REGIONAL CENTER OF ORANGE COUNTY BOARD OF DIRECTORS ...€¦ · REGIONAL CENTER OF ORANGE COUNTY...

REGIONAL CENTER OF ORANGE COUNTY BOARD OF DIRECTORS’ MEETING

AGENDA

Date: Thursday, June 7, 2018 Time: 6:00 – 8:00 p.m.

Place: RCOC Board Room, 1525 North Tustin Avenue, Santa Ana, California 92705

I. Closed Session (Board Members Only) A. W&I Code §4663 and §4664 David M. Lester, Esq.

II. Recess III. General Session

A. Pledge of Allegiance/Reading of RCOC’s Mission and Vision Statement Alan Martin B. Budget and Finance Committee John “Chip” Wright C. Consent Calendar* Alan Martin

1. Approval of Board of Directors’ Minutes for May 3, 2018**2. Budget and Finance Committee**

a. Approval of Monthly Sufficiency of Allocation Report, April 2018**b. Approval of Budget Amendment D-3, Fiscal Year 2017-2018**c. Approval of Contract and Preliminary Allocation, Fiscal Year 2018-19d. Approval of CalPERS Requirement for a Publicly Available Pay Schedule **e. Approval of Audited Financial Statements for Year Ended June 30, 2017**f. Approval of Budget Amendment

D. Executive Director’s Report Larry Landauer 1. Operations Report – April 2018**2. Performance Contract – April 2018**3. Approval of Request for Waiver of Potential Conflict of Interest and Conflict

Resolution Plan for Amiee Alvarez, Service Coordinator**4. Employment Update

a. Information Regarding Five Proposals Which Have Been Approved bythe Department of Developmental Services to Fund Changes Necessaryfor Providers to Come Into Compliance with the Final Rules for Homeand Community-Based Services**

5. Fairview Developmental Center Closurea. Housing Updateb. Approval of Amendment to Agreement with Brilliant Corners for

Development of Housing for CPP Project 1617-11**c. Approval of Amendments to Agreements with Brilliant Corners for

Acquisition and Development of Housing for CPP Project 1617-256. Health and Wellness Program Presentation

Arturo Cazares

Mary Carlson

Christina Petteruto

Dr. Sam Ho E. Community Forum*** Alan Martin F. Executive Committee Alan Martin G. Policies and Outcomes Committee** Cliff Amsden

1. Approval of Revisions to the Whistleblower Policy**2. Approval of Revisions to the Ends Policies**

H. Vendor Advisory Committee** Tiffany Bauer I. Board Recruitment and Training Committee** Alan Martin J. Nominating Committee Alan Martin

1. Approval of Proposed Slate of Officers with New Terms CommencingJuly 1, 2018 and Ending December 31, 2019**

K. Peer Advisory Committee** Sylvia Delgado

L. ARCA Report Liza Krassner M. Chairperson’s Report Alan Martin

IV. Adjournment Alan Martin *All items on the Consent Calendar will be approved by one motion, and there will be no discussion on individual items unless a Board member or a member of the public requests that a specific item be pulled from the Consent Calendar for separate discussion and possible action. **Attachments for Board members in Board packet. ***This is an opportunity for the public to comment on issues of interest. Speakers should complete the "Request to Speak" form located at the entrance to the meeting room and return the form to the Recording Secretary. Each person's presentation is limited to a maximum of five minutes.

Regional Center of Orange County Board of Directors’ Meeting

May 3, 2018 Minutes

Board Members Present: Cliff Amsden, Co-Chairperson

Cristina Alba (departed at 7:10 p.m.) Marcell Bassett Maritza Bravo Amy Jessee Peter Kuo Hilda Mendez

Board Members Absent: Alan Martin, Chairperson Tiffany Bauer Sylvia Delgado Liza Krassner John “Chip” Wright

Corporate Counsel Present: David Lester, Esq.

I. General Session In Mr. Alan Martin’s absence, Mr. Clifford Amsden called the meeting to order at 6:01 p.m.

A. Pledge of Allegiance/Reading of RCOC’s Mission and Vision Statement

Mr. Marcell Bassett led attendees in a recitation of the Pledge of Allegiance. Ms. Amy Jessee then read RCOC’s Mission and Vision Statement.

B. Budget and Finance Committee In Mr. Chip Wright’s absence, Mr. Amsden reported that the Committee met this afternoon and reviewed the monthly Sufficiency of Allocation reports for February and March, 2018, the Budget Amendment C-5, FY 2016-2017 and, the California Public Employees’ Retirement System (CalPERS). Ms. Bette Baber reported that other discussion items included the caseload ratio and the number of Service Coordinators who had been hired or had resigned recently. She also stated that the Draft of Form 990, Return of Organization Exempt Form Income Tax for the Year Ended June 30, 2017, was not reviewed but will be sent to Board Members prior to its’ filing date.

RCOC Board of Directors’ Meeting Minutes May 3, 2018

Page 2 of 6

Mr. Amsden reported that the Committee recommends for approval all items on the consent calendar.

C. Consent Calendar

1. Approval of Board of Directors’ Minutes for March 1, 2018

2. Budget and Finance Committee

a. Approval of Monthly Sufficiency of Allocation Report, February 2018

b. Approval of Monthly Sufficiency of Allocation Report, March 2018

c. Approval of Budget Amendment C-5, Fiscal Year 2016-17

d. Review of Draft of Form 990, Return of Organization Exempt from Income Tax for the Year Ended June 30, 2017.

e. Approval of Budget Amendment

M/S/C to approve the consent calendar as presented. D. Executive Director’s Report

Mr. Larry Landauer gave his Executive Director’s Report, which included the following highlights: • Statewide News. Mr. Landauer reported on the vandalism at the Department of

Developmental Services’ (DDS’) legal and audit offices building on Sunday, February 11, 2018. Trespassers ransacked files, vandalized and stole state property and started a fire. DDS has no evidence that personal and health information was compromised due to the incident; however, it has notified persons served, vendors, regional centers and the public about the incident; DDS has followed federal requirements regarding potential breaches.

Mr. Landauer shared that the May Revision to the Governor’s Budget for fiscal year 2018-19 is scheduled for release on May 15, 2018. The Uniform Holiday Schedule is included in the Governor’s Budget. Mr. Landauer mentioned how opposed vendors are to reinstatement of the Holiday Schedule. Mr. Landauer said that Assembly Member Chris Holden has proposed AB 2623, which proposes $25 million to adjust rates for increases in local minimum wage ordinances until the DDS Vendor Rate Study by Burn’s & Associates is completed.

Mr. Landauer distributed a summary from the Association of Regional Centers Agencies (ARCA) entitled, Bridge Funding to Meet Community and Individual Needs. Mr. Landauer explained the importance of providing bridge funding to providers now (as proposed in AB 2623) while the regional center system is waiting for completion of the rate study in March 2019. Mr. Landauer also distributed ARCA’s summary entitled, Service Coordination Shortfall, which includes information about the number and cost of additional service coordinator positions that are needed to meet federally mandated caseload ratios.


Page 3 of 6

Mr. Landauer reported state revenues have been up and steady for quite some time now; therefore, efforts are underway from ARCA and other advocate groups to secure additional funding for direct services from the state. There is also a possibility of reinstating the services of Social Recreation and Camp back into the Lanterman Act. Those services were eliminated in 2009.

• Purchase of Service (POS) Expenditures for Fiscal Year 2017-18. Mr. Landauer reported that the projected deficit for the regional center system in the current fiscal year ranges from a low of approximately $12.6 million to a high of approximately $44.4 million. Mr. Landauer added that RCOC’s caseload has grown by 551 individuals for an annualized caseload growth of 4.4%.

• Person Centered Thinking (PCT). In Mr. Patrick Ruppe’s absence, RCOC’s PCT

Coordinator, Ms. Cristina Mercado reported that PCT training for vendors will commence in July. PCT training for families, which must be provided by a parent who is also certified, is projected to begin in August. Additionally, modifications to the Individual Program Plan (IPP) are being finalized to create less paperwork and more face time, while highlighting what is most important to each person served.

• Employment. Mr. Arturo Cazares, RCOC’s Associate Director of Employment,

reported that the number of persons served in work activity programs continues to decrease, and the number of persons served in integrated competitive employment continues to increase. Mr. Cazares also reported on Project SEARCH, whose primary objective is to secure competitive employment for people with disabilities, and the two sites that RCOC has with Project SEARCH are at Children’s Hospital of Orange County and University of California, Irvine Medical Center.

• National Core Indicators (NCI). Mr. Jerrod Bonner, RCOC’s Director of

Information Technology, stated that he and Mr. Landauer attended the NCI meeting at DDS on April 27, 2018. Attendee’s previewed the most recent NCI survey results on the Adult Family Survey and Family Guardian Survey for fiscal year 2016-2017, which provided an insight on meeting needs, cultural sensitivity, as well as satisfaction rates. Mr. Bonner reported that the next NCI meeting will take place in September, where they will review and discuss the survey results in its entirety.

• Fairview Developmental Center. Ms. Mary Carlson, RCOC’s Area Supervisor -

Community Placement Plan, provided an update on the number of persons served who have transitioned into the community from Fairview Developmental Center (FDC) and steps that staff and providers have taken to ensure successful transitions. She reported that RCOC has a total of 61 persons served who reside at FDC; and, one person served will be transitioning to a community home by Monday, May 7, 2018.


Page 4 of 6

• Housing. Mr. Jack Stanton, Associate Director of Housing, reported on the new properties that have been acquired as part of the Community Placement Plan, and the progress on renovating these homes.

• Legislative and Community Awareness. Mr. Landauer and Ms. Anh Nguyen,

RCOC’s Legislative Consultant, reported that social media continues to be a successful tool for reaching out to the community, sharing activities and promoting RCOC in general. Mr. Landauer also reviewed media highlights featuring RCOC’s persons served.

• RCOC News. Mr. Landauer reported that he along with Ms. Cristina Petteruto,

RCOC’s General Counsel, and Mr. Jeremy Martin, RCOC’s Risk Management, SIR Manager, met with the Honorable Orange County Superior Court Judges, Kim R. Hubbard, Gerald G. Johnston and Mary Kreber Varipapa, to provide them with an overview and a better understanding of RCOC services, eligibility process and persons served. Other RCOC community outreach efforts include, the annual self-determination conferences, which are created, organized and presented entirely by persons served and RCOC’s Table Talks Workshop, a round table model, where persons served and their families were able to have a discussion about transportation, employment and post-secondary education. The Table Talks Workshop hosted over 120 families. Mr. Landauer also shared that on Saturday, April 21, 2018, RCOC staff hosted a booth at the 40th Annual Day of Sharing, held in Buena Park by the Knights of Columbus of Orange County. The carnival event is free to special needs individuals, family and friends and is fully funded by contributors from the Knights of Columbus.

E. Community Forum

There were no speakers for community forum. F. Executive Committee

Mr. Amsden reported that the Committee met on Monday, April 16, 2018. He mentioned that they reviewed the results of the Board retreat survey. Mr. Amsden also presented the following agenda item from the Executive Committee for approval. 1. Approval of Renewal of Board Membership for Clifford Amsden for a Three-

Year Term Commencing July 1, 2018 and Ending June 30, 2021

M/S/C to approve the Renewal of Board Membership for Clifford Amsden for a Three-Year Term Commencing July 1, 2018 and Ending June 30, 2021, as presented.

2. Approval of the Board of Directors’ Proposed Meeting Schedule, FY 2018-2019

M/S/C to approve the Board of Directors’ Proposed Meeting Schedule, FY 2018-2019, as presented.


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G. Policies and Outcomes Committee

Mr. Cliff Amsden presented revisions to three policies as recommended by the Policies and Outcomes Committee. 1. Approval of Revisions to the Employment First Policy

M/S/C to approve revisions to the Employment First Policy as recommended. 2. Approval of Revisions to the Transportation Mobility Policy

M/S/C to approve the revisions to the Transportation Mobility Policy as recommended.

3. Approval of Revisions to the Start-Up, Gap and Lag Funding Policy

M/S/C to approve revisions to the Start-Up, Gap and Lag Funding Policy as recommended. The next Policies and Outcomes Committee meeting is scheduled for Monday, May 21, 2018.

H. Vendor Advisory Committee In Ms. Tiffany Bauer’s absence, Mr. Landauer reported that the Vendor Advisory Committee (VAC) met on May 8, 2018. Ms. Cristina Mercado, RCOC’s PCT Coordinator, gave a presentation on Person Centered Thinking. Mr. Boyd Bradshaw, HCDD, Inc., also provided a brief update on the vendor survey from Burns & Associates. The Committee also discussed continued challenges in hiring staff due to current rates. Mr. Landauer also presented the following agenda item from the VAC for approval. 1. Approval of Vendor Advisory Committee Members

M/S/C to approve the Vendor Advisory Committee Members as recommended.

I. Board Recruitment and Training Committee In Mr. Martin’s absence, Mr. Landauer reported that the Committee met on April 9, 2018, and the next meeting is scheduled for May 14, 2018. The Committee discussed recruitment efforts and confirmed that the Board of Directors continues to be in compliance with the state requirements. The Committee is also actively working to recruit new applicants for the Board.


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J. Peer Advisory Committee In Ms. Sylvia Delgado’s absence, Ms. Amy Jessee stated that the Peer Advisory Committee (PAC) met twice since the last Board meeting. At the March 21, 2018, meeting Mr. Jyusse Corey provided updates on the Self-Determination Program and the California Achieving a Better Life Experience (CalABLE) program. Representatives from the Orange County Transportation Authority (OCTA) and ACCESS met with the Committee members and addressed their questions and concerns about OCTA and ACCESS transportation services. For the meeting held on April 18, 2018, Ms. Laurie Chong and Mr. Matt Woo from Rising Above Disabilities (RAD) shared a presentation about their programs and week-long camp. The Committee also discussed inviting Dr. Sam Ho, RCOC’s Consulting Pharmacist, to update the Committee on the Health and Wellness five-week pilot program and requesting a presentation from In-Home Supportive Services (IHSS), to an upcoming PAC meeting. The next meeting is scheduled on Wednesday, May 16, 2018.

K. ARCA Report

In Ms. Krassner’s absence, Mr. Landauer reported that he and Ms. Krassner attended the State Assembly Sub 1 Committee on Budget, Health and Human Services, that met on Wednesday, March 1, 2018, and the State Senate Subcommittee 3 on Health and Human Services that met on Thursday, March 15, 2018. Both committees focused their meetings on the regional center system, addressing issues such as, the expansion of eligibility to receive services, budget overview, Uniform Holiday Schedule and Purchase of Service (POS) Disparity Funding.

L. Chairperson’s Report

No report was provided.

II. Adjournment

Mr. Amsden adjourned the meeting at 7:16 p.m.

Sylvia Delgado, Secretary Recorder: Sandra Lomelí

Regional Center of Orange County Budget and Finance Committee

Minutes May 3, 2018

Committee Members Present: Cliff Amsden Marcell Bassett (arrived at 4:25 p.m.) Amy Jessee

Committee Members Absent: John “Chip” Wright, Chair Other Board Members Present: Peter Kuo RCOC Staff Present: Bette Baber, Chief Financial Officer

Larry Landauer, Executive Director Veronica Flores, Accounting Manager Bonnie Ivers, Clinical Director Raudel Perez, Administrator Linda Pham, Fiscal Analyst Christina Petteruto, General Counsel Marta Vasquez, Associate Finance Director Stacy Wong, Interim HR Director

Guest: Anh Nguyen, Consultant (arrived at 4:14 p.m.)

The meeting was called to order at 4:08 p.m.

1. Monthly Sufficiency of Allocation Reports (SOARs) for February and March 2018 Ms. Marta Vasquez presented the monthly Sufficiency of Allocation Reports (SOARs). RCOC is projecting a deficit of $23.9 million. The projected deficit will be $14 million if all $9.9 million of the State Plan Amendment receivables are paid. The various factors that led to greater projected expenditures are: the continuation costs of higher rates for services, the large number of graduates from school to regional center-funded adult day programs, the minimum wage increase from $10.50 to $11.00 which was effective January 1, 2018, and the increase in the number of persons served. M/S/C to approve the monthly SOARs.

2. Approval of Budget Amendment C-5, Fiscal Year 2016-17

Ms. Baber reported that the Department of Developmental Services had allocated an additional $19,203 for RCOC’s Community Placement Plan.

RCOC Budget and Finance Committee Minutes May 3, 2018

M/S/C to approve the amendment.

3. Review of Draft of Form 990, Return of Organization Exempt from Income Tax for the Year Ended June 30, 2017 Ms. Baber said that a draft of Form 990 was not ready yet; but, it would be sent to the Board prior to the filing deadline of May 15, 2018.

Ms. Baber reported that the audited financial statements for the year ended June 30, 2017, would be presented in June. Ms. Baber presented a summary of changes to the financial statements which will include a liability for the unfunded portion of RCOC’s retirement plan and the annual change in its funded status. She also explained the differences between Governmental Accounting Standards Board (GASB) and Financial Accounting Standards Board (FASB) requirements in reporting the pension liability. As part of the discussion about RCOC’s unfunded pension liability, Ms. Baber also mentioned CalPERS’ decisions to lower its discount rate, also known as the assumed rate of return, and to shorten the amortization period for employers to pay their unfunded liability. These changes will increase costs for CalPERS’ employers. Other discussion items included the caseload ratio and the number of Service Coordinators who had been hired or had resigned recently.

The meeting adjourned at 4:57 p.m.

REGIONAL CENTER OF ORANGE COUNTY

BOARD OF DIRECTORS

AGENDA ITEM DETAIL SHEET

_____________________

ACTION___X___ACTION/CONSENT_______

DISCUSSION_______INFO ONLY_______

_____________________

DATE: June 7, 2018

TO: RCOC Board of Directors

FROM: Budget and Finance Committee

SUBJECT: Approval of Monthly Sufficiency of Allocation Report, April 2018

BACKGROUND:

Staff presents the monthly sufficiency of allocation report to the Budget and Finance Committee for review and approval. This committee then presents the statement to the Board.

REASON FOR CURRENT ITEM:

The Board has a responsibility to monitor the Center's financial status.

FISCAL IMPACT:

None.

RECOMMENDATION:

That the Board approve the monthly sufficiency of allocation report as presented.

Agenda Item III.C.-2.a.

REGIONAL CENTER OF ORANGE COUNTY M E M O R A N D U M Date: May 31, 2018 To: Board of Directors From: Budget and Finance Committee Subject: Highlights – April 2018 Sufficiency of Allocation Report (SOAR) ______________________________________________________________________________ Purchase of Service (POS) RCOC is projecting a deficit of $8.1 million, a decrease of $15.8 million from the projection in March 2018. This decrease is due to an additional allocation of $15.8 million, see Agenda Item III.C.-2.b., Approval of Budget Amendment D-3. RCOC will have a projected surplus of $1.8 million if all $9.9 million of the State Plan Amendment receivables are paid. As reported in the prior fiscal year, the significant increase in expenditures is due primarily to higher rates for services. The planning allocation for the current fiscal year included $38.1 million in continuation costs for those rate increases:

$25.7 million for continuation of the rate increases included in the Special Session language (ABX2 1 also known as MCO),

$2.1 million for continuation of the rate increase when providers reduce the capacity of their facilities from six beds to four beds, and

$10.4 million for continuation of the minimum wage increases effective January 1, 2016 and 2017, overtime and paid sick leave.

As in the prior four fiscal years, RCOC has a large number of persons served who will graduate from school to regional center-funded adult day programs. The California minimum wage increased on January 1, 2018, from $10.50 to $11.00; RCOC has estimated that rates will increase by approximately $1.7 million. RCOC’s caseload growth in fiscal year 2016-17 was 4.4%, an increase of 866 persons. To date in the current fiscal year, RCOC’s caseload grew by 605 persons, for an annualized caseload growth of 3.6%. The regional center system grew by 11,379 persons for an annualized caseload growth of 4.4%. Operations RCOC will be within budget for both Operating Expense and Personal Services.

REGIONAL CENTER OF ORANGE COUNTY Page 1

Monthly Sufficiency of Allocation ReportAs of April 30, 2018

A B C D E F G H

SOAR VARIANCEACTUAL PROJECTED PROJECTED (column A-D)/A) (column A-D) CHANGE

D-3 SPENT EXPENDITURES EXPENDITURES % AMOUNT FROM PRIOR SPENTPURCHASE OF SERVICE ALLOCATION YEAR TO DATE AT "RUN RATE" (5/10/2018) YEAR TO DATE MO. REPORTED PRIOR YEAR

(1) Licensed Residential Care $79,898,850 $66,890,421 $81,085,330 $79,898,850 0% 0 $0 $75,076,231(2) Day Care 3,094,327 2,331,839 2,824,231 3,094,327 0% 0 0 2,803,066(3) Day Training 60,586,431 46,296,412 56,843,624 60,586,431 0% 0 (10,973,703) 55,513,732(4) Habilitation 10,084,673 7,583,036 9,849,280 10,084,673 0% 0 0 9,805,003(5) Transportation 15,680,104 11,460,666 15,652,740 15,680,104 0% 0 (3,600,157) 12,079,947(6) Respite 25,100,192 16,614,991 23,380,872 25,100,192 0% 0 0 20,351,424(7) Supported Living 37,505,832 32,222,840 39,063,364 37,505,832 0% 0 0 37,193,259(8) Non-medical 29,987,721 20,080,283 27,354,029 29,987,721 0% 0 0 29,016,655(9) Medical 4,577,087 3,676,209 4,411,451 4,577,087 0% 0 0 5,112,887(10) Other 58,491,840 50,127,372 66,836,496 66,568,473 -14% (8,076,633) (1,258,467) 57,282,597(11) Early Start (Age 0-3) 27,066,190 21,663,489 26,628,461 27,066,190 0% 0 0 25,972,232(12) Community Placement Plan 2,634,500 178,329 213,995 2,634,500 0% 0 938,704

(13) Purchase of Service Total 354,707,747 279,125,887 354,143,872 362,784,380 -2% (8,076,633) (15,832,327) 331,145,737

OPERATIONS $1,851,091 ** If all SPA receivables are paid.

(14) Operating Expense (Gross) 7,600,000 5,293,755 6,352,506 7,600,000 0% 0 0 6,270,064(15) Less Interest Income and SPA Fees (200,000) (263,014) (315,617) (200,000) -0% 0 0 (132,129)

(16) Operating Expense (Net)** 7,400,000 5,030,740 6,036,888 7,400,000 0% 0 0 6,137,935

(17) Personal Services** 36,739,052 27,643,602 33,172,322 36,739,052 0% 0 0 29,614,648

(18) Family Resource Center 140,397 13,027 15,632 140,397 0% 0 0 140,397

(20) Operations Total 44,279,449 32,687,369 39,224,843 44,279,449 0% 0 0 35,892,981

(21) Total $398,987,196 $311,813,256 $393,368,715 $407,063,829 0% ($8,076,633) ($15,832,327) $367,038,718

* State Plan Amendment (SPA). Regional centers pay the Day Program and Transportation expenditures for consumers who live in Intermediate Care Facilities (ICFs); DDS pays ICFs; ICFs pay regional centers.* Due to later payment dates, the Spent Year to Date amount (column B) for line items 5 through 10 is approximately one month less than expenditures for Residential Care and Day Training.

