The purpose of this rulemaking is to amend select rules in Chapter 65E-14, F.A.C., to addresses budgeting, accounting and auditing standards applicable to community substance abuse and mental health service funds. The effect of this rulemaking ...

 

DEPARTMENT OF CHILDREN AND FAMILIES

Mental Health Program

RULE NOS.:RULE TITLES:

65E-14.001Applicability

65E-14.003Audits of SAMH-Funded Entities

65E-14.005Matching

65E-14.017Cost Principles

65E-14.021Schedule of Covered Services

PURPOSE AND EFFECT: The purpose of this rulemaking is to amend select rules in Chapter 65E-14, F.A.C., to addresses budgeting, accounting and auditing standards applicable to community substance abuse and mental health service funds.

The effect of this rulemaking will be to more closely align the SAMH financial regulations to recently revised legislative appropriations classifications and national standards for accounting and auditing.

SUMMARY: This rulemaking amends select rules in Chapter 65E-14, F.A.C., to 1) reflect changes to budget entity and program-specific language adopted in the Fiscal Year 2015-16 General Appropriations Act; 2) replace references incorporating various Office of Management and Budget Circulars with a reference incorporating 2 C.F.R. §§200.0-.521, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, (January 1, 2014), also known as “The Super-Circular”; and 3) incorporate a simplified version of Form CF-MH 1045, Program Description.

SUMMARY OF STATEMENT OF ESTIMATED REGULATORY COSTS AND LEGISLATIVE RATIFICATION: The Agency has determined that this will not have an adverse impact on small business or likely increase directly or indirectly regulatory costs in excess of $200,000 in the aggregate within one year after the implementation of the rule. A SERC has not been prepared by the Agency.

The Agency has determined that the proposed rule is not expected to require legislative ratification based on the statement of estimated regulatory costs or if no SERC is required, the information expressly relied upon and described herein: Agency staff analysis of this amendment has identified these changes as technical in nature with insufficient impact on direct or indirect regulatory compliance to warrant legislative ratification.

Any person who wishes to provide information regarding a statement of estimated regulatory costs, or provide a proposal for a lower cost regulatory alternative must do so in writing within 21 days of this notice.

RULEMAKING AUTHORITY: 394.74, 394.78(1), (3), (5), 394.9082(11), 397.321(5), 402.73 FS.

LAW IMPLEMENTED: 394.74, 394.76, 394.77, 394.78(1), (3), (5), 394.9082, 3997.321(10), 397.481, 402.73(1) FS.

IF REQUESTED WITHIN 21 DAYS OF THE DATE OF THIS NOTICE, A HEARING WILL BE SCHEDULED AND ANNOUNCED IN THE FAR.

THE PERSON TO BE CONTACTED REGARDING THE PROPOSED RULE IS: Jimmers Micallef, [e-mail]

 

THE FULL TEXT OF THE PROPOSED RULE IS:

 

65E-14.001 Applicability.

(1) This Chapter applies to all SAMH-Funded Entities as defined in paragraph (2)(r) of this rule when providing services using community substance abuse and mental health funds appropriated by the Legislature to the Department of Children and Families through the Community Substance Abuse and Mental Health Services budget  entity substance abuse and/or mental health budget entities.

(2) Definitions.

(a) through (c) No change.

(d) “Audit” means a single or program-specific audit in accordance with 2 C.F.R. §§200.0-.521, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, (January 1, 2014), herein incorporated by reference, OMB Circular A-133 http://www.flrules.org/Gateway/reference.asp?No=Ref-04200, as specified in subsection 65E-14.003(1), F.A.C. and Section 215.97, F.S. Copies of this incorporated document may be obtained from the Office of Substance Abuse and Mental Health, 1317 Winewood Blvd., Building 6, Tallahassee, Florida 32399-0700 and are also available at https://www.federalregister.gov/a/2013-30465.

(e) through (x) No change.

Rulemaking Authority 394.74, 394.78(1), 394.9082(11), 397.321(5) FS. Law Implemented 394.74, 394.77, 394.9082, 397.481 FS. History–New 2-23-83, Amended 2-25-85, Formerly 10E-14.01, Amended 7-29-96, Formerly 10E-14.001, Amended 7-1-03, 12-14-03, 1-2-05, 7-27-14, _________ .

 

65E-14.003 Audits of SAMH-Funded Entities.

(1) SAMH-Funded Entities shall engage an independent auditor to perform an annual single program or program-specific audit in accordance with Section 215.97, F.S., and 2 C.F.R. §§200.0-.521, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, (January 1, 2014). OMB Circular A-133 Audits of States, Local Governments, and Non-Profit Organizations (revised to show changes published in the Federal Register June 27, 2003 and June 26, 2007), https://www.flrules.org/gateway/reference.asp?NO=Ref-04200XXXXX, which is herein incorporated by reference, copies of which may be obtained from the Office of Substance Abuse and Mental Health, 1317 Winewood Blvd., Building 6, Tallahassee, Florida 32399-0700. When a financial audit is required to be performed by an independent auditor pursuant to 2 C.F.R. §§200.0-.521, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, (January 1, 2014), OMB Circular A-133, the audit package shall contain the documents listed in paragraphs (1)(a)-(d), which are hereby incorporated by reference. Copies of these documents may be obtained from the Office of Substance Abuse and Mental Health, 1317 Winewood Blvd., Building 6, Tallahassee, Florida 32399-0700.

