contract are intended to have
22 their usual meanings unless a particular or more limited
23 meaning is associated with their usage pursuant to Health and
24 Safety Code section 11750 et seq. , and Title 9, California
25 Code of Regulations, section 9000 et seq.
26
27 a. "Available Capacity" means the number of units of service
28 (bed days, hours, slots, etc. ) that a county actually
29 makes available in the current fiscal year.
30
31 b. "Dedicated Capacity" means the historically calculated
32 service modality and service capacity that is adjusted
33 for the projected expansion or reduction in services that
34 the counties agree to make available to provide drug and
35 alcohol services to persons otherwise eligible for county
36 services.
37
38 C. "Encumbered Amount" is that amount reflected on the
39 Standard Agreement and supported by Exhibit Al, the
40 Fiscal Allocation Detail, as the Negotiated Net Amount
41 less the required County match.
42
43 d. "Final Allocation" means the amount of .funds identified
44 in the last allocation letter.issued by the State for the
45 current fiscal year.
46
47 e. "Modality" means those necessary general activities
48 identified in Exhibits A2, A3, and A4 to provide
49 alcohol/drug prevention or treatment, or both, which
50 conform to the services available pursuant to Division
51 10.5 of the Health and Safety Code.
52
4
1 F. "Negotiated Net Amount" means the contracted amount ,for
2 services agreed to by the State and the County. The net
3 amount reflects only those funds allocated to the County
4 (e.g. State General Funds, Substance Abuse Block Grant
5 Funds, etc. ) and the required county match for State
6 General Funds as reflected in Exhibits A2, A3, and A4 the
7 Dedicated Capacity Reports. It does not include other
8 revenue budgeted by the County such as client fees or
9 county revenue in excess of the required match for State
10 General Funds. The cost per unit for the dedicated
11 capacity to be provided for each service modality
12 identified in the contract will be based on the net
13 amount of the contract. Exhibits A2 , A3 , and A4 will be
14 used as the negotiating documents and are deemed
15 incorporated by reference into this contract.
16
17 g. "Performance" means:
18
19 (1) Providing the dedicated capacity in accordance with
20 Exhibits A2, A3, and A4 ; and,
21
22 (2) abiding by the terms of the contract including all
23 applicable State and Federal statutes, regulations,
24 and standards in expending funds for the provision
25 of alcohol and drug services.
26
27 h. "Revenue" means income from sources other than the
28 Department of Alcohol and Drug Programs allocation and
29 the required county match.
30
31 i. "Service Element" is the specific activity performed
32 within the more general modality. A description of the
33 various service elements and service element codes will
34 be provided to the County by the State.
35
36 j . "Unit of Service" is defined below, by service
37 modalities:
38
39 SUPPORT' SERVICES:
40
41 Available staff hours.
42
43 PRIMARY AND SECONDARY PREVENTION ACTIVITIES:
44
45 Available staff hours.
46
47 NONRESIDENTIAL TREATMENT:
48
49 Available staff hours;
50 Available days (days x capacity) for Day Care
51 Habilitative only.
52
5
1 RESIDENTIAL TREATMENT:
2
3 Available bed days.
4
5 CHEMICALLY ASSISTED TREATMENT - METHADONE:
6
7 Slot days (slots x available days) for Methadone
8 Maintenance and Detoxification;
9 Available bed days for Inpatient Methadone
10 Detoxification.
11
12 CHEMICALLY ASSISTED TREATMENT - NON METHADONE:
13
14 Slot days (slots x available days) for Maintenance
15 and Detoxification;
16 Available bed days for Inpatient Detoxification.
17
18 ANCILLARY SERVICES:
19
20 Available staff hours.
21
22 DRIVING UNDER THE INFLUENCE PROGRAM:
23
24 Clients served.
25
26 k. "Utilization" means the total actual units of service
27 provided.
28
29
30 ARTICLE III: FISCAL PROVISIONS
31
32
33 15. Funding Authorization
34
35 a. This contract is valid and enforceable subject to
36 sufficient funds being made available to the State by the
37 United States Government for the period of time covered
38 by this contract as stated in Article I, Section 10, and
39 subject to authorization and appropriation of sufficient
40 funds pursuant to the State's Budget Act.
41
42 b. In the event the United States Government and/or the
43 State Government do not authorize and appropriate
44 sufficient funds for the State to allocate amounts
45 pursuant to the Payment Provisions of the contract, it is
46 mutually agreed that:
47
48 (1) The contract shall be amended to reflect any
49 reduction in the Payment Provisions and the
50 Performance Provisions.
51
52
6
y
1 (2) Notwithstanding Article I, Section 13, the State
2 has the option to void the contract. To the extent
3 there is insufficient money for the contract to be
4 considered valid and enforceable pursuant to
5 subdivision (a) , the contract will end immediately.
6
7 c. The participating county shall bear the financial risk in
8 providing any alcohol or drug service, or both, to the
9 population described and enumerated in the contract
10 within the net amount.
11
12 d. This contract shall not preclude the county from
13 subcontracting to purchase all or part of the delivery of
14 alcohol or drug services, or both, from noncounty
15 providers.
16
17 16. Payment Provisions
18
19 a. The Negotiated Net Amount shall be based upon the
. 20 projected cost of services less the projected revenues.
21 The projected cost of services shall be based upon
22 historical cost and actual cost data provided to the
23 State by the County.: _
24
25 b. The total amount payable by the State to the County under
26 this contract for the period covered by Article I,
27 Section 10, shall not exceed the encumbered amount, by
28 fiscal year. The funds identified for the fiscal years
29 covered by this contract are subject to increase or
30 decrease dependent upon the availability of the
31 appropriations by the Legislature and the Federal
32 Government. The amount of funds available for
33 expenditure by the County shall be limited to the amount
34 identified in the final allocations issued by the State
35 for that fiscal year, or the negotiated amount to the
36 extent the negotiated amount is less than the final
37 allocation. Changes to encumbered funds will require an
38 amendment to the contract.
39
40 C. In the event a contract amendment is required pursuant to
41 Paragraph b. , above, the County shall submit to the State
42 any contract exhibits requested by the State to initiate
43 the contract amendment. Any such requested exhibits
44 shall be forwarded to the State by September 1, or sixty
45 (60) days after the State issues a statement of the
46 final allocation for the current fiscal year, whichever
47 is later.
48
49
50
51
52
7
' 1
1 d: The State shall reimburse the County monthly in arrears
2 based upon the amount encumbered in the contract, or the
3 preliminary allocation, whichever is less. The monthly
4 payment shall be the amount of the contract less the
5 amount already reimbursed to the County divided by _the
6 number of months remaining in the contract period.
7
8 (1) Monthly disbursements to the participating
9 County at the beginning of the second and
10 third fiscal year of the contract shall be
11 based on the preliminary allocation of funds
12 by the State as detailed by fiscal year in
13 Exhibit Al, the Fiscal Allocation Detail,
14 which is incorporated by this reference.
15 Final allocations will reflect any increases
16 or reductions in the appropriations as enacted
17 with the Budget Act, and shall commence with
18 approval of the contract or contract
19 amendment. To the extent the amendment
20 encumbers an amount that is less than the
21 final allocation, disbursements will reflect
22 the lesser amount.
23
24 e. Monthly payments may be withheld for late submission of
25 reports required pursuant to Article VI. Upon receipt of
26 the report, the County's monthly payment shall commence
27 with the next scheduled monthly payment, and shall
28 include any funds withheld due to late submission of the
29 report.
30
31 f. Adjustments may be made to the total amount of the
32 contract and amounts may be withheld from payments made
33 pursuant to Paragraph d. , above, for nonperformance to
34 the extent that nonperformance involves fraud, abuse, or
35 failure to achieve contract objectives.
36
37 17. Accrual of Interest
38
39 Counties are not allowed to retain more than $100 in interest
40 earned on federal funds per year per Title 34, CFR, 80.21 (i) .
41 Interest earned in excess of this amount is to be returned to
42 the State.
43
44 18. Transfer of Money
45
46 Transfers of 10 percent or more of the contracted amount per
47 fiscal year between modalities, as identified in Exhibits A2,
48 A3, and A4 of the contract, will require an amendment to the
49 contract. Amendments are subject to County Board of
50 Supervisors or designee and Department of General Services
51 review and approval. Transfers of less than 10 percent of the
52 contracted amount per fiscal year are subject to prior
8
1 approval by the State when the transfer is between modalities
2 and subj ect to subsequent reporting by the County to the State
3 consistent with Article VI reporting requirements when the
4 transfer is between service elements. Determinants for prior
5 approval will include identification of the amount to be
6 transferred, the location of the transfer, the need for the
7 transfer, and the effect on the negotiated service delivery.
8
9 19. Audit
10
11 a. All expenditures of state and federal funds furnished to
12 the County and the County's contract providers pursuant
13 to this contract are subject to audit by the State. Such
14 audits ' shall consider and build upon audits already
15 performed pursuant to audit requirements of the Single
16 Audit Act of 1984 . Objectives of such audits may
17 include, but not be limited to, the following:
18
19 (1) To determine whether reported service utilization
20 is accurate;
21
22 (2) To validate data reported by the County for
23 prospective contract negotiations;
24
25 (3) To. provide technical assistance in establishing and
26 maintaining adequate accounting and internal
27 control systems;
28
29 (4) To determine the cost of services, net of related
30 patient and participant fees, third party payments,
31 and other related revenues and funds;
32
33 (5) To; determine that expenditures are made in
34 accordance with applicable state and federal laws
35 and regulation and contract requirements;
36
37
38 (6) To comply with OMB Circular A-133 requirements when
39 a •.contract provider fails to obtain the required
40 audit;
41
42 (7) To fulfill primary recipient responsibilities by
43 following up on non-compliance issues reported in
44 OMB Circular A-128 and A-133 audit reports; and,
45
46 (8) To determine facts in relation to analysis of data,
47 complaints, or allegations, which may be indicative
48 of fraud, abuse, or failure to achieve contract
49 objectives.
50
51
52
9
1 b.' Absent a finding of fraud, abuse, or failure to achieve
2 contract objectives, no restrictions shall be placed upon
3 a County's expenditure or retention of State General
4 Funds received pursuant to this chapter.
5 _
6
7 C. The County shall require an audit of its contracts with
8 providers of services funded in whole or in part with
9 federal funds of $25,000 or more awarded through this
10 contract pursuant to the Single Audit Act of 1984. The
it audit shall comply with the U.S. Office of Management
12 and Budget's Circular No. A-133 which applies to
13 nonprofit organizations, and A-128 which applies to local
14 government units. An audit of the funds awarded under
15 this contract shall be performed under the Comptroller
16 General of the United States' "Standards for Audit of
17 Governmental Organizations Programs, Activities, and
18 Functions. " A copy of the audits performed in accordance
19 with A-133 shall be submitted to the State Department of
20 Alcohol and Drug Programs no later than thirty (30) days
21 after completion of the audit report, or no later than
22 thirteen (13) months after the end of the provider's
23 fiscal year, whichever comes first. The County shall
24 require its providers to have a clause, in its contracts
25 with. audit firms, permitting access by the State to the
26 working papers of the external, independent auditor. The
27 work papers and the audit reports shall be retained for
28 a minimum of three years from the date of the audit
29 report, unless the auditor is notified in writing by the
30 State to extend the retention period.
31
32
33 d. Pursuant to OMB Circular A-128 and A-133, the Department
34 may impose sanctions against a county for not submitting
35 independent audit reports. The sanctions imposed will
36 include withholding a percentage of federal funds awarded
37 to the County until the audit is completed
38 satisfactorily.
39
40 e. This contract, and any subcontracts, shall be subject to
41 the examination and audit by the State Auditor General
42 for a period of three years from the date that final
43 payment is made pursuant to the contract (Gov. Code sec.
44 10532) .
45
46 (This does not preclude access to records by the State
47 Department of Alcohol and Drug Programs, the Controller
48 General of the United States or any of their authorized
49 representatives. )
50
51
52
10
1 20. Revenue Collection
2
3 The County shall conform to revenue collection requirements at
4 Division 10:5 of the Health and Safety Code, sections 11841
5 and 11991. 5. , _
6
7 21. County Match Reciuirements
8
9 The County shall comply with the following county match
10 requirements; pursuant to Health and Safety Code sections
11 11840, 11840. 1, and 11987.4:
12
13 a. Counties with populations over 100, 000:
14
15 (1) State General Fund allocations, if any, not used as
16 Drug/Medi-Cal match shall be funded on the basis of
17 90, percent State General Funds and 10 percent
18 County funds, except local hospital inpatient
19 costs, to the extent there are allocations made for
20 local hospital inpatient costs;
21
22 (2) State Hospital programs shall be funded on the
23 basis of 85 percent State General Funds and 15
24 percent County funds.
25
26 b. Counties with populations less than 100,000:
27
28 (1) State Hospital programs shall be funded on the
29 basis of 90 percent State General Funds and 10
30 percent County funds, to the extent that
31 allocations of State General Funds are made
32 available for State Hospital programs.
33
34 C. Drug Free Schools and Communities Act (DFSC) funds shall
35 be used to support Primary Drug Prevention Programs.
36 State General Funds, used to support the School-Community
37 Primary Prevention Program (SCPPP) , shall be funded with
38 90 percent State administered funds and 10 percent school
39 district or community organization funds. In the event
40 State General Funds are not provided for SCPPP, the
41 required match for SCPPP will not apply.
42
43 d. Perinatal Services Network counties with populations over
44 100, 000:
45
46 (1) State General Funds, if any, not used as Drug/Medi-
47 Cal match shall be funded on the basis of 90
48 percent State General Funds and 10 percent County
49 funds.
50
51
52
11
1 22'. Contract Cost Efficiencies
2
3 a. It is intended that the cost to the County in maintaining
4 the dedicated capacity and units of service shall be met
5by the total funding available for these services. _The
6 total funding shall be derived from negotiated net
7 amounts and revenues. Amounts awarded pursuant to this
8 contract shall not be used for services where payment has
9 been made or can reasonably be expected to be made under
10. any other state or federal compensation or benefits
11 program, or where services can be paid for from revenues.
12
13 b. The County shall notify the State by April 1 of the
14 estimated amount of unspent State General Funds, if any,
15 for the current fiscal year. Unspent State General Funds
16 may be retained by the County (exclusive of amounts
17 reimbursable to the Department of Corrections pursuant to
18 Exhibit C5) and spent on identifiable drug and alcohol
19 services in accordance with the contract.
20
21 C. Pursuant to Health and Safety Code sections 11758.12 (f)
22 and (g) , federal funds savings [exclusive of Center for
23 Substance Abuse Treatment (CSAT) and Center for Substance
24 Abuse Prevention (CSAP) grants] shall be treated as
25 follows:
26
27 (1) The County shall notify the State by April 1 of the
28 current fiscal year of the estimated amount of
29 federal funds savings to be redirected from the
30 fiscal year ending June 30, to the next fiscal year
31 beginning July 1;
32
33 (2) The County shall include the savings in the next
34 fiscal year contract subject to the approval of the
35 State, the Legislature and an amendment to the
36 current fiscal year contract;
37
38 (3) Federal funds savings not identified for
39 redirection by April 1, of the current fiscal year
40 shall be returned to the State as part of the
41 settlement of the annual cost report;
42
43 (4) Any savings redirected from the current fiscal year
44 to the next fiscal year plus any accrued interest
45 (see Article III, Section 17) shall be included on
46 the identified lines of the summary budget for the
47 contract year;
48
49 (5) Federal funds savings shall be spent first by the
50 County in the next fiscal year and shall be used
51 for necessary and allowable expenditures (except
52 program expansion) exclusive to drug and alcohol
12
r.;,
1 services and any categorical set-aside requirements
2 pertinent to "those funds.
3
4
5 ARTICLE IV: PROGRAM PROVISIONS
6
7
8 23 . Confidentiality of Information
9
10 The County shall conform to, and shall monitor compliance with
it all state and federal statutes and regulations regarding
12 confidentiality, including the confidentiality of information
13 requirements at Part 2 , Title 42, Code of Federal Regulations,
14 and at section 11977, Division 10. 5 of the Health and Safety
15 Code.
16
17 24. Equal Opportunity Clause
18
19 a. The County certifies compliance with Government Code
20 section 12990 and California Administrative Code, Title
21 II, Division 4, Chapter 5 in matters related to the
22 development, implementation and maintenance of a
23 nondiscrimination program. The County shall not
24 discriminate against any employee or applicant for
25 employment because of race, religion, color, national
26 origin, ' physical or mental disability, marital status,
27 sex or age. The County will take affirmative action to
28 ensure that qualified applicants have equal opportunity
29 for employment, and that qualified employees have equal
30 opportunity during employment. Such action shall
31 include, but not be limited to, the following:
32 employment; upgrading; demotion or transfer; recruitment
33 or recruitment advertising; layoff or termination; rates
34 of pay or other forms of compensation; career development
35 opportunities and selection for training, including
36 apprenticeship.
37
38 b. The County agrees to post, and further agrees to require
39 its contractors to post in conspicuous places, available
40 to employees and applicants for employment, notices
41 setting forth the provisions of the Equal Opportunity Act
42 [42 USC 2000(e) ] , conforming with Federal Executive Order
43 No. 11246. The County agrees to comply, and further
44 agrees ;to require its contractors to comply with the
45 provisions of the Rehabilitation Act of 1973 (29 USC
46 794) .
47
48
49
50
51
52
13
, J
1 25% Ndndiscrimination
2
3 a. By signing this contract the County certifies under the
4 laws of the State of California that the County and its
5 contractors shall not unlawfully discriminate in the
6 provision of services because of race, color, creed,
7 national origin, sex, age, or physical or mental
8 disability as provided by state and federal law and in
9 accordance with Title VI of the Civil Rights Act of 1964
10 [42 USC 2000(d) ] ; the Age Discrimination Act of 1975 (42
11 USC 6101) ; the Rehabilitation Act of 1973 (29 USC 794) ;
12 The Education Amendments of 1972 (20 USC 1681) ; The
13 Americans with Disabilities Act of 1990 (42 USC 12132) ;
14 the provisions of the Fair Employment and Housing Act
15 (Gov. Code Sec. 12900 et seq. ) , and the regulations
16 promulgated thereunder (Title 2, CCR sec. 7285.0 et
17 seq. ) ; Title 2, Division 3 , Article 9.5 of the
18 California Government Code, commencing with section
19 11135; and Title 9, Division 4, Chapter 6 of the
20 California Code of Regulations, commencing with section
21 10800.
22
23 b. For the purpose of this contract, distinctions on the
24 grounds of race, color, creed, national origin, sex, age,
25 or physical or mental disability include, but are not
26 limited to, the following: denying a participant any
27 service or providing a benefit to a participant which is
28 different, or is provided in a different manner or at a
29 different time from that provided to other participants
30 under this contract; subjecting a participant to
31 segregation or separate treatment in any matter related
32 to the receipt of any service; restricting a participant
33 in any way in the enjoyment of any advantage or privilege
34 enjoyed by others receiving any service or benefit;
35 treating a participant differently from others in
36 determining whether the participant satisfied any
37 admission, enrollment, eligibility, membership or other
38 requirement or condition which individuals must meet in
39 order to be provided any service or benefit.
40
41 C. The County shall take affirmative action such as
42 assessment and monitoring to ensure that beneficiaries
43 and intended beneficiaries of service are provided
44 services without regard to race, color, creed, national
45 origin, sex, age, or physical or mental disability, and
46 shall include nondiscrimination and compliance provisions
47 in all subcontracts. The County shall establish written
48 procedures under which service participants are informed
49 of their rights including their right to file a complaint
50 alleging discrimination or a violation of their civil
51 rights. Participants shall be provided a copy of their
52 rights which shall include the right of appeal and the
14
1 right to be free from sexual harassment and sexual
2 contact by members of the treatment, recovery, advisory,
3 or consultant staff.
4
5 d. The County shall do a self evaluation to identify
6 facilities accessible to the disabled within the County
7 and shall develop a transition plan for making additional
8 facilities available to the disabled. The self-
9 evaluation plan may reflect a "core service" concept
10 consistent with requirements at Title 28 , Code of Federal
11 Regulations, section 35. 150 and shall provide for
12 assessment consistent with the Voluntary Compliance
13 Agreement between the Office of Civil Rights, Department
14 of Health and Human Services and the State, conditional
15 upon notice of said Agreement to the County from the
16 State. The County shall assure that nonaccessible
17 facilities have in place appropriate referral mechanisms
18 for transferring clients to programs that provide
19 substantially equivalent services to those requested by
20 the service participant, including procedures for
21 transportation.
22
23 e. The County shall keep records of the procedures
-24 referenced in subdivision c. and d. , and copies of the
25 required Notice of Client's Rights, in order for the
26 State to determine compliance with this section and with
27 state and federal legal requirements including the
28 Voluntary Compliance Agreement.
29
30 f. Standard form 17A is incorporated by reference (Exhibit
31 C8) .
32
33 26. Drug-Free Work Place
34
35 By signing this contract the .County certifies under penalty of
36 perjury under the laws of the State of California that the
37 County and its contractors will comply with the requirements
38 of the Drug Free Workplace Act of 1990 (Gov. Code § 8350 et
39 seq. ) and will provide a drug free workplace by taking the
40 following actions:
41
42 a. Publish a statement notifying employees that the
43 unlawful manufacture, distribution, dispensation,
44 possession, or use of a controlled substance is
45 prohibited in the person's or organization's work
46 place and specifying the actions that will be taken
47 against employees for violations of the
48 prohibitions as required by Government Code section
49 8355 (a) .
50
51
52
15
' J
1 b. Establish a drug-free awareness program as required
2 by Government Code section 8355 (b) to inform
3 employees about all of the following:
4
5 (1) The dangers of drug abuse in the work place;
6
7 (2) The person's or organization's policy of
8 maintaining a drug-free work place;
9
10 (3) Any available drug counseling, rehabilitation,
11 and employee assistance programs; and,
12
13 (4) The penalties that may be imposed upon
14 employees for drug abuse violations.
15
16 C. Provide, as required by Government Code section
17 8355(c) , that every employee engaged in the
18 performance of the contract:
19
20 (1) Be given a copy of the County's
21 drug-free policy statement; and
22
23 (2) as a condition of employment on the contract,
24 agree to abide by the terms of the statement.
25
26 d. Failure to comply with these requirements may
27 result in suspension of payments under the contract
28 or . termination of the contract or both, and the
29 County or its contractors may be ineligible for
30 future State contracts if the State determines that
31 any of the following has occurred:
32
33 (1) The County has made false certification, or
34
35 (2) has violated the certification by failing to
36 carry out the requirements as noted above.