Page 2STATEMENT OF ASSETS, LIABILITIES AND FUND BALANCES

AS OF APRIL 30, 2018

ASSETS GENERAL FUND CUSTODIAL FUND

CURRENT ASSETS

Petty cash $300.00Checking 37,520,453.64Savings 30,228.93 $724,559.38Money market 0.00Payroll 154,732.06Donations 44,859.92Unemployment 364,903.80Certificate of deposit 0.00

-------------------------- --------------------------Total current assets 38,115,478.35 724,559.38

-------------------------- --------------------------RECEIVABLES

State claim 67,548,568.29Client support revenue 266,558.05 21,074.14Due from State - prior years 9,143,387.63Due from ICF - ICF Supplemental Services 6,821,766.89

-------------------------- --------------------------Total receivables 83,780,280.86 21,074.14

-------------------------- --------------------------PREPAID ITEMS

Deposits 342,375.88Prepaid expense 3,915.00

-------------------------- --------------------------Total prepaid items 346,290.88 0.00

-------------------------- --------------------------OTHER ASSETS

Tenant improvements 715,823.45Building acquisition 63,613.98

-------------------------- --------------------------Total other assets 779,437.43 0.00

-------------------------- --------------------------TOTAL ASSETS $123,021,487.52 $745,633.52

================ ================LIABILITIES AND FUND BALANCES

LIABILITIES

Accounts payable $19,574,676.23 $266,558.05Due to State - ICF Supplemental Services 52,522.57Loans payable 0.00Cash advance 102,984,525.00Unemployment insurance 364,903.80

-------------------------- --------------------------Total liabilities 122,976,627.60 266,558.05

-------------------------- --------------------------FUND BALANCES

General 0.00Donations 44,859.92Custodial 479,075.47

-------------------------- --------------------------TOTAL LIABILITIES AND FUND BALANCES $123,021,487.52 $745,633.52

================ ================

Page 3

REGIONAL CENTER OF ORANGE COUNTYBRIAN'S FUND APRIL 30, 2018

Beginning Balance $44,414.92

Donations $0.00

Loan Payments 445.00

Interest 0.00

Disbursements 0.00.

Net Increase (Decrease) 445.00

Ending Balance $44,859.92


BOARD OF DIRECTORS


_____________________



_____________________ DATE: June 7, 2018



SUBJECT: Approval of Budget Amendment D-3, Fiscal Year 2017-18

BACKGROUND:

Periodically, budget amendments are required to distribute and reallocate funds among regional centers or to change contract language. These amendments are numbered successively, e.g., D-1, D-2, etc.


The Department of Developmental Services (DDS) has allocated additional funds to RCOC.

FISCAL IMPACT:

Operations (Community Placement Plan) ..............................$6,800 Purchase of Services ......................................................$15,783,103

Total ...............................................................................$15,789,903

RECOMMENDATION:

That the Board authorize the Chairperson to execute the budget amendment.

Agenda Item III.C.-2.b.

STATE OF CALIFORNIA

STANDARD AGREEMENT AMENDMENT STD. 213 A (Rev 9101)

[81 CHECK HERE IF ADDITIONAL PAGES AREATIACHED 1 Pages AGREEMENT NUMBER

HD149014

1. This Agreement is entered into between the State Agency and Contractor named below:STATE AGENCY'S NAME

Department of Developmental ServicesCONTRACTOR'S NAME

Regional Center of Orange County, Inc.

2. The term of this Agreement is: July 1, 2014, through June 30, 2021

3. The maximum amount of thisAgreement after this amendment is: $398,987,196

AMENDMENT NUMBER

D-3

4. The parties mutually agree to this amendment as follows. All actions noted below are by this reference made a partof the Agreement and incorporated herein:

a. The effective date of this amendment is May 15, 2018.

b. Section 8 of article I is amended and reads as follows: "8. The total amount payable to Contractor under this contractagreement shall not exceed $398,987,196 Year 2017/2018 as reflected in Exhibit A, Page 1 of this contract".

Fiscal Year funds identified above may not be used for any other fiscal year, than the fiscal year specified unlessauthorized by the Department to do so.

c. Replaced by this amendment is Exhibit A, Page 1 which is attached hereto and made a part of this contract.

d. All other terms and conditions remain the same.

IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto.

CONTRACTOR

CONTRACTOR'S NAME (If other than an individual, state whether a corporation, partnership, etc.)

Regional Center of Orange County, Inc.

BY (Authorized Signature) I DATE SIGNED (Do not type)

�

PRINTED NAME AND TITLE OF PERSON SIGNING

Alan Martin, Chairperson ADDRESS

1525 N. Tustin Avenue Santa Ana, CA 92705

STATE OF CALIFORNIA

AGENCY NAME

Department of Developmental Services

BY (Authorized Signature) I DATE SIGNED (Do not type)

�

PRINTED NAME AND TITLE OF PERSON SIGNING

Pamela S. Robison, Chief, Customer Support Section ADDRESS

1600 9th Street, Room 300, MS 3-18

Sacramento, CA 95814

CALIFORNIA Department of General Services

Use Only

D Exempt per:

Regional Center of Orange County, Inc. Contracting Agency

TOTAL OPERATIONS

CONTRACT BUDGET SUMMARY 2017-18 FISCAL YEAR

Contract Number

$44,139,052

HD149014

Total D-3 Contract May 15, 2018

EXHIBIT A

In accordance with State Contract language under Article Ill: Fiscal Provisions Item #4 Payment Provisions, paragraph 3, the following Operation category expenditures must be claimed on a separate invoice:

Mental Health Services Fund O Foster Grandparent Program (federal portion only) (see footnote /a) 0

Agnews Ongoing Workload (Non-CPP) 0 Lanterman DC Closure (Non-CPP) 0

Total Community Placement Plan (CPP) Sonoma DC Closure

Fairview Closure

Porterville Closure

RegularCPP

TOTAL PURCHASE OF SERVICES

416,796 0

6,800

0

409,996

$354,707,747

In accordance with State Contract language under Article Ill: Fiscal Provisions Item #4 Payment Provisions, paragraph 3, the following Purchase of Service category expenditures must be claimed on a separate invoice:

Program Development Fund (see footnote /b)

Part C (see footnote /c)

Safety Net General Fund (Non-CPP policy)

Community Placement Plan (CPP):

Sonoma DC Closure

Placement

Fairview DC Closure

Placement

Porterville DC Closure

Placement

Regular CPP

Start-Up

Safety Net Start-Up

Assessment

Placement

Deflection

TOTAL EARLY INTERVENTION

Family Resource Centers/Network

TOTAL BUDGET

187,308

916,502

0

2,634,500

0

0

420,750

420,750

0

0

2,213,750

1,600,000

0

0

613,750

0

$140,397

$398,987,196

FGP Footnote /a: Program Title: Foster Grandparent Program, CFDA Number: 94.011, Award No. : 16SFPCA002

Senior Companion (GF) CFDA # 94.016, Program T itle: Senior Companion Program, Award No.: 16SCPCA002

PDF Footnote /b: Please note no separate billing is necessary for PDF, this account is used to fund the CPP Start-Up Claims.

Part C Footnote /c: CFDA Title: Infant and Toddlers with Disabilities, Program Title: Special Education-Grants for Infants and Families with Disabilities

CFDA Number: 84.181A, Award No: H181A170037

Since Grant Award Notification will occur after the execution of this contract and changes are limited to the Federal Award Number and calendar year awarded, updated Grant Award Notification will be maintained In DDS' contract file and incorporated by reference. A copy of the current Grant Award Notification shall be sent to Contractor as It is made available to DDS.

Federal Agency Name: Office of Special Education and Rehabilitative Services, United States Department of Education

Part C Percent of Contract Funding: 0.23%

REGIONAL CENTER OF ORANGE COUNTY BOARD OF DIRECTORS AGENDA ITEM DETAIL SHEET _____________________ ACTION___X___ ACTION/CONSENT_______ DISCUSSION_______ INFO ONLY_______ _____________________ DATE: June 7, 2018 TO: RCOC Board of Directors FROM: Budget and Finance Committee SUBJECT: Approval of Contract and Preliminary Allocation for Fiscal Year 2018-19 BACKGROUND: Each year, ARCA and the Department of Developmental Services (DDS)

negotiate a standard contract for adoption by regional centers and DDS. The preliminary allocation is a placeholder budget.

Regional centers usually receive the planning allocation in August. The planning

allocation is used to determine the sufficiency or deficiency of the allocation. REASON FOR CURRENT ITEM: The preliminary allocation allows regional centers to make cash advance requests

for operating funds in the new fiscal year. In order to prevent any disruption in cash flow as well as the expense of drawing from its line of credit, RCOC must return the signed contract and submit the cash advance requests to DDS as soon as the contract is received in June.

FISCAL IMPACT:

Purchase of Service ............................................................... $297,332,651 Operations ............................................................................... $36,660,359 Total Preliminary Allocation ................................................ $333,993,010

RECOMMENDATION: That the Board authorize the Chairperson to execute the contract upon receipt.

Agenda Item III.C.-2.c.


BOARD OF DIRECTORS

AGENDA ITEM DETAIL SHEET _____________________

ACTION___X___ ACTION/CONSENT_______

DISCUSSION_______ INFO ONLY_______

_____________________ DATE: June 7, 2018



SUBJECT: Approval of CalPERS Requirement for a Publicly Available Pay Schedule

BACKGROUND:

Effective August 10, 2011, the California Code of Regulations, Title 2, Section 570.5, requires California Public Employees’ Retirement System’s (CalPERS’s) employers to have pay rates approved by the employer’s governing body and pay schedules publicly available. Since February 2, 2011, RCOC has posted its pay schedule on its website and the Board last approved the pay schedule at its meeting on November 2, 2017.


The attached schedule reflects only title changes.

The following titles were added to the schedule: Clerk to the Board, HR Specialist.

The following title was changed from Director of Services, Supports and Community Development to Director of Services and Supports.

The following titles were removed: Chief Operating Officer, Manager of: Behavior Services, Consumer and Community Services, Employment, Federal Programs and HR, Executive Coordinator.

FISCAL IMPACT:

None.

RECOMMENDATION:

That the Board approve the salary schedule for RCOC’s employees.

Agenda Item III.C.-.2.d.

RCOC Salary Schedule Effective June 7, 2018

Minimum Midpoint Maximum

EXECUTIVE DIRECTOR HR 96.19 107.19 118.18BW 7,695.41 8,574.97 9,454.54MO 16,673.38 18,579.11 20,484.83YR 200,080.61 222,949.27 245,817.94

MEDICAL DIRECTOR HR 66.73 85.91 105.10PHYSICIAN BW 5,338.05 6,873.13 8,408.21

MO 11,565.77 14,891.77 18,217.78YR 138,789.22 178,701.29 218,613.36

CHIEF FINANCIAL OFFICER HR 66.73 81.73 96.73GENERAL COUNSEL BW 5,338.05 6,538.13 7,738.22

MO 11,565.77 14,165.95 16,766.14YR 138,789.22 169,991.43 201,193.63

CONSULTING PHARMACIST HR 56.72 66.81 76.90DIRECTOR: Clinical, HR, IT, BW 4,537.20 5,344.59 6,151.98Services and Supports MO 9,830.61 11,579.95 13,329.30SR. PSYCH./CLINICAL ADMINISTRATOR YR 117,967.29 138,959.42 159,951.54

MANAGER, AREA HR 42.53 49.57 56.62ASSOCIATE DIRECTOR: Employment, BW 3,402.08 3,965.68 4,529.29Finance, Housing MO 7,371.17 8,592.32 9,813.47

YR 88,453.99 103,107.79 117,761.59

MANAGER: Nursing HR 41.57 48.97 56.36PSYCHOLOGIST, SR. ED. ANALYST BW 3,325.45 3,917.20 4,508.96THERAPIST: Occupational, Physical MO 7,205.14 8,487.27 9,769.41Speech YR 86,461.65 101,847.29 117,232.93

CHIEF COUNSELOR, CONTROLLER HR 34.44 40.01 45.59ADMINISTRATOR, MANAGER: BW 2,755.37 3,201.19 3,647.00Custodian of Records, Fair Hearings, Network MO 5,969.96 6,935.90 7,901.84Risk, Support Services YR 71,639.57 83,230.83 94,822.08

CLERK TO THE BOARD HR 35.85 40.27 44.69MANAGER: Family Support/Comm. Outreach BW 2,867.91 3,221.61 3,575.30NURSE CONSULTANT, PCT COOR. MO 6,213.80 6,980.15 7,746.49SPECIALIST: Benefits, Federal Programs YR 74,565.65 83,761.77 92,957.89

BCBA Masters HR 35.60 40.01 44.41BW 2,848.28 3,200.67 3,553.07MO 6,171.27 6,934.79 7,698.32YR 74,055.25 83,217.52 92,379.78

AREA SUPERVISOR, RESOURCE GROUP HR 28.13 35.42 42.72LEADER, MANAGER: Accounting, IT BW 2,250.06 2,833.84 3,417.62PROGRAMMER ANALYST, TRAINING MO 4,875.12 6,139.98 7,404.84COORDINATOR YR 58,501.48 73,679.75 88,858.02

SERVICE COORDINATOR HR 22.20 29.62 37.03ACCOUNTANT, ACCOUNTING SUP. BW 1,776.00 2,369.40 2,962.79CULTURAL SPECIALIST/COMM. OUT. MO 3,848.00 5,133.69 6,419.38EXECUTIVE LIAISON; HR SPECIALIST YR 46,176.00 61,604.28 77,032.57

ASSOCIATE PROGRAMMER ANALYST HR 21.00 26.54 32.08COORDINATOR: BW 1,680.00 2,123.24 2,566.48IT, Quality Assurance, Systems MO 3,640.00 4,600.35 5,560.70

YR 43,680.00 55,204.19 66,728.38

COORDINATOR: HR 19.73 22.82 25.92Fiscal, HRG Support Specialist, BW 1,578.70 1,825.97 2,073.23SIR, Vendor MO 3,420.53 3,956.26 4,491.99

YR 41,046.31 47,475.10 53,903.90

COORDINATOR: Community Resources, HR 17.88 20.26 22.63Fair Hearing, Imaging, Lead (Intake) BW 1,430.52 1,620.55 1,810.58Operations, Support Services, MO 3,099.47 3,511.20 3,922.92SPECIALIST: IT, Representative Payee YR 37,193.61 42,134.35 47,075.09

TECHNICIAN: Accounting, Area, IT, Intake HR 14.34 17.18 20.01Scanning, Technical Assistant, Receptionist BW 1,147.48 1,374.16 1,600.84Account Clerk MO 2,486.21 2,977.35 3,468.50

YR 29,834.53 35,728.24 41,621.95

PEER ADVOCATE HR 10.50 12.11 13.72Office Aide BW 840.00 968.78 1,097.57

MO 1,820.00 2,099.03 2,378.06YR 21,840.00 25,188.38 28,536.77


BOARD OF DIRECTORS


_____________________



_____________________

DATE: June 7, 2018



SUBJECT: Approval of Audited Financial Statements for the Year Ended June 30, 2017

BACKGROUND:

Audited financial statements are required in California’s Welfare and Institutions Code Section 4639, and Article III, section 8 of RCOC’s contract with the Department of Developmental Services.


Compliance with the requirements as stated above.

FISCAL IMPACT:

None

RECOMMENDATION:

That the Board approve the independent audit firm's financial statements as presented.

Agenda Item III.C.-2.e.

The Adobe portable document format (pdf) file of the audited financial

statements is protected and cannot be added to the Board packet file. It is included as a separate attachment.

Operations Report, Fiscal Year 2017-18 April 2018 Page 1 of 19

21,130 100%3,457 16%6,701 32%10,972 52%

379

11,823 69%2,874 17%2,604 15%6,576 36%1,259 7%

414351 85%63 15%

32028

27

15

4

173

1730

Children - Age Three No Longer Eligible for Early Start ServicesChildren - Age Three No Longer Eligible for Prevention Resource and Referral Services

Lanterman / Over Age Three / 120 days to complete determination

NUMBER OF PERSONS DETERMINED ELIGIBLEChildren - Birth to Age Three Eligible for Early Start ServicesChildren and Adults - Ages Three and Older Eligible for Lanterman Services

Children - Birth to Age Three Eligible for Prevention Resource and Referral Services

NUMBER OF CHILDREN NO LONGER ELIGIBLE FOR EARLY START OR PREVENTION RESOURCE AND REFERRAL SERVICES

• Number of children who received Early Start services

• Number of children who received Early Start services and had a diagnosis of autism

Summary of Information About Persons Served - April 2018

Early Start / Under Age Three / 45 days to complete determination

NUMBER OF PERSONS SERVEDChildren - Birth to Age Three Receiving Early Start ServicesChildren - Ages Three to 17 Receiving Lanterman ServicesAdults - Ages 18 and Older Receiving Lanterman Services

NUMBER OF PERSONS REQUESTING ELIGIBILITY DETERMINATION

Note: Many persons served have more than one diagnosis so the percentage equals more than 100%.

Children and Adults - Ages Three and Older Receiving Lanterman Services with the Following Diagnoses:

Children - Birth to Age Three Receiving Prevention Resource and Referral Services

Intellectual DisabilityEpilepsyCerebral PalsyAutismFifth Category** condition closely related to intellectual disability and requiring similar treatment



OPERATIONS REPORT

APRIL 2018 ACTIVITY

Mission Statement

The Regional Center of Orange County (RCOC) is a private non-profit organization that, as mandated by the Lanterman Developmental Disabilities Services Act,

collaborates with persons with developmental disabilities, their families and the community to secure individualized services and supports that enhance the quality of life

for the people we serve and assist them in realizing their full potential.


Related Guiding Principles

Fiscal Year 2017-18

Type and Number of Reviews Jul. Aug. Sept. Oct. Nov. Dec.Annual Review 35 40 33 34 23 30Unannounced 35 59 53 52 45 42Total Number of Reviews 70 99 86 86 68 72

Provider Trainings 1 0 0 0 0 0Technical Support 105 228 193 179 175 173Corrective Action Plans 11 16 14 4 8 1Special Incident Investigations* 29 30 25 26 31 21

Type and Number of Reviews Jan. Feb. Mar. Apr. May June TotalAnnual Review 35 32 47 55 364Unannounced 47 57 49 69 508Total Number of Reviews 82 89 96 124 0 0 872

Provider Trainings 0 0 0 0 1Technical Support 156 145 211 221 1,786Corrective Action Plans 8 10 10 7 89Special Incident Investigations* 43 53 56 55 369

• Persons served are in safe and supportive settings that promote a life of independence, acknowledge diverse cultural perspectives and that respect the inherent risks and valuable learning experiences that come from living in the community.

Provider Monitoring, Technical Support and Special Incident Investigation Activities

COMMUNITY LIFE


Type of Special Incidents (from California Code of Regulations, Title 17)

1. Physical;2. Sexual;3. Fiduciary;4. Emotional/mental; or5. Physical and/or chemical restraint.

(C) Reasonably suspected neglect including failure to:1. Provide medical care for physical and mental health needs;2. Prevent malnutrition or dehydration;3. Protect from health and safety hazards; 4. Assist in personal hygiene or the provision of food, clothing or shelter or

(D) A serious injury/accident including: 1. Lacerations requiring sutures or staples; 2. Puncture wounds requiring medical treatment beyond first aid;3. Fractures; 4. Dislocations; 5. Bites that break the skin and require medical treatment beyond first aid;6. Internal bleeding requiring medical treatment beyond first aid; 7. Any medication errors; 8. Medication reactions that require medical treatment beyond first aid; or 9. Burns that require medical treatment beyond first aid.

(E) Any unplanned or unscheduled hospitalization due to the following conditions: 1. Respiratory illness, including but not limited, to asthma; tuberculosis; and chronic obstructive pulmonary disease; 2. Seizure-related; 3. Cardiac-related, including but not limited to, congestive heart failure; hypertension; and angina;

5. Diabetes, including diabetes-related complications; 6. Wound/skin care, including but not limited to, cellulitis and decubutus; 7. Nutritional deficiencies, including but not limited to, anemia and dehydration; or 8. Involuntary psychiatric admission;

(2) The following special incidents regardless of when or where they occurred: (A) The death of any consumer, regardless of cause; (B) The consumer is the victim of a crime including the following:

5. Rape, including rape and attempts to commit rape.

* California Code of Regulations, Title 17, Division 2, Chapter 3 - Community Services SubChapter 2 - Vendorization Article 2 - Vendorization Process, Section 54327 requires all vendors, excluding parents and consumers, to report the following special incidents.

(A) The consumer is missing and the vendor or long-term health care facility has filed a missing persons report with a law enforcement agency;

5. Exercise the degree of care that a reasonable person would exercise in the position of having the care and custody of an elder or a dependent adult.

1. Robbery, including theft using a firearm, knife, or cutting instrument or other dangerous weapons or methods which force or threaten a victim; 2. Aggravated assault, including a physical attack on a victim using hands, fist, feet or a firearm, knife or cutting instrument or other dangerous weapon; 3. Larceny, including the unlawful taking, carrying, leading, or riding away of property, except for motor vehicles, from the possession or constructive possession of another person; 4. Burglary, including forcible entry; unlawful non-forcible entry; and, attempted forcible entry of a structure to commit a felony or theft therein;

Title 17 does not require reporting on arrest or consumer rights violations; however, RCOC includes arrest and rights violations as reportable incidents.

(B) Reasonably suspected abuse/exploitation including:

4. Internal infections, including but not limited to, ear, nose and throat; gastrointestinal; kidney; dental; pelvic; or urinary tract;


Fiscal Year 2017-18

Type of Incident Jul. Aug. Sept. Oct. Nov. Dec.AWOL 6 6 5 5 4 4Abuse 27 18 16 25 20 16Neglect 16 21 16 36 9 15Injury 15 24 18 36 17 11Hospitalizations - Total 40 40 54 61 38 49

Psychiatric 8 10 17 14 6 10Medical 32 30 37 47 32 39

Death 12 21 10 14 14 20Victim of crime 3 1 3 7 1 3Arrest 0 6 2 1 1 6Rights 8 17 23 32 13 25Total 127 154 147 217 117 149

Type of Incident Jan. Feb. Mar. Apr. May June TotalAWOL 5 2 11 4 52Abuse 42 23 19 26 232Neglect 14 24 23 31 205Injury 14 23 22 31 211Hospitalizations - Total 77 59 58 65 541

Psychiatric 19 17 16 15 132Medical 58 42 42 50 409

Death 28 23 17 17 176Victim of Crime 6 3 9 8 44Arrest 0 1 4 1 22Rights 12 60 39 52 281Total 198 218 202 235 0 0 1,764

Type and Number of Special Incident Investigations

AWOL, 52, 3%

Abuse, 232, 13%

Neglect, 205, 12%

Injury, 211, 12%

Hospitalizations, 556, 25%

Death, 176, 10%

Victim of Crime, 44, 2%

Arrest, 22, 1%

Rights, 281, 16%

Special Incident Investigations


Provider AuditsFiscal Year 2017-18

Type of Audit Jul. Aug. Sept. Oct. Nov. Dec.Service Billing 1 1 0 0 1 2Staffing 3 1 0 0 3 0Level 4I Consultant 2 0 0 0 0 0P&I (consumer funds) 0 0 1 1 0 0Total Number of Audits 6 2 1 1 4 2

State Appeal 1 0 1 0 0 0Recovery 2 1 1 1 4 0

Amount of Recovery $25,217.10 $555.00 $1,908.00 $3,412.00 $47,273.80 $0.00

Type of Audit Jan. Feb. Mar. Apr. May June TotalService Billing 0 0 0 0 5Staffing 0 2 0 3 12Level 4I Consultant 2 2 0 3 9P&I (consumer funds) 0 2 3 0 7Total Number of Audits 2 6 3 6 0 0 33

Number of Appeals / RecoveriesState Appeal 0 1 0 0 3Recovery 0 1 0 0 10

Amount of Recovery $0.00 $166.89 $3,639.00 $95,674.60 $177,846.39

COMMUNITY LIFE continued

Audit Findings (Dollar Amount)

Number of Appeals / Recoveries (Vendors may appeal after monthly data is reported)

Audit Findings (Dollar Amount)

Number of Audits / Appeals / Recoveries



Type of Service Jul. Aug. Sept. Oct. Nov. Dec.Day Care - Family Member 107 115 116 114 116 114Diapers - Family Member 5 5 5 4 7 7Nursing Service - Family Member 48 50 50 48 51 55Respite Service - Family Member 323 334 340 357 366 373Transportation - Family Member 186 189 187 178 174 189Total Number of Voucher Authorizations 669 693 698 701 714 738

Type of Service Jan. Feb. Mar. Apr. May JuneDay Care - Family Member 113 116 118 117Diapers - Family Member 8 7 6 6Nursing Service - Family Member 53 53 52 56Respite Service - Family Member 390 402 401 402Transportation - Family Member 189 191 192 186Total Number of Voucher Authorizations 753 769 769 767 0 0

FAMILY SUPPORTS

Number of Authorizations for Voucher Services

Number of Authorizations for Voucher Services

Vouchers - Families Procure Their Own ServicesFiscal Year 2017-18

• Families are informed advocates for their loved ones with developmental disabilities.• Families are the decision makers for their minor children.• Family support services are flexible and innovative in meeting the family’s needs as they evolve over time, are tailored to the preferences of the individual family, and are consistent with their cultural norms and customs.• Services and supports for families recognize, facilitate and build on family strengths, natural supports and existing community resources.