(a) through (d) No change .

(2) No change.

(3) When 2 C.F.R. §§200.0-.521, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, (January 1, 2014), OMB Circular A-133 does not require an audit by an independent auditor, the SAMH-Funded Entity’s chief financial officer shall prepare the schedules required in subsection (1) of this rule. If no chief financial officer exists, the entity’s executive director shall prepare the required schedules.

(4) through (6) No change.

Rulemaking Authority 394.74, 394.78(1), (3), (5), 394.9082(11) FS. Law Implemented 394.74, 394.76(5), 394.77, 394.78(3), 394.9082 FS. History–New 2-23-83, Amended 2-25-85, Formerly 10E-14.03, Amended 7-29-96, Formerly 10E-14.003, Amended 7-1-03, 12-14-03, 7-27-14, _________.

 

65E-14.005 Matching.

This rule contains standards for Service Providers to satisfy State requirements for matching.

(1) No change.

(2) Unallowable for Matching. The following costs and expenditures may not be used to satisfy the match requirement.

(a) through (d) No change.

(e) Unallowable costs specified in 2 C.F.R. §§200.0-.521, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, (January 1, 2014) as the OMB Circulars incorporated by Rule 65E-14.017, F.A.C.; and

(f) No change.

(3) through (8) No change.

Rulemaking Authority 394.74, 394.9082(11) FS. Law Implemented 394.74, 394.76, 394.9082 FS. History–New 2-23-83, Amended 2-25-85, Formerly 10E-14.05, 10E-14.005, Amended 7-1-03, 12-14-03, 1-2-05, 7-27-14, _________.

 

65E-14.017 Cost Principles.

(1) through (2) No change.

(3) All SAMH-Funded Entities shall use the accounting standards established by 2 C.F.R. §§200.0-.521, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, (January 1, 2014) the Office of Management and Budget (OMB) circulars incorporated by subsection (4) of this rule to account for the expenditure of funds.

(4) General Principles.

The following documents are hereby incorporated by reference, copies of which may be obtained from the Office of Substance Abuse and Mental Health, 1317 Winewood Blvd., Building 6, Tallahassee, Florida 32399-0700:

(a) OMB Circular A-110; Uniform Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals and Other Non-Profit Organizations, revised November 19, 1993 as further amended September 30, 1999 https://www.flrules.org/Gateway/reference.asp?No=Ref-04214;

(b) OMB Circular A-122; Cost Principles for Non-Profit Organizations, revised May 10, 2004 https://www.flrules.org/Gateway/reference.asp?No=Ref-04199;

(c) OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations, revised to show changes published in the Federal Register June 27, 2003 and June 26, 2007 http://www.flrules.org/Gateway/reference.asp?No=Ref-04200; and

(d) OMB Circular A-87, Cost Principles for State, Local and Indian Tribal Governments, revised May 10, 2004 https://www.flrules.org/gateway/reference.asp?NO=Ref-04197.

(4)(5) All SAMH-Funded Entities contracting directly with the department shall also report actual expenditure data on a monthly basis to the department according to the reporting requirements and templates included in the terms of each entity’s contract.

Rulemaking Authority 394.78(1), 394.9082(11) FS. Law Implemented 394.74, 394.77, 394.78(1), 394.9082 FS. History–New 2-23-83, Amended 2-25-85, Formerly 10E-14.17, Amended 7-29-96, Formerly 10E-14.017, Amended 9-17-97, 7-1-03, 7-27-14, _________.

 

65E-14.021 Schedule of Covered Services.

This rule provides guidelines and requirements applicable to service providers under direct contract with the department or service providers under subcontracts with a Managing Entity.

(1) through (3) No change.

(4) The descriptions, applicable programs, measurements standards, and data elements for SAMH Covered Services are as follows:

(a) Aftercare.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(b) Assessment.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(c) Case Management.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(d) Comprehensive Community Service Team.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(e) Crisis Stabilization.

1. No change.

2. Programs – Community Adult Mental Health and Children’s Mental Health.

3. through 4. No change.

(f) Crisis Support/Emergency.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(g) Day Care.

1. Description – Day care services, in a non-residential group setting, provide for the care of children of persons who are participating in mental health or substance abuse services. In a residential setting, day care services provide for the residential and care-related costs of a child living with a parent receiving residential services. This covered service must be provided in conjunction with another Covered Service provided to a person 18 years of age or older.

2. Programs – Community Adult Mental Health and Community Adult Substance Abuse.

3. through 4. No change.

(h) Day Treatment.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(i) Drop-in/Self-Help Centers.

1. Description – These centers are intended to provide a range of opportunities for persons with severe and persistent mental illness to independently develop, operate, and participate in social, recreational, and networking activities. This covered service may not be provided to a person less than 18 years old.

2. Programs –Community Adult Mental Health.

3. through 4. No change.