37
38 27. No Unlawful Use or Unlawful Use Messages Regarding Drugs
39
40 The County agrees that information produced through these
41 funds, and which pertains to drug-and alcohol-related
42 programs, shall contain a clearly written statement that there
43 shall be no unlawful use of drugs or alcohol associated with
44 the program. Additionally, no aspect of a drug-or alcohol-
45 related program shall include any message on the responsible
46 use, if the use is unlawful, of drugs or alcohol (Health and
47 Safety Code section 11999) . The County agrees to enforce
48 these requirements by signing this agreement.
49
50
51
52
16
1 ARTICLE V: PERFORMANCE PROVISIONS
2
3 28. Monitoring
4
5 a. The County's performance under this contract shall be
6 monitored during the term of this contract. Monitoring
7 shall include, but not be limited to:
8
9 (1) Whether the quantity of work or services are being
10 performed as identified in the contract and
11 Exhibits A2, A3, and A4.
12
13 (2) Whether the County has established quality
14 standards and is monitoring them.
15
16 (3) Whether the County is abiding by all the terms and
17 requirements of the contract.
18
19 b. The failure to comply with the provisions of Article V,
20 Section 29a. (1) through (3) above, may subject the
21 County to suspension of payments, or recovery of payments
22 made, or both, subject to the right of appeal as
23 referenced in these requirements, or may result in
24 termination of the contract in accordance with Article 1,
25 Section 13 of this contract.
26
27 29. Performance Requirements
28
29 a. The program's dedicated capacity is the agreed upon
30 servicemodality and capacity as negotiated by the County
31 and the State. These services shall be available to
32 persons otherwise eligible for county alcohol and drug
33 programs, as required by the contract. The agreed upon
34 dedicated capacity is that identified in Exhibits A2, A3,
35 and A4.
36
37 b. The County shall provide accessible and appropriate
38 services in accordance with federal and state statutes
39 and regulations to all eligible persons. The County
40 shall assure that in planning for the provision of
41 services, the following barriers to accessible services
42 are considered and addressed:
43
44 (1) Lack of educational materials or other resources
45 for the provision of services.
46
47 (2) Geographic isolation and transportation needs of
48 persons seeking services or remoteness of services.
49
50 (3) Institutional or cultural barriers.
51
52 (4) Language differences.
17
1 (5) Lack of service advocates.
2
3 (6) Failure to survey or otherwise identify the
4 barriers to service accessibility.
5
6 C. The County shall comply with the additional
7 requirements, if any, identified in Exhibit E, and
8 incorporated herein by reference.
9
10 d. Amounts awarded pursuant to this contract shall be used
11 exclusively for providing alcohol and/or drug program
12 services consistent with the purpose of the funding.
13
14
15 ARTICLE VI: REPORTS
16
17
18 30. Financial Reports
19
20 Fiscal forms (samples of which are provided as Exhibit Al,
21 which includes forms ADP7225A through ADP7225K and the Fiscal
22 Allocation Detail) are required in accordance with the State's
23 drug and alcohol fiscal reporting system requirements. The
24 County agrees to submit Exhibit Al which is incorporated by
25 this reference with the original contract and with each
26 contract amendment.
27
28 31. Additional Reports
29
30 a. The County agrees to submit to the State in accordance
31 with Health and. Safety Code Section 11758. 12 (d) , that
32 information required by the State. The data shall
33 include, but is not limited to, treatment and prevention
34 services reports, demographic characteristics of service
35 recipients, summary data to the California Alcohol and
36 Drug Data System (CADDS) , the Drug Abuse Treatment Access
37 Report (DATAR) , utilization reports, compliance reports,
38 financial reports, and end-of-year cost data.
39
40 b. The County agrees by signing this contract to submit data
41 requested pursuant to this section in a manner identified
42 or on forms provided by the State, and to submit data by
43 the date of delivery identified herein or in Exhibit C7
44 which is incorporated by this reference.
45
46
47
48
49
50
51
52
18
1 ARTICLE VII: GENERAL PROVISIONS
2
3 32. Records
4
5 The County shall maintain books, records, documents, and other
6 evidence necessary for the State to audit to contract
7 performance and contract requirements. These records shall be
8 made available to the State, upon request, for the State to
9 monitor the quality and quantity of services, accessibility
10 and appropriateness of services, and to ensure fiscal
11 accountability.
12
13 (a) The County's contract with audit firms shall have a
14 clause to permit access by the State to the working
15 papers of the external independent auditor.
16
17 (b) The county shall keep adequate financial records and
18 statistical data to support the year-end documents filed
19 with the State.
20
21 (c) Accounting records and supporting documents shall be
22 retained for a three-year period following close of the
23 state fiscal year. Final settlement shall be made at the
24 end of the audit and appeal process. When an audit has
25 been started before the expiration of the three-year
26 period, the records shall be retained until completion of
27 the audit and final resolution of all issues which arise.
28
29 (d) Financial records shall be kept so that they clearly
30 reflect the source of funding for each type of service
31 for which reimbursement is claimed. These documents
32 include, but are not limited to, all ledgers, books,
33 vouchers, time sheets, payrolls, appointment schedules,
34 client data cards, and schedules for allocating costs.
35
36 33. Dispute Resolution Process
37
38 a. In the event of a dispute, other than an audit dispute,
39 arising out of the contract, between the parties to the
40 contract, prior to exercising any other available remedy,
41 the disputant shall provide written notice of the
42 particulars of the dispute to the other party. Written
43 notice shall include the contract number. The Chief
44 Deputy Director or designee of the State Department of
45 Alcohol and Drug Programs and the County Drug or Alcohol
46 Program Administrator or designee shall meet to discuss
47 the means by which they can effect an equitable
48 resolution to the dispute. The disputant shall receive
49 a written response from the respondent within sixty (60)
50 days of the notice of dispute. The written response
51 shall reflect the process of the meeting and recommend a
52 resolution to the dispute.
19
1 b.' In the event of an audit dispute between the State and
2 the County, the County may appeal in accordance with
3 Health and Safety Code sections 11817.8 (d) and
4 11991.6(e) , and pursuant to Chapter 5 (commencing with
5 section 11500) of the Government Code.
6
7 C. Financial audit findings which may involve repayment to
8 the State General Fund as a result of fraud, abuse, or
9 failure to meet contract objectives and management audit
10 findings with probable fiscal impact will be utilized
11 subject to the final decision on appeal, or subject to
12 becoming final in the absence of an appeal, for
13 prospective contract negotiations. Management audit
14 findings not subject to appeal will be used for
15 prospective contract negotiations.
16
17 34. Hazardous Activities
18
19 The County shall have liability insurance sufficient to cover
20 hazardous activities pursuant to section 1254 of the State
21 Administrative Manual. To the extent the County subcontracts
22 for the provision of transportation services, the County is
23 liable to determine that the contractor has sufficient
24 liability insurance to meet the requirements of section 1254
25 of the State Administrative Manual.
20
CONTRA COSTA COUNTY
EXHIBIT A
FISCAL FORMS-NNA
Al COMBINED ALCOHOL AND DRUG PROGRAM FISCAL FORMS
FISCAL ALLOCATION DETAIL CONTRACT YEAR - 1
FISCAL ALLOCATION DETAIL CONTRACT YEAR - 2
FISCAL ALLOCATION DETAIL CONTRACT YEAR - 3
FISCAL DETAIL SUMMARY - ADP7225A,
FISCAL DETAIL, SUPPORT SERVICES - ADP7225C,
FISCAL DETAIL, PRIMARY PREVENTION - ADP7225D,
FISCAL DETAIL, NONRESIDENTIAL - ADP7225E,
FISCAL DETAIL, RESIDENTIAL - ADP7225F,
FISCAL DETAIL, CHEMICALLY ASSISTED - ADP7225G,
FISCAL DETAIL, SECONDARY PREVENTION - ADP7225H,
FISCAL DETAIL, ANCILLARY - ADP7225I,
A2 DEDICATED CAPACITY - ALCOHOL AND DRUG SERVICES
A3 DEDICATED CAPACITY - PERINATAL SERVICES
A4 DEDICATED CAPACITY - PAROLEE SERVICES
c
f/n FY94-95 FISCAL ALLOCATION DETAIL pXHIBITAI
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS
FISCAL YEAR 1994-95
COUNTY: CONTRA COSTA
Year 1
AMOUNT TOTALS PCA/OBJ
STATE GENERAL FUNDS:
State General 594101702.01
Vocational Rehabilitation 594101702.01
School—Community Primary Prevention Program 594151702.01
Parolee Services Projects(BASN, PPNP, PPP) $379,535 594591702.01
Perinatal Treatment Expansion (PTEP) $233,059 594111702.01
TOTAL STATE GENERAL FUNDS: $612,594
FEDERAL FUNDS:
SAPT BLOCK GRANT — 93.959:
Discretionary $3,033,438
HIV Set—Aside $310,884
Perinatal Set—Aside $53,828
Perinatal Pilot Project — Treatment Services $1,031,013
Perinatal Pilot Project — Case Management $329,198
Female Offender Treatment Service Project $0
Alcohol/Drug—Free Workplace,Media Camp., Special Proj. $0
Homeless Project $0
TOTAL SAPT BLOCK GRANT: $4,758,361 594641702.01
DRUG FREE SCHOOLS & COMMUNITY FUNDS — 84.186:
High Risk Youth Set—Aside $83,100
School Based Prevention $35,634
One — Time Funds $28,167
Friday Night Live $15,000
Club Live $15,000
TOTAL DRUG FREE SCHOOLS & COMMUNITY FUNDS: $176,901 59420/702.01
FEDERAL DRUG/MEDI—CAL FUNDS (REIMBURSEMENT):
Alcohol/Drug Medi—Cal $0 59494/702.03
Perinatal Medi—Cal $0 59495/702.03
TOTAL FEDERAL DRUG/MEDI—CAL FUNDS: $0
MISCELLANEOUS FUNDS:
Office of Traffic Safety — Match to Club Live (Reimbursement) $0 594921702.01
TOTAL MISCELLANEOUS FUNDS: $0
TOTAL ALL FEDERAL FUNDS: $4,935,262
GRAND TOTAL ALL FUNDS: $5,547,856
f/n FY95-96 FISCAL ALLOCATION DETAIL DCHIBITAI
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS
FISCAL YEAR 1995-96
COUNTY: CONTRA COSTA
Year 2
AMOUNT TOTALS PCA/OBJ
STATE GENERAL FUNDS:
State General59510/702.01
Vocational Rehabilitation 59510/702.01
School—Community Primary Prevention Program 59515/702.01
Parolee Services Projects(BASN, PPNP, PPP) $379,535 59559/702.01
Perinatal Treatment Expansion (PTEP) $233,059 59511/702.01
TOTAL STATE GENERAL FUNDS: $612,594
FEDERAL FUNDS:
SAPT BLOCK GRANT — 93.959:
Discretionary $3,033,438
HIV Set—Aside $310,884
Perinatal Set—Aside $53,828
Perinatal Pilot Project — Treatment Services $1,031,013
Perinatal Pilot Project — Case Management $329,198
Female Offender Treatment Service Project $0
Alcohol/Drug—Free Workplace, Media Camp., Special Proj. $0
Homeless Project $0
TOTAL SAPT BLOCK GRANT: $4,758,361 59564/702.01
DRUG FREE SCHOOLS & COMMUNITY FUNDS — 84.186:
High Risk Youth Set—Aside $55,400
School Based Prevention $35,634
One —Time Funds 4{` <} }s '<<AE#
Friday Night Live $15,000
Club Live $15,000
TOTAL DRUG FREE SCHOOLS & COMMUNITY FUNDS: $121,034 59520/702.01
FEDERAL DRUG/MEDI—CAL FUNDS (REIMBURSEMENT):
Alcohol/Drug Medi—Cal $0 59595/702.03
Perinatal Medi—Cal $0 59596/702.03
TOTAL FEDERAL DRUG/MEDT—CAL FUNDS: $0
MISCELLANEOUS FUNDS:
Office of Traffic Safety — Match to Club Live (Reimbursement) ## 59592/702.01
TOTAL MISCELLANEOUS FUNDS: $0
TOTAL ALL FEDERAL FUNDS: $4,879,395
GRAND TOTAL ALL FUNDS: $5,491,98
c
f/n FY96-97 FISCAL ALLOCATION DETAIL EXHIBrrAl
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS
FISCAL YEAR 1996-97
COUNTY: CONTRA COSTA
Year 3
AMOUNT TOTALS PCA/OBJ
STATE GENERAL FUNDS:
State General ''`>'>{ 596101702.01
Vocational Rehabilitation {'' "`` 596101702.01
School—Community Primary Prevention Program55
515/702.01
Parolee Services Projects(BASN, PPNP, PPP) $379,535r 596591702.01
Perinatal Treatment Expansion (PTEP) $233,059 596111702.01
TOTAL STATE GENERAL FUNDS: $612,594
FEDERAL FUNDS:
SAPT BLOCK GRANT — 93.959:
Discretionary $3,033,438
HIV Set—Aside $310,884
Perinatal Set—Aside $53,828
Perinatal Pilot Project — Treatment Services $1,031,013
Perinatal Pilot Project — Case Management $329,198
Female Offender Treatment Service Project $0
Alcohol/Drug—Free Workplace,Media Camp., Special Proj. $0
Homeless Project $0
TOTAL SAPT BLOCK GRANT: $4,758,361 59664/702.01
DRUG FREE SCHOOLS & COMMUNITY FUNDS — 84.186:
High Risk Youth Set—Aside $0
School Based Prevention $35,634
One — Time Funds
Friday Night Live :>:.,..:..$ :5 000
Club Live $15,000
TOTAL DRUG FREE SCHOOLS & COMMUNITY FUNDS: $65,634 596201702.01
FEDERAL DRUG/MEDT—CAL FUNDS (REIMBURSEMENT):
Alcohol/Drug Medi—Cal $0 59596/702.03
Perinatal Medi—Cal $0 59697/702.03
TOTAL FEDERAL DRUG/MEDI—CAL FUNDS: $0
MISCELLANEOUS FUNDS:
Office of Traffic Safety — Match to Club Live (Reimbursement) ' '# #' 59692/702.01
TOTAL MISCELLANEOUS FUNDS: $0
TOTAL ALL FEDERAL FUNDS: $4,823,995
GRAND TOTAL ALL FUNDS: $5,436,589
Y
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS
COUNTY PREVENTION AND TREATMENT PROGRAMS
FISCAL DETAIL
SUMMARY
LINE FUNDING SOURCES INCLUDING FEDERAL CATALOG #
40 Drug Medi-Cal (Federal Share Only) Fed Cat # 93 .778
40a Perinatal - Medi-Cal (Federal Share Only) Fed Cat # 93 . 778
40b Perinatal (PTEP) Match to Medi-Cal
41a Perinatal Treatment Expansion (PTEP)
45 Female Offender Treatment Project Fed Cat # 93 . 959
46 Parolee Services Projects (BASN, PPNP, PPP)
50 SAPT - Discretionary Fed Cat # 93 . 959
51 HIV Set-Aside Fed Cat # 93 .959
52 SAPT - Perinatal Set-Aside Fed Cat # 93 . 959
53a Perinatal Pilot Treatment Fed Cat # 93 .959
53b Perinatal Pilot Case Management Fed Cat # 93 . 959
54 Homeless Project Fed Cat # 93 .959
55 Alcohol/Drug-Free Workplace Fed Cat # 93 . 959
56 SAPT Special Projects Summary of Funds
60 DFSC - High Risk Youth Set-Aside Fed Cat # 84 . 186
62 DFSC - School Based Prevention Fed Cat # 84 . 186
64 DFSC - One-Time Funds Fed Cat # 84 . 186
66 DFSC - Friday Night Live Fed Cat # 84 . 186
68 DFSC - Club Live Fed Cat # 84. 186
69 OTS Match to Club Live Fed Cat # 20. 600
70 - Medi-Cal Match
80 Non-County Revenue
81 Required County Match
82 County Funds - Other
83 Excess Fees
84 Fees
85 Insurance
86 PC 1463 .25 - SB 920
HS 11372 .7 - SB 921
87 PC 1463 . 16 - Statham
88 Excess DUI Profit/Surplus
89 Driving Under Influence Fees, Administration and Monitoring
90a Obligated Unexpended State General Funds - Prior Fiscal
Year
91 TOTAL BUDGETED BY SERVICE CATEGORY
92 Volunteer Services
94 TOTAL ALCOHOL BUDGETED Fed Cat # 93 .959
96 TOTAL DRUG BUDGETED Fed Cat # 93.959
ADP 7225A (2/94) 32" :ADP7225A.LST: 071894:JG:bd
r
EXHIBIT Al
DEPARTMENT OF ALCOHOL �AND DRUG PROGRAMS
COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
SUMMARY
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 8/1994
01 Support Services Primary Non residential Residential
Prevention Servi Services Services
-----------------------------------------------------------------------------
40 0 0 55428 0
40a 0 0 135113 0
40b 0 0 135113 0
41a 29789 0 0 203270
45 0 0 0 0
46 37953 0 62229 253610
50 426222 1076490 330610 1039753
51 0 0 0 0
52 0 0 0 53828
53a 191573 0 428023 411417
53b 0 0 0 0
54 0 0 0 0
55 0 0 0 0
56 0 0 0 0
60 0 0 0 0
62 891 34743 0 0
64 0 0 0 0
66 0 15000 0 0
68 0 15000 0 0
69 0 0 0 0
70 0 0 55428 0
80 261272 40865 269560 768696
81 3310 0 0 22585
82 270579 22460 207870 773539
83 0 0 0 0
84 0 20077 66896 197944
85 0 0 0 0
86 0 68765 0 0
87 0 0 0 208653
88 0 0 0 0
89 0 0 0 0
90a 0 0 0 0
91 122.1589 1293400 1746270 3933295
92 0 0 0 0
94 308897 446439 306556 958329
96 308898 630051 452077 546669
-----------------------------------------------------------------------------
Form: ADP 7225A 2/94
V
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS EXHIBIT Al
-COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
SUMMARY
FISCAL YEAR 1994/95 '
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 8/1994
01 Chemically Secondary Ancillary DUI Program
Assisted Treatme Prevention Activ Services Services
-----------------------------------------------------------------------------
40 299700 0 0 0
40a 0 0 0 0
40b 0 0 0 0
41a 0 0 0 0
45 0 0 0 0
46 0 0 25743 0
50 0 160363 0 0
51 0 0 310884 0
52 0 0 0 0
53a 0 0 0 0
53b 0 0 329198 0
54 0 0 0 0
55 0 0 0 0
56 0 0 0 0
60 0 83100 0 0
62 0 0 0 0
64 0 28167 0 0
66 0 0 0 0
68 0 0 0 0
69 0 0 0 0
70 299700 0 0 0
80 0 119147 103626 0
81 0 0 0 0
82 0 101804 6392 0
83 0 0 0 0
84 0 2456 0 0
85 0 0 0 0
86 0 0 0 0
87 0 0 0 0
88 0 0 0 0
89 0 0 0 0
90a 0 0 0 0
91 599400 495037 775843 0
92 0 0 0 0
94 0 37066 164598 0
96 0 123297 475484 0
-----------------------------------------------------------------------------
Form: ADP 7225A 2/94
v
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS EXHIBIT Al
COUNTY PREVENTION AND TREkTMENT PROGRAMS FISCAL DETAIL -
SUMMARY
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 8/1994
O1 SUMMARY TOTALS
-----------------------------------------------------------------------------
40 355128
40a 135113
40b 135113
41a 233059
45 0
46 379535
50 3033438
51 310884
52 53828
53a 1031013
53b 329198
54 0
55 0
56 0
60 83100
62 35634
64 28167
66 15000
68 15000
69 0
70 355128
80 1563166
81 25895
82 1382644
83 0
84 287373
85 0
86 68765
87 208653
88 0
89 0
90a 0
91 10064834
92 0
94 2221885
96 2536476
-----------------------------------------------------------------------------
Form: ADP 7225A 2/94
EXHIBIT Al
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS
-COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Support Services
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
01 CONTRA COSTA CONTRA COSTA CONTRA COSTA
COUNTY COUNTY COUNTY
05 070799 070799 070799
10 00 00 00
91 958964 37953 224672
91b 16820.00 700 .00 5840.00
91c 57.01 54.22 38.47
---------------------------------------------------------------------------
40 0 0 0
40a 0 0 0
40b 0 0 0
41a 0 0 29789
45 0 0 0
46 0 37953 0
50 426222 0 0
51 0 0 0
52 0 0 0
53a 0 0 191573
53b 0 0 0
54 0 0 0
55 0 0 0
56 0 0 0
60 0 0 0
62 891 0 0
64 0 0 0
66 0 0 0
68 0 0 0
69 0 0 0.
70 0 0 0
80 261272 0 0
81 0 0 3310
82 270579 0 0
83 0 0 0
84 0 0 0
85 0 0 0
86 0 0 0
87 0 0 0
88 0 0 0
89 0 0 0
90a 0 0 0
91 958964 37953 224672
92 0 0 0
94 213111 0 95786
96 213111 0 95787
---------------------------------------------------------------------------
Form: ADP 7225C 2/94
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS EXHIBIT Al
COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL VETAIt
Primary Prevention Services
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
01 BOYS/GIRLS CLUB AIRS CENTRAL AIRS EAST ALC. & DRUG
COUNCIL
05 070764 070001 070003 070070
10 10 10 10 10
91 83918 63959 40629 132003
91b 3969.00 1812. 00 1355.00 7360. 00
91C 21.14 35. 30 29 .98 17. 94
---------------------------------------------------------------------------
40 0 0 0 0
40a 0 0 0 0
40b 0 0 0 0
41a 0 0 0 0
45 0 0 0 0
46 0 0 0 0
50 83918 63959 40629 45884
51 0 0 0 0
52 0 0 0 0
- 53a 0 0 0 0
53b 0 0 0- 0
54 0 0 0 0
55 0 0 0 0
56 0 0 0 0
60 0 0 0 0
62 0 0 0 0
64 0 0 0 0
66 0 0 0 15000
68 0 0 0 15000
69 0 0 0 0
70 0 0 0 0
80 0 0 0 6229
81 0 0 0 0
82 0 .0 0 3857
83 0 0 0 0
84 0 0 0 20077
85 0 0 0 0
86 0 0 0 25956
87 0 0 0 0
88 0 0 0 0
89 0 0 0 0
90a 0 0 0 0
91 83918 63959 40629 132003
92 0 0 0 0
94 0 63959 40629 45884
96 83918 0 0 0
---------------------------------------------------------------------------
Form: ADP 7225D 2/94
EXHIBIT Al
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS
-COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Primary Prevention Services
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
01 NEW CONNECTION REACH SAN PABLO SAN RAMON VALLEY
DISCOVERY DISC.