Developmental ScreeningsFiscal Year 2017-18

Referrals to: Jul. Aug. Sept. Oct. Nov. Dec. Regional Center of Orange County 0 43 31 35 23 13 School District 0 24 29 21 23 14 Physician 0 39 28 36 38 8 Mental Health 0 17 20 8 16 14 Rescreen 0 4 1 8 9 1 Dental 0 15 16 20 12 8 Optometrist 0 19 15 7 7 9 Insurance 0 0 0 0 0 0 Other 0 0 0 0 0 0Total Number of Referrals 0 161 140 135 128 67

Number of Children Screened 95 117 95 102 76 37

Referrals to: Jan. Feb. Mar. Apr. May June Total Regional Center of Orange County 50 27 23 245 School District 22 12 10 155 Physician 24 10 7 190 Mental Health 18 7 21 121 Rescreen 6 0 7 36 Dental 9 4 9 93 Optometrist 20 4 18 99 Insurance 0 0 0 0 Other 0 0 0 0Total Number of Referrals 149 64 0 95 0 0 939

Number of Children Screened 115 45 53 735

EARLY INTERVENTION / PREVENTION

• Prevention and early intervention services, supports and public awareness activities are designed and implemented to prevent the onset of a disability and/or to improve developmental outcomes.• Persons served are provided with needed services and supports in a family-focused and collaborative fashion.

No

Dat

a A

vaila

ble



Persons Served Persons Served Persons ServedAll Under 18 Over 18

With Family 16,899 9,902 6,997Not With Family 4,231 256 3,975

Total 21,130 10,158 10,972

LIVING OPTIONS

• Culturally-sensitive services and supports are provided so that persons served can make informed choices on where and with whom they live, including owning or renting their own homes.• Families whose minor or adult children choose to remain in the family home are supported through available resources.• Persons served live in homes where they receive quality care and can form relationships.

Where Persons Served Live

With Family, 9,902, 97%

Not With Family, 256, 3%

Where Persons Served Under 18 Live

With Family, 6,997, 64%

Not With Family, 3,975, 36%

Where Persons Served Over 18 Live


All Persons Served Persons ServedPersons Served Under 18 Over 18

Family Home 16,899 9,902 6,997Community Care Facility 1,639 47 1,592State Developmental Center 61 0 61Family Home Agency 89 0 89Foster Home 186 176 10Intermediate Care Facility 758 4 754Independent Living 847 0 847Supported Living 479 0 479Skilled Nursing 83 0 83Other* 89 29 60Total 21,130 10,158 10,972

Other*Acute General Hospital 4 0 4California Youth Authority 1 1 0Community Treatment 2 2 0Correctional Institution 0 0 0County Jail 1 0 1Other 0 0 0Out of State 3 0 3Psychiatric Treatment 6 1 5Rehabilitation Center 4 1 3SDC / State Hospital 0 0 0Sub-Acute 50 24 26Transient / Homeless 18 0 18Total, Other* 89 29 60

LIVING OPTIONS, continued

Where Persons Served Live

Community Care Facility, 1,639, 39%

State Developmental Center, 61, 2%

Family Home Agency, 89, 2%

Foster Home, 186, 4%

Intermediate Care Facility, 758, 18%

Independent Living, 847, 20%

Supported Living, 479, 11%

Skilled Nursing, 83, 2%

Other*, 89, 2%

Where Persons Served Live When Not With Family


Other Living Options

Family Home Agency

Foster Family Agency

Independent Living

Supported Living

Other Living Options Total Under 18 Over 18Family Home Agency 89 0 89Foster Family 186 176 10Independent Living 847 0 847Supported Living 479 0 479Total 1,601 176 1,425


A Family Home Agency (FHA) is a private, not-for-profit agency that is vendored to recruit, approve, train, and monitor family home providers, provide services and supports to family home providers, and assist persons served with moving into or relocating from family homes.

Under the California Department of Social Services, county placement agencies use licensed, private Foster Family Agencies (FFAs) for the placement of children. By statute, FFAs are organized and operated on a non-profit basis and are engaged in the following activities: recruiting, certifying, and training foster parents, providing professional support to foster parents, and finding homes or other temporary or permanent placements for children who require more intensive care.

Independent Living services help persons served over 18 with the functional skills necessary to secure a self-sustaining, independent living situation in the community and/or may provide the support necessary to maintain those skills.

Supported Living Services (SLS) support efforts for persons served to live in their own home.

Family Home Agency, 89, 5%

Foster Family, 186, 12%

Independent Living, 847, 53%

Supported Living, 479, 30%

Other Living Options


Health Licensed Facilities

General Acute Care Hospitals,Acute Psychiatric Hospitals,Skilled Nursing Facilities,Intermediate Care Facilities,Intermediate Care Facility – Developmentally Disabled,Intermediate Care Facility – Developmentally Disabled, – Habilitative,Intermediate Care Facility – Developmentally Disabled, – Nursing,Home Health Agencies andCongregate Living Health Facilities.


SERVICE LEVEL 4: Care, supervision, and professionally supervised training for persons with deficits in self-help skills, and/or severe impairment in physical coordination and mobility, and/or severely disruptive or self-injurious behavior. Service Level 4 is subdivided into Levels 4A through 4I, in which staffing levels are increased to correspond to the escalating severity of disability levels.

Living Options, facilities licensed by the State of California, Departments of Community Care Licensing, or Department of Health Care Services

Community Care Licensed Facilities

SERVICE LEVEL 1: Limited care and supervision for persons with self-care skills and no behavior problems. SERVICE LEVEL 2: Care, supervision, and incidental training for persons with some self-care skills and no major behavior problems.SERVICE LEVEL 3: Care, supervision, and ongoing training for persons with significant deficits in self-help skills, and/or some limitations in physical coordination and mobility, and/or disruptive or self-injurious behavior.

Health facilities are licensed by the State of California, Department of Health Services to provide 24-hour medical residential care. Health facilities are funded by Medi-Cal. Health licensed facilities

Community Care Facilities (CCFs) are licensed by the State of California, Department of Social Services, Community Care Licensing Division to provide 24-hour non-medical residential care to children and adults with developmental disabilities who are in need of personal services, supervision, and/or assistance essential for self-protection or sustaining the activities of daily living. CCFs are funded by regional centers. Based upon the types of services provided and the persons served, each CCF vendored by a regional center is designated one of the following service levels:


Fiscal Year 2017-18

Licensed Facilities Total Over 18 Under 18Level 2 365 365 0Level 3 352 352 0Level 4A 45 45 0Level 4B 6 6 0Level 4C 66 66 0Level 4D 43 43 0Level 4E 32 32 0Level 4F 65 65 0Level 4G 27 27 0Level 4H 5 5 0Level 4I 345 335 10Elderly 1 1 0ICF/DD-H 2 2 0ICF/DD-N 2 2 0ICF/DD 0 0 0Skilled Nursing 0 0 0Total 1,356 1,346 10

Licensed Facilities Summary Total Over 18 Under 18Level 2 365 365 0Level 3 352 352 0Level 4 634 624 10ICF/DD-H 2 2 0ICF/DD-N 2 2 0Elderly 1 1 0Skilled Nursing 0 0 0Total 1,356 1,346 10

Persons Served Who Reside in Licensed Facilities Funded by RCOC



Jan. Mar. Apr. May June Total

Jan. Feb. Mar. Apr. May June Total

Level 2, 365, 27%

Level 3, 352, 26%

Level 4, 634, 47%

ICF/DD-H, 2, 0% ICF/DD-N, 2, 0%

Elderly, 1, 0%


Persons Served Who Reside in Licensed Facilities Services Funded by RCOC

Level 2, 365, 27%

Level 3, 352, 26%

Level 4, 624, 47%

ICF/DD-H, 2, 0%

ICF/DD-N, 2, 0% Elderly, 1, 0%


Persons Served Over Age 18 Who Reside in Licensed Facilities Services Funded by RCOC

Level 2, 0, 0% Level 3, 0, 0%

Level 4, 10, 100%

ICF/DD-H, 0, 0% ICF/DD-N, 0, 0%

Elderly, 0, 0% Skilled Nursing, 0, 0%

Persons Served Under Age 18 Who Reside in Licensed Facilities Services Funded by RCOC


Related Guiding Principle

Persons ServedOver 18

Comm. Activities Support Svcs. 915Activity Center 532Adult Development 2,177Behavior Management 498Supported Employment Group 312Supported Employment Ind. 497Work Activity 286Total 5,217

Definitions:

Supported Employment Program means a program that meets the requirements of the term supported employment, i.e. services that are provided by a job coach in order to support and maintain an individual with developmental disabilities in employment, and of the terms, integrated work, supported employment placement, allowable supported employment services, group and individualized services. Staff ratio ranges from 1:1 to 1:4.

Work Activity Program includes, but is not limited to, Work Activity centers or settings that provide support to persons served engaged in paid work and have demonstrated that the program is in compliance with Department of Rehabilitation certification standards or are accredited by CARF. Staff ratio ranges from 1:12 to 1:20.

• Persons served have the opportunity and support to work in integrated employment settings that are meaningful, valued by the community, and in which they are appropriately compensated and respected.

WORK

Activity Center means a day program that serves adults who generally have acquired most basic self-care skills, have some ability to interact with others, are able to make their needs known, and respond to instructions. Activity center programs focus on the development and maintenance of the functional skills required for self-advocacy, community integration and employment. Staff ratio ranges from 1:6 to 1:8.

Adult Development Center means a day program that serves adults who are in the process of acquiring self-help skills. Individuals who attend adult development centers generally need sustained support and direction in developing the ability to interact with others, to make their needs known, and to respond to instructions. Adult development center programs focus on the development and maintenance of the functional skills required for self-advocacy, community integration, employment, and self-care. Staff ratio ranges from 1:3 to 1:4.

Behavior Management Program means a day program that serves adults with severe behavior disorders and/or dual diagnosis who, because of their behavior problems, are not eligible for or acceptable in any other community-based day program. Staff ratio is 1:3.

Adult Day & Employment Services

Community Activities Support Services similar to a Behavior Management Program, this is a behavior management program with an enhanced ration of 1:1 or 1:2 due to severe behavioral challenges.

Comm. Activities Support

Svcs., 915, 18%

Activity Center, 532,

10%

Adult Development,

2,177, 42% Behavior Management,

498, 10%

Supported Employment Group, 312,

6%

Supported Employment Ind., 497, 9%

Work Activity, 286,

5%



Service CoordinationFiscal Year 2017-18

Service Coordination: Jul. Aug. Sept. Oct. Nov. Dec.Number of Service Coordinators (SC) 285.0 285.0 290.0 288.0 288.0 288.0Number of Case-Carrying SCs 258.0 258.0 263.0 264.0 260.0 260.0Number of Intake SCs 27.0 27.0 27.0 28.0 28.0 28.0Number of State Developmental Center SCs 0.0 0.0 0.0 0.0 0.0 0.0Number of Active Persons Served 20,607 20,669 20,644 20,753 20,836 20,884Caseload Ratio, # of Active Persons Served/SCs 79.9 80.1 78.5 78.6 80.1 80.3

Service Coordination: Jan. Feb. Mar. Apr. May JuneNumber of Service Coordinators (SC) 294.0 305.0 304.0 302.0Number of Case-Carrying SCs 266.0 277.0 276.0 274.0Number of Intake SCs 28.0 28.0 28.0 28.0Number of State Developmental Center SCs 0.0 0.0 0.0 0.0Number of Active Persons Served 20,878 20,877 21,013 21,063Caseload Ratio, # of Active Persons Served/SCs 78.5 75.4 76.1 76.9

• Services and supports are sensitive to the diverse religious, cultural, language, socioeconomic and ethnic characteristics of persons' served and their families' communities.

SERVICE PLANNING AND COORDINATION

• Services and supports assist person served and their families to develop support networks leading to reduced dependence on paid supports.

• Service coordinators are caring, knowledgeable and competent in service planning, coordination and resources. • Service coordinators inform families of their rights and the services and supports available to them.• Service planning and coordination is a collaborative effort between RCOC, persons served and their families to identify needed services and supports.• Person-centered planning is based upon the choices and preferences of the persons served and their families, and the identification of generic services and natural supports.


Jul. Aug. Sept. Oct. Nov. Dec. Jan. Feb. Mar. Apr. May JuneNumber of Unsettled Hearing Requests* 20 22 13 11 20 13 11 13 13 12

12 12 7 4 13 7 7 8 6 6Behavioral services 1 1 2 3 2 0 0 0 0 0Respite 3 3 0 0 1 1 0 0 1 2Day Care 1 1 1 1 0 0 0 1 1 1ILS/SLS 0 0 0 0 0 0 0 0 0 0Personal Assistance 0 0 1 0 0 1 0 1 2 1Other** 3 5 2 3 4 4 4 3 3 2

Number of New Hearing Requests Filed* 8 3 8 1 5 2 5 8 8 6Eligibility - Lanterman 6 2 3 1 4 0 0 4 5 4Eligibility - Early Start 0 0 0 0 0 0 4 0 0 0Behavioral services 0 0 2 0 0 0 0 0 0 0Respite 1 0 0 0 0 0 0 0 0 1Day Care 0 0 1 0 0 0 0 1 0 0Social/Recreational 0 0 0 0 0 0 0 0 0 0Personal Assistance 0 0 1 0 0 1 0 1 1 0Other** 1 1 1 0 1 1 1 2 2 1

Number of All Meetings Held 4 12 6 3 4 5 2 5 7 5 0 0Number of Informal Meetings Held 4 8 4 3 4 2 2 5 4 5Number of Mediations Held 0 3 1 0 0 2 0 0 2 0Number of SLFHs Held 0 1 1 0 0 1 0 0 1 0

15 2 3 5 7 3 3 1 0 2* Meetings in process of being scheduled; meetings on schedule but not yet held; meetings scheduled but not held due to continuances.

Number of Requests Pending* 0 0 0 0 0 1 0 0 0 1* State Level Fair Hearing (SLFH) held but awaiting decision.

Number of Requests Settled 1 8 4 3 9 4 6 7 7 4 0 01 4 1 0 5 2 0 5 0 0

Settled in Informal 0 1 1 1 1 2 1 2 2 3Settled after further follow-up by RCOC 0 0 0 2 3 0 4 0 3 1Settled in Mediation 0 2 1 0 0 0 0 0 1 0SLFH Decision 0 1 1 0 0 0 1 0 1 0

State Level Fair Hearing DecisionsPrevailing Party

0 0 0 0 0 0 0 0 0 00 1 1 0 0 0 0 0 1 00 0 0 0 0 0 0 0 0 0

Number of Requests in Scheduling*

RCOCPerson Served/Family

Split

SERVICE PLANNING AND COORDINATION continued

** Other issues include but are not limited to living options.* Hearing Requests may list more than one issue; so, the number of issues may equal more than the number of hearing requests.

* Hearing Requests may list more than one issue; so, the number of issues may equal more than the number of hearing requests.** Other issues include but are not limited to living options.

Eligibility - Lanterman

Withdrawn by Person Served/Family

Fiscal Year 2017-18Fair Hearings


Guiding Principle

Adult Day 438 319 0 54 0 811Behavioral 299 117 0 29 0 445Education 1 13 0 0 0 14Eligibility/Health 92 2 0 8 0 102Early Start 927 168 0 103 0 1,198Living Options 174 141 0 1 0 316Supported/Ind. 214 78 0 20 0 312All Others 649 52 0 49 0 750Monthly Total 2,794 890 0 264 0 3,948

FY 2017-18Total to Date 31,031 11,356 0 2,382 0 44,769

ADMINISTRATION AND GOVERNANCE

TotalPending/DeferredDisposition Approved Consultation Denied Planning

Team

Resource Group Activity for April 2018 and Fiscal Year to Date

• RCOC will maximize all alternative sources of funding for necessary services and supports including federal and generic funding.• The public funds that support the service system are expended in a fashion that is cost-effective, consumer-directed, consistent with good business practices, and that reflect RCOC’s Guiding Principles and diligent stewardship.

Approved, 2,794, 71%

Consultation, 890, 22%

Denied, 0, 0%

Pending/ Deferred, 264,

7%

Planning Team, 0, 0%

Resource Group Activity For Current Month


About Persons Served Early Start

Medicaid Waiver

All Other SDC Total Under 18 Over 18

Number of Persons Served 3,457 7,992 9,620 61 21,130 10,158 10,972Percentage of Total 16% 38% 46% 0% 100% 48% 52%

379

Persons Served by Residence Status All Under 18 Over 18 Year to

DateFamily Home 16,899 9,902 6,997 52Community Care Facility 1,639 47 1,592 232State Developmental Center 61 0 61 205Family Home Agency 89 0 89 211Foster Home 186 176 10 541Intermediate Care Facility 758 4 754 176Independent Living 847 0 847 44Supported Living 479 0 479 22Skilled Nursing 83 0 83 281Other 89 29 60Total 21,130 10,158 10,972 1,764

Number of Licensed Facilities Total Under 18 Over 18 Year to Date

Community Care Facilities 364Level 2 82 0 82 508Level 3 70 1 69 872Level 4 157 13 144 1Total Community Care Facilities 309 14 295 1,786

89

ICF-DD 1 33ICF-DD/Habilitation 84 $177,846ICF-DD/Nursing 39Total ICF Facilities 124

Total Licensed Facilities 433

Intermediate Care Facilities (ICF)

Rights

Special Incident Investigations

Total

Licensed Facility Monitoring

Arrest

AWOLAbuse

Amount of Recovery from Audits

Annual ReviewUnannounced Total Number of ReviewsProvider Trainings

Corrective Action Plans

Number of Audits

Operations Report Summary - April 2018

Victim of crime

Technical Support

NeglectInjuryHospitalizations - Total Death

Children served in Prevention Resource and Referral Services

RCOC 5/01/18 All RCOC # Goal Percentage # Attained

Developmental Center (DC) 21,110 61 56 0.29% -5

Children in Foster Homes (FH) 10,154 176 175 1.73% 1

Children Own Home Parent/Guardian 10,154 9,900 9,800 97.50% 100

Total # Children (FH,Parent/Guardian) 10,154 10,076 9,975 99.23% 101

Adult FHA 10,895 88 100 0.81% -12

Independent Living (IL) 10,895 842 850 7.73% -8

Adults Residing Own Home - Parent 10,895 7,000 6,985 64.25% 15

Supported Living (SL) 10,895 474 471 4.35% 3

Total # Adults (FHA, IL,Parent/Guardian, SL) 10,895 8,404 8,406 77.14% -2

Children Residing in a CCF (7+ beds) 10,154 3 0 0.03% -3

Children Residing in a ICF (7+ beds) 10,154 2 0 0.02% -2

Children Residing in a Nursing Facility (7+ beds) 10,154 0 0 0.00% 0

Total Children Residing in 7+ bed facilities 10,154 5 0 0.05% -5

Adults Residing in a CCF (7+ beds) 10,895 154 149 1.41% -5

Adults Residing in a ICF (7+ beds) 10,836 81 88 0.75% 7

Adults Residing in a Nursing Facility (7+ beds) 10,836 81 83 0.75% 2

Total Adults Residing in 7+ bed facilities 10,836 316 320 2.92% 4

Total Individuals Over Age 3 with <=120 days 226 225 100.00% 100.00% 99.56%

Total Individuals Over Age 3 with 121-240 days 226 1 0.00% 0.44% 0.44%

Total Individuals Over Age 3 Over 240 days 226 0 0.00% 0.00% 0.00%

Adults with Integrated Employment Goal 10,895 47% 50%

Total Number of Incentive Payments Made 10,895

Avg. Wage and Hour After Incentive Payment 10,895

Number of 16-64 Earned Income 10,895 1,754

Percentage of 16-64 Earned Income 10,895 17.90%

Annual Earnings of 16-64 10,895 $6,086

Number of Adults in CIE After Paid Intern 10,895

Percentage Adults Transitioned Internship to CIE 10,895

Total Annual Expenditures Residence/Ethnicity 21,110

Number and Percent Race/Ethnicity Satisfied with Services

21,110

Number and Percent Families by Race/Ethnicity IPP/IFSP Includes Needed Services 21,110

Performance Contract Summary

= Exceeded Regional Center of Orange County Goal

= Below Regional Center of Orange County Goal

= Met Regional Center of Orange County Goal

= Better than Statewide Average

= Met or Exceeded Regional Center of Orange County Goal

There will be a variance of data between the Operations Report and the Performance Contract. Persons served data for the Operations Report and the Performance Contract are produced on different dates and from different databases. The Operations Report numbers are based on RCOC’s local database as of the end of the month. The Performance Contract numbers are based on RCOC’s information as submitted to DDS on a different date.

Performance Contract 2018 Cover Sheet

Below Goal

Met Goal

Exceeded Goal

Met or Exceeded Goal

Compliance Measure OutcomeUnqualifed audit with no material findings YesSubstantial compliance with DDS fiscal audit YesAccuracy percent of POS fiscal projections YesOperates within OPS budget YesCertified to participate in Waiver Yes

CDER/ESR current 99.88Intake/Assessment and IFSP (0-2) 99.52IPP development biennial Annual, 99.46IFSP development 69.28

Compliance with vendor audit requirements per contract, Article III, sec. 10 Met

Performance Contract 2018

A. Regional Center of Orange County will maintain compliance in the following areas based upon criteria set forth in RCOC's contract with the Department of Developmental Services (DDS).

Statewide Average 0.26% 312,488 809RCOC Public Hearing 8/16 /17 0.35% 20,523 72 Goal % # Attained

RCOC 5/01/18 0.29% 21,110 61 56 0.29% -5Analysis as of Public Hearing 6.57% 8.90%

Planned Activities

Jan-18 20,936 56 67 0.32% -11Feb-18 20,943 56 66 0.32% -10Mar-18 21,070 56 62 0.29% -6Apr-18 21,049 56 61 0.29% -5May-18 56Jun-18 56Jul-18 56

Aug-18 56Sep-18 56Oct-18 56

Nov-18 56Dec-18 56

Objective: RCOC will continue to seek new and innovative methods of utilizing available resources, developing non-existing resources, and creating and implementing transition plans that will allow individuals to establish themselves and participate successfully in their home community living arrangements.• Implementation of Community Placement Plan (CPP) for Fiscal Years (FYs) 2016-17 and 2017-18.