(j) Florida Assertive Community Treatment (FACT) Team.

1. Description – A FACT team is comprised of slots for participants with a severe and persistent mental illness. Participants are enrolled on a weekly basis. For a provider to identify themselves as a FACT team, the provider must demonstrate adherence to assertive community treatment principles. FACT Teams provide non-residential services that are available twenty-four hours per day, seven days per week. Rehabilitative, support and therapeutic services are provided in the community, by a multidisciplinary team. This covered service may not be provided to a person less than 18 years old.

2. Programs – Community Adult Mental Health and Community Adult Substance Abuse.

3. through 4. No change.

(k) Incidental Expenses.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(l) Information and Referral.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(m) In-Home and On-Site.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(n) Inpatient.

1. No change.

2. Programs – Community Adult Mental Health and Children’s Mental Health.

3. through 4. No change.

(o) Intensive Case Management.

1. No change.

2. Programs – Community Adult Mental Health and Children’s Mental Health.

3. through 4. No change.

(p) Intervention.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(q) Medical Services.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(r) Medication-Assisted Treatment.

1. No change.

2. Programs – Community Adult Substance Abuse, Children’s Substance Abuse.

3. through 4. No change.

(s) Mental Health Clubhouse Services.

1. Description – Structured, evidence-based services designed to both strengthen and/or regain the individual’s interpersonal skills, provide psycho-social therapy toward rehabilitation, develop the environmental supports necessary to help the individual thrive in the community and meet employment and other life goals and promote recovery from mental illness. Services are typically provided in a community-based program with trained staff and members working as teams to address the individual’s life goals and to perform the tasks necessary for the operations of the program. The emphasis is on a holistic approach focusing on the individual’s strengths and abilities while challenging the individual to pursue those life goals. This service would include, but not be limited to, clubhouses certified under the International Center for Clubhouse Development. This covered service may not be provided to a person less than 18 years old.

2. Programs – Community Adult Mental Health.

3. through 4. No change.

(t) Outpatient.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(u) Outreach.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(v) Prevention ‒ Indicated.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(w) Prevention – Selective.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(x) Prevention – Universal Direct.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(y) Prevention – Universal Indirect

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(z) Recovery Support.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(aa) Residential Level I.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(bb) Residential Level II.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(cc) Residential Level III.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(dd) Residential Level IV.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(ee) Respite Services.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(ff) Room and Board with Supervision Level I.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(gg) Room and Board with Supervision Level II.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(hh) Room and Board with Supervision Level III.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(ii) Short-term Residential Treatment.

1. Description – These individualized, stabilizing acute and immediately sub-acute care services provide short and intermediate duration intensive mental health residential and habilitative services on a twenty-four hours per day, seven days per week basis. These services shall meet the needs of individuals who are experiencing an acute or immediately sub-acute crisis and who, in the absence of a suitable alternative, would require hospitalization. This covered service may not be provided to a person less than 18 years old.

2. Programs – Community Adult Mental Health.

3. through 4. No change.

(jj) Substance Abuse Inpatient Detoxification.

1. No change.

2. Programs – Community Adult Substance Abuse, Children’s Substance Abuse.

3. through 4. No change.

(kk) Substance Abuse Outpatient Detoxification.

1. No change.

2. Programs – Community Adult Substance Abuse, Children’s Substance Abuse.

3. through 4. No change.

(ll) Supported Employment.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(mm) Supportive Housing/Living.

1. No change.

2. Programs – Community Adult Mental Health, Children’s Mental Health, Adult Substance Abuse, and Community Children’s Substance Abuse.

3. through 4. No change.

(nn) Treatment Alternatives for Safer Communities (TASC).

1. No change.

2. Programs – Community Adult Substance Abuse, Children’s Substance Abuse.

3. through 4. No change.

(5) Budgeting and Accounting for Revenues and Expenditures.

(a) through– (d) No Change.

(e) Service Provider Required Fiscal Reports.

1. All service providers shall prepare and submit the following proposed fiscal reports to the department or Managing Entity, as appropriate, for approval prior to the start of the contract or subcontract period:

a. through b. No change.

c. CF-MH 1045, Oct 2015 CF-MH 1045, July 2014, Program Description, hereby incorporated by reference.

(I) through (II) No change.

2. through 3. No change.

(6) through (8) No change.

Rulemaking Authority 394.78(1), (5), 394.9082(11), 397.321(5), 402.73 FS. Law Implemented 394.74(2)(b), (3)(d), (e), (4), 394.77, 394.78(1), (5), 394.9082, 397.321(10), 402.73(1) FS. History–New 7-1-03, Amended 12-14-03, 1-2-05, 7-27-14, 6-28-15, ________.

 

NAME OF PERSON ORIGINATING PROPOSED RULE: Jimmers Micallef

NAME OF AGENCY HEAD WHO APPROVED THE PROPOSED RULE: Mike Carroll, Secretary

DATE PROPOSED RULE APPROVED BY AGENCY HEAD: November 5, 2015

DATE NOTICE OF PROPOSED RULE DEVELOPMENT PUBLISHED IN FAR: 11/12/2015