05 070745 070753 070732 070733
10 10 10 10 10
91 71363 36469 111000 16396
91b 1824. 00 960.00 3360.00 723 .00
91c 39.12 37.99 33 . 04 22 .68
-------------------------------------7-------------------------------------
40 0 0 0 0
40a 0 0 0 0
40b 0 0 0 0
41a 0 0 0 0
45 0 0 0 0
46 0 0 0 0
50 69137 36469 111000 16396
51 0 0 0 0
52 0 0 0 0
53a 0 0 0 0
53b 0 0 0 0
54 0 0 0 0
55 0 0 0 0
56 0 0 0 0
60 0 0 0 0
62 0 0 0 0
64 0 0 0 0
66 0 0 0 0
68 0 0 0 0
69 0 0 0 0
70 0 0 0 0
80 2226 0 0 0
81 0 0 0 0
82 0 0 0 0
83 0 0 0 0
84 0 0 0 0
85 0 0 0 0
86 0 0 0 0
87 0 0 0 0
88 0 0 0 0
89 0 0 0 0
90a 0 0 0 0
91 71363 36469 111000 16396
92 0 0 0 0
94 34568 0 0 0
96 34569 36469 111000 16396
---------------------------------------------------------------------------
Form: ADP 7225D 2/94
' r
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS EXHIBIT Al
.COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Primary Prevention' Services
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
O1 SOJOURNE TRI-CITIES CHD West County YSB
05 070761 070731 070754 070765
10 10 10 10 10
91 107565 82945 470475 27687
91b 3136.00 2304.00 8652 .00 777.00
91c 34. 30 36.00 54.38 35.63
---------------------------------------------------------------------------
40 0 0 0 0
40a 0 0 . 0 0
40b 0 0 0 0
41a 0 0 0 0
45 0 0 0 0
46 0 0 0 0
50 107565 82945 395587 23001
51 0 0 0 0
52 0 0 0 0
53a 0 0 0 0
53b 0 0 0 0
54 0 0 0 0
55 0 0 0 0
56 0 0 0 0
60 0 0 0 0
62 0 0 34743 0
64 0 0 0 0
66 0 0 0 0
68 0 0 0 0
69 0 0 0 0
70 0 0 0 0
80 0 0 27724 4686
81 0 0 0 0
82 0 0 12421 0'
83 0 0 0 0
84 0 0 0 0
85 0 0 0 0
86 0 0 0 0
87 0 0 0 0
88 0 0 0 0
89 0 0 0 0
90a 0 0 0 0
91 107565 82945 470475 27687
92 0 0 0 0
94 16135 0 245264 0
96 91430 82945 150323 23001
---------------------------------------------------------------------------
Form: ADP 7225D 2/94
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS EXHIBIT Al
COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Primary Prevention Services
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
01 Substance Abuse
Prevention
05 070799
10 10
91 48991
91b 1600.00
91c 30.62
---------------------------------------------------------------------------
40 0
40a 0
40b 0
41a 0
45 0
46 0
50 0
51 0
52 0
53a 0
53b 0
54 0
55 0
56 0
60 0
62 0
64 0
66 0
68 0
69 0
70 0
80 0
81 0
82 6182
83 0
84 0
85 0
86 42809
87 0
88 0
89 0
90a 0
91 48991
92 0
94 0
96 0
---------------------------------------------------------------------------
Form: ADP 7225D 2/94
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS E%HIBIT Al
COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Non residential Services
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
01 BOYS/GIRLS CLUB AIRS CENTRAL AIRS EAST BORN FREE
05 070764 070001 070003 070770
10 31 31 31 31
91 64402 175678 99050 90078
91b 3141.00 5000.00 3522.00 1600 .00
91c 20.50 35.14 28.12 56. 30
---------------------------------------------------------------------------
40 0 0 15000 0
40a 0 0 0 45039
40b 0 0 0 45039
41a 0 0 0 0
45 0 0 0 0
46 0 0 0 0
50 29546 73995 28355 0
51 0 0 0 0
52 0 0 0 0
53a 0 0 0 0
53b 0 0 0 0
54 0 0 0 0
55 0 0 0 0
56 0 0 0 0
60 0 0 0 0
62 0 0 0 0
64 0 0 0 0
66 0 0 0 0
68 0 0 0 0
69 0 0 0 0
70 0 0 15000 0
80 18111 45359 17382 0
81 0 0 0 0
82 16745 46975 18001 0
83 0 0 0 0
84 0 9349 5312 0
85 0 0 0 0
86 0 0 0 0
87 0 0 0 0
88 0 0 0 0
89 0 0 0 0
90a 0 0 0 0
91 64402 175678 99050 90078
92 0 0 0 0
94 0 73995 28355 0
96 29546 0 0 0
---------------------------------------------------------------------------
Form: ADP 7225E 2/94
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS EXHIBIT Al
'COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Non residential Services
FISCAL YEAR 1994/95 '
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
O1 NEW CONNECTION REACH SAN PABLO SAN RAMON VALLEY
DISCOVERY DISC.
05 070745 070753 070732 070733
10 31 31 31 31
91 167138 53792 61430 85056
91b 2648 .00 1999.00 1860 .00 1931. 00
91C 63 .12 26.91 33 .03 44.05
------------------------ --------------------------------------------------
40 0 0 0 0
40a 0 0 0 0
40b 0 0 0 0
41a 0 0 0 0
45 0 0 0 0
46 0 0 0 0
50 44635 23931 27329 19468
51 0 0 0 0
52 0 0 0 0
53a 0 0 0 0
53b 0 0 0 0
54 0 0 0 0
55 0 0 0 0
56 0 0 0 0
60 0 0 0 0
62 0 0 0 0
64 0 0 0 0
66 0 0 0 0
68 0 0 0 0
69 0 0 0 0
70 0 0 0 0
80 54208 14669 16752 51985
81 0 0 0 0
82 28335 15192 17349 12358
83 - 0 0 0 0
84 39960 0 0 1245
85 0 0 0 0
86 0 0 0 0
87 0 0 0 0
88 0 0 0 0
89 0 0 0 p
90a 0 0 0 0
91 167138 53792 61430 85056
92 0 0 0 0
94 0 0 0 0
96 44635 23931 27329 19468
---------------------------------------------------------------------------
Form: ADP 7225E 2/94
i;
DEPARTMENT OF .A4COHOL AND DRUG PROGRAMS EXHIBIT Al
COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Non residential Services
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
O1 SOJOURNE TRI-CITIES Tri-County Women Tri-County Women
- East - West
05 070761 070731 070775 070713
10 31 31 30 30
91 183358 95888 227754 200269
91b 5360.00 2664 .00 3314 . 00 2133 .00
91c 34 .21 35.99 68.72 93 .89
---------------------------------------------------------------------------
40 40428 0 0 0
40a 0 0 0 0
40b 0 0 0 0
41a 0 0 0 0
45 0 0 0 0
46 0 0 0 0
50 45108 38243 0 0
51 0 0 0 0
52 0 0 0 0
53a 0 0 227754 200269
53b 0 0 0 0
54 0 0 0 0
55 0 0 0 0
56 0 0 0 0
60 0 0 0 0
62 0 0 0 0
64 0 0 0 0
66 0 0 0 0
68 0 0 0 0
69 0 0 0 0
70 40428 0 0 0
80 27651 23443 0 0
81 0 0 0 0
82 28637 24278 0 0
83 0 0 0 0
84 1106 9924 0 0
85 0 0 0 0
86 0 0 0 0
87 0 0 0 0
88 0 0 0 0
89 0 0 0 0
90a 0 0 0 0
91 183358 95888 227754 200269
92 0 0 0 0
94 6766 0 109322 88118
96 38342 38243 118432 112151
---------------------------------------------------------------------------
Form: ADP 7225E 2/94
• I
• DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS EXHIBIT Al
•COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Non residential Services
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
01 Born Free Born Free AIRS CENTRAL AIRS EAST
05 070773 070774 070001 070003
10 31 31 31 31
91 90074 90074 5743 5743
91b 1600.00 1600.00 150.00 150 .00.
91C 56. 30 56 . 30 38. 29 38. 29
---------------------------------------------------------------------------
40 0 0 0 0
40a 45037 45037 0 0
40b 45037 45037 0 0
41a 0 0 0 0
45 0 0 0 0
46 0 0 5743 5743
50 0 0 0 0
51 0 0 0 0
52 0 0 0 0
53a 0 0 0 0
53b 0 0 0 0
54 0 0 0 0
55 0 0 0 0
56 0 0 0 0
60 0 0 0 0
62 0 0 0 0
64 0 0 0 0
66 0 0 0 0
68 0 0 0 0
69 0 0 0 0
70 0 0 0 0
80 0 0 0 0
81 0 0 0 0
82 0 0 0 0
83 0 0 0 0
84 0 0 0 0
85 0 0 0 0
86 0 0 0 0
87 0 0 0 0
88 0 0 0 0
89 0 0 0 0
90a 0 0 0 0
91 90074 90074 5743 5743
92 0 0 0 0
94 0 0 0 0
96 0 0 0 0
---------------------------------------------------------------------------
Form: ADP 7225E 2/94
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS ERHIBIT Al
COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Non residential Services
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
O1 SOJOURNE Haight Ashbury
05 070761 383820
10 31 30
91 5743 45000
91b 150.00 2240.00
91c 38.29 20.09
---------------------------------------------------------------------------
40 0 0
40a 0 0
40b 0 0
41a 0 0
45 0 0
46 5743 45000
50 0 0
51 0 0
52 0 0
53a 0 0
53b 0 0
54 0 0
55 0 0
56 0 0
60 0 0
62 0 0
64 0 0
66 0 0
68 0 0
69 0 0
70 0 0
80 0 0
81 0 0
82 0 0
83 0 0
84 0 0
85 0 0
86 0 0
87 0 0
88 0 0
89 0 0
90a 0 0
91 5743 45000
92 0 0
94 0 0
96 0 0
---------------------------------------------------------------------------
Form: ADP 7225E 2/94
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS EXHIBIT Al
COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Residential Services
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
O1 ADOLESENT TX BI-BETT GREGORY BI-BETT OZANUM BI-BETT SHENNEM
CEMTER CENT
05 010735 070030 070010 070020
10 51 51 51 50
91 68124 26112 243886 472162
91b 3280.00 730.00 6742.00 7300.00
91c 20.77 35.77 36.17 64.68
---------------------------------------------------------------------------
40 0 0 0 0
40a 0 0 0 0
40b 0 0 0 0
41a 0 0 0 0
45 0 0 0 0
46 0 26112 0 0
50 30307 0 103012 114342
51 0 0 0 0
52 0 0 0 0
53a 0 0 0 0
53b 0 0 0 0
54 0 0 0 0
55 0 0 0 0
56 0 0 0 0
60 0 0 0 0
62 0 0 0 0
64 0 0 0 0
66 0 0 0 0
68 0 0 .0 0
69 0 0 0 0
70 0 0 0 0
80 18578 0 63146 76578
81 0 0 0 0
82 19239 0 65395 72589
83 0 0 0 0
84 0 0 12333 0
85 0 0 0 0
86 0 0 0 0
87 0 0 0 208653
88 0 0 0 0
89 0 0 0 0
90a 0 0 0 0
91 68124 26112 243886 472162
92 0 0 0 0
94 0 0 103012 74322
96 30307 0 0 40020
---------------------------------------------------------------------------
Form: ADP 7225F 2/94
' EXHIBIT Al -
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS .,
COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Residential Services
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
01 DIABLO VALLEY DISCOVERY HOUSE EAST CO. DETOX EAST CO. DETOX
RANCH
05 070060 070750 070738 070738
10 51 51 50 51
91 514942 277885 185141 98602
91b 15070.00 6570.00 3953 .00 1752 .00
91c 34.17 42. 30 46.84 56.28
---------------------------------------------------------------------------
40 0 0 0 0
40a 0 0 0 0
40b 0 0 0 0
41a 0 0 0 0
45 0 0 0 0
46 0 0 0 . 0
50 145932 91934 82310 41338
51 0 0 0 0
52 Oi 0 0 0
53a 0 0 0 0
53b 0 0 0 0
54 0 0 0 0
55 0 0 0 0
56 0 0 0 0
60 0 0 0 0
62 0 0 0 0
64 0 0 0 0
66 0 0 0 0
68 0 0 0 0
69 0 0 0 0
70 0 0 0 0
80 109456 56355 50578 25340
81 0 0 0 0
82 206116 58362 52253 '26242
83 0 0 0 0
84 53438 71234 0 5682
85 0 0 0 0
86 0 0 0 0
87 0 0 0 0
88 0 0 0 0
89 0 0 0 0
90a 0 0 0 0
91 514942 277885 185141 98602
92 0 0 0 0
94 145932 0 82310 41338
96 0 91934 0 0
---------------------------------------------------------------------------
Form: ADP 7225F 2/94
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS EXHIBIT Al
• COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Residential. Services
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
O1 EAST CO. DETOX NHNR NHNR SUNRISE HOUSE
05 070738 070004 070004 070797
10 56 50 51 51
91 115203 321589 165777 422942
91b 2102.00 6143 .00 5059.00 7986 .00
91c 54.81 52 . 35 32.77 52 .96
---------------------------------------------------------------------------
40 0 0 0 0
40a 0 0 0 0
40b 0 0 0 0
41a 99353 0 0 0
45 0 0 0 0
46 0 0 0 0
50 0 141966 69038 159195
51 0 0 0 0
52 0 0 0 0
53a 0 0 0 0
53b 0 0 0 0
54 0 0 0 0
55 0 0 0 0
56 0 0 0 0
60 0 0 0 0
62 0 0 0 0
64 0 0 0 0
66 0 0 0 0
68 0 0 0 0
69 0 0 0 0
70 0 0 0 0
80 4811 87024 42320 162686
81 11039 0 0 0
82 0 90125 43827 101061
83 0 0 0 0
84 0 2474 10592 0
85 0 0 0 0
86 0 0 0 0
87 0 0 0 0
88 0 0 0 0
89 0 0 0 0
90a 0 0 0 0
91 115203 321589 165777 422942
92 0 0 0 0
94 0 141966 69038 159195
96 0 0 0 0
---------------------------------------------------------------------------
Form: ADP 7225F 2/94
-
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS .,, EXHIBIT., Al.
COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Residential Services
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
O1 TRI-COUNTY LA TRI-COUNTY TRI-COUNTY WOMEN BI-BETT OZANUM
CASA RECTORY
05 070712 070040 070004 070010
10 51 51 56 51
91 446229 167912 125463 26492
91b 5812.00 4146.00 2190.00 730. 00
91c 76.78 40.50 57. 29 36. 29 .
---------------------------------------------------------------------------
40 0 0 0 0
40a 0 0 0 0
40b 0 0 0 0
41a 0 0 103917 0
45 0 0 0 0
46 0 0 0 26492
50 0 60379 0 0
51 0 0 0 p
52 0 0 0 0
53a 411417 0 0 0
53b 0 0 0 0
54 0 0 0 0
55 0 0 0 0
56 0 0 0 0
60 0 0 0 0
62 0 0 0 0
644 0 0 0 0
66 0 0 0 0
68 0 0 0 0
69 0 0 0 0
70 0 0 0 0
80 34812 37012 0 0
81 0 0 11546 0
82 0 38330 0 0
83 0 0 0 0
84 0 32191 10000 0
85 0 0 0 0
86 0 0 0 0
87 0 0 0 0
88 0 0 0 0
89 0 0 0 0
90a 0 0 0 0
91 446229 167912 125463 26492
92 0 0 0 0
94 86397 28982 0 0
96 325020 31397 0 0
---------------------------------------------------------------------------
Form: ADP 7225F 2/94
• DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS EXHIBIT Al
COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Residential Services
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
01 DIABLO VALLEY DISCOVERY HOUSE SUNRISE HOUSE TRI-COUNTY
RANCH RECTORY
05 070060 070750 070797 070040
. 10 51 51 51 51
91 113472 56217 31317 53828
91b 2920.00 730.00 730. 00 1329 .00
91c 38 .86 77.01 42 .90 40 . 50
---------------------------------------------------------------------------
40 0 0 0 0
40a 0 0 0 0
40b 0 0 0 0
41a 0 0 0 0
45 0 0 0 0
46 113472 56217 31317 0
50 0 0 0 0
51 0 0 0 0
52 0 0 0 53828
53a 0 0 0 0
53b 0 0 0 0
54 0 0 0 0
55 0 0 0 0
56 0 0 0 0
60 0 0 0 0
62 0 0 0 0
64 0 0 0 0
66 0 0 0 0
68 0 0 0 0
69 0 0 0 0
70 0 0 0 0
80 0 0 0 0
81 0 0 0 0
82 0 0 0 0
83 0 0 0 0
84 0 0 0 0
85 0 0 0 0
86 0 0 0 0
87 0 0 0 0
88 Q 0 0 0
89 0 0 0 0
90a 0 0 . 0 0
91 113472 56217 31317 53828
92 0 0 0 0
94 0 0 0 25837
96 0 0 0 27991
---------------------------------------------------------------------------
Form: ADP 7225F 2/94
DEPARTMENT OF ALCOHOL• AND DRUG PROGRAMS . ERHII Al
COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Chemically Assisted Treatment
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
01 BAART PITTSBURG BAART RICHMOND
05 070709 070708
10 40 40
91 299700 299700
91b 33300.00 33300.00
91c 9.00 9.00
---------------------------------------------------------------------------
40 149850 149850
40a 0 0
40b 0 0
41a 0 0
45 0 0
46 0 0
50 0 0
51 0 0
52 0 0
53a 0 0
53b 0 0
54 0 0
55 0 0
56 0 0
60 0 0
62 0 0
64 0 0
66 0 0
68 0 0
69 0 0
70 149850 149850
80 0 0
81 0 0
82 0 0
83 0 0
84 0 0
85 0 0
86 0 0
87 0 0
88 0 0
89 0 0
90a 0 0
91 299700 299700
92 0 0
94 0 0
96 0 0
---------------------------------------------------------------------------
Form: ADP 7225G 2/94
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS EXHIBIT Al
•COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Secondary Prevention Activities
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
O1 NEW PERSPECTIVES BOYS/GIRLS CLUB AIRS CENTRAL AIRS EAST
05 070720 070764 070001 070003
10 18 18 18 18
91 111267 11163 11629 5540
91b 3200.00 528.00 330. 00 185.00
91c 34.77 21.14 35. 24 29 .95
---------------------------------------------------------------------------
40 0 0 0 0
40a 0 0 0 0
40b 0 0 0 0
41a 0 0 0 0
45 0 0 0 0
46 0 0 0 0
50 0 4966 5173 2465
51 0 0 0 0
52 0 0 0 0
53a 0 0 0 0
53b 0 0 0 0
54 0 0 0 0
55 0 0 0 0
56 0 0 0 0
60 83100 0 0 0
62 0 0 0 0
64 28167 0 0 0
66 0 0 0 0
68 0 0 0 0
69 0 0 0 0
70 0 0 0 0
80 0 3044 3171 1511
81 0 0 0 0
82 0 3153 3285 1564
83 0 0 0 0
84 0 0 0 0
85 0 0 0 0
86 0 0 0 0
87 0 0 0 0
88 0 0 0 0
89 0 0 0 0
90a 0 0 0 0
91 111267 11163 11629 5540
92 0 0 0 0
94 0 0 5173 2465
96 0 4966 0 0
---------------------------------------------------------------------------
Form: ADP 7225H 2/94
EXHIBIT Al
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS .,
COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Secondary, Prevention Activities
FISCAL YEAR 1994/95
a 9z
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
01 EAST CO. DETOX NEW CONNECTION REACH SAN PABLO
DISCOVERY
05 070738 070745 070753 070732
10 19 18 18 18
91 57742 43711 57002 58143
91b 1600.00 825.00 2252.00 1760.00
91C 36.09 52 .98 25 .31 33 .04
---------------------------------- --- -------- ---------------------------
40 0 0 0 0
40a 0 0 0 0
40b 0 0 0 0
41a 0 0 0 0
45 0 0 0 0
46 0 0 0 0
50 25688 13905 25359 25866
51 0 0 0 0
52 0 0 0 0
53a 0 0 0 0
53b 0 0 0 0
54 0.- 0 0 . 0
55 0 0 0 0
56 0 0, 0 0
60 0 0 0 0
62 0 0 0 0
64 0 0, 0 0
66 0 0 0 0
68 0 0, 0 0
69 0 0 0 0
70 0 0, 0 0
80 15747 18523 15545 15856
0�
81 0 0 0
82 16307 8827 16098 16421
83 0 0 0 0
84 0 2456 0 0
85 0 0 0 0
86 0 0 0 0
87 0 0 0 0
88 Q 0 0 0
89 0 0 0 0
90a 0 0 0 0
91 57742 43711 57002 . 58143
92 0 0 0 0
94 25688 0 0 0
96 0 13905 25359 25866
----------------------------- ---------------------------------------------
'' Form: ADP 7225H 2/94
•
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS EXHIBIT Al
'COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Secondary Prevention Activities
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 6/1994
O1 SAN RAMON VALLEY SOJOURNE TRI-CITIES Center for Human
DISC. Development
05 070733 070761 070731 070754
10 18 18 18 18
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Form: ADP 7225H 2/94
EXHIBIT Al
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS_
COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Ancillary Services
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa County Code: 7 - Submission Date: 9/ 8/1994
01 Vocational AIRS CENTRAL AIRS EAST BAART PITTSBURG
Rehabilitation 070709
05 070100 070001 070003 65 65
10 64 65
91 110018 33714 33714 22800
gib 3200-00 936.00 936.00 1140 .00
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-------------------~-------------------------------------------------------
Form: ADP 72251 2/94
DEPARTMENT OF $LCOHOL AND DRUG PROGRAMS EXHIBIT Al
• 'COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Ancillary Services
FISCAL YEAR 1994/95 '
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 8/1994
O1 BAART RICHMOND BORN FREE DISCOVERY HOUSE EAST BAY
PERINATAL
05 070708 070770 070750 070771
10 65 68 65 68
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- ---------------------------------------------------------------------------
Form: ADP 72252 2/94
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS EXHIBIT Al -
COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Ancillary Services
FISCAL YEAR 1994/95
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 8/1994
01 SAN PABLO SOJOURNE TRI-CITIES Substance Abuse
DISCOVERY
05 070732 070761 070731 070799
10 65 65 65 68
91 33714 33714 33714 25743
91b 936.00 936 .00 936. 00 800.00
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91 . 33714 33714 33714 25743
92 0 0 0 0
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96 33714 33714 33714 0
---------------------------------------------------------------------------
Form: ADP 7225I 2/94
• DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS EXHIBIT Al
COUNTY PREVENTION AND TREATMENT PROGRAMS FISCAL DETAIL
Ancillary Services
FISCAL YEAR 1994/95 '
NNA CONTRACT
County Name: Contra Costa - County Code: 7 - Submission Date: 9/ 8/1994
01 Substance Abuse
05 070799
10 65
91 63000
91b 1600.00
91c 39. 38
---------------------------------------------------------------------------
40 0
40a 0
40b 0
41a 0
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„---------------------------------------------------------------------------
Form: ADP 7225I 2/94
EXHIBIT A2
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EXHIBIT B1
SUBSTANCE ABUSE BLOCK GRANT REQUIREMENTS
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Public Health Service
Substance Abuse and Mental Health Services Administration
45 CFR 96
AGENCY: SAMHSA, PHS, HHS
ACTION: Interim Final Rule
SUMMARY: Sections 1921 to 1954 of the Public Health Services (PHS) Act, 42
U.S.C. §§ 300x-21 - 300x-35, authorize the Secretary to provide Block Grants to
States for the purposes of prevention and treatment of substance abuse which
includes alcohol and other drugs. Among other things, the Act requires that the
funding agreements with the States provide for a number of provisions relating to
intravenous substance.abuse, tuberculosis and human immunodeficiency virus
(HIV) testing and services, group homes for recovering substance abusers, and
peer review requirements. This interim final rule establishes standards specifying
the circumstances in which the Secretary will consider an application for.a grant
under section 1921 of the PHS Act to be in accordance with the law.