Progress: In FY 2016-17, RCOC moved 8 persons served from SDCs into the community. During Public Meetings in August 2017, RCOC had 72 persons served, or 0.35%, in SDCs. During this period, RCOC's overall caseload grew as a result of families and residents requesting case transfers in order to continue residing in Orange County.

Number Attained

Persons Served in SDCs

All Persons ServedPercentage

RCOC % of DD population RCOC % of SDC population

Number of Persons Served Residing in SDCs

Total Active Caseload Goal SDC %

Statement: The Regional Center of Orange County (RCOC) is committed to providing assistance to individuals and their families who choose to move from a State Developmental Center (SDC) into a less restrictive environment within their home communities.


I. Developmental Center

A. Total number and % of regional center caseload in State Developmental Centers (SDCs).

RCOC will assure that persons served and their caregivers receive complete assessments and have the opportunity to ask questions, advocate, and access to services. To be evaluated and monitored by a National Core Indicators (NCI) survey of persons served and their caregivers.

Planned ActivitiesStatement: The Regional Center of Orange County ensures that children will reside with their families by providing the needed supports and services regardless of the severity of the child’s disability.

Objectives: Service Coordinators continue to identify, publicize and facilitate access to supports and services for children with developmental disabilities who are considered at risk for out-of-home placement. RCOC will hold an annual presentation on supports and services for persons served including residential and vocational (day services) and other generic resources.

Continue to assess current supports and services. RCOC will work with the Orange County community in effort to support programs, trainings and services designed to provide equal access to child care for families of children with special needs (autism). Continue to develop innovative resources for children 0-3 years old (i.e., respite, placement). RCOC will ensure that persons served are provided opportunities for safety awareness training through schools and other similar programs available. Review and revise services, e.g. respite and family support. RCOC will assure that families receive full information about the developmental needs of the persons served and what types of services are available.


II. Children Residing with Families (Child is defined as under 18 years of age).

Statewide Average 2.63% 153,091 4,033RCOC Public Hearing 8/16 /17 1.62% 9,880 160 Goal % # Attained

RCOC 5/01/18 1.73% 10,154 176 175 1.73% 1Analysis as of Public Hearing 6.45% 3.97%

Jan-18 10,052 175 144 1.43% -31Feb-18 10,041 175 151 1.50% -24Mar-18 10,128 175 165 1.63% -10Apr-18 10,154 175 176 1.73% 1

May-18 175Jun-18 175Jul-18 175

Aug-18 175Sep-18 175Oct-18 175

Nov-18 175Dec-18 175

Progress: A. During public meetings, RCOC had 160, or 1.62%, children caseload in Foster Homes (FHs).

Percentage

All Children Persons Served

Persons Served in

FHs

%Goal

Total Children

Status 1&2

Persons Served

Children in FHs

Number Attained

RCOC % of DD population RCOC % of FH population

A. Number and % of regional center children caseload in FHs.

Met Goal

Statewide Average 96.65% 153,091 147,958RCOC Public Hearing 8/16 /17 97.60% 9,880 9,643 Goal % # Attained

RCOC 5/01/18 97.50% 10,154 9,900 9,800 97.50% 100Analysis as of Public Hearing 6.45% 6.52%

Jan-18 10,052 9,800 9,832 97.81% 32Feb-18 10,041 9,800 9,813 97.73% 13Mar-18 10,128 9,800 9,889 97.64% 89Apr-18 10,154 9,800 9,900 97.50% 100

May-18 9,800Jun-18 9,800Jul-18 9,800

Aug-18 9,800Sep-18 9,800Oct-18 9,800

Nov-18 9,800Dec-18 9,800

Progress: B. During public meetings, RCOC had 9,643, or 97.60%, of children caseload in own home Parent/Guardian (P/G).

RCOC % of DD population RCOC % of P/G population

Persons Served in own home

Parent/ Percentage

All Children Persons Served

%

Total Children

Status 1&2

Persons Served in own home

Parent/ GoalNumber Attained

Number and % of regional center children caseload in own home Parent/Guardian (P/G).


RCOC 5/01/18 99.23% 10,154 10,076 9,975 99.23% 101Analysis as of Public Hearing 6.45% 6.45%

Jan-18 10,052 9,975 9,976 99.24% 1Feb-18 10,041 9,975 9,964 99.23% -11Mar-18 10,128 9,975 10,054 99.27% 79Apr-18 10,154 9,975 10,076 99.23% 101

May-18 9,975Jun-18 9,975Jul-18 9,975

Aug-18 9,975Sep-18 9,975Oct-18 9,975

Nov-18 9,975Dec-18 9,975

Progress: C. During public meetings, RCOC had 9,803, or 99.22%, of children caseload in Homes.

%Number Attained

RCOC % of FH population

Total Children

Status 1&2 Goal

Total Number Children Persons

Served in Homes

RCOC % of DD population

Total Number Children Persons

Served in Homes

All Children Persons ServedPercentage

Total number and % of regional center children caseload in Homes (this is a total of previous sections A and B).

Planned Activities

RCOC will assure that persons served and their caregivers receive complete assessments and have opportunity to ask questions, advocate, and access services. To be evaluated and monitored by an NCI survey of persons served and their caregivers.

RCOC will review and revise services, e.g. respite and family support.

RCOC will ensure that persons served are provided opportunities for safety awareness training on a regular and as needed basis.

Statement: RCOC works with persons served and their caregivers and advocates to empower and enable them to assert their rights to determine and control living arrangements of their own choosing. This may include owning, renting, or leasing a home where the persons served reside.

Objective: Using the Person Centered Thinking (PCT) Individual Program Planning process, Service Coordinators will continue to identify regional center adult persons served who have the hopes and desires to live in a new living arrangement. Cases are reviewed at least annually for the least restrictive environment.

RCOC will provide service coordinator training to assist families in establishing maintenance plans in the event of temporary caregiver illness/incapacity and for eventual transition plans.

RCOC will request vendors to include successionary maintenance and transitional plans in the event of temporary illness/incapacity and transfer of ownership in their Program Design.


III. Adults Residing in Home Settings


RCOC 5/01/18 0.81% 10,895 88 100 0.81% -12

Analysis as of Public Hearing 6.67% 5.86%

Jan-18 10,817 100 94 0.87% -6

Feb-18 10,836 100 99 0.86% -7

Mar-18 10,880 100 92 0.85% -8

Apr-18 10,895 100 88 0.81% -12

May-18 100

Jun-18 100

Jul-18 100

Aug-18 100

Sep-18 100

Oct-18 100

Nov-18 100

Dec-18 100

Progress: A. During public meetings, RCOC had 81, or 0.86%, of adult caseload residing in an Adult Family Home Agency (FHA).

Persons Served in

Adult FHA

Total Adult Persons Served Status 2Percentage

RCOC % of DD population RCOC % of FHA population

Total Adults

Status 2 Goal

Persons Served in

Adult FHA %Number Attained

A. Total number and % of regional center adult caseload residing in an Adult FHA.


RCOC 5/01/18 7.73% 10,895 842 850 7.73% -8


Jan-18 10,817 850 835 7.72% -15

Feb-18 10,836 850 830 7.66% -20

Mar-18 10,880 850 839 7.71% -11

Apr-18 10,895 850 842 7.73% -8

May-18 850

Jun-18 850

Jul-18 850

Aug-18 850

Sep-18 850

Oct-18 850

Nov-18 850

Dec-18 850

Progress: B. During public meetings, RCOC had 838, or 7.93%, of adult caseload residing in Independent Living (IL).

Total Adults

Status 2 Goal

Persons Served in

Independent Living %

Number Attained

RCOC % of DD population RCOC % of IL population

Persons Served in

Independent Living


Total number and % of regional center adult caseload residing in IL.


RCOC 5/01/18 64.25% 10,895 7,000 6,985 64.25% 15


Jan-18 10,817 6,985 6,924 64.01% -61

Feb-18 10,836 6,985 6,947 64.11% -38

Mar-18 10,880 6,985 6,977 64.13% -8

Apr-18 10,895 6,985 7,000 64.25% 15

May-18 6,985

Jun-18 6,985

Jul-18 6,985

Aug-18 6,985

Sep-18 6,985

Oct-18 6,985

Nov-18 6,985

Dec-18 6,985

Progress: C. During public meetings, RCOC had 6,676, or 63.15%, of adult caseload residing in own home-parent.

Percentage

Total Adult Persons Served Status 2

Persons Served

Residing Own Home -

Parent

Persons Served

Residing Own Home -

Parent %Number AttainedGoal

Total Adults

Status 2

RCOC % of DD population RCOC % of Home/Parent population

Total number and % of regional center adult caseload residing in own home-parent.

Met Goal



Jan-18 10,817 471 471 4.35% 0

Feb-18 10,836 471 472 4.36% 1

Mar-18 10,880 471 474 4.36% 3

Apr-18 10,895 471 474 4.35% 3

May-18 471

Jun-18 471

Jul-18 471

Aug-18 471

Sep-18 471

Oct-18 471

Nov-18 471

Dec-18 471

Progress: D. During public meetings, RCOC had 464, or 4.39%, of adult caseload residing in Supported Living (SL).

Number Attained%

RCOC % of SL populationRCOC % of DD population

Percentage

Total Adult Persons Served Status 2

Persons Served

Residing in Supported

Living

Persons Served

Residing Supported

LivingGoal

Total Adults

Status 2

Total number and % of regional center adult caseload residing in SL.


RCOC 5/01/18 77.14% 10,895 8,404 8,406 77.14% -2


Jan-18 10,817 8,406 8,324 76.95% -82

Feb-18 10,836 8,406 8,342 76.98% -64

Mar-18 10,880 8,406 8,382 77.04% -24

Apr-18 10,895 8,406 8,404 77.14% -2

May-18 8,406

Jun-18 8,406

Jul-18 8,406

Aug-18 8,406

Sep-18 8,406

Oct-18 8,406

Nov-18 8,406

Dec-18 8,406

Progress: E. During public meetings, RCOC had 8,069, or 76.33%, of adult caseload residing in home settings.

RCOC % of DD population RCOC % of Home population

Number Attained%

Total Number Persons

Served Home SettingsGoal

Total Adults

Status 2

Total Number Persons

Served Home Settings


Total number and % of regional center adults in home settings (this is a total of previous sections A, B, C and D).

Planned Activities

Statement: RCOC provides for the needs of children with medical issues or challenging behaviors in seven or greater bed facilities for limited time periods when smaller facilities cannot meet needs.

Objective: RCOC will place only those children with medical issues or challenging behaviors in seven or greater bed facilities.

• RCOC will continue seeking appropriate placement in smaller facilities for these children and to support creative services and supports which would allow placement in existing small facilities, as well as development of new small facilities as needed, utilizing appropriate services and supports to ensure success for these persons served.

• RCOC will adhere to Trailer Bill Language relating to the use of larger facilities to ensure the least restrictive environment is supported.


IV. Children Residing in Facilities with Seven or More Beds(Excluding Developmental Centers).



Jan-18 10,052 0 3 0.03% -3Feb-18 10,041 0 2 0.02% -2Mar-18 10,128 0 2 0.02% -2Apr-18 10,154 0 3 0.03% -3

May-18 0Jun-18 0Jul-18 0

Aug-18 0Sep-18 0Oct-18 0

Nov-18 0Dec-18 0

Progress: A. During public meetings, RCOC had 1, or 0.01%, of children caseload residing in a Community Care Facility (CCF)(7+ beds). Placements to CCF 7+ bed facilities are at family's request and/or due to specialized services.

Children Residing in

CCF (7+ beds)

Total Children Persons

Served Status Percentage

RCOC % of DD population RCOC % of CCF population

Total Children Persons Served

Status 1 & 2 Goal

Children Residing in CCF

(7+ beds) %Number Attained

A. Total number and % of regional center children caseload residing in a CCF (7+ beds).



Jan-18 10,052 0 2 0.02% -2Feb-18 10,041 0 2 0.02% -2Mar-18 10,128 0 2 0.02% -2Apr-18 10,154 0 2 0.02% -2

May-18 0Jun-18 0Jul-18 0

Aug-18 0Sep-18 0Oct-18 0

Nov-18 0Dec-18 0

Progress: B. During public meetings, RCOC had 2, or 0.02% of children residing in an Intermediate Care Facility (ICF)(7+ beds). Placements to 7+ bed ICF facilities are at family's request and/or due to specialized services.




ICF (7+ beds)


Served Status 1&2 Goal

Children Residing in ICF

(7+ beds) %Number Attained

RCOC % of DD population RCOC % of ICF population

Total number and % of regional center children caseload residing in an ICF (7+ beds).



Jan-18 10,052 0 0 0.00% 0Feb-18 10,041 0 0 0.00% 0Mar-18 10,128 0 0 0.00% 0Apr-18 10,154 0 0 0.00% 0

May-18 0Jun-18 0Jul-18 0

Aug-18 0Sep-18 0Oct-18 0

Nov-18 0Dec-18 0

Progress: C. During public meetings, RCOC had no children residing in a Nursing Facility (NF). Placements to an NF are at family's request and/or due to specialized services.

Number Attained%


Nursing Facility (7+ beds)Goal

Total Children

Persons Served Status 1&2


Nursing Facility (7+ beds)



RCOC % of DD population RCOC % of NF population

Total number and % of regional center children caseload residing in NF.



Jan-18 10,052 0 5 0.05% -5Feb-18 10,041 0 4 0.04% -4Mar-18 10,128 0 4 0.04% -4Apr-18 10,154 0 4 0.05% -5

May-18 0Jun-18 0Jul-18 0

Aug-18 0Sep-18 0Oct-18 0

Nov-18 0Dec-18 0

Progress: D. During public meetings, RCOC had 3, or 0.03%, of children caseload residing in a facility with 7+ beds. Placements to 7+ bed facilities are at family's request and/or due to specialized services.

Total Children Persons Served Status 1

& 2 Goal

Total Children

Residing in 7+ bed

facilities %Number Attained

Total Children Residing in

7+ bed facilities



RCOC % of DD population RCOC % of 7+ Bed population

Total number and % of regional center children caseload residing in a facility with 7+ beds (this is a total of previous sections A, B and C).

Planned Activities

• RCOC will adhere to Trailer Bill Language relating to the use of larger residential facilities to ensure the least restrictive environment is supported.

Statement: RCOC continues to ensure that individuals with developmental disabilities have more choices in living options regardless of the severity of their disabilities.

Objective: RCOC will place only those adults with medical issues or challenging behaviors in seven or greater bed facilities.

• RCOC will continue seeking appropriate placement in smaller facilities for these persons served and to support creative services and supports which would allow placement in existing small facilities, as well as development of new small facilities as needed, utilizing appropriate services and supports to ensure success for these persons served.

Performance Contract

V. Adults Residing in Facilities with Seven or More Beds(Excluding Developmental Centers).


RCOC 5/01/18 1.41% 10,895 154 149 1.41% -5


Jan-18 10,817 149 158 1.46% -9

Feb-18 10,836 149 156 1.44% -7

Mar-18 10,880 149 156 1.43% -7

Apr-18 10,895 149 154 1.41% -5

May-18 149

Jun-18 149

Jul-18 149

Aug-18 149

Sep-18 149

Oct-18 149

Nov-18 149

Dec-18 149

Progress: A. During public meetings, RCOC had 158, or 1.49%, of adult caseload residing in a CCF (7+ beds). Placements to 7+ bed facilities are at family request and/or due to specialized services. RCOC also has several long-term care providers with facilities in this category. RCOC will continue to work with these vendors to implement Trailer Bill Language regarding use of these programs.

Percentage

Number Attained%

Adults Residing in CCF

(7+ beds)Goal

Total Adults

Status 2

RCOC % of DD population RCOC % of CCF population

Total Adult

Persons Served Status 2

Adults Residing in CCF

(7+ beds)

A. Total number and % of regional center adult caseload residing in a Community Care Facility (CCF) (7+ beds).


RCOC 5/01/18 0.74% 10,895 81 88 0.74% 7


Jan-18 10,817 88 80 0.74% 8

Feb-18 10,836 88 81 0.75% 7

Mar-18 10,880 88 81 0.74% 7

Apr-18 10,895 88 81 0.74% 7

May-18 88

Jun-18 88

Jul-18 88

Aug-18 88

Sep-18 88

Oct-18 88

Nov-18 88

Dec-18 88

Adults Residing

in ICF (7+ beds)

Total Adult

Persons Served Status 2Percentage

Total Adults

Status 2 Goal

Adults Residing

in ICF (7+ beds) %

Number Attained

Progress: B. During public meetings, RCOC had 94, or 0.89%, of adult caseload residing in an Intermediate Care Facility (ICF)(7+ beds). Placements to 7+ bed facilities are at family request and/or due to specialized services.

RCOC % of DD population RCOC % of ICF population

Total number and % of regional center adult caseload residing in an ICF (7+ beds).


RCOC 5/01/18 0.74% 10,895 81 83 0.74% 2


Jan-18 10,817 83 92 0.85% -9

Feb-18 10,836 83 85 0.78% -2

Mar-18 10,880 83 84 0.77% -1

Apr-18 10,895 83 81 0.74% 2

May-18 83

Jun-18 83

Jul-18 83

Aug-18 83

Sep-18 83

Oct-18 83

Nov-18 83

Dec-18 83

Progress: C. During public meetings, RCOC had 85, or .80%, of adult caseload residing in a Nursing Facility (NF). Placements to NFs are at family's request and/or due to specialized services.

Adults Residing in Nursing

Facility (7+ beds)

Total Adult


Number Attained%

Adults Residing in Nursing

Facility (7+ beds)Goal

Total Adults

Status 2

RCOC % of DD population RCOC % of NF population

Total number and % of regional center adult caseload residing in a nursing facility.



Jan-18 10,817 320 330 3.05% -10

Feb-18 10,836 320 322 2.97% -2

Mar-18 10,880 320 321 2.95% -1

Apr-18 10,895 320 316 2.90% 4

May-18 320

Jun-18 320

Jul-18 320

Aug-18 320

Sep-18 320

Oct-18 320

Nov-18 320

Dec-18 320

Progress: D. During public meetings, RCOC had 337, or 3.19%, of adult caseload residing in a facility with 7+ beds. Placements to 7+ bed facilities are at family's request and/or due to specialized services.

Goal

Total Adults

Status 2

Total Adults

Residing in 7+ bed

facilities %Number Attained

Total Adults

Residing in 7+ bed facilities

Total Adult


RCOC % of DD population RCOC % of 7+ Bed population

Total number and % of regional center adult caseload residing in a facility with 7+ beds (This is a total of previous sections A, B and C).

Planned Activities

Statewide Average 97.91% 5,511 5,396RCOC Public Hearing 8/16/17 99.62% 260 259 Goal % Attained

RCOC 5/01/18 100.00% 226 225 100.00% 99.56%

Jan-18 178 100.00% 178 100.00%

Feb-18 179 100.00% 179 100.00%

Mar-18 196 100.00% 196 100.00%

Apr-18 226 100.00% 225 99.56%

May-18 100.00%

Jun-18 100.00%

Jul-18 100.00%

Aug-18 100.00%

Sep-18 100.00%

Oct-18 100.00%

Nov-18 100.00%

Dec-18 100.00%

Total Number Over Age 3 with

<=120 days

% Attained

Total Number Individuals

Over Age 3 with <=120 daysGoal

Total Number Individuals Age

3 or Over

PercentageTotal Number Age 3 or Over

Statement: Management and Service Coordinator staff receive a monthly report on the duration of individuals ages 3 and over who are in the intake process.

Objective: RCOC will continue to ensure that the duration of individuals ages 3 and over in the intake process is within mandated timeline. • RCOC will provide persons served and their caregivers/advocates with initial information about developmental needs, and about the services and supports available, inside and outside of RCOC.

Progress: A. During public meetings, RCOC had 259, or 99.62%, of regional center individuals over age 3 with <=120 days.


A. Total number and % of regional center individuals over age 3 with <= 120 days.

VI. Intake Duration

Below Goal

Statewide Average 1.85% 5,511 102RCOC Public Hearing 8/16/17 0.38% 260 1 Goal % Attained

RCOC 5/01/18 0.44% 226 1 0.00% 0.44%

Jan-18 178 0.00% 0 0.00%

Feb-18 179 0.00% 0 0.00%

Mar-18 196 0.00% 0 0.00%

Apr-18 226 0.00% 1 0.44%

May-18 0.00%

Jun-18 0.00%

Jul-18 0.00%

Aug-18 0.00%

Sep-18 0.00%

Oct-18 0.00%

Nov-18 0.00%

Dec-18 0.00%

%


Over Age 3 with 121-240 daysGoal


3 or Over


Over Age 3 with 121-240 days


3 or OverPercentage

Progress: B. During public meetings, RCOC had 1, or 0.38%, of regional center individuals over age 3 with 121-240 days.

B. Total number and % of regional center individuals over age 3 with 121-240 days.

Below Goal

Statewide Average 0.24% 5,511 13RCOC Public Hearing 8/16/17 0.00% 260 0 Goal %

RCOC 5/01/18 0.00% 226 0 0.00% 0.00%

Jan-18 178 0.00% 0 0.00%

Feb-18 179 0.00% 0 0.00%

Mar-18 196 0.00% 0 0.00%

Apr-18 226 0.00% 0 0.00%

May-18 0.00%

Jun-18 0.00%

Jul-18 0.00%

Aug-18 0.00%

Sep-18 0.00%

Oct-18 0.00%

Nov-18 0.00%

Dec-18 0.00%

Progress: C. During public meetings, RCOC had 0, or 0.00%, of regional center individuals over age 3 with over 240 days.

Total Number Individuals Over Age 3

Over 240 days


3 or OverPercentage

% Attained

Total Number

Individuals Over Age

3 Over Goal


3 or Over

C. Total number and % of regional center individuals over age 3 with over 240 days.

Planned Activities

Percentage

RCOC FY 2010-11 40%

RCOC FY 2011-12 46% Goal

RCOC FY 2014-15* 47% 50%

*NOTE: Surveys are being conducted again in FY 2017-18

Statement: RCOC has adopted an Employment First Policy making integrated competitive employment the first option considered by planning teams for every working adult served by RCOC.

Objective: RCOC will implement its Employment First Policy by providing persons served and family members with information regarding the opportunity and support to work in employment settings that are meaningful to them and by annually reviewing those opporutunities with individuals to ensure they are engaged in activities of their choosing. RCOC will make incentive payments to vendors who assist individuals obtain competitive, integrated employment and maintain those positions over time.

Progress: A. Results from the National Core Indicator Surveys conducted in FY 2011-2012, 46% of the people interviewed who did not have a job in the community, reported wanting one. In FY 2014-2015, 47% of those interviewed indicating a desire for work in the community.


A. Percentage of adults who reported having integrated employment as a goal in their IPPs.

VII. National Core Indicators (NCI) Employment

Fiscal Year $1,000 $1,250 $1,500

2016-2017 95 38 0

2017-2018

*NOTE: Incentive payments started in FY 2016-17, partial year data

Progress: B. RCOC will authorize incentive payments to service providers who assist individuals obtaining competitive integrated employment. RCOC will make initial payments based upon hire date, and additional payments will be made upon subsequent milestones related to length of employment.

B. Total number of $1,000, $1,250, and $1,500 incentive payments made within the fiscal year.

Fiscal Year Hours Week Wage

2016-2017 17 $10.77

2017-2018

Progress: C. RCOC will work with local employment agencies and businesses to assist individuals obtain desired hours of employment on a weekly/monthly basis. Individuals will review this during the initial hiring phase when incentive payments are being sought.

C. Average wages and hours worked for adults engaged in competitive, integrated employment when incentive payments have been made on their behalf.