EFFECTIVE DATE: (Insert date of publication)
DATE: The Secretary'is requesting written comments which must be received
on or before (insert date 60 days after publication).
ADDRESS: Written comments on this interim final rule may be sent to Susan L.
Becker, Director, Division of State Programs, Center for Substance Abuse
2
Treatment (CSAT), Rockwall II Building, 10th Floor, 5600 Fishers Lane,. Rockville,
MD 20857.
FOR FURTHER INFORMATION: Susan L. Becker, telephone no. (301) 443-3820.
SUPPLEMENTARY INFORMATION: Sections 1921 to 1954 of the PHS Act
provide for allotments each year to States for the purposes of planning, carrying
out, and evaluating activities to prevent and treat substance abuse which is
defined at section 96.121 to include the abuse and/or illicit use of alcohol and
other drugs. The Block Grant funds may be'expended to provide for a wide range
of activities to prevent and treat substance abuse and may be expended to deal
with the abuse of alcohol, the use or abuse of illicit drugs, the abuse of licit drugs
and the use or abuse of tobacco products.
In order for the Secretary to award Block Grants, the States and eligible
Indian tribes must apply for the Block Grant and the application must be in
accordance with the law. These interim final regulations establish standards
specifying the circumstances in which the Secretary will consider an application for
a grant to be in accordance with the law. Based on the criteria established in law
and implemented by this regulation, there is only one Indian tribe that is currently
eligible for funds under this program.
All of the statutory requirements for the Substance Abuse Prevention and
Treatment Block Grant are applicable to fiscal year 1993 Block Grants, except
section 1926 of the PHS Act relating to the tobacco provision for which a Notice
of Proposed Rulemaking is published at (INSERT CITE). Except for the regulations
3
implementing section X 1926 of'the PHS Act, it is the Department's view that good
cause exists to show that notice and comment are "impracticable, ... or contrary
to the public interest," 5 U.S.C. Ii 553(b)(B), since pursuant to section 1932(d) of
the PHS Act Block Grant funds for substance abuse may not be provided to States
for fiscal year 1993 on or after January 1, 1993 if the rule is not issued. These
Block Grants are the major source of Federal funds to States to be used to
establish and supplement various substance abuse prevention and treatment
programs and an interruption or a delay in such funding could have a profound
impact on the States;ability to provide substance abuse prevention and treatment,
a result which is contrary to the War on Drugs and the public interest.
For similar reasons, this regulation is effective immediately. Delaying the
effective date for a period of thirty days is contrary to the public interest, since
payments under the Block Grant cannot be made on or after January 1, 1993
unless regulations are. "issued" or "established" as provided by section 1932(d)(1)
and (2). Requiring States that have submitted an acceptable application to wait an
additional thirty days .for payment would only compound the problem of delay and
burden the States further in their provision of substance abuse prevention and
treatment programs. Although the regulations are published as an interim final rule
and are effective immediately, the Secretary requests comments on the regulations
and is particularly interested in comments on alternative ways the law may be
implemented. The Secretary will consider all comments and, after such
consideration, make any amendments to the regulations by January 1, 1994, in a
4
final rule.
The Application and Assurances
45 C.F.R. §§ 96.122 and 96.123 are added to describe what is to be
.provided in the application and the necessary assurances that the States (which
includes the District of Columbiaand the'territories) will provide to ensure the
Secretary that it will carry out the purposes of and expend the Block Grant in
accordance with the law. In applying for Block Grants for fiscal year 1993,
applicants must submit an application containing information which conforms to all
of the elements of the regulations.
Beginning in fiscal year 1994, applicants are required to use the standard.
application,form prescribed by HHS with the approval of the Office of Management
and Budget (OMB) under the Paperwork Reduction Act of 1980. A copy of this
application may be obtained from the Center for Substance Abuse Treatment at
the address provided above. The Secretary has had preliminary discussions and
will have further discussions with General Accounting Office (GAO) and many of
the States about the reporting requirements under section 1942(a) of the PHS Act
which is part of the application. However, the public is encouraged to formally
comment on all of the information collection requirements contained in the
standard form under the Paperwork Reduction Act. These comments will be
carefully considered by OMB and the Secretary and, as a result of these
comments, any changes to the form and the reporting requirements under this rule
5
will be made by January 1, 1994, or shortly thereafter.
The State in its. application, as required by section 1932(a) of the PHS Act,
is to submit the necessary assurances, as well as the State plan and the report
required by sections 1932(b)(1) and 1942(a) of the PHS Act, respectively. Section
1932(b)(1) of the PHS Act provides that the States are to submit a State plan
describing how the State plans to implement the requirements of the Act, such as
those relating to the provision of tuberculosis and HIV services and services to
pregnant women which are described in more detail below. It also provides that
the States are to describe how the Block Grant is to be expended. 45 C.F.R. §
96.122(8) sets forth the information States are to provide the Secretary under the
State plan.
Section 1942(a) of the PHS Act requires the States to submit a report which
.describes the purposes for which the grant received by the State for the preceding
fiscal years was expended, a description of the activities of the State under the
program, and the recipients of amounts provided in the grant. 45 C.F.R. §
96.122(f) sets forth the information that is to be submitted to the Secretary in the
report.
In addition, the regulations, applicable to the report, require States to submit
information on the use of Block Grant funds over a several year period. For
example, for fiscal year 1993, specific information is to be submitted for Federal
fiscal years 1990, 1991 and 1992, as well as for the most recent twelve month
State expenditure period for which expenditure information is available.
6 '
Information from earlier years is necessary because it often takes States two to
three years to acquire actual expenditure, and other data. The Secretary believes it
is essential that actual. data (rather than simply estimates) be acquired for
monitoring the Block Grant funds to ensure that the funds are expended for
authorized purposes and in accordance with the law.
Also, when information'is requested for fiscal years 1990, 1991 and 1992,
applicants are to provide information relating to substance abuse prevention and
treatment activities under the Alcohol, Drug Abuse and Mental Health Services
(ADMS) Block Grant formerly authorized by sections 1911 to 1926 of the PHS-
Act. Although those sections have been amended, the Department will review
those expenditures to ensure that the Block Grant funds were expended in
accordance with the law in effect for those fiscal years.
As has been the case under the ADMS Block Grant, the funding agreements
and assurances in the application are to be made through certification by the chief
executive officer personally, or by an individual authorized to make such
certification on behalf of the chief executive officer. If a delegation has occurred,
a copy of the current delegation of authority must be submitted with the
application.
The application (in substantial compliance with the statutory and regulatory
provisions) is to be submitted for fiscal year 1993 no later than ninety days after
publication of these regulations, and, for subsequent years, no later than March 31
of the fiscal year for which the State is applying for funds. The Secretary believes
this will allow States!!isufficient time to complete the applications and, as to the
March 31 deadline, allow for a more orderly process. The term "fiscal year" refers
to the Federal fiscal.year. This will make the HHS review process more efficient
and may expedite the process of reviewing applications and awarding the grants.
The Secretary will approve an application with a State plan, assurances and
report which satisfy the requirements of the Act and the regulations. The State is
required to provide descriptions of how,the State is implementing the provisions of
the Act and the regulations. Unless provided otherwise by the regulations, the
Secretary will approve procedures which are provided as examples in the .
regulations, or the State may submit other procedures which the Secretary .
.determines to reasonably implement the requirements of the Act and the
regulations.
Certain Allocations and Primary Prevention
45 C.F.R. §§ 96.124 and 96.125 are added to implement the provisions of
Section 1922 of the PHS Act which requires States to expend the Block Grant on
various programs. Specifically, the State is required to expend not less than 35
percent of the Block Grant for prevention and treatment activities regarding alcohol
and not less than 35 percent for treatment and prevention activities relating to
other drugs.
In addition, not less than 20 percent of the grant is to be expended for
primary prevention activities. Section 96.125 is added which requires States to
8
develop a comprehensive prevention program which provides a broad array of
prevention activities and services including such activities and services to
discourage the use of alcoholic beverages and tobacco products by minors. These
activities and services must be provided in a variety of settings for both the general
population, as well as targeted subgroups who are at high risk for substance
abuse. Section 96.125 provides examples of strategies the States may use in
developing a-comprehensive primary prevention program. Under each strategy,
examples of acceptable programs are listed.
The Secretary believes the examples of acceptable strategies and activities are
important to,alleviate any confusion in the prevention field as to acceptable primary
prevention activities under the Block Grant. This is particularly important because
of the major change in how prevention for purposes of the 20 percent set aside'is
defined in the Block Grant — that is, primary prevention 2ojy as compared to
prevention and early intervention. It should be noted,-however, that the
"primary prevention" definition is for purposes of the "Substance Abuse Prevention
and Treatment Block Grant" regulations Qty. This definition does apply to
other programs administered by SAMHSA or the Center for Substance Abuse
Prevention, such as the High Risk Youth programs, which include intervention
activities which go beyond activities authorized by these regulations.
The Secretary assures States that early intervention activities which counted as
part of the 20 percent prevention set aside prior to passage of the Alcohol, Drug
Abuse and Mental Health Administration Reorganization Act, Public Law 102-321,
9
July 10,. 1992, are allowable activities under the Block Grant but do not now count
as primary prevention.
Section 96.124 implements section .1922 of the PHS Act which provides for
specific allocations to; increase the availability of treatment services designed for
pregnant women and;women with dependent children. Under section,96.124, the
State is required. to expend not less than 5 percent of the fiscal year 1993 grant to
increase (relative to fiscal year 1992) such services, consistent with the base
described at 96.124(c). This requirement may be waived upon the request of the
State if the Secretarydetermines that the State is providing an adequate level of
services for this population. In determining whether an adequate level does exist,
the Secretary will review the extent to which a State is providing services to this
population and will consider whether the minimum level of services stipulated in
section 96.124(e) are being provided for pregnant women and women with
dependent children who are being served.
At a minimum, the Secretary requires States to ensure that treatment
programs receiving funding from the Block Grant set aside for pregnant women and
women with dependent children for such services also provide or arrange for the
following: (1) primarymedical care for women who are receiving substance abuse
services, including prenatal care, and while women are receiving such treatment,
child care; (2) primary:pediatric care for their children including immunizations; (3)
gender specific substance abuse treatment and other therapeutic interventions for
women that may address issues of relationships, sexual and physical abuse and
io
parenting, and child care while the women are receiving these services; (4)
therapeutic interventions for children in custody of women in treatment which
may, among-other-things, address their developmental needs, and their issues of
sexual and physical abuse and neglect; and (5) sufficient case management and
transportation services to ensure that women and their children have access to the
services provided by (1) through (4). Because of the important health
issues relating to the provision of treatment services to pregnant women and
women with dependent children, the Secretary strongly encourages the States to
require all programs that provide services to women to also provide a
comprehensive range of services to such women and their children, either directly
or through linkages with community based organizations. These services include
case..management to assist in establishing eligibility for public assistance programs
provided by Federal, State or local governments; employment and training
programs; education and special education programs; drug-free housing for women
and their children; prenatal care and other health care services; therapeutic day
care for children; Head Start; and other early childhood programs.
In addition to providing the minimum services, the State is to require that all
programs which provide substance abuse treatment services to pregnant women
and women with dependent children using funds from the Block Grant amount set
aside for such purposes must treat the family as a unit and therefore admit both
women and their children into treatment, when appropriate. Such an admission
may not be appropriate, however, if, for example, the father of the child is able to
• 11
adequately care for the child. In addition, the amount set aside for such services
must be expended on;individuals who have no other financial means in obtaining
such services as provided by section 96.137. This is important so as to increase
the level of service to pregnant women and women with dependent children.
Finally, women :with dependent children for the purposes of section 96.124
include women in treatment who are attempting to regain custody of their children.
The Secretary believes that this is important, because often the court has custody
-of the children and regaining custody is dependent on successful-substance abuse
treatment. Regaining custody of their children may serve as an incentive to these
women to successfully complete treatment and to remain alcohol and drug free.
Caoacity of Treatment for Intravenous Substance Abusers
45 C.F.R. § 96.126 is added to implement section 1923 of the PHS Act
which provides that, as a condition of receiving Block Grant funding, the State
must require programs that receive funding under the grant and that treat
individuals for intravenous substance abuse to inform the. State when they reach
90 percent of capacity. The Secretary requires States, as a condition of receipt of
a grant, to establish a capacity management program which reasonably enables a
program to readily report to the State when it reaches 90 percent capacity. The
requirement for a capacity management system is an important change in the
substance abuse and prevention block grant program and the Secretary requests
comments on efficient..but cost effective means to implement this section.
12
In addition, section 1923 of the PHS Act requires the State to ensure that
each individual who requests and is in need of treatment for intravenous drug
abuse be admitted to the program not later.than 14 days after making the request
for admission to such a program, or 120 days after the date of such request, if no
such program has the capacity to admit the individual on the date of such request
:and if interim services are made available to the individual not later than 48 hours
after such request.
In carrying out these provisions, the Secretary requires the State to establish
a waiting list management program which provides systematic reporting of
treatment demand. The State is to require any program receiving funding from the
grant for the purposes of treating injecting drug abusers to establish a waiting list
which includes a unique patient identifier for each injecting drug abuser seeking.
treatment, including those receiving.interim services, while awaiting admission to
such treatment. For individuals who cannot be placed in comprehensive treatment
within 14 days, the State is to ensure.that individuals receive interim services and
to develop a mechanism for maintaining contact with th'e individuals awaiting
admission. Whatever mechanism is developed, it must ensure that. patients on
waiting lists are transferred at the earliest possible time to a program providing
treatment within a reasonable geographic area.
However, if a person cannot be located for admission into treatment or if a
person refuses treatment, such individuals may be taken off the waiting lists, and
the States are not obligated to provide treatment to those individuals within 14 or
13
120 days, whichever is applicable under section 96.126. The Secretary believes
that to have a continuing obligation to provide treatment to such individuals would
result in programs having unoccupied slots so as to be able to fulfill its obligations.
:This result, the Secretary believes, would not promote treatment.
The Secretary is considering whether regulations should be issued requiring
States not only to establish'a capacity management program which will monitor
available slots in treatment programs, but to establish a central registry to track
individuals so as to make available treatment in a timely fashion. A central registry
may also be useful toy;make available treatment to pregnant women as provided in
section 96.131. The;Secretary seeks comments on the central registry concept
and any alternatives to a central registry.
Interim services for the purposes of section 96.126 may entail any number
of services, including,interim methadone maintenance as authorized by section
1976 of the PHS Act and the applicable regulations. The Secretary, however,
requires that at a minimum interim services include counseling and education about
HIV and tuberculosis,:!about the risks of needle-sharing, about the risks of
transmission to sexual partners and infants, and about steps that can be taken to
ensure that HIV transmission does not occur, as well as referral for HIV and TB
treatment services, if necessary. For pregnant women, the Secretary believes it is
essential that interim services also include counseling on the effects of alcohol and
drug use on the fetus, as well as referrals for prenatal care. These provisions are
consistent with the thrust of the Block Grant -- to prevent the spread of HIV
14 '
infection and to treat substance abuse.
Section 1923 of the PHS Act also requires States to ensure that any entity
that receives funding for.treatment services for intravenous drug abuse carry out
activities to encourage individuals in need of such treatment to undergo such
treatment. In carrying out this provision, the Secretary requires the States to use
outreach models that are scientifically sound, so as to optimally maximize these
outreach programs, or if no such models are available which are applicable to the
local situation, to use an approach which reasonably can be expected to be an
effective outreach method. Examples of scientifically sound models include the
following: (1) the standard intervention model as described in The NIDA Standard
Intervention Model for Injection Drug Users: Intervention Manual, National AIDS
Demonstration Research.(NADR) Program, National Institute on Drug Abuse, Feb.
1992; (2) the health education model as described in Rhodes, F. Humfleet, G.L., gt
AIDS Intervention Program for Injection Dreg Users: Intervention Manual, (Feb.
1992); and (3) the indigenous leader model as described in Wiebel, W., Levin, L.B.,
The Indigenous Leader Model: Intervention Manual (Feb. 1992).
As part of the outreach programs, the Secretary, among other things, also
requires the States to ensure that such entities promote awareness among injecting
drug abusers about the relationship between injecting drug abuse and
communicable diseases and select, train and supervise outreach workers. These
measures ensure quality outreach programs and will prevent the use of less
effective strategies, such as simply having persons without an understanding of'
- 15
substance abuse handing out flyers.
Reguirements Regarding Tuberculosis and HIV
45 C.F.R. §196.127 and 96.128 are added to provide for the provisions of
section 1924 of the PHS Act regarding tuberculosis and HIV treatment services.
Under the PHS Act, States are to require any entity receiving amounts from the
Block Grant for operating a program of treatment for substance abuse (1) to,
directly or through arrangements with other public or nonprofit private entities,
routinely make available tuberculosis services as defined in section 96.121 to each
individual receiving treatment for such abuse; and (2) in the case of an individual in
need of such treatment who is deniedadmission to the program on the basis of the
lack of the capacity of the program, to refer theindividual to another provider of
tuberculosis services.
In carrying out this tuberculosis provision, the Secretary requires that the
principal agency of a State, in consultation with the State Medical Director for
Substance Abuse Services, and in cooperation with the Tuberculosis Control
Officer of the State Department of Health, develop written procedures to
implement these provisions, as well as protocols to be implemented by the
programs to prevent the transmission of tuberculosis, such as screening patients.
In addition, the principal agency is to develop a plan establishing linkages with
other health providers to ensure that tuberculosis services are routinely made
available.
16
The Secretary is requiring the State to also develop an effective system for
monitoring program compliance with this section. This system should be
developed in conjunction with those systems required for services to injecting drug
abusers under section 96.126(f) and for ensuring that services are being provided
to pregnant women under section 96.131(f). The Secretary believes it is critical
that pregnant women who are addicts be provided substance abuse and other
treatment as early as possible both because of the health of the mother and the
effects of the addiction on the fetus. Close monitoring is thus important to ensure
compliance by treatment providers. The Secretary also believes that tuberculosis
and HIV are health problems of enormous consequence and therefore programs
must be monitored closely to ensure provision of such services in-accordance with
the regulation. Although the regulation does not prescribe a system for monitoring
the provision of these services, the States are to develop effective systems that
will ensure to the. maximum extent possible that these services are being provided.
The State may wish to consider routine inspections of providers as a way of
carrying out this requirement. The Secretary seeks comments on procedures to
implement these provisions that will be both efficient and cost effective.
As to HIV, some States are to carry out one or more projects to make
available to individuals early intervention services for HIV disease as defined by
section 96.121 at the sites at which the individuals are undergoing treatment.
This requirement is applicable only to a State whose rate of cases of acquired
immune deficiency syndrome is 10 or more such cases per 100,000 individuals (as
. 17
indicated by the number of such cases reported to and confirmed by the Director
of the Centers for Disease Control for the most recent calendar year for which the
data are available) and the amount to be expended is the amount prescribed at
section 1924 of the PHS Act.
Further, if the State plans to carry out 2 or more such projects, the State is
to carry out one of the projects in a rural area of the State, unless the requirement
is waived. The Secretary will waive the requirement if the State certifies to the
Secretary that there is insufficient demand in the State to carry out a project in any
rural area, or there are no rural areas in the State.
The Secretary requires the State to ensure that the programs participating in
the project establish linkages with a comprehensive community resource network
of related health and social services organizations to ensure a wide-based
knowledge of the availability of these services and to facilitate referral. All
individuals with active TB shall be reported to the appropriate State official as
required by State law.
Section 1924(b)(6) of the PHS Act also requires States to ensure that, with
respect to the provision of early intervention services for HIV disease to an
individual, such services will be undertaken voluntarily by, and with the informed
consent of, the individual and undergoing such services will not be required as a
condition of receiving treatment services for substance abuse or any other
services. Designated States are to establish a plan to carry out these provisions
and are required to develop effective strategies for monitoring program compliance
18 .
with this section. As to both TB and HIV services, section 1924 of the PHS Act
requires that the Block Grant be used for such services as "payor of last resort."
Furthermore, for both HIV services (if a designated.State) and TB services, the
.State is to maintain Statewide expenditures (rather than expenditures only through
the principal agency) of non-Federal amounts for such services at a level that is not
less than the average level of such expenditures maintained by the State for a 2-
year period preceding the first fiscal year for which the State receives such a grant.
The Secretary requires States to establish a reasonable funding base for fiscal year
1993 and use the defined base consistently in establishing future compliance with
this section.
Revolving Funds for Establishment of Homes in which Recovering Substance
Abusers may Reside
45 C.F.R. 1196.129 is added to implement requirements relating to the
revolving funds for the establishment of homes in which recovering substance
abusers may reside. These requirements, however, do not apply to any territory of
the United States other than the Commonwealth of Puerto Rico.
Section 1925 of the PHS Act requires that the State establish and provide
for the ongoing operation of a revolving fund for the purpose of making loans for
the costs of establishing programs for the provision of housing in which individuals
recovering from alcohol and drug abuse may reside in groups of not less than six
individuals. Not less than $100,000 is to be available for the revolving fund and
19
loans made from the revolving fund are not to exceed $4,000. The loans are to be
repaid to the revolving fund not later than 2 years after the date on which the loan
is made and each such loan is to be repaid by such residents through monthly
installments by the date specified in the loan agreement involved. Such loans are
made only to nonprofit private entities agreeing to a number of provisions including
that, in the operation.of the'program established pursuant to the loan, the use of
alcohol or any illegal drug in the housing provided by the program will be prohibited
and the costs of the housing, including fees for rent and outlets, will be paid by the
residents of the housing.
In addition, the;;Secretary has provided further requirements that States are
to follow to ensure the integrity of the program and to place borrowers on notice
of what is expected of them. The Secretary expects the State to (1) identify and
clearly define legitimate purposes for which funds will be spent; (2) establish
. .reasonable criteria for selecting a fund management group, if the State plans to
indirectly manage the,jund; (3) set reasonable criteria in determining the eligibility
of prospective borrowers; (4) establish a procedure and process for applying for a
loan under the program; (5) provide clear written instructions to applicants
concerning what is expected of them, such as timelines, required documentation,
and notification of reasonable penalties and recourse for default; and (6) keep a
written record of the number of loans and amount of loans provided, the identities
of borrowers and the repayment history of each borrower. For instructional
information on group homes, refer to Self-Run. Self-Supported Houses for More
20
effective Recovery from Alcohol and Drug Addiction, DHHS Publication No. (ADM)
90-1678 (1990), which is available through the National Clearinghouse for Alcohol
and Drug Information (NCADI►.
Treatment Services for Pregnant Women
45 C.F.R. § 96.131 is added to implement regulations for treatment services
for pregnant women as required by section 1927 of the PHS Act.' Section 1927
requires the State to ensure that each pregnant woman in the State who seeks or
is referred for and would benefit from such services is given preference in
admissions to treatment facilities receiving funds.pursuant to the grant. In carrying
out this provision, the Secretary requires the State to ensure that the availability of
treatment to pregnant women is publicized by public service announcements
(radiottelevision), or street outreach programs.
In addition, the Secretary requires the State to ensure that entities that serve
women and who are receiving such funds provide preference to pregnant women.
The State shall require that programs which serve an injecting drug abuse
population and who receive Block Grant funds shall give preference to treatment as
follows: (i) pregnant injecting drug users; (ii) pregnant substance abusers; (iii)
injecting drug users; and (iv) all others. The Secretary believes it is essential that
pregnant women receive preferential treatment because of the added risk to the
fetus of contracting HIV from the mother's use of injecting drugs.
The State is to also require that a facility which serves women refer
21
pregnant women to the State if the treatment facility has insufficient capacity to
provide treatment services to any such pregnant woman who seeks the services
from the facility. The Secretary proposes that this may be accomplished by
establishing a toll-free number or other reasonable means to implement this
provision.
The State is to then refer the pregnant woman to a treatment facility that
has the capacity to provide treatment services to the pregnant woman or, if no
treatment facility has.the capacity to admit the pregnant woman, to make available
interim services, as defined in section 96.121, to the pregnant woman not later
than 48 hours after she seeks the treatment services. This means that the State is
required to have a capacity tracking system which tracks all open treatment slots
available to pregnant women in the State. Such a system must be continually
updated to identify treatment capacity for any such pregnant woman. The State
may wish to coordinate the capacity tracking system required under section
96.131 with the capacity tracking system required under section 96.126 for
injecting drug abusers.
Procedures for the implementation of this section are to be developed in
consultation with the State Medical Director for Substance Abuse Services. The
State is also to develop effective strategies for monitoring program compliance
with section 96.131.
22
Additional Agreements
45 C.F.R. § 96.132 is added to implement sections 1928 and 1943(b) of
the PHS Act regarding additional requirements relating to substance abuse. With
respect to individuals seeking treatment services, the State is required to improve
(relative to fiscal year 1992) the process in the State for referring the individuals to
treatment facilities that cavi provide to the individuals the treatment modality that
is most appropriate for the individuals. The regulations provide examples of ways
to implement this provision, including the utilization of a toll-free number for
programs to report available capacity and waiting list data and/or the
implementation of a capacity management/waiting list management system.
With respect to any facility for treatment services or prevention activities.
that is receiving amounts from a Block Grant, continuing education in such services
or activities (or both, as the case may be) is to be made available to employees of
the facility who provide the services or activities. The States are to require
programs to include a provision in its funding agreement with the State concerning
continuing education for employees of the facility.
The State is to coordinate prevention and treatment activities with the
provision of other appropriate services (including health, social, correctional and
criminal justice, education, vocational rehabilitation, and employment services).
The regulations specify that the Secretary, in monitoring compliance with this
section, will consider such factors as the existence of memoranda of .
understanding between various service providers or agencies and evidence that the
23
State has included prevention and treatment service coordination in its grants and
contracts. The Secretary believes that improving service coordination and
integration of services is an important objective. It is particularly important in the
area of substance abuse, because many of the individuals involved are either
served by or need to receive services from a variety of systems. The Secretary is
interested in receiving comments about additional ways that might be used to
strengthen the service coordination provision. For example, should States be
required to have an internal mechanism for monitoring service coordination, such
as receiving reports from treatment programs that do not get cooperation from
other service systems? Should preference be given to funding treatment programs
that do make arrangements for service coordination?
Section 1928 of the PHS Act also provides for a waiver, at the request of
the.State, of any or all of the requirements established above but only if the
Secretary determines that, with respect to services for the prevention and
treatment of substance abuse, the requirement involved is unnecessary for
maintaining quality in the provision of such services in the State. In determining
whether to grant a waiver, the Secretary will rely on information drawn from the
independent peer review/quality assurance activities conducted by the State and
such other information as the Secretary deems necessary.
Finally, the State is required to have in effect a system to protect from
inappropriate disclosure patient records maintained by the State in connection with
an activity funded under the program involved or by any entity which is receiving
24
amounts from the grant. The Secretary requires that the system is to include
provisions for employee education on the confidentiality requirements and
employees are to be informed of the fact-that disciplinary action may occur upon
inappropriate disclosures.
Submission to Secretary of Statewide Assessment of Needs
45 C.F.R. § 96.133 is added to require a State to submit to the Secretary an
assessment of the need in the State for authorized activities, both by locality-and
by the State in general as required by section 1929 of the PHS Act. The
assessment must include the incidence and prevalence in the State of drug abuse
and the incidence and prevalence in the State of alcohol abuse and alcoholism.
Setting-up information systems to obtain such data may take time and will likely
require technical assistance from HHS. Therefore, in.carrying out this provision,
the Secretary requires the States to submit for fiscal years 1993 through 1.996, its
best available data on the incidence and prevalence of drug and alcohol abuse and
alcoholism. The State is also to provide a summary describing the weaknesses and
bias in the data and a description on how the State plans to strengthen the data in
the future.
With regard to fiscal year 1997 and subsequent years, the Secretary is
considering requiring the States to provide incidence and prevalence data which is
supported by quantitative studies, using generally accepted methods of research.
The State could determine the appropriate methodology to be used in gathering the
25
information. The data, however, would have to be collected and reported by age,
sex and race/ethnicity and at the State level and at sub-State level (as defined by
the State). The data.at a minimum would have to be collected and reported on
five core substance abuse problems: marijuana (including hashish), cocaine
(including Crack), hallucinogens (including PCP), heroin and alcohol. The
Secretary is also considering requiring the use of common diagnostic criteria for
dependence that characterize the cluster of cognitive, behavioral, and physiological
symptoms that indicate the person has impaired control of substance abuse and
continues use of the substance despite adverse consequences. The Secretary
specifically requests comment on the barriers the State would face for fiscal year
1997 and subsequent years including the cost of such collection if these
requirements were imposed. The Secretary seeks reasonable alternatives that are
consistent with legislation and are cost effective.
Section 1929 of the PHS Act also requires the State to provide a detailed
description of current, prevention and treatment activities in the State. For fiscal
year 1993, the State.ilis required to provide its best available data on current
prevention and treatment activities in the State in such detail as it finds reasonably
practicable given its own data collection activities and records. For fiscal years
1994 and subsequent years, the Secretary requires that the report include a
detailed description of the. intended use of the funds relating to prevention and
treatment, as well as!;ia description of treatment capacity. As to primary prevention
activities, the activities must be broken down by strategies used, such as those
26 .
provided in section 96.125. The State must provide the following data, if
available: the specific activities conducted;the specific risk factors being
addressed by activity; the age, race/ethnicity and gender of the population being
targeted by the prevention activity; and the community size and type where the
activity is carried out. As to all treatment and prevention activities, including
primary prevention, the State must provide the identities of the entities that
provide the services and describe the services provided. The State is to submit
information on treatment utilization to describe'the type of care and the utilization
according to primary diagnosis of alcohol or drug abuse, or a dual diagnosis of drug
and alcohol abuse.
Section 1929 of the PHS Act requires the State to also describe in detail its
efforts to improve substance abuse treatment and prevention activities. The
Secretary requires that this report include the State's strategy to improve existing
programs, as well as a description of the newprograms created, activities taken to
remove barriers, and actions taken to.improve such activities.
Section 1929 of the PHS Act requires the State to submit a detailed
description on the extent to which the availability of prevention and treatment
activities is insufficient to meet the need for the activities, the interim services to
be made available under sections 96.126 and 96.131, and the manner in which
such services are to be so available. In carrying out this provision, the Secretary
requires the State to submit documentation describing the results of the State's
management information system pertaining to capacity and waiting lists, as well as
27
a summary of such information far admissions and, when available, discharges.
As to prevention activities, the report must include a description of the populations
at risk of becoming substance abusers.
Maintenance of Effort'regarding State Expenditures
i
45 C.F.R. § 96,134 it added to implement section 1930 of the PHS Act
which requires the principal agency of the State to maintain aggregate State
expenditures by the principal agency for authorized activities at a level that is not
less than the average:level of such expenditures maintained by the State for the
two year period preceding the fiscal year for which the State is applying for the
grant.
In addition to the maintenance of effort by the principal agency, the
Secretary requires the'i,States not to use the Block Grant to supplant State funding
of substance abuse prevention and treatment programs. The Secretarybelieves it
is essential in combating the war on drugs and other substances that the Block
Grant be expended to increase services rather than using the funds to maintain the
current level of such programs.
The Secretary may upon a request by the State, waive all or part of these
requirements only if the Secretary determines that extraordinary economic
conditions in the State;justify the waiver. If a waiver is issued, it will be applicable
only to the fiscal year involved. The Secretary defines "extraordinary economic
conditions" as a financial crisis in which the total tax revenue declines at least one
28
and one-half percent, and either unemployment increases by at least one
percentage point, or employment declines by at least one and one-half percent.
The Secretary seeks comments on this and other criteria.
In making a Block Grant to a State for a fiscal year, the Secretary must also
make a determination of whether, for the previous fiscal year or years,.the State
maintained material compliance with all agreements made under this section. If
the Secretary determines that a State has failed to maintain such compliance,'the
Secretary will reduce the amount of the allotment for the State for the fiscal year
for which the grant is being made by an amount equal to the amount constituting
such failure for the previous fiscal year.
To support the maintenance of effort requirement, 'States must provide the
dollar amount reflecting the aggregate State expenditures by the principal agency
for authorized activities for each of the two State fiscal years preceding the fiscal
year for which the State is applying for the grant. The base must be calculated
using Generally Accepted Accounting Principles and the composition of the base
must be applied consistently from year to year.
Restrictions on Expenditure of Grant
45 C.F.R. § 96.135 is added to implement section 1931 of the PHS Act
which requires that States not expend the Block Grant on a number of activities.
For example, a State is not to expend grant money for inpatient hospital substance
abuse programs, except in the case that such treatment is a medical necessity for
• 29
the individual involved, and the individual cannot be effectively treated in a
community based, nonhospital, residential treatment program. If such
circumstance occurs,-section 1931 requires that the daily rate of payment provided
to the hospital for providing the services cannot exceed the comparable daily rate
provided by a residential treatment program.
In carrying out ,this section, the Secretary allows grant funds to be used for
this purpose only if a physician makes a determination that: (1) the primary
l
diagnosis of the individual is substance abuse and the physician certifies this fact;
(2) the individual cannot be.safely treated in a community-based, nonhospital,
residential treatment program; (3) the service can reasonably be expected to
improve an individuol's condition or level of functioning; and (4) the hospital-based
substance abuse program follows national standards of substance abuse
professional practice. In addition, grant money may be expended for such services
only to the extent that it is medically necessary, i.e., only for those days that the
patient cannot be safely treated in a residential, community-based program.
Section 1931 of the PHS Act also provides that grant money may not be
used to purchase or improve land, purchase, construct, or permanently improve
(other than minor remodeling) any building or other facility, or purchase major
medical equipment. The PHS Act provides, however, that the Secretary may grant
a waiver to a requesting State of the restriction on expending a grant for the
is
construction of a new;facility or rehabilitation of an existing facility, but not for
land acquisition.
30
The Secretary may approve a waiver only if (1) the State demonstrates to
the Secretary that adequate treatment cannot be provided through the use of
existing facilities and that alternative facilities inexisting suitable buildings are not
available; (2) the State has carefully designed a program that will minimize the
costs of additional beds; and (3) the State agrees, with respect to the costs to be
incurred by the State in carrying out the purpose of the waiver, to make available
non-Federal contributions in cash toward such costs in an amount equal to not less
than $1 for each $1 of Federal funds provided under section 1931. In granting a
waiver,'the Secretary will allow the use of a specified amount of funds to
construct or rehabilitate a specified number of beds for residential treatment and a
.specified number of slots for outpatient treatment, based on reasonable estimates
by the State of the costs of construction or rehabilitation. Section 96.135 sets out
the information that is needed to request a waiver.
Numerous other restrictions on expenditures of the grant are provided by
law including expenditures on activities (1) to satisfy any requirement for the
expenditure of non-Federal funds as a condition for the receipt of Federal funds; (2)
to provide financial assistance to any entity other than a public or nonprofit private
entity; (3) to make payments to intended recipients of health services; and (4) to
carry out any program prohibited by section 256(b) of the Health Omnibus
Programs Extension of 1988 (42 U.S.C. 300ee-5), relating to the provision of
hypodermic needles to injecting drug users.
The State is also to limit expenditures on certain activities. The State is not
31
to expend more than 5 percent of the grant to pay the costs of administering the
grant. The State is not to, in expending the grant for the purpose of providing
treatment services in .penal or correctional institutions of the State, expend more
than an amount prescribed by section 1931(a)(3) of the PHS Act.
Indeoendent Peer Review
45 C.F.R. § 96.136 is added which requires the State, for the fiscal year
which the grant is provided, to provide for independent peer review to assess the
quality, appropriateness, and efficacy of treatment services provided in the State
to individuals under the program involved, and ensure that at least 5 percent of the
entities providing services in the State under such program are reviewed.
The purpose of independent peer review is to review the quality and
appropriateness of treatment services. The review is to focus on treatment
programs and the substance abuse service system rather than on the individual
practitioners. The intent of the independent peer review process is to continuously
improve the treatmentservices to alcohol and drug abusers within the State
system.
The regulations require the independent peer reviewers to be individuals with
expertise in the field of alcohol and drug abuse treatment. Because treatment
services may be provided by multiple disciplines, the individual peer reviewers must
be representative of the various disciplines utilized, must be knowledgeable about
the treatment settings and differences in treatment approaches, and must be
32
sensitive to cultural and environmental issues that may influence the quality of the
services provided.
As part-of the independent peer.review, the reviewers are required to review
a representative sample of patient/client records to determine quality and
appropriateness of treatment services, as well as admission criteria/intake process,
assessments, treatment planning, documentation of implementation of treatment
services, and discharge and continuing care planning.
The regulations also require the State to ensure that the peer review will not
involve practitioners or providers reviewing their own programs, or programs in
which they have administrative oversight, and ensure that there is a separation of
peer review personnel from funding decisionmakers.
.................
Direct Anolication for Grant by Indian Tribes
45 C.F.R. § 96.46(c) is amended to establish criteria prescribed by.the
Secretary as is required by section 1933(d)(3) of the PHS Act. It establishes
criteria that Indian tribes or tribal organizations which are eligible for a direct grant
must follow. Essentially, these entities must abide by all the statutory provisions
and accompanying regulations except for the following provisions of the PHS Act:
section 1923 which relates to provisions on intravenous substance abuse; section
1925 which provides for group homes for recovering substance`abusers; section
1926 regarding State laws on the sale of tobacco products to minors; section
1928 regarding funding agreements for improving referrals, continuing education,
r
33
and coordination of activities in the State; section 1929 regarding submission of
Statewide assessment of needs; and section 1943(a)(1) relating to peer review of
treatment programs.
The Department believes these provisions are too burdensome for Indian
tribes and not really feasible. The Department believes, however, that. it is
essential that these entities'expend the funds for purposes for which they are
intended and any Indian tribe or tribal organization that is eligible for a direct grant
will be subject the technical review requirements of section 1945(8) and the audit
requirements of section 1942 of the PHS Act.
45 C.F.R. § 9646(a) &- (b) are also amended to reflect technical changes
such as statutory citation changes.
ECONOMIC IMPACT .
In crafting these regulations, the Secretary sought to minimize cost and
burden both to States,;and to service providers. The Secretary recognizes that
there are a number of;;areas in which requirements are tougher compared to the
predecessor Block Grant, either because of the statute outhe Department's
judgment as to what is needed for effective programs. In none of these areas,
however, has the Secretary imposed any requirement which would increase cost
drastically or unreasonably. Nor does the Secretary believe that a well run service
program should have a major difficulty in meeting the new requirements. For
example, an astutely designed outreach program can be operated effectively
Y • ,
34
without incurring many additional hours of effort in most circumstances. However,
the Secretary welcomes comment on cost or burden and will seek to eliminate any
unnecessarily costly provisions in the final rule.
For these reasons, this rule does not have cost implications for the economy
of $100 million or otherwise meet the criteria for a major rule under Executive
Order 12291, and therefore'does not require a regulation impact.analysis. Further,
these regulations will not have a significant impact on a substantial number of
small entities, and therefore do not require a regulatory flexibility analysis under the
Regulatory Flexibility Act of 1980.
PAPERWORK REDUCTION ACT
This rule contains information collection requirements that are subject to review by
the Office of Management and Budget (OMB) under the Paperwork Reduction Act
of 1980. The title, description, and respondent description applicable to the
information collection requirements are shown below with an estimate of the
annual reporting and record-keeping burden. Included in the estimate is the time
for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of
information.
Title: Substance Abuse Prevention and Treatment Block Grant
35
Description: This action requires States to annually submit an application for
allotments under a formula grant to the States.
Description of Respondents: State or local governments.
36
REPORTING
Number of
No. of Responses No. Hours Total
Section Respondents Per Per Response HoUrs
Annual Report
96.122(f) 60 1 152 9120
96.134(d) 60 1 16 960
State Pian
96.122(e) 60 1 162 9720
96.124(c)(1) 60 1 40 2400
96.127(b) 60 1 8 480
96.131(f) 60 1 8 480
96.133(a) 60 1 80 4800
Waivers
96.132(d)• 60 1 16 960
96.134(b)• 60 1 40 2400
96.135(d)• 60 1 8 480
Total60 1 530 31,8000•
_ __... -
RECORDKEEPING BURDEN
No. of No. Hours Total
Section Recordkeeoers Per Respondent Hours
96.129(a)0 3) 60 1.6 960
Total 60 16 960
COMBINED BURDEN - 45 CFR 96
No. Hours Total
Per Respondent Hours
546 32,760
• For the purpose of calculating burden it has been assumed that all States could apply for
each waiver.
37
•• This Is the burden for the annual application for the Substance Abuse Prevention and
Treatment Block Grant resulting from these information collections. OMB clearance for the uniform
application pursuant to II 96.122(c) is being sought separately.
Y
38
The Department of Health and Human Services has submitted a copy of this rule to
OMB for its review of these information collection requirements. Organizations and
individuals desiring to submit comments on the information collection requirements
and the estimated burden should direct such comments to the agency official
designated for this purpose whose name appears in this preamble, and to:
SAMHSA Desk Officer, Allison Eydt, Office of Information and Regulatory Affairs,
OMB, New Executive Office Building, Room 3001, 725 17th St. N.W.,
Washington, D.C. 20503. It should be.noted that the standard application form
which is required to be used beginning fiscal year 1994 will not be effective until
approved by OMB pursuant to the Paperwork Reduction Act.
r
39
LISTS OF SUBJECTS IN 45 CFR PART 96
Alcohol abuse, Alcoholism, Drug abuse, Confidentiality, Health records
For the reasons set out in the preamble, 45 CFR part 96 is amended as. set forth
below.
Dated:
Acting Assistant Secretary for Health
Approved• Secretary"I
1. The index title for section 96.46 is amended to read as follows:
96.46 Substance abuse prevention and treatment services.
.2. The index for Subpart L is amended to read as follows:
Subpart L--Substance Abuse Prevention and Treatment Block Grant
96.120 Scope.
96.121 Definitions.
96.122 Application content and procedures.
96.123 Assurances.
96.124 Certain allocations.
96.125 Primary prevention.
96.126 Capacity of treatment for intravenous substance abusers.
96.127 Requirements regarding tuberculosis.
96.128 Requirements regarding human immunodeficiency virus.
96.129 Revolving funds for establishment of homes in which
recovering substance abusers may reside.
96.130 [Reserved]
96.131 Treatment services for pregnant women.
96.132 Additional agreements.
96.133 Submission to Secretary of Statewide assessment of needs.
96.134 Maintenance of effort regarding State expenditures.
96.135 Restrictions on expenditure of grant.
2
96.136 Independent peer review.
96.137 Payment schedule.
3. Section 96.46 is amended to read as follows:
§ 96.46 Substance abuse prevention and treatment services.
(a) This section applies to direct funding of Indian tribes and tribal organizations
under the substance abuse prevention and treatment Block Grant.
(b) For the purpose of determining eligible applicants under section 1933(d) of the
Public Health Service Act (42 U.S..C. 300x-33(d)) an Indian tribe or tribal
organization (as defined in subsections (b) and (c) of section 4 of the Indian:Self-
Determination and Education Assistance Act) that received a direct grant under
subpart I of part B of title XIX of the PHS Act (as such existed prior to October 1,
1992) in fiscal year 1991 will be considered eligible for a grant under subpart 2 of
part B of title XIX of the PHS Act.
(c) For purposes of the substance abuse prevention and treatment Block Grant, an
Indian tribe or tribal organization is not required to comply with the following
statutory provisions of the Public Health Service Act: 1923 (42 U.S.C. 300x-23),
1925 (42 U.S.C. 300x-25), 1926 (42 U.S.C. 300x-26), 1928 (42 U.S.C. 300x-
28), 1929 (42 U.S.C. 300x-29), and 1943(a)(1) (42 U.S.C. 300x-53(a)(1)). An
Indian tribe or tribal organization is to comply with all other statutes and
3
regulations applicable to the Substance Abuse Prevention and Treatment Block
Grant. In each case lin which an Indian Tribe receives a direct grant, the State is
also responsible for providing services to Native Americans under the State's Block
Grant program.
4. Subpart L is amended to read as follows:
Subpart L-Substance: Abuse Prevention and Treatment Block Grant
Authority: 42 U.S.C. 300x-21 to 300x-35 and 300x-51 to .
300x-64.
§ 96.120 Scope.
This subpart applies to the Substance Abuse Prevention and Treatment
,. Block Grant administered by the Substance Abuse and Mental Health Services
Administration. 45 C.F.R. Part 9.6, subparts A through F, are applicable to this
i
subpart to the extent that those subparts are consistent with subpart L. To the
extent subparts A through F are inconsistent with subpart L, the provisions of
subpart L are applicable.