Planned Activities

2013 1,207 839

2014 1,754 906

2015 2,175 962

2016 2,085 1,033

RCOC

Statement: RCOC service coordinators and vendors are implementing RCOC's Employment First Policy of integrated competitive employment as the first option for people with intellectual disabilities.

Objective: RCOC service coordinators will implement the Employment First Policy by providing persons served and families information on job preparation and procurement at annual Individual Transition Meetings through the school and Individual Program Planning meetings through RCOC. RCOC will continue to work on development of new programs that will emphasize a focus on competitive employment as a primary outcome. RCOC will work with service providers and employers to move individuals participating in Paid Internship Program (PIP) into Competitive Integrated Employment (CIE).

Progress: A. Results from the Employment Development Department (EDD) conducted in 2015 indicate that 2,175 persons served ages 16-64 had earned income. In 2016, 2,085 persons served ages 16-64 had earned income.

Statewide Avg.


A. Number of persons served ages 16-64 with earned income.

VIII. Employment Development Department (EDD) Employment

2013 12.80% 12%

2014 17.90% 13.10%

2015 27% 16%

2016 19.80% 14.20%

Progress: B. Results from the Employment Development Department in 2015 indicate that 27% of persons served ages 16-64 reported having earned income. In 2016, the percentage of persons served ages 16-64 reporting earned income was 19.8%.

Statewide Avg.RCOC

B. Percentage of people ages 16-64 reporting earned income.

2013 $6,691 $6,697

2014 $6,086 $7,044

2015 $5,681 $7,248

2016 $5,975 $7,631

Statewide Avg.RCOC

Progress: C. Results from the Employment Development Department in 2015 indicate that average annual wage for persons served ages 16-64 was $5,681. In 2016, the average annual wage for persons served ages 16-64 was $5,975.

C. Annual earnings of age group 16-64 as compared with all persons served with disabilities in California.

Total

2016-2017 0

2017-2018

Progress: D. In FY 2016-17, RCOC began working with service providers to place individuals into Paid Internship Program (PIP) opportunities to help develop employment interests, and lead into opportunities for competitive integrated employment. The PIP was initiated in FY 2016-17. RCOC currently has 5 individuals within a paid internship.

*Note: Individuals have participated in PIP for less than 12 months total.

D. Number of adults placed in competitive, integrated employment following participation in a Paid Internship Program.

% of Adults

2016-2017 NA 2017-2018

Progress: E. RCOC will obtain data related to the overall percentage of adults participating in a paid internship who transition into a competitive employment setting. This program began in FY 2016-17 and has been in place less than 12 months total.

*Note: PIP has been in place less than 12 months, no transitions have currently been made.

E. Percentage of adults who transitioned from internship to competitive employment.

Hours Wk. Wage

2016-2017 18 $10.13

2017-2018

Progress: F. RCOC will monitor the hourly/salaried wages and hours worked per week for persons served who participate in a paid internship. Hours and wages will be competitively based on the job type and market rate for each setting.

F. Average hourly wage and weekly hours worked in Paid Internship Program.

Progress: A. Review of fiscal year 2015-16 purchase of service data and client master file (CMF). Initial data generation will be compared to subsequent FY information.

Statement: RCOC works to ensure that support services are flexible and innovative in meeting the family's needs as they evolve over time; are tailored to the preferences of the individual family; and are consistent with their cultural norms and customs.

Objective: RCOC service coordinators will work with persons served and families to develop IPP goals and objectives to address their choices of living situations. RCOC will work to develop services in the community that meet the cultural and background preferences of persons served and family members to ensure the availability of resources. RCOC will continue outreach efforts within our community to overcome potential cultural barriers when identifying appropriate services. RCOC is working to expand family outreach and support options by developing new resources within our community. RCOC will continue to develop community programs that allow for a range of options for persons served when selecting those services. RCOC service coordinators will receive initial and ongoing training related to IPP development that ensures meaningful participation os persons served and their families and will focus on Person Centered Thinking skills and outcomes. RCOC will be working to simplify and translate important documents. RCOC continues to outreach with outside agencies such as parent support group leaders, family support groups, social services agencies, faith-based organizations and educational agencies, as well as providing information via e-mail in the primary language of the family.


IX. Reducing Disparities and Improving Equity in Purchase of Service

Birth to 2 Years Old

Asian 719 19.93% $6,297,111 66.30%Black/African Ame 56 1.79% $564,963 62.30%Filipino 62 1.55% $489,944 60.50%Hispanic 1,819 33.10% 10,459,545 61.20%Native American 7 0.11% $34,855 46.40%Other 993 23.13% $7,309,267 62.20%Polynesian 7 0.12% $38,154 55.50%White 1,001 20.27% $6,406,818 61.00%

100.00% $31,600,657

Age 3 Years to 21 Years

Asian 1,417 20.16% $20,068,764 67.50%Black/African-Ame 165 3.22% $3,207,943 70.70%Filipino 196 1.91% $1,902,950 67.30%Hispanic 3,458 34.60% $34,444,272 65.70%Native American 7 0.04% $34,855 46.40%Other 993 7.34% $7,309,267 62.20%Polynesian 7 0.04% $38,154 58.70%White 2,290 32.69% $32,546,533 67.60%

100.00% $99,552,738

Age 22 Years and Older

Asian 932 8.68% $20,447,051 83.70%Black/African-Ame 197 2.31% $5,441,913 84.00%Filipino 143 1.58% $3,719,368 84.90%Hispanic 2,022 18.35% $43,217,311 81.70%Native American 15 0.30% $718,146 93%Other 642 7.66% $18,052,715 85.50%Polynesian 7 0.07% $175,576 78.80%White 4,356 61.04% $143,800,987 85.70%

100.00% $235,573,067

Progress: A. Review of fiscal year 2015-16 purchase of service data and client master file (CMF). Initial data generation will be compared to subsequent FY information.

EthnicityTotal POS

(authorized)

Percent Utilized

Percent UtilizedPercentage of ExpedituresTotal Persons

Total POS (authorized)

Percentage of ExpendituresTotal PersonsEthnicity

Ethnicity Total PersonsPercentage of Expenditures

Total POS (authorized)

Percent Utilized

A. Percent of total annual purchase of service expenditures by individual's ethnicity and age: Birth to age 2; Age 3-21; 22 and older.

Birth to 2 Years Old

Asian 719 23 3.20%Black/African-Ame 56 1 1.80%Filipino 62 2 3.20%Hispanic 1,819 111 6.10%Native American 7 0 0.00%Other 993 39 3.90%Polynesian 7 0 0.00%White 1,001 50 5.00%

Age 3 Years to 21 Years

Asian 1,417 257 18.10%Black/African-Ame 165 48 29.10%Filipino 196 62 31.60%Hispanic 3,458 1,164 33.70%Native American 13 2 15.40%Other 1,496 355 23.70%Polynesian 8 3 37.50%White 2,290 538 23.50%

Age 22 Years and Older

Asian 932 192 20.60%Black/African-Ame 197 33 16.80%Filipino 143 11 7.70%Hispanic 2,022 457 22.60%Native American 15 3 20%Other 642 105 16.40%Polynesian 7 0 0.00%White 4,356 498 11.40%

Progress: B. Review of fiscal year 2015-16 purchase of service data and regional center caseload data. Initial data generation will be compared to subsequent FY information.

Ethnicity Total EligibleCase

Management% of Total Caseload

EthnicityTotal Eligible

Case Management

% of Total Caseload

Ethnicity Total Eligible Case Management

% of Total Caseload

B. Number of individuals receiving only case management services by age and ethnicity: Birth to age 2; Age 3-21; 22 and older.

English 16,474 $18,699 78.10%Spanish 4,177 $11,567 73.40%Mandarin Chinese 45 $17,881 73.10%Vietnamese 1,012 $13,309 76%Korean 117 $23,093 79.80%Tagalog 30 $20,762 83.70%Arabic 30 $14,973 71.30%

Progress: C. Review of fiscal year 2015-16 purchase of service data and Client Master File. Initial data generation will be compared to subsequent FY information.

Primary Language Total People

POS Authorized Per Capita Percent Utilized

C. Per capita purchase of service expenditures by individual's primary language for all ages (30 or morepeople with langauge).

Agenda Item III.D.3.

REGIONAL CENTER OF ORANGE COUNTY BOARD OF DIRECTORS AGENDA ITEM DETAIL SHEET _____________________ ACTION___X___ ACTION/CONSENT_______ DISCUSSION_______ INFO ONLY_______ _____________________ DATE: June 7, 2018 TO: RCOC Board of Directors FROM: Executive Director, Larry Landauer SUBJECT: Approval of Request for Waiver of Potential Conflict of Interest and Conflict

Resolution Plan for Amiee Alvarez, Service Coordinator BACKGROUND: The prohibition against Regional Center employee conflicts of interest has its origin in section 4626 of the Welfare & Institutions Code. Subsection (d) of said section 4626 provides:

“The department shall ensure that no regional center employee or board member has a conflict of interest with an entity that receives regional center funding….”

That general prohibition is explained in more detail in Title 17 of the California Code of Regulations, sections 54526 “Positions Creating Conflicts of Interest for Employees, Contractors, Agents and Consultants” and 54527 “Financial Interests in Decisions Creating a Conflict of Interest for Employees, Contractors, Agents or Consultants” which provides in pertinent part:

“(a) A regional center employee, contractor, agent or consultant shall not make, participate in making or in any way attempt to use his or her position to influence a regional center decision, in which he or she knows or has reason to know that he or she, or his or her family member has a financial interest.

Section 54533 “Present or Potential Conflict of Interest Identified, Proposed Conflict Resolution Plan Content, Timelines for Submission of Proposed Conflict Resolution Plan” states that:

(a) When a present or potential conflict of interest is identified for a regional center board member, executive director, employee, contractor, agent or consultant, the present or potential conflict shall be either eliminated or mitigated and managed through a Conflict Resolution Plan, or the individual shall resign his or her position with the regional center or regional center governing board.” (emphasis added)

Agenda Item III.D.3.


Amiee Alvarez is RCOC’s Service Coordinator. Mrs. Alvarez’s husband has a financial interest in Regional Center operations by virtue of his role as a Supervisor with People’s Care, a RCOC provider. For this reason, Mrs. Alvarez appears to have a conflict of interest under the above discussed statute and regulations.

RCOC has developed a Conflict Resolution Plan to address any potential conflict of interest. FISCAL IMPACT: None RECOMMENDATION: That the Board approve the Request for Waiver of Potential Conflict of Interest and Conflict Resolution Plan for Amiee Alvarez, Service Coordinator.

DISCLOSURE OF POTENTIAL CONFLICT OF INTEREST, REQUEST FOR WAIVER AND CONFLICT RESOLUTION PLAN

FOR AMIEE ALVAREZ – SERVICE COORDINATOR


I. Law Governing Conflicts of Interest

The prohibition against Regional Center employee conflicts of interest has its origin in section 4626of the Welfare & Institutions Code. Subsection (d) of said section 4626 provides:

“The department shall ensure that no regional center employee or board member has a conflict ofinterest with an entity that receives regional center funding….”

That general prohibition is explained in more detail in Title 17 of the California Code ofRegulations, sections 54526, “Positions Creating Conflicts of Interest for Employees, Contractors,Agents and Consultants” and 54527, “Financial Interests in Decisions Creating Conflict of Interestfor Employees, Contractors, Agents or Consultants” which provides in pertinent part:

“(a) A regional center employee, contractor, agent or consultant shall not make, participate in making or in any way attempt to use his or her position to influence a regional center decision, in which he or she knows or has reason to know that he or she, or his or her family member has a financial interest.

(b) Financial interest, as used in this section, includes any current or contingent ownership,equity, or security interest that could result directly or indirectly, in receiving a pecuniary gain orsustaining a pecuniary loss as a result of the interest in any of the following:

(1) business entity worth two thousand dollars ($2,000) or more.(2) real or personal property worth two thousand dollars ($2,000) or more in fair marketvalue.(3) stocks or bonds worth two thousand dollars ($2,000) or more.(4) intellectual property rights worth five hundred dollars ($500) or more.(5) sources of gross income aggregating five hundred dollars ($500) or more within prior 12

months.(6) future interests for compensation of five hundred dollars ($500) or more.(7) personal finances of two hundred fifty dollars ($250) or more.

Section 54533 “Present or Potential Conflict of Interest Identified, Proposed Conflict Resolution Plan Content, Timelines for Submission of Proposed Conflict Resolution Plan” states that:

(a) When a present or potential conflict of interest is identified for a regional center boardmember, executive director, employee, contractor, agent or consultant, the present or potentialconflict shall be either eliminated or mitigated and managed through a Conflict Resolution Plan,or the individual shall resign his or her position with the regional center or regional centergoverning board.” (emphasis added)

II. Potential Conflict of Ms. Amiee Alvarez

Amiee Alvarez is a Service Coordinator for the Regional Center of Orange County (hereinafter“RCOC” or “the Regional Center”). RCOC’s Executive Director, Larry Landauer, confirms thatMs. Alvarez is a loyal, effective, productive and greatly valued employee.

Regional Center of Orange County Amiee Alvarez – Service Coordinator Page 2

Ms. Alvarez’s spouse, Henry Alvarez, has a financial interest in Regional Center operations by virtue of his role as a Supervisor with People’s Care, Inc. (hereinafter “People’s Care”), a RCOC provider. For this reason, Ms. Alvarez appears to have a conflict of interest under the above discussed statute and regulations.

This document constitutes a Disclosure of Potential Conflict, a Conflict Resolution Plan to eliminate any adverse consequences from this relationship, and a Request for Waiver of the conflict from DDS.

A. Ms. Alvarez’s Position and Duties

As a Service Coordinator, Ms. Alvarez is responsible for a caseload of 86 consumers, with services that are funded at least in part by the Regional Center of Orange County. A copy of her job description is attached as Exhibit A.

Ms. Alvarez has a caseload of children. She has no role or involvement whatsoever with any matter that might conceivably impact People’s Care which serves adults.

Further, if any of Ms. Alvarez’s consumers require evaluation, planning or recommendations on a matter related to People’s Care, West Area Supervisor, Michele Delgado, will take on such matters. The RCOC Organization Chart is attached as Exhibit B. With the changes to be made in this Conflict Resolution Plan, no change in the chart will be necessary except that Michele Delgado, West Area Supervisor, will be in the position held by Ms. Alvarez with respect to matters involving People’s Care.

B. Henry Alvarez’s Role at Peoples Care

As stated above, Ms. Alvarez’s spouse, Henry Alvarez, is a Supervisor at People’s Care, a vendor of the Regional Center. People’s Care is approved to provide the following services: Behavior Management Program and Transportation. People’s Care’s first service was vendored on October 31, 2011. RCOC paid $19,535 for People’s Care’s two programs which served one consumer last year.

As a Supervisor, Mr. Alvarez’s duties include staff development, training, performance improvement, implementation and management of key services. Mr. Alvarez interacts with adult individuals, their circle of support on processes of assessment, planning, intervention, implementation and evaluation.

Conflict Resolution Plan

The Regional Center’s Executive Director and Board of Directors have concluded that Ms. Alvarez provides great value to the consumers of RCOC. After consideration of the totality of the circumstances and a careful review of the facts, the Executive Director and Board of Directors believe it is in the best interests of the Regional Center to create and implement a Conflict Resolution Plan to eliminate any adverse consequences from this relationship and seek a waiver from DDS.

Ms. Alvarez has no duties that relate to People’s Care.

Regional Center of Orange County Amiee Alvarez – Service Coordinator Page 3

The Regional Center’s and Ms. Alvarez’s suggested Conflict Resolution Plan of this potential conflict of interest is as follows:

Ms. Alvarez will continue with her caseload of children.

1. Ms. Alvarez will, in every conceivable manner, not interact with People’s Care or those who do interact with People’s Care.

2. Ms. Alvarez will not participate in the consideration, preparation, review, presentation, formulation or approval of any report, plan, opinion, recommendation or action regarding RCOC vendor People’s Care.

3. Ms. Alvarez will not review or participate in any discussions, recommendations or decisions about Purchase of Service authorizations for this vendor.

4. Ms. Alvarez will not review or in any way participate in the preparation, consideration, or any follow-up related to Special Incident Reports from or about this vendor.

5. Ms. Alvarez will not create, review, or in any way participate in, any corrective action plans for this vendor.

6. Ms. Alvarez will not participate in any discussions, recommendations, actions or resolutions regarding complaints about this vendor.

7. The Regional Center and Ms. Alvarez agree that Ms. Alvarez will take no part in vendor appeals or fair hearings involving People’s Care.

8. The Regional Center and Ms. Alvarez will ensure that Ms. Alvarez will not access vendor files to People’s Care either in their electronic or hard copy form.

9. Ms. Alvarez will not be involved in the negotiation, discussion, obligation or commitment of RCOC to a course of action involving RCOC vendor People’s Care.

10. Further, if Ms. Alvarez has matters relating to People’s Care, West Area Supervisor, Michele Delgado, will take on such matters.

11. The RCOC management staff will be informed about this Conflict Resolution Plan, and they will be informed of the need to ensure that Ms. Alvarez has no involvement whatsoever in any action or business involving or affecting RCOC vendor People’s Care.

12. RCOC will communicate to the employees Ms. Alvarez’s Conflict Resolution Plan and the need to ensure that Ms. Alvarez plays no role whatsoever in any action involving or affecting RCOC vendor People’s Care.

13. The RCOC Board of Directors has been informed of, and supports, this Conflict Resolution Plan and Request for Waiver of Potential Conflict of Interest.

III. Request For Waiver

For the reasons provided above, and in accordance with the Conflict Resolution Plan set forth above, the Regional Center of Orange County hereby requests that DDS grant a waiver of the conflict in this matter.

Regional Center of Orange County Amiee Alvarez – Service Coordinator Page 4 Respectfully submitted,

By: Amiee Alvarez, West Area Service Coordinator Date: By: Michele Delgado, West Area Supervisor Date: By: Keli Radford, West Area Manager Date: By: Patrick Ruppe, Director of Services and Supports Date: By: Larry Landauer, Executive Director Date:

EXHIBIT A

Regional Center of Orange County Position Description


Position Title: Service Coordinator

Exempt FLSA Status:

Location: Central and West

Division: Consumer Services Work Group

Organizational Relationship: Reports directly to the Area Manager. Maintains indirect reporting relationships with the following: Consumer Services Director; Community Resources Manager; Health Resources Director; Administrative Services Director; Human Resources Manager; and the Executive Director.

SUMMARY:

Develops, coordinates and facilitates activities which result in an increased awareness of the services available and rendered to people with developmental disabilities by performing various functions, such as: case consultation, social assessments, resource development, treatment modalities, development of person-centered plans, individualized family service plans and coordinating family and consumer diagnosis and treatment techniques. Facilitates the education of consumers, families, and service providers regarding available services.

POSITION SPECIFICATIONS:

1. EDUCATION

Master's degree from an accredited school in Social Work, Human Services, Drug and Alcohol, Education, Counseling, Psychology, Criminal Justice or

Bachelor's degree from an accredited school in Human Behavioral Science, which would typically include degrees in:

• Child Development • Counseling • Psychology • Social Work • Sociology

The degree must be one of those listed above and must include a course of study of a combined total of 30 semesters, or 45 quarter hours, in the Development of Human Behavior, Child Development, Family Intervention Techniques, or Diagnostic Measures of Therapeutic Techniques all of which are typically required for degrees in Child Development, Counseling, Psychology, Social Work and Sociology.

2. WORK EXPERIENCE:

Minimum of one year case management experience within a social services, health care/service or related environment required.

3. OTHER SKILLS AND ABILITIES:

a) Ability to communicate effectively verbally and in writing at the highest professional level with families, vendors and service communities.

b) Ability to effectively present information to RCOC resource groups. c) Participates in internal agency activities, which lead to the development of

collaborative efforts between RCOC and other services and supports for people with disabilities.

d) Ability to apply RCOC mission statement and guiding principles towards solving everyday issues.

e) Must be a self-starter who can work on complex problems, interacting with a wide variety of constituents with priorities.

f) Must exercise skill in creative problem solving minimal supervision and direction. g) Must be proficient in the use of a computer and independently produce all consumer

related reports and correspondence.

4. CERTIFICATIES/LICENSES/REGISTRATIONS:

Proof of valid California driver's license and auto insurance. Must have a means of transportation that will permit incumbent to discharge job duties effectively and efficiently.

ESSENTIAL DUTIES AND RESPONSIBILIES:

To perform this job successfully, an individual must be able to perform each of the following essential duties satisfactorily with minimum supervision. Reasonable accommodations may be made to individuals with disabilities to perform the essential functions.

1. Coordinates initial assessment and development of individualized family service plan, person-centered plans; coordinates ongoing revision of person-centered plans.

2. Participates in various resource groups to improve the quality of life for people with disabilities and their families.

3. Secures and uses appropriate information, to include psychological, physical, and social factors contributing to the consumer's situation, in monitoring and revising the personcentered plan.

4. In conjunction with the RCOC resource groups, designs intervention plans, identifies and secures resources to meet the objectives of the consumer's person-centered plan.

5. Performs evaluation of services to ensure continuous monitoring for quality of purchased service(s).

6. Provides opportunities to our consumers for education, support and problem solving in classroom, RCOC sanctioned workshops, as well as individual settings.

7. Completes necessary documentation in accordance with state and federal regulations, as well as Agency policy and procedures.

8. Complies with policies, procedures and performance standards and initiatives. 9. Plans and implements innovative initiatives that expand and clarify the options available to

people with disabilities. 10. Participates, at the discretion of the area manager, mentoring of team members. 11. In accordance with RCOC policy, implements the highest standards of customer service in

all activities. 12.Acts within the scope of authority in a manner consistent with Agency guidelines, policies

and practices. 13. Works with other team members to coordinate activities necessary to assure effective team

function.

*NOTE: The statements contained in this position description are not necessarily a/I-inclusive; additional duties may be assigned and requirements may vary from time to time, and from location to location

APRIL 2012 (REVISED JUNE 2013)

EXIDBITB

February 01, 2018

Regional Center of Orange County

\..

BOARD OF DIRECTORS

Executive Director Larry Landauer

Executive Coordinator Sandra Perdew i---------- ------l-- - -------__J

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Director of Services, Supports and Community Development

Patrick Ruppe

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Chief Financial Officer Bette Baber

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Clinical Director Bonnie Ivers

Clerk to the Board Sandra Lomelr

General Counsel Christina Petteruto, Esq.

Information Technology Director

Jerrod Bonner

Human Resources Director

<<<Open>>>

Services To Those We Serve r

Director of Services and Supports Patrick Ruppe

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I

I,

/ -...... ' r - "\

Area Managers Associate Director of Patricia Glancy, Intake Associate Director of Housing Employment

Jennifer Montanez, Central Jack Stanton Arturo Cazares Keli Radford, West ' '\. .J

' / ' / ' 'I ' Family Support and Employment and Adult

PCT Coordinator Early Start Community Outreach FRC Receptionist Day Services Supervisor - f--

Cristina Mercado John Zeimantz

Manager Patricia Garcia Coordinator J J

Kathleen McFarlin Anita Kwon

' \. . Y

;' ' .., Training and Peer Advocate Federal Programs I"° FRC Service '

Jyusse Corey Specialist - Coordinators Organizational Specialists

Cathy Furukawa ;' ' .J

Randy Laya Jamie Nicolette Patton Thao Mailloux Community Resources

Giulia Rodriguez

I ,_ Coordinator

I Alex Cornejo '- .J

Insurance and Benefits Cultural Specialist Office Aide Specialist - Kaitlynn Truong Amber Lopez

Suzanne Butler '-'- I / '

r " Senior Educational Community Outreach Services Analyst

Coordinator Donald Greene Reina Hernandez \. .)