§ 96.121 Definitions.
Block Grant means the Substance Abuse Prevention and Treatment Block Grant,
42 U.S.C. 300x-21,
Early Intervention Services Relating to HIV means:
(i) appropriate 'pretest counseling for HIV and AIDS;
4
(ii) testing individuals with respect to such disease, including tests to
confirm the presence of the disease, tests to diagnose the extent of the
deficiency in the immune system, and tests to provide information on
appropriate therapeutic measures for preventing and treating the
deterioration of the immune system and for preventing and treating
conditions arising from the disease; ,_.
(iii) appropriate post-test counseling; and
(iv) providing the therapeutic measures described in clause (ii).
Fiscal Year, unless provided otherwise, means the Federal fiscal year.
Interim Services or Interim Substance Abuse Services means services that are
provided until an individual is admitted to a substance abuse treatment program.
The purposes of the services are to reduce the adverse health effects of such
abuse, promote the health of the individual, and reduce the risk of transmission of
disease. At a minimum, interim services include counseling and education about
HIV and tuberculosis (TB), about the risks of needle-sharing, the risks of
transmission to sexual partners and infants, and about steps that can be taken to
ensure that HIV and TB transmission does not occur, as well as referral for HIV or
TB treatment services if necessary. For pregnant women, interim services also
include counseling on the effects of alcohol and drug use on the fetus, as well as
referral for prenatal care.
Primary Prevention Programs are those directed at individuals who have not been
determined to require treatment for substance abuse. Such programs are aimed at
5
educating and counseling individuals on such abuse and providing for activities to
reduce the risk of such abuse.
Princioal Agency is the single-State agency responsible for planning, carrying out
and evaluating activities to prevent and treat substance abuse and related
activities.
Rural Area The definition of a rural area within a State shall be the latest definition
of the Bureau of the Census, Department of Commerce.
Secreta[y is the Secretary of the United States Department of Health and Human
Services or the Secretary's designee.
State• unless provided otherwise, includes the 50 States, the District of Columbia,
the Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, America Samoa;
.....the Commonwealth of the Northern Mariana.Islands, Palau, Micronesia, and the
Marshall Islands.
State Medical Director for Substance Abuse Services is a licensed physician with
,:
the knowledge, skill and ability to address the multiple physical and psychological
problems associated with substance abuse, and who provides the principle agency
with clinical consultation and direction regarding effective substance abuse
treatment, effective primary medical care, effective infection control and public
i
health and quality assurance.
Substance Abuse is defined to include the abuse or illicit use of alcohol or other
drugs.
Tuberculosis Services means:
6
(a) counseling the individual with respect to tuberculosis;
(b) testing to determine whether the individual hasbeen infected with
mycobacteria tuberculosis to determine the appropriate form of treatment for
the individual; and
(c) providing for or referring the individuals infected by mycobacteria
tuberculosis for appropriate medical evaluation and treatment.
§ 96.122 Application content and procedures.
(a) For each fiscal year, beginning with fiscal year 1993, the State shall submit
an application to such address as the Secretary determines is appropriate.
(b) For fiscal year 1993, applicants must submit an application containing
information which conforms to the assurances listed under § 96.123, the report'as
provided in § 96.122(f), and the State plan as provided in § 96.122(g).
(c) Beginning fiscal year 1994, applicants shall only use standard application
forms prescribed by the granting agency with the approval of the Office of
Management and Budget (OMB) under the Paperwork Reduction Act of 1980.
Applicants must follow all applicable instructions that bear OMB clearance
numbers. The application will require the State to submit the assurances listed
under § 96.123, the report as provided in § 96.122(f), and the State Plan as
provided in § 96.122(g).
(d) The application (in substantial compliance with the statutory and regulatory
provisions for the Block Grant) shall be submitted for fiscal year 1993 no later than
7
ninety days after publication of these regulations, and, for subsequent years, no
later than March 31 of the fiscal year for which the State is applying.
(e) The funding agreements and assurances in the application shall be made
through certification by the State's chief executive officer personally, or by an
individual authorized to make such certification on behalf of the chief executive
officer. When a delegation has occurred, a copy of the current delegation of
authority must be submitted with the application.
(f) A report shall be submitted annually with the assurances and State Plan as part
of the application. Among other things, the report must contain information as
determined by the Secretary to be necessary to determine the purposes and the
activities of the State,.for which the Block Grant was expended. The report shall
i
include (but is not limited to) the following:
(1) For the fiscal year three years prior to the fiscal year for which the
State is applying for funds:
(i) a statement of whether the State exercised its
discretion under applicable law to transfer Block Grant
funds from substance abuse services to mental health
services or vice versa, and a description of the transfers
which were made;
(ii) a description of the progress made by the State in
meeting the prevention and treatment goals, objectives and
activities submitted in the application for the relevant year;
(iii) a description of the amounts expended under the
Block Grant by the State agency, by activity;
(iv) a description of the amounts expended on primary prevention
and early intervention activities (if reporting on fiscal years 1990,
1991, and 1992 only) and for primary prevention activities (if
reporting on fiscal years 1993 and subsequent years);
(v) a description of the amounts expended for activities relating to
substance abuse such as planning, coordination, needs assessment,
quality assurance, training of counselors, program development,
research and development and the development of information
systems;
(vi) a description of the entities, their location, and the total amount
the entity received from Block Grant funds with a description of the
activities undertaken by the entity;
(vii) a description of the use of the State's revolving funds for
establishment of group homes for recovering substance abusers, as
provided by § 96.129, including the amount available in the fund
throughout the fiscal year and the number and amount of loans made
that fiscal year;
(viii) a detailed description of the State's programs for women and, in
particular for pregnant women and women with dependent children, if
reporting on fiscal years 1990, 1991, or 1992; and pregnant women
or women with dependent children for fiscal year 1993 and
9
subsequent fiscal years;
(ix) a detailed description of the State's programs for intravenous
drug users; and
(x) for applications for fiscal year 1996 and subsequent
fiscal years, a description of the State's expenditures for
tuberculosis services and, if a designated State, early
intervention services for HIV.
(2) For the most recent 12 month State expenditure period for which
expenditure information is complete:
(i) a description of the amounts expended by the principal agency for
substance abuse prevention and treatment activities, by activity and
source of funds;
(ii) a description of substance abuse funding by other State agencies
and offices, by activity and source of funds when available; and
(iii) a description of the types and amounts of substance abuse
services purchased by the principal agency.
(3) For the fiscal year two years prior to the fiscal year for which the State is
applying for funds:
(i) a description of the amounts obligated under the Block Grant by the
principal agency, by activity;
(li) a description of the amounts obligated for primary prevention
and early intervention (if reporting on fiscal years 1990, 1991, and
10
1992 activities only).and primary prevention activities (if reporting on
fiscal years 1993 and subsequent year activities);
(iii) a description of the entities to which Block Grant funds were
obligated;
(iv) a description of the States's policies, procedures and laws
regarding substance abuse prevention, especially the use of alcohol
and tobacco products by minors;
(v) for applications for fiscal year 1995 and all
subsequent fiscal years, a description of the State's
-procedures and activities undertaken to comply with the
requirement to conduct independent peer review as
provided by 196.136;
(vi) for applications for fiscal year 1995 and all subsequent fiscal
years, a description of the State's procedures and:activities
undertaken to comply with the requirement to develop capacity
management and waiting list systems, as'provided by § 96.126 and
96.131, as well as an evaluation summary of these activities; and
(vii) for applications for fiscal year 1995 and subsequent fiscal years,
a description of'the strategies used for monitoring program
compliance with § 96.126(f), § 96.127(b), and 196.131(f), as well
as a description of the problems identified and the corrective actions
taken.
(4) The aggregate State expenditures,by the principle
agency for authorized activities for the two State fiscal years preceding the
fiscal year for which the State is applying for a grant, pursuant to §
96.134(d).
(5) For the previous fiscal year:
(i) a description of the State's progress in meeting the goals,
objectives and activities included in the previous year's application,
and a brief description of the recipients of the Block Grant funds;
(ii) a description of the methods used to calculate the following:
(A) the base for services to pregnant women and women with
dependent children as required by § 96.124;
(B) the base for tuberculosis services as required for § 96.127;
and
(C) for designated States, the base for HIV early intervention
services as required by § 96.128;
(iii) for applications for fiscal years 1994 and 1995 only, a description
of the State's progress in the development of protocols for and the
implementation of tuberculosis services, and, if a designated State,
early intervention services for HIV; and
(iv) for applications for fiscal year 1994 only, a description of the
States progress in the development, implementation, and utilization of
capacity management and waiting list systems.
12
(6) [Reserved]
(7) In addition to the information above, any information that the Secretary
may, from time to time, require, consistent with the Paperwork Reduction
Act.
(g) For each fiscal year, beginning fiscal year 1993, the State Plan shall be
submitted to the Secretary and shall include the following:
(1) for fiscal years 1993 and 1994, a statement on whether the State
intends to exercise its discretion under applicable law to transfer Block
Grant funds from the Substance Abuse Prevention and Treatment
Block Grant allotment under section 1921 of the PHS Act to the
Community Mental Health Services Block Grant allotment under
section 1911 of the PHS Act or vice versa and a description of the
planned transfer;
(2) A budget of expenditures which provides an estimate of the use
and distribution of Block Grant and other funds to be spent by the
agency administering the Block Grant during the period covered by the
application, by activity and source of funds;
(3) a description of how the State carries out planning, including how
the State identifies substate areas with the greatest need, what
process the State uses to facilitate public comment on the plan, and
what criteria the State uses in deciding how to allocate Block Grant
funds;
13
(4) a detailed description of the State procedures to monitor
programs that;reach 90% capacity pursuant to § 96.126(a);
(5) a detailed description of the State procedures to implement the 14/120
day requirement provided by § 96.126(b), as well as the interim
services to be,provided and a description of the strategies to be used in
monitoring program compliance in accordance with § 96.126(f); _
(6) a full description of the outreach efforts States will require entities
which receive funds to provide pursuant to
§ 96.126(e);
(7) a.detailed description of the State procedures implementing TB services
pursuant to § 96.127, and a description of the strategies to be used in
monitoring program compliance in accordance with § 96.127(b);
(8) a detailed description of the State's procedures implementing HIV
services pursuant to § 96.128, if considered a designated State;
(9) a description of estimates of non-Federal dollars to be spent for
early intervention services relating to HIV, if a designated State, and
tuberculosis services for the fiscal year covered by the application, as
well as the amounts actually spent for such services for the two .
previous fiscal years;
(10) for fiscal year 1993, a detailed description of the State's
revolving fund for establishment of group homes for recovering
substance abusers pursuant to § 96.129 and, for subsequent
14
years, any revisions to the program;
01) a detailed description of State procedures implementing § 96.131
relating to treatment services for pregnant women;
0 2) unless waived, a description on how the State will improve the process
for referrals for treatment, will ensure that continuing education.is provided,
and will coordinate various activities and services as provided by §. 96.132;
(13) statewide assessment of needs as provided in § 96.133; (14) the
aggregate State dollar projected expenditures by the principal agency of a
State for authorized activities for the fiscal year for which the Block Grant is
to be expended, as well as the aggregate obligations or expenditures, when
available, for authorized activities for the two years prior to such fiscal year
as required by § 96.134;
(15) unless waived, a description of the services and activities to be
provided by the State with Block Grant.funds consistent with §
96.124 for allocations to be spent on services to pregnant women
and women with dependent children, alcohol and other drug treatment
and prevention, including primary prevention, and any other
requirement;
(16) a description of the State procedures to implement § 96.132(e)
regarding inappropriate disclosure of patient records;
0 7) a description of the amounts to be spent for primary prevention
in accordance with § 96.125;
15
0 8) a description of the amounts to be spent on activities relating to'
substance abuse such as planning coordination, needs assessment,
quality assurance, training of counselors, program development,
research and development and the development of information
systems;
(19) a description of the State plans regarding purchasing substance abuse
services;
(20) a description of how the State intends to monitor and evaluate the
performance of substance abuse service providers in accordance with §
96.136;
(21) a description of the State's overall goals for Block Grant expenditures,
specific objectives under each goal, and the activities the State will carry out
to achieve these objectives; and
(22) such other information as the Secretary may, from time to time,
require, consistent with the Paperwork Reduction Act.
(h) The Secretary will approve an application which includes the assurances, the
State plan and the report that satisfies the requirements of this part and the
relevant sections of the PHS Act. As indicated above, the State is required to
provide descriptions of the State's procedures to implement the provisions of the
Act and the regulations. Unless provided otherwise by these regulations, the
Secretary will approve procedures which are provided as examples in the
regulations, or the State may submit other procedures which the Secretary
16
determines to reasonably implement the requirements of the Act.
§ 96.123 Assurances.
(a) The application must include assurances that:
(1) the State will expend the Block Grant in accordance with the
percentage to be allocated to
treatment, prevention and other activities as prescribed by law and,
also, for the purposes prescribed by law;
(2) the activities relating to intravenous drug use pursuant to § 96.126 will
be carried out;
(3) the TB services and referral will be carried out pursuant to §
96.127, as well as the early intervention services for HIV provided for
in § 96.128, if a designated State;
(4) the revolving funds to establish group homes for recovering
substance abusers is in place consistent with the provisions of §
96.129 and the loans will be made and used as provided for by law;
(5) [Reserved]
(61 pregnant women are provided preference in admission to
treatment centers as provided by § 96.131, and are provided interim
services as necessary and as required by law;
(7) the State will improve the process in the State for referrals of
individuals to the treatment modality that is most appropriate for the
17
individuals, will ensure that continuing education is provided to
employees of any funded entity providing prevention activities or
treatment services, and will coordinate prevention activities and
treatment services with the provision of other appropriate services as
provided by § 96.132;
(8) the State will submit an assessment of need as required by section
96.133;
(9) the State will for such year maintain aggregate State expenditures
by the principal agency of a State for authorized activities at a level
that is not less. than the average level of such expenditures maintained
by the State for the 2-year period preceding the fiscal year for which
the State is applying for the grant as provided by 196.134;
0 0) the Block.Grant will not be used to supplant State funding of
alcohol and other drug prevention and treatment programs;
01) for purposes of maintenance of effort pursuant to §§ 96.127(f),
96.128(f), and. 96.134, the State will calculate the base using
Generally Accepted Accounting Principles and the composition of the
base will be applied consistently from year to year;
0 2) the State.will for the fiscal year for which the grant is provided
comply with the restrictions on the expenditure of Block Grant funds
as provided by- § 96.135;
0 3) the State will make the State Plan public within the State in
18
such manner as to facilitate comment from any person (including any
Federal or other public agency) during the development of the State
Plan and after the submission of the State Plan (including any
revisions) to the Secretary as provided by § 1941 of the PHS Act;
(14) the State will for the fiscal year for which the grant is provided,
provide for independent peer review to assess the quality,
appropriateness, and efficacy of treatment services provided in the
State to individuals under the program involved as required by
§ 96.136;
0 5) the State has in effect a system to protect from inappropriate
disclosure patient records maintained by the State in connection with
an entity which is receiving amounts from the grant;
0 6) the State will comply with chapter 75 of title 31, United States
Code, pertaining to audits; and
0 7) the State will abide by all applicable Federal laws and
regulations, including those relating to lobbying (45 C.F.R. Part 93),
drug-free workplace (45 C.F.R. 76.600), discrimination (PHS Act §
1947), false statements or failure to disclose certain events (PHS Act
§ 1946), and, as to the State of Hawaii, services for Native Hawaiians
(PHS Act § 1953).
§ 96.124 Certain allocations.
19
(a) States are required to expend the Block Grant on various activities in certairt
proportions. Specifically, as to treatment and prevention, the State shall expend
the grant as follows:
(1) not less than 35 percent for prevention and treatment activities
regarding alcohol; and
(2) not less than 35 percent for prevention and treatment activities
regarding other'drugs.
(b) The States are also to expend the Block Grant on primary prevention,programs
as follows:
(1) Consistent with 11 96.125, the State shall expend not less than 20
percent for programs for individuals who do not require treatment for
substance abuse, which programs—
(1) educate and counsel the individuals on such abuse; and
(ii) provide for activities to reduce the risk.of such abuse by the
individuals;
(2) The State shall, in carrying out paragraph (1)--
(i) give priority to programs for populations that are at risk of
developing a pattern of such abuse; and
(ii) ensure that programs receiving priority under subparagraph
(b)(2)(i) develop community-based strategies for prevention of
such abuse, including strategies to discourage the use of
alcoholic beverages and tobacco products by individuals to
20
whom it is unlawful to.sell or distribute such beverages or
products.
(c) Subject to paragraph (d) of this section, a State is required to expend the Block
Grant on women services as follows:
(1) The State for fiscal year 1993 shall expend not less than five percent of
the grant to increase'(relative to fiscal year 1992) the availability of
treatment services designed for pregnant women and women with
dependent children (either by establishing new programs or expanding the
capacity of existing programs). The base for fiscal year 1993 shall be an
amount equal to the fiscal year 1992 alcohol and drug services Block Grant
expenditures and State expenditures for pregnant women and women with
dependent children as described in subsection (e), and to this base shall be
added at least 5 percent of the 1993 Block Grant allotment. The base shall
be calculated using Generally Accepted. Accounting Principles and the
composition of the base shall be.applied consistently from year to year.
States shall report the methods used to calculate'their base for fiscal year
1992 expenditures on treatment for pregnant women and women with
dependent children.
(2) For fiscal year 1994, the State shall, consistent with subsection (c)(1),
expend not less than five percent of the grant to increase (relative to fiscal
year 1993) the availability of such services to pregnant women and women
with dependent children.
21
(3) For grants beyond fiscal year 1994, the States shall expend no
less than an amount equal to the amount expended by the State for
fiscal year 1994.
(d) Upon the request of a State, the Secretary may waive all or part of the
requirement established in subsection (c) if the Secretary determines that.the State
is providing an adequate level of services for this population. In determining
whether an adequate!level of services is being provided the Secretary will review
.the extent to which such individuals are receiving services. This determination
may be supported by'a combination of criminal justice data, the.National Drug and
Treatment Units Survey, statewide needs assessment data, waiting list data,
welfare department data, including medicaid expenditures, or other State statistical
data that are systematically collected. The Secretary will also consider the extent
to which the State offers the minimum services required under § 96.124(s). The
Secretary shall approve or deny a request for a waiver not later than 120 days
after the date on which the request is made. Any waiver provided by the
Secretary shall be applicable only to the fiscal year involved.
(e) With respect to subsection (c), the amount set aside for such services shall be
expended on individuals who have no other financial means of obtaining such
services as provided in § 96.137. All programs providing such services will treat
the family as a unit and therefore will admit both women and their children into
treatment services, if appropriate. The State shall ensure that, at a minimum,
treatment programs receiving funding for such services also provide or arrange for
22
the provision of the following services to pregnant women and women with
dependent children, including women who are attempting to regain custody of their
children:
(1) primary medical care for women, including referral for prenatal care and,
while the women are receiving such services, child care;
(2) primary pediatric care, including immunization, for their children;
(3) gender specific substance abuse treatment and other therapeutic
interventions for women which may address issues of relationships,
sexual and physical abuse and parenting, and child care while the
women are receiving these services;
(4) therapeutic interventions for children in custody of women in
treatment which may, among other things, address their
developmental needs, their issues of sexual and physical abuse, and
neglect; and
(5) sufficient case management and transportation to ensure that .
women and their children have access to services provided by
paragraphs (1) through (4).
(f) Procedures for the implementation of subsections (c) and (e) will be developed
in consultation with the State Medical Director for Substance Abuse Services.
96.125 Primary prevention.
(a) For purposes of 1196.124, each State/Territory shall develop and implement a
23
comprehensive prevention program which includes a broad array of prevention
strategies directed at.individuals not identified to be in need of treatment. The
comprehensive program shall be provided either directly or through one or more
-public or nonprofit private entities. The comprehensive primary prevention
program shall include. activities and services provided in a variety of settings for
both the general population; as well as targeting sub-groups who are at high risk
for substance abuse.; (b) In implementing the prevention program the State shall
use a variety of strategies, as appropriate for each target group, including but not
limited to the following: .
(1) Information Dissemination: This strategy provides awareness and
knowledge of the nature and extent of alcohol, tobacco and drug use,
abuse and addiction and their effects on individuals, families and -
communities. ;It also provides knowledge and awareness of available
prevention programs and services. Information dissemination is
characterized by one-way communication from the source to the
audience, with,limited contact between the two. Examples of
activities conducted and methods used for this strategy include (but
are not limited to) the following:
(i) clearinghouse/information resource center(s);
(ii) resource directories;
(iii) media campaigns;
(iv) brochures;
24
(v) radio/TV public service announcements;
(vi) speaking engagements;
(vii) health fairs/health promotion; and
(viii) information lines.
(2) Education: This strategy involves two-way communication and is
distinguished from the Information Dissemination strategy by the fact
that interaction between the educator/facilitator and the-participants is
the basis of its activities. Activities under this strategy aim to affect.
critical life and social skills, including decision-making, refusal skills,
critical analysis (e.g. of media messages) and systematic judgment
abilities. Examples of activities conducted and methods used for this
strategy include (but are not limited to) the following:
(1) classroom and/or small group sessions (all ages);
(ii) parenting and family management classes;
(iii) peer leader/helper programs;
(iv) education programs for youth groups; and
(v) children of substance abusers groups.
(3) Alternatives: This strategy provides for the participation of target
populations in activities that exclude alcohol, tobacco and other drug
use. The assumption is that constructive and healthy activities offset
the attraction to, or otherwise meet the needs usually filled by
alcohol, tobacco and other drugs and would, therefore, minimize or
25
obviate resort to the latter. Examples of activities conducted and
methods used for this strategy include (but are not limited to) the
following:
(i) drug free dances and parties;
(ii) youth/adult leadership activities;
(iii) community'drop-in centers; and
(iv) community service activities.
(4) Problem Identification and Referral: This strategy aims at
identification of those who have indulged in illegal/age-inappropriate
use of tobacco or alcohol and those individuals who have indulged in
the first use of illicit drugs in order to assess if their behavior can be
reversed through education. It should be noted, however, that this
strategy does not include any activity designed to determine if a
person is in need of treatment. Examples of activities conducted and
methods used for this strategy include (but are not limited to) the
following:
(i) employee assistance programs;
(ii) student assistance programs; and
(iii) . driving while under the influence/driving while intoxicated
education programs.
(5) Community=Based Process: This strategy aims to enhance the
ability of the community to more effectively provide prevention and
26
treatment services for alcohol, tobacco and drug abuse disorders.
Activities in this strategy include organizing, planning, enhancing
efficiency and effectiveness of services implementation, inter-agency
collaboration, coalition building and networking. Examples of
activities conducted and methods used for this strategy include (but
are not limited to) the following:
(i) community and volunteer training, e.g., neighborhood action
training, training of key people in the system, staff/officials
training;
(ii) systematic planning;
(iii) multi-agency coordination and collaboration;
(iv) accessing services and funding; and
(v) community team-building.