AGENDA ITEM III.D.4.a.


BOARD OF DIRECTORS


DATE: June 7, 2018 ACTION

TO: RCOC Board of Directors ACTION/CONSENT DISCUSSION

FROM: Larry Landauer, Executive Director INFO ONLY X

SUBJECT: Information Regarding Five Proposals Which Have Been Approved by the Department of Developmental Services to Fund Changes Necessary for Providers to Come into Compliance with the Final Rules for Home and Community-Based Services

BACKGROUND:

In January 2014, the Centers for Medicare & Medicaid Services (CMS) issued final regulations, or rules, for Home and Community-Based Services (HCBS). The rules require that HCBS programs funded through Medicaid – called Medi-Cal in California – provide people with disabilities full access to the benefits of community living and offer services and supports in settings that are integrated in the community. This could include opportunities to seek employment in competitive and integrated settings, control personal resources, and engage in the community to the same degree as individuals who do not receive regional center services. The HCBS rules focus on the nature and quality of individuals’ experiences and not just the buildings where the services are delivered.

In recognition that some service providers may need to take steps toward modifying their services, the 2017 Budget Act (AB 97, Chapter 14, Statutes of 2017) contained $15 million to fund changes that will be necessary for providers to come into compliance with the HCBS rules by March 2022.

Service providers applied for funds through the regional centers and all submitted proposals were forwarded to the Department of Developmental Services (DDS). Final approval was made by DDS.


DDS approved five proposals from RCOC’s service providers, please see attached summary. The same agreement will be used for all the approved proposals. A sample agreement is attached.

AGENDA ITEM III.D.4.a.

FISCAL IMPACT:

DDS allocated $477,112 which is equal to the amount of the approved proposals.

RECOMMENDATIONS:

This is an information item; no action is required.

Regional Center of Orange County Approved Concepts

1

PROVIDER SERVICE CODE

VENDOR NUMBER

17/18 APPROVED FUNDING

COMMENT

Anaheim Adult Day Care Inc.

515, 063 PM1675 PM1674 HM0830

$89,500 May fund up to the approved amount for person-centered thinking training. Additional funds were added for staff to obtain train-the-trainer certification in person-centered planning.³

Goodwill of Orange County

954 HM0388 $69,500 May fund up to the approved amount for Work Incentives Practitioner¹ with certifications, development and printing of SSI/SSDI workbooks.

Hi Hopes Identity Discovery Foundation, Inc.

505 H23063 $30,000 May fund up to the approved amount for staff to obtain train-the-trainer certification in person-centered planning.³

Mayfair Adult Day Care 515, 063 PM1387 PM1386 HM0726

$203,250 May fund up to the approved amount for vehicle² with wheelchair lift, Job Developer¹, and person-centered thinking training. May not fund for software/training. Additional funds were added for staff to obtain train-the-trainer certification in person-centered planning.³

Vocational Visions 510, 063, 855, 505

H13609 H13715 PM0109 PM0522 HM1252

$84,862 May fund up to the approved amount for Community Access Specialist¹ and associated administration costs.

Total $477,112

ATTACHMENT A: AGENDA ITEM III. D.4.a.

Regional Center of Orange County Approved Concepts

2

¹Concepts that include ongoing staffing needs should pursue other resources to continue funding staffing costs that extend beyond the approved funding amount. Contracts that include staff or consultants hired for developing employment opportunities or community integration must include measurable goals for progress.

²As appropriate, instead of large passenger vans providers should consider purchasing smaller vehicles to allow for more individualized community access. Use of these vehicles must show increased community involvement in progress reports.

³Train-the-trainer certification in person-centered planning is intended to sustain person-centered thinking, and allows the benefits to continue beyond a one-time training. As appropriate, additional funds were added to this concept to support this intention. Progress reports must show how the delivery of services has changed since receiving training, and how that change is measured.

ATTACHMENT A: AGENDA ITEM III. D.4.a.

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AGREEMENT

BY AND BETWEEN


AND

[VENDOR NAME]

FOR HOME AND COMMUNITY-BASED SERVICES PROVIDER FUNDING

This AGREEMENT (“Agreement”) is entered into and effective this _____ day of June, 2018 (“Date of Agreement”), by and between the REGIONAL CENTER OF ORANGE COUNTY, a California non-profit corporation located at 1525 N. Tustin Avenue, Santa Ana, California, hereinafter referred to as "RCOC," and [VENDOR NAME], a California non-profit corporation located at [vendor address], hereinafter referred to as "PROVIDER". This Agreement shall be administered by the Associate Director of Employment for RCOC or his/her authorized designee (hereinafter referred to as the “Project Manager”).

RECITALS

A. WHEREAS, in January 2014, the federal Centers for Medicare & MedicaidServices issued final regulations, or rules, for Home and Community-Based Services (HCBS Final Rules).

B. WHEREAS, the California Department of Developmental Services (DDS) hasallocated funds to assist providers of HCBS services to make changes in order to meet the requirements of the HCBS final regulations, or rules.

C. WHEREAS, PROVIDER submitted a request for funding to DDS in order toassist PROVIDER in meeting the requirements of the HCBS Final Rules.

D. WHEREAS, DDS has approved, in part, PROVIDER’s request for funding andallocated up to [amount] to be used for [project description].

E. WHEREAS, PROVIDER has submitted a Funding Proposal to RCOC inaccordance with the approved funding allocation and limitations by DDS, which details all services, tasks, deliverables, activities, performance timeframes, and budgets PROVIDER will perform and adhere to under this Agreement. PROVIDER’s Funding Proposal is attached hereto as the Scope of Work, Exhibit A.

F. WHEREAS, RCOC desires to engage PROVIDER, and PROVIDER desires toaccept the engagement, to perform the services described in Recital E on the terms and conditions set forth in this Agreement and in the Scope of Work, Exhibit A.

NOW, THEREFORE, based on the Recitals, and in consideration of the covenants, conditions and representations contained in this Agreement, RCOC and PROVIDER mutually agree as follows:

ATTACHMENT B: AGENDA ITEM III.D.4.a.

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1. TERM OF AGREEMENT. The term of this Agreement shall commence on the datefirst set forth above and terminate on June 30, 2020, unless earlier terminated pursuant to theprovisions of Paragraph 15 of this Agreement.

2. ALTERATION OF TERMS. This Agreement, together with the Scope of Work,Exhibit A; PROVIDER’s DDS Concept Proposal, Exhibit B; PROVIDER’s DDS ComplianceEvaluation, Exhibit C; and DDS Approved Proposals Sheet, Exhibit D; which are attached to thisAgreement and fully incorporated by this reference, express all understanding of the parties withrespect to the subject matter of this Agreement, and shall constitute the total Agreement betweenthe parties, except as otherwise expressly provided in this Paragraph 2. No amendment, additionto, or alteration of, the terms of this Agreement, whether written or oral, shall be valid unless theamendment is made in writing and formally approved and executed by both parties, except asprovided in this Paragraph 2 in this Agreement.

a. Project Manager Modification Authority. Notwithstanding anything to thecontrary and provided any modifications do not alter the overall goals and basic purpose of the Agreement, and provided these modifications do not increase RCOC’s Maximum Payment Obligation during the term of the Agreement, Project Manager has the authority to, with the agreement of PROVIDER, make modification(s) to the services, activities, tasks, deliverables, budget, and/or performance timeframes specified in the Scope of Work, Exhibit A as described in this Agreement.

3. RESPONSIBILITIES OF PROVIDER.

a. In compliance with all terms and conditions of this Agreement, PROVIDERagrees to provide and perform the services in accordance with the activities, tasks, deliverables, performance timeframes, and budgets as set forth in the Scope of Work (hereinafter referred to as the “Scope of Services,” or “Services”).

b. The Agreement between the parties shall consist of the following: (1) thisAgreement; (2) the Scope of Work, Exhibit A; (3) PROVIDER’s DDS Concept Proposal, Exhibit B; (4) PROVIDER’s DDS Compliance Evaluation, Exhibit C; and (5) DDS Approved Proposals Sheet, Exhibit D, which shall all be referred to collectively hereinafter as the “Agreement Documents.” All provisions of the Agreement Documents shall be binding on the parties. Should any conflict or inconsistency exist in the Agreement Documents, the conflict or inconsistency shall be resolved by applying the provisions in the highest priority document, which shall be determined in the following order of priority: (1st) the terms of this Agreement; (2nd) the Scope of Work, Exhibit A; (3rd) DDS Approved Proposals Sheet, Exhibit D; (4th) PROVIDER’s DDS Concept Proposal, Exhibit B; and (5th) PROVIDER’s DDS Compliance Evaluation, Exhibit C.

4. STATUS OF PROVIDER. PROVIDER is and shall at all times be deemed to be anindependent contractor and shall be wholly responsible for the manner in which it performs the


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Services required of it by the terms of this Agreement. Nothing in this Agreement shall be construed as creating the relationship of employer and employee or principal and agent between RCOC and PROVIDER or any of PROVIDER’s agents or employees. PROVIDER knowingly, voluntarily, and expressly assumes exclusively the responsibility for the acts of its employees or agents as they relate to the Services to be provided during the course and scope of their employment, whether the employee(s) are compensated through the funds received by PROVIDER through this Agreement, or otherwise related directly or indirectly to the performance of Services under this Agreement. PROVIDER, its elected or appointed officials, officers, agents, employees, and Subcontractors shall not, in any respect whatsoever, be entitled to any rights or privileges of RCOC employees and shall not be considered in any manner to be RCOC employees. RCOC shall neither have nor exercise any control or direction over the methods by which PROVIDER shall perform its obligations under this Agreement. RCOC shall not be responsible or liable for the acts or failure to act, whether intentional or negligent, of any employee, agent, or volunteer of PROVIDER. PROVIDER shall pay all wages, salaries, and other amounts due its employees in connection with this Agreement and shall be responsible for all reports and obligations respecting them, such as social security, income tax withholding, unemployment compensation, workers' compensation, and similar matters. PROVIDER shall indemnify and hold harmless RCOC from any liability, damages, costs, and expenses of any nature arising from alleged violations of personnel practices and employment laws.

5. DELEGATION AND ASSIGNMENT. PROVIDER shall not delegate or assign orotherwise transfer its duties, nor assign its rights under this Agreement, either in whole or in part,without the prior written consent of Project Manager. The request must be in writing with a fullexplanation for the request. Any consent granted by Project Manager may be conditioned uponand subject to certain actions by PROVIDER as determined by Project Manager. Any attemptedassignment or delegation in derogation of this Paragraph 5 shall be deemed void.

6. SUBCONTRACTS. Except to the extent expressly provided for in the Scope of Work,Exhibit A, or as approved by Project Manager, PROVIDER shall not enter into a subcontract,consulting agreement, or an agreement for professional services (each and all referred to as a“Subcontract”) for the provision of services or performance of tasks included within the scope ofthe Services required by this Agreement without the prior written consent of Project Manager.Any Subcontracts approved by Project Manager shall not alter in any way any legalresponsibility or performance obligation of PROVIDER to RCOC to perform or causeperformance of the Services required under this Agreement. Project Manager may requirePROVIDER to submit a true copy of any permitted Subcontract. All records related to eachSubcontract, if any, are subject to examination and audit by Project Manager or his or herdesignee and must be retained for a period of (i) five (5) years after the date of finaldisbursement of funds under this Agreement or (ii) five (5) years after any pending audit iscompleted, whichever occurs later.

7. GENERAL INDEMNIFICATION. PROVIDER agrees to and shall indemnify, defendwith counsel approved in writing by RCOC, hold harmless RCOC, its officers, agents, andemployees from and against all liability, claims, losses, demands, injuries to or death of anyperson or persons, or damages to property, including but not limited to property of directors,officers, employees, or agents of RCOC (together, “Claims”), including defense costs, resulting


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from court action or in any manner arising out of, pertaining to, related to, or incident to any intentional, malicious, negligent acts, inactions, errors, or omissions of PROVIDER, its officers, employees, agents, or Subcontractors in the performance of this Agreement.

a. No director, no officer, no committee member, no employee, and no agent ofRCOC shall be personally liable to PROVIDER, or any successor in interest, or to any Subcontractor in the event of any default or breach by RCOC or for any amount that may become due to PROVIDER or to its successor or Subcontractor or for breach of any obligation of the terms of this Agreement.

8. INSURANCE. Without limiting PROVIDER’s liability for indemnification of RCOC asset forth in Paragraph 7 above, PROVIDER shall obtain and maintain in effect, during the termof this Agreement, the following insurance coverage and provisions:

a. Evidence of Coverage. Prior to commencement of any Services under thisAgreement, PROVIDER shall provide on an insurance industry approved form a Certificate of Insurance certifying that coverage as required in this Paragraph 8 has been obtained and remains in force for the period required by this Agreement. In addition, PROVIDER shall produce a certified copy of the policy or policies to RCOC upon request. Each policy shall meet the following requirements:

i. Additional Insured Endorsement. Except for Worker’s Compensationinsurance, each policy shall include an endorsement evidencing that the policy also applies to RCOC, their officers, directors, agents, employees and volunteers, as additional insureds against loss or liability caused by or connected with PROVIDER’s performance or non-performance under this Agreement.

(1) Primary Insurance Endorsement. Each policy shall include anendorsement evidencing that the policy afforded by the additional insured endorsement shall apply as primary insurance, and other insurance maintained by RCOC, their officers, directors, agents, and employees shall be excess only and not contributing with insurance provided under this policy.

ii. Notice of Cancellation or Change of Coverage Endorsement. Each policyshall include an endorsement evidencing that the policy shall not be canceled or changed so as to no longer meet the specified RCOC insurance requirements without thirty (30) days’ prior written notice of the cancellation or change being delivered to Project Manager at the address shown on the Certificate of Insurance.

iii. Separation Clause Endorsement. Each policy shall include anendorsement evidencing that the policy provides coverage separately to each insured who is seeking coverage or against whom a Claim is made or a suit is brought, except with respect to the company’s limit of liability.


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iv. Termination of Insurance. If insurance is terminated for any reason,PROVIDER agrees to purchase an extended reporting provision of at least two (2) years to report Claims arising from work performed, or any action or any inaction in connection with this Agreement.

v. Qualifying Insurers. All coverages shall be issued by insurancecompanies that must be:

(1) Rated A-:VII or better according to the current Best’s Key RatingGuide/Property-Casualty/United States; or

(2) A company of equal financial stability that is approved by ProjectManager or his/her designee; and

(3) Admitted in the State of California.

vi. Deductible Amounts in Standard Policy. Any policy deductible or self-insured retention on any insurance policy (except auto) which exceeds $10,000 requires prior written approval of Project Manager or his/her designee. Any policy deductible or self-insured retention on automobile liability over $5,000 requires prior written approval of Project Manager or his/her designee. No approved deductible shall in any way limit liabilities assumed by PROVIDER under this Agreement.

vii. Subcontractor Insurance Requirements. Should any of the Services underthis Agreement be provided by a Subcontractor, PROVIDER shall require each Subcontractor (of any tier) to provide the coverages specified in this Paragraph 8, or PROVIDER may insure any Subcontractor under its own policies.

viii. Occurrence vs. Claims Based Insurance. All policies are required to bewritten on an occurrence basis.

b. Types of Insurance Policies/Coverage Required. PROVIDER shall provideinsurance through a policy or policies with the following types and coverage, subject to the requirements above.

i. Comprehensive General Liability Insurance. Comprehensive GeneralLiability Insurance for bodily injury (including death) and property damage which provides not less than One Million Dollars ($1,000,000) combined single limit (CSL) per occurrence and not less than Two Million Dollars ($2,000,000) annual aggregate.

(1) The coverage shall include:

(a) Premises and Operations


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(b) Contractual Liability expressly including liability assumedunder this agreement, excepting the requirement does not apply for service contracts.

(c) Personal Injury Liability.

(d) Property damage.

ii. Comprehensive Automobile Liability Insurance. Comprehensive Automobile Liability Insurance for bodily injury (including death) and property damage which provides total limits of not less than One Million Dollars ($1,000,000) combined single limit per occurrence applicable to all owned, non-owned and hired vehicles/watercraft, One Million Dollars ($1,000,000) annual aggregate.

iii. Workers’ Compensation Insurance. Workers’ Compensation Insuranceshall be maintained. Statutory California Workers’ Compensation coverage shall include a broad form all-states endorsement and waiver of subrogation.

iv. Employers’ Liability Coverage. Employers’ Liability Coverage of not lessthan One Million Dollars ($1,000,000) per occurrence for all employees engaged in Services or operations under this Agreement.

v. Professional Liability. Professional liability/errors and omissions isrequired in an amount not less than One Million Dollars ($1,000,000) per occurrence made and One Million Dollars ($1,000,000) aggregate.

vi. Sexual Misconduct Liability. Sexual misconduct liability insurance in anamount equal to One Million Dollars ($1,000,000) per occurrence and One Million Dollars ($1,000,000) aggregate.

c. Duration of Insurance. PROVIDER shall maintain all coverage and insurance forthe entire term and for any extended period agreed upon within this Agreement.

d. Maintain Records regarding Insurance Coverage. PROVIDER shall maintainrecords regarding all coverage and insurance for the term of this Agreement and for any extended period agreed upon within this Agreement.

e. Withhold Payment for Lack of Required Coverage. RCOC reserves the right towithhold payments to PROVIDER in the event of material noncompliance with the applicable insurance requirements outlined in this Paragraph 8.

f. Remedies for Failure to Provide or Maintain Required Insurance orEndorsements. In addition to any other remedies RCOC may have if PROVIDER (or any


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Subcontractor) fails to provide or maintain any insurance required by this Paragraph 8 to the extent and within the time required by this Agreement, RCOC may, at its sole option:

i. Obtain the insurance and deduct and retain the amount of the premiumsfor the insurance from any monies due under this Agreement.

ii. Order PROVIDER (and any Subcontractor) to cease performance of theServices and/or withhold funding until PROVIDER (or Subcontractor) demonstrates compliance with the insurance requirements of this Agreement.

iii. Immediately and without further cause terminate this Agreement.

g. Exercise of any of the above remedies are in addition to any other remediesRCOC may have and are not the exclusive remedies for PROVIDER’s (or Subcontractor’s) failure to maintain or secure appropriate policies or endorsements. Nothing in this Agreement shall be construed as limiting in any way the extent to which PROVIDER (or any Subcontractor) may be held responsible for payments of damages to persons or property resulting from PROVIDER’s (or any Subcontractor’s) performance under this Agreement.

h. Modification of Insurance Requirements. RCOC may modify the insurancerequirements set forth above if at any time during the term of this Agreement RCOC determines, in its sole discretion, that additional coverage is necessary to protect RCOC’s and DDS’s interests.

9. REPRESENTATIONS AND WARRANTIES OF PROVIDER. PROVIDER makesthe following representations and warranties to RCOC. These representations and warranties areongoing and PROVIDER shall advise Project Manager in writing if there is any changepertaining to any matters set forth or referenced in the following subparagraphs.

a. No Conflict. To the best of PROVIDER’s knowledge, PROVIDER’s negotiation,consideration and action on this Agreement and PROVIDER’s execution, delivery and performance of its obligations under this Agreement will not constitute a default or a breach under any contract, agreement or order to which PROVIDER is a party or by which it is bound.

i. PROVIDER agrees that no officer, employee, agent or assignee of RCOChaving direct or indirect control of any monies allocated by RCOC, inclusive of the subject funds, shall serve as an officer or director of PROVIDER.

b. No Bankruptcy. PROVIDER is not the subject of any current or threatenedbankruptcy.


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c. No Pending Legal Proceedings. PROVIDER is not the subject of a current orthreatened litigation that would or may materially affect PROVIDER’s performance under this Agreement.

d. Licenses and Standards; Compliance with Laws. PROVIDER warrants that it hasall necessary licenses and permits required by the laws of the United States, State of California, County of Orange, and any local jurisdiction in which it may do business and/or provide services, and agrees to maintain these licenses and permits in effect for the duration of this Agreement. PROVIDER shall only contract with Subcontractors that are duly licensed, insured, and qualified to provide Services under this Agreement, as applicable. PROVIDER warrants that its employees, agents, contractors, and Subcontractors shall conduct themselves in compliance with the laws and licensure requirements including, without limitation, compliance with laws applicable to nondiscrimination, sexual harassment, and ethical behavior.

i. Failure to Obtain or Maintain Licenses. PROVIDER shall notify ProjectManager immediately and in writing of its inability to obtain or maintain, irrespective of the pendency of any appeal, any required permits, licenses, approvals, certificates, waivers and exemptions. The inability shall be cause for termination of this Agreement by RCOC or Project Manager.

10. MAXIMUM PAYMENT OBLIGATION. The maximum payment obligation ofRCOC to PROVIDER under this Agreement shall be [amount] (“Maximum PaymentObligation”).

a. Payment. RCOC will remit payment to PROVIDER within thirty (30) days ofPROVIDER’s submission of an invoice in a form approved by RCOC and complete backup documentation approved by RCOC. All invoices must be received by RCOC no later than June 30, 2020; RCOC shall have no obligation to pay invoices submitted after that date.

11. DISPUTES.

a. Except as otherwise provided by law, regulation, or in this Agreement, when adispute arises between PROVIDER and RCOC, the parties shall meet to resolve the issue. If the parties do not reach a resolution, the dispute will be decided by the Project Manager, who shall reduce the decision to writing and mail or otherwise furnish a copy thereof to PROVIDER. The decision of the Project Manager shall be the final and conclusive administrative decision.

b. Pending final decision of a dispute hereunder, PROVIDER shall proceed diligentlywith the performance of this Agreement and in accordance with the decision of Project Manager. Nothing in this Agreement, however, shall be construed as making final the decision of any RCOC official or representative on a question of law, which questions shall be settled in accordance with the laws of the state of California.


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12. RECORDS.

a. Maintain Complete Books and Records. In addition to any statutory and regulatory requirements regarding recordkeeping, PROVIDER shall keep books and records as shall be necessary relating to the Services so as to enable RCOC to evaluate performance under this Agreement. Books and records pertaining to costs shall be kept and prepared in accordance with Generally Accepted Accounting Principles (GAAP). Project Manager, RCOC and their staff, legal counsel, and other RCOC consultants (as approved by Project Manager) shall have full and free access to all books and records of PROVIDER (and any Subcontractor), pertinent to this Agreement, at all reasonable times, including the right to inspect, copy, audit and make records and transcripts from the records. All records shall be retained by PROVIDER for a minimum of five (5) years from the date of payment on the final invoice submitted by PROVIDER to RCOC under this Agreement or five (5) years after all pending audits are completed, whichever is later.

i. PROVIDER shall prepare and maintain accurate and complete financialrecords of its business operations, and in particular records related to the Services, in accordance with all statutory and regulatory requirements.

b. Inspection and Access to Records. Without limiting any rights to access whichRCOC may have irrespective of this Agreement, and in addition to the requirements of Section 13.a. below, Project Manager and any authorized RCOC representatives shall have access toPROVIDER's records for the purpose of monitoring performance and provision of the Servicespursuant to this Agreement. PROVIDER shall make available its records within the borders ofOrange County within five (5) days after receipt of written demand by Project Manager orhis/her designee. In the event PROVIDER does not make available its records within the bordersof Orange County, PROVIDER agrees to pay all necessary and reasonable direct and indirectexpenses incurred by RCOC or RCOC's designee necessary to obtain PROVIDER's records.

c. Reports. PROVIDER shall submit a written progress report to Project Manager on at least a quarterly basis and upon any additional request(s) by the Project Manager, which report shall address the objectives and timelines identified in the Scope of Work, shall describe the Services performed, progress toward the objective of the Agreement, difficulties encountered during the reporting period and any remedial/corrective action taken, and project implementation including progress related to key milestones and progress toward compliance with HBCS requirements.

13. AUDIT.

a. PROVIDER’s records maintained in accordance with Section 12 above shall beopen for audit by RCOC, DDS, and any authorized agency representative for a minimum period of three (3) years from the date of the final payment for the State fiscal year.


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b. PROVIDER agrees to utilize and be bound by Title 17, California Code ofRegulations, Sections 50700 et seq. should PROVIDER elect to appeal any audit findings and/or recommendations.

c. PROVIDER agrees to accept financial liability for any audit findings and/orrecommendations disclosed by audit and promptly repay amounts owed unless appealed and liquidiation is stayed pursuant to Title 17, California Code of Regulations, Section 50705.

14. NOTICES.

a. Method and Form of Notice. Unless otherwise specified, all formal notices,claims, correspondence, or reports shall be addressed as follows:

RCOC: Regional Center of Orange County 1525 N. Tustin Avenue Santa Ana, CA 92705 Attn: Arturo Cazares

PROVIDER: _____________________ _____________________ _______________________ Attn:

All notices shall be deemed effective when in writing and personally delivered or deposited in the United States mail, express, priority or first class, postage prepaid and addressed as above. Project Manager and PROVIDER may mutually agree in writing to change the addresses to which notices are sent.

15. RIGHTS OF TERMINATION.

a. Termination for Convenience Prior to Expiration of Term. RCOC mayterminate this Agreement for its convenience at any time upon fifteen (15) days’ written notice to PROVIDER. Upon receipt of a notice of termination for convenience, PROVIDER shall immediately cease performance under this Agreement, including all Services, except the Services that may be specifically approved by Project Manager. PROVIDER shall be entitled to compensation for that part of the Services rendered prior to receipt of the notice of termination and for the part of the Services authorized by Project Manager after the notice in accordance with the project budget in the Scope of Work, Exhibit A, or other arrangement for compensation as may be approved by the Project Manager in writing.

b. Termination for Cause Due to Default of CONTRACTOR. RCOC reservesthe express right to terminate this Agreement for cause due to the default, as defined in Paragraph 16, by PROVIDER in its performance obligations under this Agreement. In the event of termination, PROVIDER shall immediately cease performance and provision of Services as of the date the notice of default is received or deemed received, whichever occurs earlier. RCOC


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may take over the work and prosecute the same to completion by contract or otherwise. PROVIDER shall be liable to the extent that the total cost for completion of the Services required by this Agreement exceeds the compensation stipulated in this Agreement, provided that RCOC shall use reasonable efforts to mitigate damages. RCOC expressly reserves the right to withhold any outstanding payments to PROVIDER for the purpose of set off or partial payment of the amounts owed RCOC as previously set forth in this Agreement.

16. DEFAULT. Failure by PROVIDER to perform and/or comply with any provision,covenant, or condition of this Agreement shall be a default of this Agreement. In the event ofdefault, RCOC may avail itself of any remedies available at law, in equity, or otherwise specifiedin this Agreement (including immediate termination for cause as set forth in Paragraph 15(b)above).

17. PURCHASES OF ITEMS OR SERVICES. If PROVIDER purchases any item orservice pursuant to this Agreement, PROVIDER shall submit justification of the cost-effectiveness of the purchase to the Project Manager, including, but not limited to, competitivequotations. The absence of bidding for any purchase must be adequately justified.

18. GENERAL TERMS AND CONDITIONS.

a. Compliance with Laws. PROVIDER shall provide all Services in accordancewith all applicable federal and state laws, statutes, regulations, and local ordinances and resolutions. PROVIDER shall comply with all laws, rules, or regulations applicable to the Scope of Work and provision of Services, as any may now exist or as amended or added after the Date of Agreement.

b. Familiarity with Work. By executing this Agreement and prior to performing orproviding any Services under this Agreement, PROVIDER warrants and shall be satisfied that (a) it has thoroughly investigated and considered the Services, (b) it has carefully consideredhow the Services should be performed, will be implemented, and will be completed, and (c) itfully understands the facilities, difficulties, and restrictions, attending carrying out theperformance obligations of this Agreement. Should PROVIDER discover any latent or unknownconditions materially differing from those inherent in the work or as represented by RCOC or theProject Manager, it shall immediately inform RCOC in writing of this fact and shall not proceedexcept at PROVIDER’s risk until written instructions are received from the Project Manager.

c. Care of Work. PROVIDER shall adopt reasonable methods during the term ofthis Agreement to furnish continuous protection to the property (real and personal property), facilities, equipment, persons providing or receiving Services, work product, records, and other papers to prevent losses or damages. PROVIDER shall be responsible for all losses or damages to persons or property (including real property, personal property, both tangible and intangible), except the losses or damages caused by RCOC’s sole negligence. The performance of Services by PROVIDER shall not relieve PROVIDER from any obligation to correct any incomplete, inaccurate, or defective work or service at no further cost to RCOC when the inaccuracies are due to the negligence, action, inaction, or intentional misconduct of PROVIDER.


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d. Severability. Whenever possible, each provision of this Agreement shall beinterpreted in such a manner as to be effective and valid under applicable law, but if any provision of this Agreement shall be determined to be invalid by a final judgment or decree of a court of competent jurisdiction, such provision shall be ineffective only to the extent of such prohibition or invalidity, without invalidating the reminder of that provision, or the remaining provisions of this Agreement unless the invalid provision is so material that its invalidity deprives either party of the basic benefit of their bargain or renders this Agreement meaningless.

e. California Law. This Agreement shall be construed and interpreted both as tovalidity and to performance in accordance with the laws of the State of California. Legal actions concerning any default, dispute, interpretation, declaration of rights, or matter arising out of or in relation to this Agreement shall be instituted in the Superior Court of the County of Orange, State of California, and PROVIDER covenants and agrees to submit to the personal jurisdiction of the court in the event of any action.

f. Waiver. No delay or omission in the exercise of any right or remedy of anon-defaulting party on any default shall impair any right or remedy or be construed as a waiver. One party’s consent or approval of any act by the other party requiring the other party’s consent or approval shall not be deemed to waive or render unnecessary the party’s consent to or approval of any subsequent act of the party. Any waiver by either party of any default must be in writing and shall not be a waiver of any other default concerning the same or any other provision of this Agreement.

g. Rights and Remedies Cumulative. Except with respect to rights and remediesexpressly declared to be exclusive in this Agreement, the rights and remedies of the parties are cumulative and the exercise by either party of one or more of the rights or remedies shall not preclude the exercise by it, at the same or different times, of any other rights or remedies for the same default or any other default by the other party.

h. Covenant against Discrimination. In the performance of this Agreement,PROVIDER shall not engage in, nor permit any employee or agent to engage in, discrimination in employment of persons or provision of Services or assistance, nor exclude any person from participation in, nor deny any person the benefits of, nor or subject any person to discrimination under any program or activity funded in whole or in part with RCOC funds on the grounds of race, religion, color, national origin, ancestry, physical handicap, medical condition, marital status, gender, or sexual orientation, except as permitted by applicable provisions of federal and state law. PROVIDER shall comply with Title II of the Americans with Disabilities Act, (42 U.S.C. §12101 et seq.) as it relates to public accommodations.

i. Legal Action. In addition to any other rights or remedies, either party may takelegal action, at law or at equity, to cure, correct, or remedy any default, to recover damages for any default, to compel specific performance of this Agreement, to obtain injunctive relief, or to obtain any other remedy consistent with the purposes of this Agreement.


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j. Attorneys’ Fees. If either party commences an action against the other partyarising out of or in connection with this Agreement, the prevailing party shall be entitled to recover reasonable attorneys’ fees and costs of suit from the non-prevailing party.

k. Time of Essence. Time is of the essence in the performance of this Agreement.

l. Confidentiality of Records. PROVIDER shall maintain confidentiality of recordsin accordance with the law, including the provisions of Welfare and Institutions Code §§4514. PROVIDER and all employees shall respect the confidentiality of all client information they receive.

m. No Broker or Finders’ Fee. PROVIDER warrants that it has not paid or given andwill not pay or give any third party any money or other consideration for obtaining this Agreement.

n. No Use of Funds for Lobbying. PROVIDER shall not expend any monies paid orpayable under this Agreement for the purpose of influencing or attempting to influence an officer, member, or employee of RCOC, any member of the State legislature or member of Congress, or any other officer or employee of any public agency or entity, in connection with the awarding of any contract, the making of any contract, the entering into of any cooperative agreement, or the extension, continuation, renewal, amendment, or modification of any contract, grant, loan, or cooperative agreement.

o. Source of Funding. PROVIDER knowingly and expressly acknowledges and agreesthat this Agreement is subject to and contingent upon funds being appropriate to RCOC from DDS. If RCOC is not allocated or does not receive adequate funding for its performance under this Agreement, then RCOC shall be relieved of obligations under this Agreement, or this Agreement shall be amended to conform to the changes in funding allocations, as elected by RCOC.

19. COUNTERPARTS. This Agreement may be executed in several counterparts, all of whichshall constitute but one and the same instrument. Faxed or electronically scanned signatures shallhave the same force and effect as an original signature.

20. FORCE MAJEURE. Either party shall be excused from performing its obligations underthis Agreement during the time and to the extent that it is prevented from performing by anunforeseeable cause beyond its control, including but not limited to: any incidence of fire, flood; actsof God; commandeering of material, products, plants or facilities by the federal, state or localgovernment; national fuel shortage; or a material act or omission by the other party; whensatisfactory evidence of such cause is presented to the other party, and provided further that suchnonperformance is unforeseeable, beyond the control and is not due to the fault or negligence of theparty not performing.


Page 14 of 14

IN WITNESS WHEREOF, RCOC and the PROVIDER have entered into this Agreement as of the date first written above.


_________________________________ Larry Landauer, Executive Director

PROVIDER

_________________________________ Signature

_________________________________ Name


AGENDA ITEM III.D.5.b.


BOARD OF DIRECTORS


DATE: June 7, 2018 ACTION X


FROM: Larry Landauer, Executive Director INFO ONLY

SUBJECT: Approval of Amendment to Agreement with Brilliant Corners for Development of Housing for CPP Project 1617-11

BACKGROUND:

The Department of Developmental Services (DDS) has made a special allocation to RCOC for the acquisition of ten (10) Adult Residential Facilities for Persons with Special Health Care Needs (ARFPSHN) properties. The Board approved six (6) property acquisition contracts in January 2017, and four (4) property acquisition contracts and ten (10) renovation contracts in June 2017.

The acquisition and development of these properties is part of the plan for the closure of Fairview Developmental Center; and, these new facilities are intended to meet the unique and specialized medical, physical, and behavioral needs of the individuals who will be transitioning from Fairview into the community. As stated above, DDS has allocated funds specifically for this purpose.


DDS notified RCOC it will allocate an additional $19,203 for the renovation of the property located at 618 Briarwood, Brea.

FISCAL IMPACT:

DDS will allocate an additional $19,203 for the restricted use as defined above.

RECOMMENDATION:

That the Board approve the amendment to the development agreement as presented.

AMENDMENT NO. 1 TO AGREEMENT BY AND BETWEEN


AND BRILLIANT CORNERS

FOR DEVELOPMENT OF CONSUMER HOUSING

RCOC CPP 1617-11

This Amendment No. 1 to Agreement (Amendment) is entered into and effective this ____ day of ________________, 20___, by and between the Regional Center of Orange County, a California nonprofit corporation, hereinafter referred to as “RCOC,” and Brilliant Corners, a California nonprofit corporation, hereinafter referred to as “NPO.”

RECITALS

A. WHEREAS, RCOC and NPO previously entered into an agreement for CommunityPlacement Plan (CPP) start-up funding for the renovation of property (Property) to be used for anAdult Residential Facility for Persons with Special Health Care Needs (ARFPSHN) on June 30,2017 (Agreement); and

B. WHEREAS, the Agreement provided for up to Four Hundred Fifty Thousand Dollars($450,000) in funding to be used toward the renovation of the Property; and

C. WHEREAS, the Department of Developmental Services (DDS) provided RCOC withnotice that it approves RCOC’s request for additional renovation funds in the amount of $19,203for NPO to renovate the property located at 618 Briarwood, Brea 92821; and

D. WHEREAS, Section 3 of the Agreement provides that the Agreement may be amendedby written agreement of RCOC and NPO;

NOW, THEREFORE, RCOC and NPO hereby agree as follows:

1. Section 9 of the Agreement is hereby amended to read as follows:

“9. MAXIMUM PAYMENT OBLIGATION. The “Maximum Payment Obligation” of RCOC to NPO under this Agreement shall be Four Hundred Sixty Nine Thousand Two Hundred Three Dollars ($469,203) ("CPP Funds").

a. The Maximum Payment Obligation shall apply to all Work. It is anticipated thatthe costs associated with completion of the Work may exceed the Maximum Payment Obligation, and NPO shall be solely responsible for the payment of said additional costs. If it is determined that the costs associated with the Work is less than $469,203, the Maximum Payment Obligation

shall be deemed to be that lower amount. In the event that the Maximum Payment Obligation is less than $469,203, RCOC shall retain the remaining CPP Funds to be returned to DDS.

b. Funding Contingent Upon Appropriation. Notwithstanding anything in this Agreementto the contrary, RCOC’s obligation to remit funds to NPO under this Agreement or to anyService Provider is conditioned on RCOC receipt of adequate funds from DDS to pay for suchcosts; if DDS allocates funds to Harbor Regional Center (“HRC”) for distribution to RCOC,RCOC’s obligation to remit funds shall be conditioned on RCOC’s receipt of funds from HRC,(collectively the “Funding Contingency”). RCOC shall have the right and option to terminatethis Agreement on 30 days’ notice to NPO without liability, and such termination shall bedeemed a failure of the Funding Contingency if (1) RCOC does not receive the funds necessaryto retain NPO’s services hereunder or a Service Provider’s services at the Property; or (2) RCOCreceives funds for NPO under this Agreement or a Service Provider’s services but RCOCdetermines that such funds are inadequate to pay for all of the vendor services and otherexpenses which RCOC expects to incur in such fiscal year relating to the Property. If there is afailure of the Funding Contingency, then (1) RCOC shall have no liability to pay funds to NPOunder this Agreement or any Service Provider (other than funds for services previously validlyperformed by NPO and for which RCOC has received funding) or to furnish any otherconsideration under this Agreement; and (2) neither party shall be obligated to further performany provisions of this Agreement (other than those obligations intended to survive termination ofthis Agreement). In the event RCOC exercises the Funding Contingency, RCOC agrees to usebest efforts to negotiate a workout for the Property.”

2. Except as set forth above, all provisions of the Agreement shall remain in full force andeffect.

[SIGNATURES ON FOLLOWING PAGE]

IN WITNESS WHEREOF, RCOC and NPO have executed this Amendment as of the date first set forth above.


__________________________________________ Larry Landauer, M.S.W., Executive Director

BRILLIANT CORNERS

_________________________________________

Name/Title:_______________________________

AGENDA ITEM III.D.5..


BOARD OF DIRECTORS



TO: RCOC Board of Directors ACTION/CONSENTDISCUSSION

FROM: Larry Landauer, Executive Director INFO ONLY

SUBJECT: Approval of Amendments to Agreements with Brilliant Corners for Acquisition and Development of Housing for CPP Project 1617-25

BACKGROUND:

The Department of Developmental Services (DDS) has made a special allocation to RCOC for the acquisition of ten (10) Adult Residential Facilities for Persons with Special Health Care Needs (ARFPSHN) properties. The Board approved six (6) property acquisition contracts in January 2017, and four (4) property acquisition contracts and ten (10) renovation contracts in June 2017.

The acquisition and development of these properties is part of the plan for the closure of Fairview Developmental Center; and, these new facilities are intended to meet the unique and specialized medical, physical, and behavioral needs of the individuals who will be transitioning from Fairview into the community. As stated above, DDS has allocated funds specifically for this purpose.


RCOC has determined that only nine (9) of the ten (10) ARFPSHN projects approved are needed to serve the individuals transitioning out of Fairview into the community. However, there is a need for an additional Specialized Residential Facility (SRF) for an individual who is particularly difficult to serve. RCOC has submitted a request to DDS to change CPP Project 1617-25 from an ARFPSHN to a SRF to serve this individual, as well as a request for an additional $100,000 in acquisition funding.

FISCAL IMPACT:

We anticipate that DDS will allocate an additional $100,000 for the restricted use as defined above.

RECOMMENDATION:

That the Board approve the amendments to the acquisition and development agreements as presented, contingent on receipt of approval from DDS.

Regional Center of Orange County Policies and Outcomes Committee

May 21, 2018 Teleconference Minutes

Committee Members Present: Cliff Amsden, Chairperson Cristina Alba

Board Members Absent: Alan Martin

RCOC Staff Members Present: Larry Landauer, Executive Director Bette Baber, Chief Financial Officer Bonnie Ivers, Clinical Director (on the phone) Christina Petteruto, General Counsel Jerrod Bonner, Information Technology Director Patrick Ruppe, Director of Services and Supports

Corporate Counsel: David Lester, Esq.

Mr. Cliff Amsden called the meeting to order at 5:30 p.m.

I. Governance Policies

A. Annual Review of Whistleblower Policy

The Committee reviewed the policy and revisions were recommended.

M/S/C to recommend that the Board approve revisions to the Whistleblower Policy as discussed.

B. Biennial Review of Ends Policy

The Committee reviewed the policy and revisions were recommended.

M/S/C to recommend that the Board approve revisions to the Ends Policy as discussed.

RCOC Policies and Outcomes Committee Minutes May 21, 2018

Page 2 of 2

II. Outcomes

A. Person Centered Thinking (PCT) Update

Mr. Patrick Ruppe discussed preparations for year two of the Person CenteredThinking (PCT) training, including proposed meeting dates. All RCOC employeeshave received the basic PCT training and continual trainings will take place for newhires.

Mr. Ruppe also shared that RCOC’s PCT Coordinator, Ms. Cristina Mercado, isworking with the vendor community to commence training in late July. Rollout tofamilies is expected to begin in August.

B. Health and Wellness Program Update

Ms. Christina Petteruto shared that Dr. Sam Ho, RCOC’s Clinical Pharmacist, willpresent a status update on the Health and Wellness program at the next Board ofDirectors meeting.

C. National Core Indicators (NCI) Update

Mr. Larry Landauer indicated that there are no new NCI updates since the last Boardof Directors meeting.

III. Community Forum

No community members were present.

Mr. Amsden adjourned the meeting at 5:47 p.m.

Recorder: Sandra Lomelí

AGENDA ITEM III.G.1.


BOARD OF DIRECTORS




FROM: Clifford Amsden, Chair INFO ONLY Policies and Outcomes Committee

SUBJECT: Approval of Revisions to the Whistleblower Policy

BACKGROUND:

The Policies and Outcomes Committee is charged with reviewing and/or drafting policies that are necessary to meet the organization’s Mission. The Committee is also charged with annually or biennially reviewing policies for their continued usefulness and clarity. At its meeting on Monday, May 21, 2018, the Policies and Outcomes Committee reviewed the Whistleblower Policy.


After review, the Policies and Outcomes Committee recommends that the Board approve revisions to the Whistleblower Policy as indicated in the attachment.

FISCAL IMPACT:

None.

RECOMMENDATIONS:

That the Board approve the revisions to the Whistleblower Policy as presented.

XIV. WHISTLEBLOWER POLICY POLICY It is the policy of the Regional Center of Orange County (RCOC) that employees, Board members, persons served/, their families, and the vendor community have notice of and the opportunity to report alleged improper RCOC and alleged improper vendor/contractor activity through a whistleblower complaint process. Regional centers areRCOC is contractually required to have a Board approved Whistleblower Policy, in accordance with Article I, Section 18, of RCOC’s contract with the Department of Developmental Services (DDS). contract with regional centers. Improper regional center activity and improper vendor/contractor activity is defined in the DDS’ contract with regional centers as:

• An “improper regional center activity” means an activity by a regional center, or an employee, officer, or board member of a regional center, in the conduct of regional center business, that is a violation of a state or federal law or regulation; violation of contract provisions; fraud or fiscal malfeasance; misuse of government property; or constitutes gross misconduct, incompetency, or inefficiency.

• An “improper vendor/contractor activity” means an activity by a vendor/contractor, or

an employee, officer, or board member of a vendor/contractor, in the provision of DDS funded services, that is a violation of a state or federal law or regulation; violation of contract provisions; fraud or fiscal malfeasance; misuse of government property; or constitutes gross misconduct, incompetency, or inefficiency.

RCOC and the Department of Developmental Services (DDS) have a variety of complaint and appeal processes available to vendor/contractors, agencies, facilities, parents, and persons served. These include: Consumer Rights Complaints, Early Start Complaints, Due Process Requests, Mediation Conference Requests, Lanterman Act, Fair Hearing Requests, Title 17 Complaints, Citizen Complaints and Comments, and Vendor Appeals. Each of these complaint and appeal processes has separate and distinct procedures for resolution. This separate policy relates only to RCOC and Vendor/Contractor Whistleblower Complaints as described above. Nothing in this policy shall dissuade or prohibit complaints of alleged improper activity to be made using the foregoing complaint or appeal processes or other less formal means to make such complaints known. Confidentiality The investigating party will make every effort to maintain the confidentiality of a complainant making a whistleblower complaint if the complainant requests confidentiality. However, in the rare circumstances where the investigating party is unable to maintain confidentiality due to its statutory responsibilities (including ensuring the health and safety of persons served and RCOC contract compliance and legally required disclosures), the investigating party will attempt to inform the complainant of its need to disclose certain information prior to releasing identifying

information. Additionally, the identity of the complainant may be revealed to appropriate law enforcement agencies conducting a criminal investigation. No Retaliation This Whistleblower Policy is intended to encourage and enable employees and others to raise serious concerns about alleged improper RCOC and/or vendor/contractor activities and to permit an investigating party the opportunity to investigate and take appropriate action. No person who in good faith reports a violation of this policy shall suffer harassment, retaliation or adverse employment consequences from RCOC. RCOC’s Executive Committee or its designee will investigate complaints of retaliation following an established process. An RCOC employee who harasses or retaliates against someone who has reported a violation in good faith is subject to discipline up to and including immediate termination of employment. Notification Requirements RCOC’s Whistleblower Policy, along with the DDS Whistleblower Complaint Process are posted on RCOC’s website. Notification of both RCOC’s policy and DDS’ Whistleblower Complaint Process will be provided annually to employees, Board members, persons served/, their families and the vendor community. PROCEDURE A Whistleblower Complaint about alleged improper RCOC and/or vendor/contractor activity may be filed by contacting any of the following:

• RCOC’s Senior Management which includes: Executive Director,; Chief Clinical DirectorOfficer,; Chief Financial Officer,; Chief Operating OfficerDirector of Services, Supports and Community Development;, General Counsel;, Human Resources Director and Information Technology Director.

• RCOC’s Board of Directors Executive Committee which includes: RCOC Board

Chairperson, Vice Chair, Secretary and Treasurer. Counsel to the Board may also be contacted.

• Members of RCOC’s Board of Directors may be contacted by phone or e-mail through

the RCOC Eexecutive Aassistants to the Board, or attendance at a Board meeting. • Department of Developmental Services Community Operations Division or the

Community Services and Supports Division (for Early Start program services) However, to ensure proper and timely logging and investigation, it is recommended that whistleblower complaints be submitted to RCOC’s Custodian of Records.