(6) Environmental: This strategy establishes or changes written and
unwritten community standards, codes and-attitudes, thereby
influencing incidence and prevalence of the abuse of alcohol, tobacco
and other drugs used in the general population. This strategy is
divided into two subcategories to permit distinction between activities
which center on legal and regulatory initiatives and those which relate
to the service and action-oriented initiatives. Examples of activities
conducted and methods used for this strategy shall include (but not
be limited to) the following:
27
(i) promoting the establishment and review of alcohol,
tobacco and drug use policies in schools;
(ii) technical assistance to communities to maximize local
enforcement procedures governing
availability and distribution of alcohol, tobacco and
other drug use;
(iii) modifying alcohol and tobacco advertising .
practices; and
(iv) product pricing strategies.
§ 96.126 Capacity of; treatment for intravenous substance abusers..
.(a) In order to obtain,Block Grant funds, the State must require programs that
receive funding under the grant and that treat individuals for intravenous substance
abuse to provide to the State, upon reaching 90 percent of its capacity to admit
individuals to the program, a notification of that fact within seven days. In
carrying out this section, the State shall establish a capacity management program
which reasonably implements this section -- that is, which.enables any such
program to readily report to the State when it reaches 90 percent of its capacity --
and which ensures the maintenance of a continually updated record of all such
reports and which makes excess capacity information available to such programs.
(b) In order to obtain Block Grant funds, the State shall ensure that each individual
who requests and is in need of treatment for intravenous drug abuse is admitted to
28
a program of such treatment not later than
(1) 14 days after making the request for admission to such a program; or
(2) 120 days after the date of such request, if no such program has the
capacity to admit the individual on the date of such request and if
interim services, including referral for prenatal care, are made available
to the individual not later than 48 hours after such request.
(c) In carrying out subsection (b), the State shall establish a waiting list
management program which provides systematic reporting of treatment demand.
The State shall require that any program receiving funding from the grant, for the
purposes of treating injecting drug abusers, establish a waiting list that includes a
unique patient identifier for each injecting drug abuser seeking treatment including
those receiving interim services, while awaiting admission to such treatment. For
individuals who cannot be placed in comprehensive treatment within 14 days, the
State shall ensure that the program provide such individuals interim services as
defined in § 96.121 and ensure that the programs develop a mechanism for
maintaining contact with the individuals awaiting admission. The States'shall also
ensure that the programs consult the capacity management system as provided in
subsection (a) so that patients on waiting lists are admitted at.the earliest possible
time to a program providing such treatment within reasonable geographic area.
(d) In carrying out (b)(2), the State shall ensure that all individuals who request
treatment and who can not be placed in comprehensive treatment within 14 days,
are enrolled in interim services and those who remain active on a waiting list in
29
accordance with (c), are admitted to a treatment program within 120 days. If,a
person cannot be located for admission into treatment or, if a person refuses
treatment, such persons may be taken off the waiting list and need not be
provided treatment within 120 days. For example, if such persons request
treatment later, and space is_not available, they are to be provided interim services,
placed on a waiting list and 'admitted to a treatment program within 120 days from
the latter request.
(e) The State shall require that any entity that receives funding for treatment
services for intravenous drug abuse carry out activities to encourage individuals in
need of such treatment to undergo such treatment. The States.shall require such
entities to use outreach models that are scientifically sound, or if no such models
are available which are applicable to the local situation, to use an approach which
reasonably can be expected to be an effective outreach method. The model shall
require that outreach efforts include the following:
(1) selecting, training and supervising outreach workers;
(2) contacting, communicating and following-up with high risk
substance abusers, their associates, and neighborhood residents,
within the constraints of Federal and State confidentiality
requirements, including 42 C.F.R. Part 2;
(3) promoting awareness among injecting drug abusers about the
relationship between injecting drug abuse and communicable diseases such
as HIV;
30 '
(4) recommend steps that can be taken to ensure that HIV transmission does
not occur; and
(5) encouraging entry into treatment.
(f) The State shall develop effective strategies for monitoring programs compliance
.with this section. States shall report-under the requirements of 196.1 22(g) on the
specific strategies to be used to identify compliance problems and corrective
actions to be taken to address those problems.
§ 96.127 Requirements regarding tuberculosis.
(a) States shall require any entity receiving amounts from the grant for operating a
program of treatment for substance abuse to follow procedures developed by the
principal agency of a State for substance abuse, in consultation with the-State
Medical Director for Substance Abuse Services, and in cooperation with the State
Department of Health/Tuberculosis Control Officer, which address how the
program --
(1) will, directly or through arrangements with other public or-
nonprofit private entities, routinely make available tuberculosis
services as defined in § 96.121 to each individual receiving treatment
for such abuse;
(2) in the case of an individual in need of such treatment who is
denied admission to the program on the basis of the lack of the
capacity of the program to admit the individual, will refer the
• 31
individual to another providei of tuberculosis services; and
(3) will implement infection control procedures established by the
principal agency of a State for substance abuse, in cooperation with
the State Department of Health/Tuberculosis Control Officer, which
are designed to prevent the transmission of tuberculosis, including the
following:
(i) screening of patients;
(ii) identification of those individuals who are at high.risk
of becoming infected; and
(iii) meeting all State reporting requirements while
adhering to Federal and State confidentiality
requirements, including 42 C.F.R. Part 2; and
(4) will conduct case management activities to ensure that individuals
receive such services.
(b) The State shall develop effective strategies for monitoring programs
compliance with this section. States shall report under the requirements of Ii
96.122(8) on the specific strategies to be used to identify compliance problems
and corrective actions to be taken to address those problems. The principal
agency, in cooperation with the State Department of Health/Tuberculosis Control
Officer, shall also establish linkages with other health care providers to ensure that
tuberculosis services are routinely made available. All individuals identified with
active tuberculosis shall be reported to the appropriate State official as required by
32 .
law and consistent with subsection (a)(3)(iii).
(c) With respect to services provided for by a State for purposes of compliance
with this section, the State shall maintain Statewide expenditures of non-Federal
amounts for such services at a level that is not less than an average level of such
expenditures.maintained by the State for the 2-year period preceding the first fiscal
year for which the State receives such a grant. In making this determination,
States shall establish a.reasonable funding base for fiscal year 1993. The base
shall be calculated using Generally Accepted Accounting Principles and the
composition of the base shall be applied consistently from year to year.
§ 96.128 Requirements regarding human immunodeficiency virus.
(a) In the case of a designated State as described in (b), the State"shall do the
following —
(1) with respect to individuals undergoing treatment for substance
abuse, the State shall, subject to paragraph (c) below, carry out one
or more projects to make available to the individuals early intervention
services for HIV disease as defined in § 96.121 at the sites:at which
the individuals are undergoing such treatment;
(2) for the purpose of providing such early intervention services
through such projects, the State shall make available from the grant
the amounts prescribed by section 1924 of the PHS Act;
(3) the State shall, subject to paragraph (d), carry out such projects
33
only in geographic areas of the State that have the greatest need for
the projects;
(4) the State shall require programs participating in the project.to
establish linkages with a comprehensive community resource network
of related health and social services organizations to ensure a wide
based knowledge of the availability of these services; and
(5) the State shall require any entity receiving amounts from the Block
Grant for operating a substance abuse treatment program to follow
procedures developed by the principal agency of a State for substance
abuse, in consultation with the State Medical Director for Substance
Abuse Services, and in cooperation with. the State Department of
Health/Communicable Disease Officer.
(b) For purposes of this section, a "designated State" is any State whose rate of
cases of acquired immune deficiency syndrome is 10 or more such cases per .
100,000 individuals.(as indicated by the number of such cases reported to and
confirmed by the Director of the Centers for Disease Control for the most recent
calendar year for which the data are available).
(c) With respect to programs that provide treatment services for substance abuse,
the State shall ensure that each such program participating in a project under
paragraph (a) will be a program that began operation prior to the fiscal year for
which the State is applying to receive the grant. A program that so began
operation may participate in a project under (a) without regard to whether the
34
program has been providing early intervention services for HIV disease.
Id) If the State plans to carry out 2 or more projects under paragraph (a), the
State shall carry out one such project in a rural area of the State, unless the
requirement is waived. The Secretary shall waive the requirement if the State
certifies to the Secretary that:
(1) the rate of cases Iof acquired immune deficiency syndrome is less
than or equal to two such cases per 100,000 individuals in any rural
area of the State, or there are so few infected persons that
establishing a project in the area is not reasonable; or
(2) there are no rural areas in the State as defined in § 96.121.
(e) With respect to the provision of early intervention services for HIV disease to
an individual, the State shall ensure that the entities comply with § 96.137
regarding payment and § 96.135 regarding restrictions on expenditure of grant.-
The State shall also ensure that such services will be undertaken voluntarily by,
and with the informed consent of, the individual, and undergoing such services will
not be required as a condition of receiving treatment services for substance abuse
or any other services.
(f) With respect to services provided for a State for purposes of compliance with
this section, the State shall maintain Statewide expenditures of non-Federal
amounts for such services at a level that is not less than the average level of such
expenditures maintained by the State for 2-year period preceding the first fiscal
year for which the State receives such a grant. In making this determination,
3b
States shall establish a reasonable base for fiscal year 1993. The base shall bb
calculated using Generally Accepted Accounting Principles and the composition of
the base shall be applied consistently from year to year.
§ 96.129 Revolving funds for establishment of homes in.which recovering
substance abusers may reside.
(a) The State shall establish and provide for the ongoing operation of a revolving
fund as follows:
(1) the purpose of the fund is to make loans for the costs of establishing
programs for the provision of housing in which individuals recovering from
alcohol and drug abuse may reside in groups of not less than six individuals;
(2) not less than $100,000 will be available for the revolving fund;
(3) loans made from the revolving fund do not exceed 54,000 and that each
such loan is repaid to the revolving fund.not later than 2 years after the date
on which the loan is made;
(4) each such loan is repaid by such residents through monthly installments
by the date specified in the loan agreement involved;
(5) such loans are made only to nonprofit private entities agreeing that, in
the operation of the program established pursuant to the loan --
(i) the use of alcohol or any illegal drug in the housing provided
by the program will be prohibited;
(ii) any resident of the housing who violates such prohibition
36
will be expelled from the housing; .
(iii) the costs of the housing, including fees for rent and utilities,
will be paid by the residents of the housing; and .
(iv) the residents of the housing will, through a majority vote of
the residents, otherwise establish policies governing residence
in the housing, including the manner in.which applications for
residence in the housing are approved;
(6) States shall identify and clearly define legitimate purposes for
Which the funds will be spent, such as first month's rent, necessary
furniture (e.g., beds), facility modifications (e.g., conversion of
basement into a game room or extra bedrooms), and purchase of
amenities which foster healthy group living (e.g., dishwasher); -
(7) in managing the revolving fund, the State and the financial entity
managing the fund for the State shall abide by all Federal, State and
local laws and regulations;
(8) if the State decides to indirectly manage the fund using a private
nonprofit entity as the fund management group, the State shall
establish reasonable criteria for selecting the group, such as
qualifications, expertise, experience, and capabilities of the group, and
the State shall require that these entities abide by all Federal, State
and local laws and regulations;
(9) the State may seek assistance to approve or deny applications
37
from entities that meet State-established criteria;
(10) the State shall set reasonable criteria in determining the eligibility
of prospective borrowers such as qualifications, expertise, capabilities,
the acceptably of a proposed plan to use the funds and operate the
house, and an assessment of the potential borrower's ability.to pay
back the funds;
(11) the State shall establish a procedure and process for applying for
a loan under the program which may include completion of the
application, personal interviews and submission of evidence to support
eligibility requirements, as well as establish a written procedure for
repayment which will set forth reasonable penalties for late or missed
payments and liability and recourse for default;
.... ......
0 2) the State shall provide clearly defined written instructions to applicants
which.lays out.timeliness, milestones, required documentation, notification
of reasonable penalties for late or missed payments and recourse for default,
notification on legitimate purposes for which the loan may be spent, and
other procedures required by the State; and
0 3) the State,shall keep a written record of the number of loans and
amount of loans provided, the identities of borrowers and the
repayment history of each borrower and retain it for three years.
(b) The requirements established in subsection (a) shall not apply to any territory
of the United States other than the Commonwealth of Puerto Rico.
38
§ 96.131 Treatment services for pregnant women.
(a) The State is required to, in accordance with this section, ensure that each
pregnant woman in the State who seeks or is referred forand. would benefit from
such services is given preference in admissions to treatment facilities receiving
funds pursuant to the grant. In carryingout this section, the. State shall require all
entities that serve women and who receive such funds to provide preference to
pregnant women. Programs which serve an injecting drug abuse population and
who receive Block Grant funds shall give preference to treatment as follows:
(1) pregnant injecting drug users;
(2) pregnant substance abusers;
(3) injecting drug users; and
(4) all others.
(b) The State will, in carrying out this provision publicize the availability to such
women of services from the facilities and the fact that pregnant women receive
"such preference. This may be done by means of street outreach programs,
ongoing public service announcements (radio/television), regular advertisements in
local/regional print media, posters placed in targeted areas; and frequent
notification`of availability of such treatment distributed to the network of
community based organizations, health care providers, and social service agencies.
(c) The State shall in carrying out subsection (a) require that, in the event that a
treatment facility has insufficient capacity to provide treatment services to any
such pregnant woman. who seeks the services from the facility, the facility refer
39
the woman to the State. This may be accomplished by establishing a capacity
management program, utilizing a toll-free number, an automated reporting system
and/or other mechanisms to ensure that pregnant women in need of such services
are referred as appropriate. The State shall maintain a continually updated system
to identify treatment,capacity for any. such pregnant.women and will establish a
mechanism for matching the woman in need of such services with a treatment
facility that has the capacity to treat the woman.
(d) The State, in the case of each pregnant woman for whom a referral under
subsection (a) is made to the State—
(1) will refer the woman to a treatment facility that has the capacity to
provide treatment services to the woman; or
(2) will, if no treatment facility has the capacity to admit the woman, make
available interim services, including a referral for prenatal care, available to
the woman not later than 48 hours after the woman seeks the treatment
services.
(e) Procedures for the implementation of this section shall be developed in
consultation with the State Medical Director for Substance Abuse Services.
(f) The State shall develop effective strategies for monitoring programs compliance
with this section. States shall report under the requirements of Ii 96.122(8) on the
specific strategies to be used to identify compliance problems and corrective
actions to be taken to address those problems.
40
§ 96.132 Additional agreements.
(a) With respect to individuals seeking treatment services, the State is required to
Improve (relative to fiscal year 1992) the process in the State for referring the
individuals to treatment facilities that can provide to the individuals the treatment
modality that is most appropriate for the individuals. Examples of how this.may be
accomplished include the development and implementation of a capacity
management/waiting list management system; the utilization of a toll-free number
for programs to report available capacity and waiting list data; and the utilization of
standardized assessment procedures that facilitate the referral process.
(b) With respect to any facility for treatment services or prevention activities that is
receiving amounts from a Block Grant, continuing education in such services or
activities (or both, as the case may be) shall be made available to employees of the
facility who provide the services or activities. The States will ensure that such
programs include a provision for continuing education for employees of the facility
in its funding agreement. (c) The State shall coordinate prevention and treatment
activities with the provision of other appropriate services (including health, social,
correctional and criminal justice, educational, vocational rehabilitation, and
employment services). In evaluating compliance with this section, the Secretary
will consider such factors as the existence of memoranda of understanding
between various service providers/agencies and evidence that the State has
included prevention and treatment services coordination in its grants and contracts.
(d) Upon the request of a State, the Secretary may provide to a State a waiver of
• 41
any or all of the requirements established in subsections (a), (b) and (c), if the
Secretary determines that, with respect to services for the prevention and
treatment of substance abuse, the requirement involved is unnecessary for
maintaining quality in the provision of such services in the State. In evaluating
whether to grant or deny a.waiver, the Secretary will rely on information drawn
from the independent peer review/quality assurance activities conducted by the
State. For example, a State may be eligible for a waiver of the requirement of
subsection (a) if a State already has a well developed process for referring
individuals to treatment facilities that can provide to the individuals the treatment
modality that is most appropriate for the individuals. The Secretary will approve or
deny a request for a waiver not later than 120 days after the date on which the
request is made. Any waiver provided by the Secretary for subsections (a), (b) and
(c) will be applicable only to the fiscal year involved.
(e) The State is also required to have in effect a system to protect from
inappropriate disclosure patient records maintained by the State in connection with
an activity funded under the program involved or by any entity which is receiving
amounts from the grant and such system shall be in compliance with all applicable
State and Federal laws and regulations, including 42 C.F.R. Part 2. This system
shall include provisions for employee education on the confidentiality requirements
and the fact that disciplinary action may occur upon inappropriate disclosures.
This requirement cannot be waived.
42
§ 96.133 Submission to Secretary of Statewide assessment of needs.
(a) The State is required to submit to the Secretary an assessment of the need in
the State for authorized activities, both by locality and by.-the State in general.
The State is to provide a broad range of information which includes the following:
(1) The State is to submit data which shows the incidence and prevalence
in the State of drug abuse and the incidence and prevalence in the State of
alcohol abuse and alcoholism. For fiscal years 1993 through 1996, the
State shall submit its best available data on the incidence and prevalence of
drug and alcohol abuse and'alcoholism. The State shall also provide a
summary describing the weaknesses and bias in the data and a description
on how the State plans to strengthen the data in the future.
(2) The State shall provide a description on current substance abuse
prevention and treatment activities:
i) For fiscal year 1993, the State shall provide its best available data
on current prevention and treatment activities in the State in such
detail as it finds reasonably practicable given its own data collection
activities and records.
ii) For fiscal years 1994 and subsequent years, the State shall provide
a detailed description on current prevention and treatment activities in
the State. This report shall include a detailed description of the
intended use of the funds relating to prevention and treatment, as well
as a description of treatment capacity. As to primary prevention
43
activities, the activities must be broken down by strategies used, 'such
as those-provided in section 96.125, including the specific activities
conducted. The State shall provide the following data if available: the
specific risk factors being addressed by activity; the age,
race/ethnicity and gender of the population being targeted by the
prevention activity; and the community size and type where the
activity is carried out. As to all treatment and prevention activities,
including primary prevention, the State shall provide the identities of
the entities that provide the services and describe the services
•provided. The State shall submit information on treatment utilization
to describe the type of care and the utilization according to primary
diagnosis of alcohol or drug abuse,.or a dual diagnosis of drug and
alcohol abuse.
(3) The State may describe the need for,technical assistance to carry out
Block Grant activities, including activities relating to the collection of
incidence and prevalence data identified in subsection (a)(1).
(4) The State shall establish goals and objectives for improving substance
abuse treatment and prevention activities and shall report activities taken in
support of these goals and objectives in its application.
(5) The State shall submit a detailed description on the extent to which the
availability of prevention and treatment activities is insufficient to meet the
need for the activities, the interim services to be made available under
44 '
sections 96.126 and 96.131, and the manner in which such services are to
be so available. Special attention should be provided to the following
groups:
(i) pregnant addicts;
(ii) women who are addicted and who have dependent children;
(iii) injecting drug addicts; and
(iv) substance abusers infected with HIV or who have tuberculosis.
Documentation describing the results of the State's management information
system pertaining to capacity and waiting lists shall also be submitted, as
well as a summary of such information for admissions and, when available,
discharges. As to prevention activities, the report shall include a description
of the populations at risk of becoming substance abusers.
§ 96.134 Maintenance of effort regarding State expenditures.
(a) With respect to the principal agency of a State for carrying out authorized
activities, the agency shall for each fiscal year maintain aggregate State
expenditures by the principal agency for authorized activities at a level that is not
less than the average level of such expenditures maintained by the State for the
two year period preceding the fiscal year for which the State is applying for the
grant. The Block Grant shall not be used to supplant State funding of alcohol and
other drug prevention and treatment programs.
(b) Upon the request of a State, the Secretary may waive all or part of the
45
requirement established in (a) if the Secretary determines that extraordinary '
economic conditions in the State justify the waiver. The State involved must
submit information sufficient for the Secretary to make.the determination, including
the nature of the extraordinary economic circumstances, documented evidence and
appropriate data to support the claim, and documentation on the year for which
the State seeks the waiver.' The Secretary will approve or deny a request for a
waiver not later than 120 days after the date on which the request is made. Any
waiver provided by the Secretary shall be applicable only to the fiscal year
involved. "Extraordinary economic conditions" mean a financial crisis in which the
total tax revenue declines at least one and one-half percent, and either (1)
unemployment increases by at least one percentage point, or (2) employment
declines by at least one and one-half percent.
(c) In making a Block,Grant to a State for a fiscal year, the Secretary shall make a
determination of whether, for the previous fiscal year or years, the State
maintained material compliance with subsection (a). If the Secretary determines
that a State has failed,to maintain such compliance, the Secretary shall reduce the
amount of the allotment for the State for the fiscal year for which the grant is
being made by an amount equal to the amount constituting such failure for the
previous fiscal year.
(d) The Secretary may make a Block Grant for a fiscal year only if the.State
involved submits to the Secretary information sufficient for the Secretary to make
the determination required in subsection (a), which includes the dollar amount
46
reflecting the aggregate State expenditures by the principal agency for authorized
activities.for the two State fiscal years preceding the fiscal year for which the
State is applying for the grant. The base shall be calculated using Generally
Accepted Accounting Principles and the composition of the base shall be applied
consistently from year to year.
196.135 Restrictions on expenditure of grant.
(a) The State shall not expend.the Block Grant on the following activities:
(1) to provide inpatient hospital services, except as provided in subsection
(c);
(2) to make cash payments to intended recipients of health services;
(3) to purchase or improve land, purchase, construct, or permanently
improve (other than minor remodeling) any building or other facility, or
purchase major medical equipment;
(4) to satisfy any requirement for the expenditure of non-Federal funds as a
condition for the receipt of Federal funds;
(5) to provide financial assistance to any entity other than a public or
nonprofit private entity; or
(6) to provide individuals with hypodermic needles or syringes so that such
individuals may use illegal drugs, unless the Surgeon General of the Public
Health Service determines that a demonstration needle exchange program
would be effective in reducing drug abuse and the risk that the public will
. _ 47
become infected with the etiologic agent for AIDS.
(b) The State shall limit expenditures on the following:
(1) the State involved will not expend more than 5 percent of the
grant to pay the costs of administering the grant; and
(2) the, State will not, in expending the grant for the purpose of.providing
treatment services in'penal or correctional institutions of the State, expend
more than an amount prescribed by section 1931(a)(3) of the PHS Act.
(c) Exception regarding inpatient hospital services.