RCOC will utilize an established process to investigate and take appropriate action on complaints, including complaints of retaliation. An initial review process will determine the appropriate venue for the complaint which could result in referral to another entity or process as described in the “Policy” section. A Whistleblower Complaint shall contain a clear and concise statement of the alleged improper activity and any evidence to support the allegation. If a name, or other information (e.g., witness or document), is not provided that clearly identifies the person alleged to have acted improperly, and where that person works, the investigating party may not have sufficient information to investigate. Original documents should be provided when submitting written information. The submitting party should keep copies of all submitted documents for their records. Although complaints may be filed anonymously, if insufficient information is provided and the investigating party has no means to contact the complainant, it may not be possible to investigate the allegation. RCOC employees with questions about this policy should contact the Human Resources Director or a member of the Executive Committee. GUIDING PRINCIPLES • The public funds that support the service system are expended in a fashion that is cost-

effective, consumer-directed, consistent with good business practices, and that reflect careful stewardship.

• The governing Board of the Regional Center of Orange CountyRCOC Board of Directors is

representative of, and accountable to its stakeholders and the community served by RCOCit serves.

• The RCOC Board of Directors will be actively involved in the organization (e.g.i.e.,

attendance and participation). The Board will provides appropriate support to maximize effective participation by all its members.

• RCOC aspires to the highest standards of ethical conduct: doing what we say; reporting

information with accuracy and transparency; and maintaining full compliance with the laws, rules and regulations that govern RCOC’s business.

Last Policy Review Date: May 22, 2017 Date Revisions Approved by Board: June 1, 2017 Date of Next Review: on or before June 1, 2018

AGENDA ITEM III.G.2.


BOARD OF DIRECTORS


DATE: June 7, 2018 ACTION X TO: RCOC Board of Directors ACTION/CONSENT DISCUSSION FROM: Clifford Amsden, Chair INFO ONLY

Policies and Outcomes Committee SUBJECT: Approval of Revisions to the Ends Policies BACKGROUND: The Policies and Outcomes Committee is charged with reviewing and/or drafting policies that are necessary to meet the organization’s Mission. The Committee is also charged with annually or biennially reviewing policies for their continued usefulness and clarity. At its meeting on Monday, May 21, 2018, the Policies and Outcomes Committee reviewed the Ends Policies. REASON FOR CURRENT ITEM: After review, the Policies and Outcomes Committee recommends that the Board approve revisions to the Ends Policies as indicated in the attachment. FISCAL IMPACT: None. RECOMMENDATIONS: That the Board approve the revisions to the Ends Policies as presented.

I. ENDS POLICIES

A. Mission Statement

The Regional Center of Orange County (RCOC) is a private non-profit organization that, as mandated by the Lanterman Developmental Disabilities Services Act, collaborates with persons with developmental disabilities, their families and the community to secure individualized services and supports that enhance the quality of life for the people we serve and assist them in realizing their full potential.

B. Vision Statement

Every person served by RCOC is a valued member of the community and achieves his or her individual potential.

C. Values Statements

1. RCOC is a conscientious steward of public funds and recognizes the importance of

transparency and accountability to its stakeholders and the community it serves.

2. RCOC abides by the laws of local, state and federal governments at all times and also strives to comply with its own Policies, Procedures and Guiding Principles.

3. RCOC utilizes a person-centered planning framework that demonstrates an awareness

of, and sensitivity to, the lifestyle and cultural background of the persons served and their families.

4. All information and records obtained by RCOC in the course of intake, assessment

and ongoing delivery of services are confidential and disclosed only according to the conditions mandated by the Lanterman Developmental Disabilities Services Act.

D. Guiding Principles

Within the context of its mission, vision and values statements, RCOC shall use best efforts to follow the Guiding Principles set forth below.

1. Community Life

• Persons served are in safe and supportive settings that promote a life of

independence, acknowledge diverse cultural perspectives and that respect the inherent risks and valuable learning experiences that come from living in the community.

• Persons served and their families have knowledge of their healthcare needs,

access to qualified medical communities, and support necessary to utilize

recommended health services that prevent illness, promote wellness, and are sensitive to their unique needs.

• Persons served have the right to be educatedaccess to information about ways to live longer, experience better health, and practice health-promoting behaviors such as exercising regularly, refraining from smoking, and obtaining timely health checkups and screenings.

• Persons served and their families have knowledge of, access to and opportunity

for participation in any community activities and resources of their choosing.

2. Self-Advocacy/Self-Determination Supports

• Persons served make decisions about all aspects of their lives.

• Persons served choose the members of their Circle of Support.

• Persons served have the opportunity and choice to have relationships, get married and have a family.

• Persons served live, work, learn and socialize in settings that maximize

opportunity to be with persons not paid to be with them.

3. Family Supports

• Families are informed advocates for their loveds ones with developmental disabilities.

• Parents/GuardiansFamilies are the decision makers for their minor children.

• Family support services are flexible and innovative in meeting the family’s needs as they evolve over time, are tailored to the preferences of the individual family, and are consistent with their cultural norms and customs.

• Services and supports for families recognize, facilitate and build on family

strengths, natural supports and existing community resources.

• When preferred by the person served, RCOC supports the ongoing involvement of family members of adult children.

4. Early Intervention and Prevention

• Prevention and early intervention services, supports and public awareness activities are designed and implemented to prevent the onset of a disability and/or to improve developmental outcomes.

• Persons served are provided with needed services and supports in a family-

focused and collaborative fashion.

5. Living Options

• Culturally-sensitive services and supports are provided so that persons served can make informed choices on where and with whom they live, including owning or renting their own homes.

• Families whose minor or adult children choose to remain in the family home are

supported through available resources.

• Persons served live in homes where they receive quality care and can form relationships.

6. Education/Lifelong Learning

• Persons served have the opportunity to be educated with their peers without

disabilities in classrooms at their neighborhood schools.

• RCOC advocates for appropriate educational opportunities for the school-aged persons it serves.

• Persons served have lifelong learning opportunities to enhance and ensure full

participation in community life. 7. Work

• Persons served have the opportunity and support to work in integrated

employment settings that are meaningful, valued by the community, and in which they are appropriately compensated and respected.

8. Socialization, Recreation and Leisure

• Leisure skills and socialization opportunities are important aspects of life and are

considered essential in the development of the Person-Centered Plan. • Persons served have the opportunity to participate in personally meaningful

leisure activities of their choosing.

• Families provide and encourage the development of socialization skills and opportunities for their children.

• Integrated recreation and leisure activities in the community are a valuable part of

developing socialization skills and building social networks.

9. Service Planning and Coordination

• Service coordinators are caring, knowledgeable and competent in service planning, coordination and resources.

• Service coordinators inform families of their rights and the services and supports

available to them.

• Service planning and coordination is a collaborative effort between RCOC, persons served and their families to identify needed services and supports.

• Person-centered planning is based upontakes into account the choices and

preferences of the persons served and their families, and the identification of generic services resources and natural supports.

• Services and supports assist persons served and their families to develop support

networks leading to reduced dependence on paid supports.

• Services and supports are sensitive to the diverse religious, cultural, language, socioeconomic and ethnic characteristics of persons’ served and their families’ communities.

10. Administration and Governance

• RCOC will maximize all alternative sources of funding for necessary services and

supports including federal and generic funding.

• The public funds that support the service system are expended in a fashion that is person served-directed, cost-effective, consumer-directed, consistent with good business practices, and that reflect RCOC’s Guiding Principles and diligent stewardship.

• RCOC’s staffing pattern reflects and is sensitive to the cultural and ethnic

characteristics of its service areas.

• The RCOC Board of Directors is representative of, and accountable to its stakeholders and the community it serves.

• RCOC maximizes community involvement input in decision making.

• RCOC aspires to the highest standards of ethical conduct: doing what we say; reporting information with accuracy and transparency; and maintaining full compliance with the laws, rules and regulations that govern RCOC’s business.

• The RCOC Board of Directors will possess the highest personal and professional

ethics, integrity and values, and be committed to representing the long-term interests of the Orange County community it serves.

• The RCOC Board of Directors will be actively involved in the organization (e.g.,

attendance and participation). The Board will provide appropriate support to maximize effective participation by all its members.

Last Policy Review Date: May 23, 2016 Date Revisions Approved by Board: June 2, 2016 Date of Next Review: on or before June 2, 2018

Regional Center of Orange County

Vendor Advisory Committee May 8, 2018

Minutes

Members: Adult Behavior Management Programs Chair, Maryam Abedi, present Co-Chair, Atrem Behmanesh, present (left at 2:15p.m.)

Adult Day Programs Chair, Rick Perez, present Co-Chair, Member Pending

Adult Family Home/Foster Family Agency Chair, Mark Antenucci, present Co-Chair, Marie Sañudo, absent

Behavior Services Chair, Kristin Prior, present Co-Chair, Andrew Patterson, absent

Community Care Facilities Chair, Noel Villegas, Gilbert Care Homes, present Co-Chair, Boyd Bradshaw, HCDD, Inc., absent

Early Intervention Chair, Tiffany Bauer, present Co-Chair, Tina Russi, absent

Habilitation Chair, Roland Fernandez, present Co-Chair, Member Pending

Independent/Supported Living Chair, Janice Retz, present Co-Chair, Member Pending

Intermediate Care Facilities Chair, Rich Mraule, present Co-Chair, Member Pending

Support Services/Allied Health Chair, April Stewart, present Co-Chair, Yvette Staggs, absent

Liaisons: CalOptima Michael German, absent

Fairview Developmental Center Larry DuBord, present

Orange County Transit Authority Jack Garate, present Christina Blanco, absent

Vendor Advisory Committee Minutes May 8, 2018

Page 2 of 6

RCOC Staff Present: Larry Landauer, Executive Director Bette Baber, Chief Financial Officer Jerrod Bonner, Information Technology Director

Arturo Cazares, Associate Director of Employment Jyusse Corey, Peer Advocate Veronica Flores, Accounting Manager Shernan Hidalgo, Living Options Coordinator Bonnie Ivers, Clinical Director Jack Stanton, Associate Director of Housing Marta Vasquez, Associate Finance Director Sean Watson, Manager, Risk Management, QA

I. Call to Order

Ms. Tiffany Bauer welcomed all attendees and called the meeting to order at 2:04 p.m. She then asked all Committee members and guests to introduce themselves.

II. RCOC Update

Mr. Larry Landauer distributed a summary from the Association of Regional Centers Agencies (ARCA) entitled, Bridge Funding to Meet Community and Individual Needs. He explained the importance of providing bridge funding to providers now (as proposed in AB 2623) while the regional center system is waiting for completion of the rate study in March 2019. Mr. Landauer also distributed ARCA’s summary entitled, Service Coordination Shortfall, which includes information about the number and cost of additional service coordinator positions that are needed to meet federally mandated caseload ratios. Mr. Landauer shared that the May Revision to the Governor’s Budget for fiscal year 2018-19 is scheduled for release on May 15, 2018. The Uniform Holiday Schedule is included in the Governor’s Budget. Mr. Landauer mentioned how opposed vendors are to reinstatement of the Uniform Holiday Schedule. Mr. Landauer reported on the vandalism at the Department of Developmental Services’ (DDS’) legal and audit offices building on Sunday, February 11, 2018. Trespassers ransacked files, vandalized and stole state property and started a fire. DDS has no evidence that personal and health information was compromised due to the incident; however, it has notified persons served, vendors, regional centers and the public about the incident; DDS has followed federal requirements regarding potential breaches.

Mr. Landauer reported that the regional center system is projecting a deficit in the current fiscal year from $12.6 million in the best case scenario to $44.4 million in the worst case scenario. The regional center system is projecting a surplus of approximately $50 million for the prior fiscal year.

Mr. Landauer mentioned that the total number of people served by RCOC has increased by 578 in the current fiscal year.


Page 3 of 6

Mr. Arturo Cazares, RCOC’s Associate Director of Employment, reported on Project SEARCH whose primary objective is to secure competitive employment for people with disabilities and the two sites that RCOC has with Project SEARCH are at Children’s Hospital of Orange County and University of California, Irvine Medical Center. Mr. Cazares also reported that the number of persons served in work activity programs continues to decrease, and the number of persons served in integrated competitive employment continues to increase. Mr. Landauer reported on the closure of the Fairview Developmental Center (FDC). RCOC now has a total of 60 persons served who reside at FDC. Mr. Landauer affirmed RCOC’s continued commitment to successfully transition persons served into the community from FDC. Ms. Marta Vasquez, RCOC’s Associate Finance Director, distributed a draft of the Business Associate Agreement (BAA) for vendors. RCOC acts as a Business Associate of DDS and vendors act as Business Associates of RCOC. DDS requires RCOC to have BAAs with its vendors to comply with the Health Insurance Portability and Accountability Act of 1996 (HIPAA) and the Health Information Technology for Economic and Clinical Health Act (HITECH). The BAAs will be mailed to all vendors and are due back to RCOC by June 30, 2018.

III. Vendor Chair Selections

Mr. Jack Stanton, RCOC’s Associate Director for Housing, reported that the new subcommittee Chairs have been approved by the Board of Directors for commencement on June 1, 2018. The election of a new Chair and Co-Chair will take place by closed ballot at the next VAC meeting on June 12, 2018.

IV. Board Report

Ms. Tiffany Bauer stated that she did not attend the last Board of Directors’ meeting and the next one is scheduled for June 7, 2018.

V. Community Forum

No community members were present.

VI. Peer Advisory Committee (PAC) Report

Mr. Jyusse Corey informed the Committee that the next scheduled PAC meeting will be held on Wednesday, May 16, 2018.

Mr. Corey reported he attended the 23rd Annual California Statewide Self-Advocacy Conference in Sacramento on May 4th and 5th. The event theme was Advocacy Rocks and was centered on personal empowerment. The conference also included information about California Achieving a Better Life Experience (CalABLE) and the Self-Determination Program.


Page 4 of 6

VII. Liaison Reports

A. CalOptima – Michael German (absent)

Mr. Michael German was not present and no report was provided.

B. Fairview Developmental Center (FDC) – Larry DuBord (present)

Mr. Larry DuBord reported that 119 persons reside at FDC. FDC staff continues to work closely with regional centers to ensure successful transitions into the community. Mr. DuBord also stated that FDC is scheduled for soft closure by October 2018.

C. Orange County Transportation Authority (OCTA) – Mr. Jack Garate

(present)

Mr. Jack Garate reported that OCTA staff participated in RCOC’s Table Talks Workshop – Transportation Options. OCTA is also reviewing how to better serve and assist the blind when transporting them. Mr. Garate mentioned that OCTA’s OC Bus 360o program has increased ridership by 19.6%. OCTA’s OC Bus mobile app has also been a success; nearly seven percent of total fare revenue is collected via the mobile app,

VIII. Member Reports

A. Adult Behavior Management – Maryam Abedi (present)

Dr. Maryam Abedi stated that Mr. Rick Perez would provide the report for her group.

B. Adult Day Programs – Rick Perez (present)

Mr. Rick Perez reported that both groups discussed best practices and policies, dealing with transportation issues, and the minimum wage rate adjustments.

C. Adult Family Home Agency/Foster Family Agency (AFHA/FFA) – Mark Antenucci (present)

Mr. Mark Antenucci reported that the group met and discussed the outcomes of DDS’s audit. They also reviewed the new requirements for vendor contracts.

D. Behavior Services – Kristin Prior (present)

Ms. Kristin Prior reported that her group discussed the transition of behavioral health treatment (BHT) services for those who do not have an Autism Spectrum Disorder (ASD) diagnosis from Regional Centers to Medi-Cal fee-for-service and Medi-Cal managed care. Ms. Prior also introduced her group’s new subcommittee Chair, Ms. Junie Lazo-Pearson, and Co-Chair, Ms. Cindy Hebert, for the upcoming fiscal year.


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E. Community Care Facilities (CCF) – Noel Villegas (present)

Mr. Noel Villegas reported his subcommittee had not met this month; however, he took the opportunity to address his concerns with the minimum wage rate adjustments.

F. Early Intervention – Tiffany Bauer (present)

Ms. Bauer reported that she and Ms. Tina Russi will continue as Chair and Co-Chair of their subcommittee for the upcoming fiscal year.

G. Habilitation – Roland Fernandez (present) Mr. Roland Fernandez reported that his subcommittee discussed the challenges of integrating persons served into employment.

H. Independent Living/Supported Living (IL/SL) – Janice Retz (present) Ms. Janice Retz reported that her group reviewed best practices for their companies’ handbooks. They also discussed the shortage of affordable housing. One way to reduce the number of homeless individuals in Orange County is to give them housing vouchers; however, this reduces the number of vouchers available for persons with developmental disabilities.

I. Intermediate Care Facilities (ICF) – Rich Mraule (present)

Mr. Mraule reported that his subcommittee had not met.

J. Respite and Allied Health – April Stewart (present) Ms. April Stewart reported that their group discussed concerns for families and vendors related to implementation of the federal requirement for Electronic Visit Verification (EVV). The Brown Administration is seeking an extension from the federal government and has not yet decided how it will propose to implement EVV in California. The EVV requirement applies to person care services requiring an in-home visit that are provided under the Medicaid state plan or under a waiver program. According to CMS frequently asked questions, an EVV system must be in place for personal care services starting January 1, 2019. An EVV system must be in place for Home Health Services starting January 1, 2023. If a state demonstrates (1) that the state has made a good faith effort to comply with the EVV requirements (including by taking steps to adopt the technology used for an EVV system), and (2) that the state, in implementing such a system, has encountered unavoidable system delays, then the Federal Medical Assistance Percentage reductions shall not apply for calendar quarters in 2019 (for personal care services) or for calendar quarters in 2023 (for home health care services).


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IX. Adjournment

Ms. Bauer adjourned the meeting at 2:50 p.m.

The next VAC meeting is scheduled for Tuesday, June 12, 2018. Recorder: Sandra Lomelí

Regional Center of Orange County Board Recruitment and Training Committee

Monday, May 14, 2018

Teleconference Minutes

Committee Members Present: Alan Martin, Chair Cristina Alba Sylvia Delgado Hilda Mendez

RCOC Staff Present: Bonnie Ivers, Clinical Director Patrick Ruppe, Director of Services and Supports

Mr. Alan Martin called the teleconference meeting to order at 5:00 p.m.

I. Community Forum

No community members were present at the meeting.

II. Board Recruitment

A. Review Board Members’ Terms of Office and Upcoming Turnover

Mr. Alan Martin reviewed the current Terms of Office and the Committee discussed upcoming turnover. Mr. Martin also informed the Committee thatMr. Peter Kuo will complete his third term on July 11, 2019. By that date,Mr. Kuo will have served for seven years and will not be eligible for another term. Welfare and Institutions Code, Section 4622(f) states that “members of the governing board shall not be permitted to serve more than seven years within each eight–year period.

B. Discuss Recruitment Needs

The Committee discussed recruitment efforts and confirmed that the Board continues to be in compliance with the composition requirements of the Lanterman Act. Much discussion ensued about recruitment efforts by individual Board members and the possibility of acquiring new Board applicants.

Mr. Patrick Ruppe reported that an application for Board membership was received on April 24, 2018, from a person served who was referred byMs. Sylvia Delgado.

Based on the current composition and needs of the Board, the Committee decided to schedule an interview and also recommended that the person be referred to the Peer Advisory Committee.

Board Recruitment and Training Committee Minutes May 14, 2018

Page 2 of 2

III. Board Development and Training A. Discuss Board Training Schedule and Topics for Fiscal Year 2018-19

Mr. Martin informed the Committee that “The Responsibilities of Abuse Reporting” will be the topic of the upcoming Board training on Thursday, July 12, 2018. “Virtual Chart,” RCOC’s case management program, will be the topic of the Board’s next training on Thursday, October 4, 2018. Topics have not been determined yet for the trainings in the second half of the fiscal year.

Mr. Martin adjourned the meeting at 5:07 p.m. Recorder: Sandra Lomelí

AGENDA ITEM: III.J.1.


BOARD OF DIRECTORS


DATE: June 7, 2018 ACTION X TO: RCOC Board of Directors ACTION/CONSENT DISCUSSION FROM: Alan Martin, Chair INFO ONLY

Nominating Committee

SUBJECT: Approval of Proposed Slate of Officers with New Terms Commencing July 1, 2018 and Ending December 31, 2019

BACKGROUND: RCOC’s Bylaws describe the offices of the Board and the election process (Sections 3.02, 3.03 and 4.09). The officers of the Board shall be the Chairperson, Vice Chairperson, Treasurer and Secretary. The officers’ terms shall be for 18 months. The Board shall elect its officers at the regular meeting of the Board immediately preceding the expiration of the current officers’ terms. In addition to the Directors nominated by the Nominating Committee, any Director may nominate a Director for any office. Election of each officer shall require a majority vote of all members of the Board. REASON FOR CURRENT ITEM: The Committee met on May 21, 2018, and nominated the following slate of officers for terms commencing July 1, 2018 and ending December 31, 2019: Chairperson: Alan Martin Vice Chairperson: Clifford Amsden Treasurer: John “Chip” Wright

Secretary: Sylvia Delgado FISCAL IMPACT: None. RECOMMENDATIONS: That the Board approve the proposed slate of officers as presented.

Regional Center of Orange County Peer Advisory Committee

May 16, 2018 Minutes

Committee Members Present: Sylvia Delgado, Chairperson Marcell Bassett (arrived at 4:15 p.m.) Jyusse Corey, Peer Advocate John Godlasky Amy Jessee Yvonne Kluttz Peter Kuo (arrived at 4:30 p.m.) Fernando Peña Sean Sullivan Committee Members Absent: Sam Durbin Steven Gersten Steven Mesinas RCOC Staff Members Present: Cristina Mercado, Person Centered Thinking Coordinator Ms. Sylvia Delgado called the meeting to order at 4:13 p.m. I. Welcome and Introductions

Ms. Delgado welcomed everyone to the Peer Advisory Committee (PAC) meeting and asked members and guests to introduce themselves.

II. RCOC Peer Advocate Report

Mr. Jyusse Corey updated the Committee on the California Achieving a Better Life Experience (CalABLE) program. He reported that the Governor’s revised budget for fiscal year 2018-19 included a $1.1 million General Fund loan to the CalABLE Act Board. This loan will enable the program to move forward with a possible launch date of December 2018.

Mr. Corey informed the Committee that a response is pending from the Centers for Medicare & Medicaid Services (CMS) regarding the Self-Determination Program (SDP) application which was submitted by the Department of Developmental Services on March 13, 2018. CMS has 90 days to approve the application, deny it, or request additional information.

RCOC Peer Advisory Committee Minutes May 16, 2018

Page 2 of 2

III. 23rd Annual Statewide Self-Advocacy Conference Update

Mr. Corey and Ms. Delgado reported on their individual experiences while attending the 23rd Annual Statewide Self-Advocacy Conference in Sacramento on May 4th and 5th. The theme this year was Advocacy Rocks and centered on personal empowerment. Both Mr. Corey and Ms. Delgado agreed that the overarching message from the sessions that they attended was to find one’s voice and learn to use it.

IV. Community Forum No community members were present at the meeting.

V. Other

Ms. Cristina Mercado informed the Committee that Dr. Sam Ho, RCOC’s Clinical Pharmacist, will present an update on the Health and Wellness Program at the next PAC meeting. Ms. Mercado also shared that efforts are underway to schedule representatives from In-Home Supportive Services (IHSS) to present to the Committee in the near future. Ms. Mercado requested that Committee members develop topics for discussion at the PAC meetings in fiscal year 2018-19. These topics can then be agreed upon at the next Committee meeting. Ms. Delgado suggested RCOC’s Mission Statement be read at the beginning of each PAC meeting. Committee members agreed to start the next meeting in June 2018, with the reading of the Mission Statement.

VI. Next Scheduled Meeting

The next PAC meeting is scheduled for Wednesday, June 20, 2018, from 4:00 p.m. to 5:30 p.m.

The meeting was adjourned at 5:01 p.m. Recorder: Sandra Lomelí

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