(1) With respect to compliance with the agreement made under
subsection (a), a State (acting through the Director of the principal
agency) may expend a grant for inpatient hospital-based substance
abuse programs subject to the limitations of subsection.(c)(2) only
when it has been determined by a physician that:
(i) the primary diagnosis of the individual is substance
abuse, and the physician certifies this fact;
(ii) the individual cannot be safely treated in a
community-based, nonhospital, residential treatment
program;
(iii) the service can reasonably be expected to improve
an individual's condition or level of functioning;
(iv) the hospital-based substance abuse program follows
national standards of substance abuse professional
$$
practice; and '
(2) In the case of an individual for whom a grant is expended to
provide inpatient hospital services described above, the allowable
expenditure shall conform to the following:
(i) the daily rate of payment provided to the hospital for
providing the services to the individual will not exceed
the comparable daily rate provided for community-based,
nonhospital, residential programs of treatment for
substance abuse; and
(ii) the grant may be expended for such services only to
the extent that it is medically necessary, i.e., only for
those days that the patient cannot be safely treated in a
residential, community-based program.
(d) The Secretary may approve a waiver for construction under subsection (a)(3)
within a 120 days after the date of a request only if:
(1) the State demonstrates to the Secretary that adequate treatment
cannot be provided through the use of existing facilities and that
alternative facilities in existing suitable buildings are not available;
(2) the State has carefully designed a pian that minimizes the costs of
renovation or construction;
(3) the State agrees, with respect to the costs to be incurred by the
State in carrying out the purpose of the waiver, to make available
49
non-Federal contributions in cash toward such costs in an amount
equal to not less than $1 for each $1 of Federal funds provided under
the Block Grant; and
(4) the State submits the following to support subsections (b)(1), (2)
and (3), above:
(i) documentation to support paragraph (1), such as local
needs assessments, waiting lists, survey data and other
related information;
(ii) a brief description of the project to be funded,
including the type(s) of services to be provided and the
projected number of residential and/or outpatient clients
to be served;
(iii) the specific amount of Block Grant funds to be used
for this project;
(iv) the number of outpatient treatment slots planned or
the number of residential beds planned, if applicable;
(v) the estimate of the total cost of the construction or
rehabilitation (and a description of how these estimates
were determined), based on an independent estimate of
said cost, using standardized measures as determined by
an appropriate State construction certifying authority;
NO an assurance by the State that all applicable National
50
le.g., National.Fire Protection Association, Building
Officials and Codes Administrators International), Federal
(National Environmental-Policy Act), State, and local
standards for construction or rehabilitation of health care
facilities will be complied with;
(vii) documentation of the State's commitment to
obligate these funds by the end of the first year in which
the funds are available, and that such funds must be
expended by the end of the second year (section
•1914(a)(2) of the PHS Act);
(viii) a certification that there is public support for a
waiver, as well as a description of the procedure used
(and the results therein) to ensure adequate comment
from the general public and the appropriate State and
local health planning organizations, local governmental
entities and public and private-sector service providers
that may be impacted by the waiver request;
(ix) evidence that a State is committed to using the
proposed new or rehabilitated substance abuse facility for
the purposes stated in the request for at least 20 years
for new construction and at least 10 years for
rehabilitated facilities;
_ 51
(x) an assurance that, if the facility ceases to be used for
such services, or if the facility is sold or transferred for a
purpose,inconsistent with the State's waiver request,
monies will be returned to the Federal Government in an
amount proportionate to the. Federal assistance provided,
as it relates to the value of the facility at the time
services:cease or the facility sold or transferred;
(xi) a description of the methods used to minimize the
costs of the construction or rehabilitation, including
documentation of the costs of the residential facilities in
the local:area or other appropriate equivalent sites in the
State;
(xii) an assurance that the State.shall comply with the
matching requirements of subsection (d)(3); and
(xiii) any other information the Secretary may determine
to be appropriate.
11 96.136 Independent peer review.
(a) The State shall for the fiscal year for which the grant is provided, provide for
independent peer review to assess the quality, appropriateness, and efficacy of
treatment services provided in the State to individuals under the program involved,
and ensure that at least 5 percent of the entities providing services in the State
52
under such program are reviewed. The programs reviewed shall be representative
of the total population of such entities.
(b) The purpose ofi independent peer review is to review the quality and
appropriateness of treatment services. The review will focus on treatment
programs and the substance abuse service system rather than on the individual
practitioners. The intent of the independent peer review process is to continuously
improve the treatment services to alcohol and drug abusers within the State
system. "Quality," for purposes of this section, is the provision of treatment
services which, within the constraints of technology, resources, and patient/client
circumstances, will meet accepted standards and practices which will improve
patient/client health and safety status in the context of recovery.
"Appropriateness," for purposes of this section, means the provision of treatment
services consistent with the individual's identified clinical needs and level of
functioning.
(c) The independent peer reviewers shall be individuals with expertise in the field of
alcohol and drug abuse treatment. Because treatment services may be provided by
multiple disciplines, States will make every effort to ensure that individual peer
reviewers are representative of the various disciplines utilized by the program under
review. Individual peer reviewers must also be knowledgeable about the modality
being reviewed and its underlying theoretical approach to addictions treatment, and
must be sensitive to the cultural and environmental issues that may influence the
quality of the services provided.
53
(d) As part of the independent peer review, the reviewers shall review a
representative sample of patient/client records to determine quality and
appropriateness of,treatment services, while adhering to all Federal and State
confidentiality requirements, including 42 C.F.R. Part 2. The reviewers shall
examine the following;
(1) admission criteriarihtake process;
(2) assessments;
(3) treatment planning, including appropriate referral, e.g., prenatal care and
tuberculosis and HIV services;
(4) documentation of implementation of treatment services;
(5) discharge and continuing care planning; and
(6) indications of treatment outcomes.
(e) The State shall ensure that the independent peer review will not involve
practitioners/providers reviewing their own programs, or programs in.which they
have administrative oversight, and that there be a separation of peer review
personnel from funding decisionmakers. In addition, the State shall ensure that
independent peer review is not conducted as part of the licensing/certification
process.
(f) The States shall develop procedures for the implementation of this section and
such procedures shall be developed in consultation with the State Medical Director
for Substance Abuse Services.
54
96.137 Payment schedule.
(a) The Block Grant money that may be spent for sections 96.124(c) & (e),
96.127 and-96.128 is governed by this section which ensures that the grant will
be the "payment of last resort." The entities that receive funding under the Block
Grant and provides services required by the above-referenced sections shall make
every reasonable effort, including the establishment of systems for eligibility
determination, billing, and collection, to:
(1) collect reimbursement for the costs of providing such services to
persons who are entitled to insurance benefits under the Social
Security Act, including programs under title XVIII and title XIX, any
State compensation program, any other public assistance program for
medical expenses, any grant program, any private health insurance, or
any other benefit program; and
(2) secure from patients or clients payments for services in
accordance with their ability to pay.
EXHIBIT C
EXHIBIT C
MISCELLANEOUS REQUIREMENTS AND INFORMATION
Cl SCHOOLS AND COMMUNITIES PRIMARY PREVENTION PROGRAM (SCPPP)
FUNDS REQUIREMENTS
C2 DRUG FREE SCHOOLS AND COMMUNITIES (DFSC) FUNDS REQUIREMENTS
C3 DRIVING UNDER THE INFLUENCE PROGRAM REQUIREMENTS
C4 PERINATAL SERVICES NETWORK (PERINATAL SERVICES STANDARDS)
C5 SERVICES TO DEPARTMENT OF CORRECTIONS CLIENTS
C6 FRIDAY NIGHT LIVE AND CLUB LIVE PROGRAM REQUIREMENTS
C7 REQUIREMENTS FOR DATA BY DATE
C8 NONDISCRIMINATION CLAUSE - STANDARD FORM 17A
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EXHIBIT C1
SCHOOL-COMMUNITY PRIMARY PREVENTION PROGRAM (SCPPP)
1. Expenditures of SCPPP funds are limited to those programs
identified in Health and Safety Code Section 11965 . 5.
2 . The County Drug Program Administrator and the County Office of
Education shall designate units with primary responsibility
for planning and administering the SCPPP. These units shall
work together on a cooperative basis to review and develop the
local SCPPP plan.
3 . The County must maintain on file:
certification that the proposed use of funds for SCPPP
has been reviewed by the County Office of Education
evidence that there has been coordination with existing
successful programs in the development of the use of
SCPPP funds, and assurance of maintenance of current
efforts in order to preclude the use of funds to support
existing programs
a statement of measurable goals and objectives for each
program
evidence of the intent and capability of the county to
provide for the needs of ethnic minorities and other
underserved groups.
4 . No more than five percent of the SCPPP funds may be used for
administrative costs.
EXHIBIT C2
Federal Drug Free Schools and Communities Act (DFSC) Funds
1. Drug/Alcohol Program Funds
a. Expenditure Limitations and Restrictions [DFSC Act
Sections 5122 and 5123 , as amended by P.L.
100-690, P.L. 101-226, and P.L. 101-647] (20
USC secs. 3192 et seq. )
(This requirement applies only to county High-
Risk Youth Set-Aside and School-Based
Prevention programs. )
(1) The expenditure of DFSC funds for drug prevention
and intervention activities are limited to services
for "high-risk youth. " The term "high-risk youth"
is defined by federal statute [DFSC Act Section
5122 (b) ] as an individual who has not attained the
age of 21 years, who is at high risk of becoming or
who has been a drug or alcohol .abuser, and who:
(a) is a school dropout;
(b) has experienced repeated failure in school ;
(c) has become pregnant;
(d) is economically disadvantaged;
(e) is the child of a drug or alcohol abuser;
(f) is a victim of physical, sexual, or
psychological abuse;
(g) has committed a violent or delinquent act;
(h) has experienced mental health problems;
(i) has attempted suicide;
(j ) has experienced long-term physical pain due to
injury; or
(k) is a juvenile in a detention facility within
the state.
(These requirements apply to all DFSC-funded programs. )
(2) School-based services provided under DFSC funding
must allow for equitable participation of private
school children (34 CFR, Subtitle A, Section
76. 650) . Upon request of the State, schools shall
make available a copy of their school or school
district policy which allows for the participation
of private school children in publicly-funded
programs.
(3) DFSC funds must be accounted separately and
reconciled to actual cost principles in OMB Circular
A-87 for the federal fiscal year period.
(4) Not more than 2 1/2 percent of the DFSC funds may be
used for county alcohol/drug program administrative
costs.
(5) DFSC funds shall be used to supplement and increase
the level of local funds that would, in the absence
of such federal funds, be made available for the
programs and activities for which funds are
provided. DFSC funds cannot be used to supplant
local funds.
(6) The terms and conditions of the DFSC Act specify
that the funds are subject to 34 CFR, Parts: 74 ,
76, 77, 79 , 80, and 45 CFR 75.561-75.568 . Specific
attention should be paid to 34 CFR Part 80,
Sections 80.20 (Accounting Records) , 80. 22
(Allowable Cost Criteria) , 80. 36 (Contract
Provisions) , 80.42 (Retention and Access
Requirements for Records) , and 80.43 (Enforcement) .
Programs funded under the DFSC Act are subject to
the Non-Regulatory Guidance for Implementing Part B
of the DFSC Act (NRG) .
b. Program Requirements
(1) High-Risk Youth Set-Aside and School-Based
Prevention Programs only:.
(a) Not more than 10 percent of participants
in high-risk youth programs may be
individuals who are not high-risk youth.
Counties shall provide information on how
their programs) have targeted and
involved high-risk youth, and what
methods have been used to assure that
participation of high-risk youth meets or
exceeds this 90 percent requirement.
[DFSC Act Section 5122 (b) (3) , and Section
5127 (a) (3) . ]
(2) All programs:
(a) Counties shall have on file a description
of how their programs will coordinate,
when feasible, alcohol and drug abuse
programs with youth suicide prevention
programs.
(b) How their programs have been modeled
after programs which have been
demonstrated to be effective. [DFSC Act
Section 5122 (c) (2) ] ; and
(c) What methods have been used to evaluate
the effectiveness of their DFSC-funded
programs, and the evaluation findings.
[DFSC Act Section 5127 (a) (3) (G) ] .
C. High-Risk Youth Programs which may be funded under
the DFSC Grant (i.e. High-Risk Youth Set-Aside and
School-Based Prevention programs) [DFSC Act Section
5122 (b) (1) ]
Funding under this category may be used to support
innovative community-based programs of coordinated
services that are designed for high-risk youth.
Such programs shall include the use of strategies
to improve skills of youth such as vocational and
educational counseling and job skills training.
Priority shall be given to assisting community
action agencies, community-based organizations,
parent groups, and other entities which are
representative of communities or significant
segments of communities and which have the
capability to provide such services.
d. Other programs which may be funded under the DFSC
Grant [DFSC Act Section 5122 (a) ]
Funding under this category may be used to support
parent groups, community action agencies,
community-based organizations, and other public
entities and private nonprofit entities for the
development and implementation of programs and
activities such as:
(1) local broadly-based programs for drug and
alcohol abuse prevention, early intervention,
rehabilitation referral, and education for all
age groups;
(2) training programs concerning drug abuse
education and prevention for teachers,
counselors, other educational personnel,
parents, local law enforcement officials,
judicial officials, other public service
personnel, and community leaders;
(3) the development and distribution of
educational and information materials to
provide information (through media and
otherwise) for the purpose of achieving a
drug-free society;
(4) technical assistance to help community-based
organizations and local and intermediate
educational agencies and consortia in the
planning and implementation of drug abuse
prevention, early intervention, rehabilitation
referral, and education programs;
(5) activities to encourage the coordination of
drug abuse education and prevention programs
with related community efforts and resources,
which may involve the use of a broadly
representative State advisory council
including members of the state board of
education, members of local boards of
education, parents, teachers, counselors,
health and social service professionals, and
others having special interest or expertise;
(6) other drug abuse education and prevention
activities consistent with the purposes of
this title, which may include a youth suicide
prevention program;
(7) intrastate drug and alcohol abuse education
and prevention centers for providing outreach,
consultation, training, and referral services
to schools, organizations, and members of the
community;
(8) to promote, establish, and maintain drug-free
school zones for schools within the State.
EXHIBIT C3
DRIVING UNDER THE INFLUENCE PROGRAMS
Counties are limited to assessing an amount no greater than five
percent of gross participant fees annually for their administration
and monitoring of the driving under the influence programs. The
State may approve requests that exceed the five percent limitation
upon receipt of justification of actual costs and services. If the
County budgets' more than five percent of gross participant fees
annually for administration and monitoring of driving under the
influence programs, the County shall include a copy of the approved
waiver request from the State. Such approval is only given for one
fiscal year, and the County must obtain approval for any subsequent
year.
Driving Under the Influence Programs may combine their budgets for
first offender, 18-month and 30-month programs that operate at the
same location/facility. Separate budgets are required for each
location/facility when a single license has been issued for
programs that operate at different locations/facilities.
The County shall monitor driving under the influence programs no
less frequently than once every six months.
The County may not utilize State or Federal funds to establish or
administer Driving Under the Influence Program services unless the
County has a .population of . 20, 000 or less and is granted an
exception by the Driving Under the Influence Program Branch.
EXIMIT C4
PERINATAL SERVICES NETWORK REQUIREMENTS
Effective July 1, 1993 , the Perinatal Treatment Expansion
Program (PTEP) , Federal Perinatal Set-Aside, and Options for
Recovery programs were combined to form the Perinatal Services
Network. By authority of Health and Safety Code section
11755 (1) , all perinatal programs must now operate under
uniform program guidelines which will ' be provided under
separate cover.
w
EXHIBIT C5
SERVICES TO DEPARTMENT OF CORRECTIONS CLIENTS
PAROLEE SERVICES NETWORK PROJECTS
1. Parolee Services Projects are funded with monies from the
California Department of Corrections. Participating
counties must return to the State all unspent Project
funds at the end of each Fiscal Year. Counties may not
retain these funds.
2. Participating counties must submit, for approval, Project
workplans pursuant to Exhibit C7. The form, entitled
"PAROLEE SERVICES NETWORK PROJECTS PROJECT COUNTY WORK
PLAN" , is forwarded under separate cover.
3 . Participating counties must submit monthly activity
reports in compliance with the requirements of
Exhibit C7.
4. Participating counties must submit quarterly Expenditure
Reports in compliance with the requirements of
Exhibit C7.
.5. Participating counties must monitor utilization rates for
project services and redirect allocated funds, between
approved providers, as needed to maximize utilization of
services.
6. Participating counties are responsible for coordination
of services and data collection pursuant to the
Interagency Agreement between the California Department
of Corrections (CDC) and the Department of Alcohol and
Drug Programs (ADP) , as reflected in the Workplan
guidelines forwarded to the participating counties under
separate cover.
FEMALE OFFENDER TREATMENT PROJECT
1. Participating counties must submit, for approval, Project
workplans pursuant to Exhibit C7. The form, entitled"
FEMALE OFFENDER TREATMENT PROJECT COUNTY WORK PLAN" is
forwarded under separate cover.
2 . Participating counties must submit monthly activity
reports in compliance with the requirements of
Exhibit C7.
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3 . Participating counties must monitor utilization rates for
project services and redirect allocated funds, between
approved providers, as needed to maximize utilization of
services.
4. Participating counties are responsible for coordination
of services and data collection, as reflected in the
Workplan guidelines which will be forwarded to the
participating counties under separate cover.
EXHIBIT C6
FRIDAY NIGHT LIVE/CLUB LIVE PROGRAM REQUIREMENTS
1. ADP funds allocated for Friday Night Live (FNL) and Club
Live (CL) may be used only for items directly related to the
operation of the FNL/CL Program.
2. The California Office of Traffic Safety (OTS) has awarded a
grant to ADP to match ADP funds allocated for CL Programs
for a maximum of two years per county. OTS funds may not be
used for administrative overhead.
3 . In the past, Budget Act language has required that, in the
development of new FNL and CL Programs, priority for the
establishment of programs be targeted toward high-risk
schools and their surrounding communities. If this
requirement is included in the Budget Act language for any
fiscal year for which this contract is applicable, then
counties will be responsible for ensuring compliance.
EXHIBIT
REOUIREMENTS FOR DATA BY DATE
NAME OF FORM DUE DATE
COST REPORT(S) ANNUALLY NOVEMBER 1
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QUARTERLY UTILIZATION REPORT(S) JUL-SEPT NOVEMBER 30
- ALCOHOL AND DRUG' SERVICES OCT-DEC FEBRUARY 28
- PERINATAL SERVICES JAN-MAR MAY 31
- PAROLEE SERVICES/ APR-JUN AUGUST 30
- FEMALE OFFENDER PROJECT
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QUARTERLY FEDERAL CASH QUARTERLY OCTOBER 31
TRANSACTION REPORT(S) (ADP 7340) JANUARY 31
APRIL 30
JULY 31
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CALIFORNIA ALCOHOL AND DRUG DATA SYSTEM MONTHLY 10 DAYS AFTER REPORT
(CADDS) MONTH
- PROVIDER SUMMARY REPORT (ADP__.7365)
- PARTICIPANT RECORD (ADP 7360)
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DRUG ABUSE TREATMENT ACCESS REPORT MONTHLY 10 DAYS AFTER REPORT
(DATAR) (ADP 7250) MONTH
---------------------'---------------------------------------------------7--------
NATIONAL DRUG AND ALCOHOLISM TREATMENT ANNUALLY OCTOBER
UNIT SURVEY (NDATUS)
(ADM 515, PAGES 1-5 AND ATTACHMENTS)
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PERINATAL SERVICES MONTHLY REPORT MONTHLY 30 DAYS AFTER REPORT
MONTH
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PERINATAL SERVICES SUPPLEMENTAL INFANT MONTHLY 30 DAYS AFTER REPORT
DATA FORM MONTH
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COUNTY MONTHLY ACTIVITY REPORT - MONTHLY 30 DAYS AFTER REPORT
FEMALE OFFENDER PROJECT MONTH
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a
COUNTY. MONTHLY ACTIVITY REPORT - MONTHLY 30 DAYS AFTER REPORT
PAROLEE SERVICE PROJECT MONTH
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PAROLEE SERVICE PROJECT QUARTERLY 60 DAYS AFTER REPORT
QUARTERLY ACTUAL EXPENDITURE REPORT QUARTER
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CHARACTERISTICS OF PERSONS TO BE ANNUALLY DECEMBER 1
SERVED (ADP 7227A AND ADP 7227B)
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PREVENTION STRATEGY REPORT (ADP 7235) ANNUALLY DECEMBER 1
---------------------------------------------------------------------------------
PROGRAM DESCRIPTION (ADP 7229) ANNUALLY DECEMBER 1
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REPORTS TO SUPPORT SECTION ANNUALLY FEBRUARY 1
25, SUBDIVISION E
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Other data identified in the contract as requested.
A
prATE OFtAUFORW-k EXHIBIT CS
NONDISCRIMINATION CLAUSE (OCP-1)
STD.17A(REV.2.9M ;
1. During the performance of this contract,contractor and its subcontractors shall not unlawfully discriminate,
harass or allow harassment,against any employee or applicant for employment because of sex,race,color,
ancestry, religious creed,national origin,physical disability('including HN and AIDS),mental disability,
medical condition(cancer), age (over 40),marital status, and denial of family care leave. Contractors and
subcontractors shall insure that the evaluation and treatment of their employees and applicants for
employment are free from such discrimination and harassment.Contractor and subcontractors shall comply
with the provisions of the Fair Employment and Housing Act(Government Code,Section 12900 et seq.)and
the applicable regulations promulgated thereunder(California Code of Regulations,Title 2,Section 7285.0
et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing
Government Code,Section 12990(a-f),set forth in Chapter 5 of Division 4 of Title 2 of the California Code
of Regulations are incorporated into this contract by reference and made a part hereof as if set forth in full.
Contractor and its subcontractors shall give written notice of their obligations under this clause to labor
organizations with which they have a collective bargaining or other agreement.
2. This contractor shall include the nondiscrimination and compliance provisions of this clause in all
subcontracts to perform work under the contract.
EXHIBIT C
EXHIBIT C
MISCELLANEOUS REQUIREMENTS AND INFORMATION
C1 SCHOOLS AND COMMUNITIES PRIMARY PREVENTION PROGRAM (SCPPP)
FUNDS REQUIREMENTS
C2 DRUG FREE SCHOOLS AND COMMUNITIES (DFSC) FUNDS REQUIREMENTS
C3 DRIVING UNDER THE INFLUENCE PROGRAM REQUIREMENTS
C4 PERINATAL SERVICES NETWORK (PERINATAL SERVICES STANDARDS)
C5 SERVICES TO DEPARTMENT OF CORRECTIONS CLIENTS
C6 FRIDAY NIGHT LIVE AND CLUB LIVE PROGRAM REQUIREMENTS
C7 REQUIREMENTS FOR DATA BY DATE
CS NONDISCRIMINATION CLAUSE - STANDARD FORM 17A
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