Form Certifications

I: State Information
Chief Executive Officer's Funding
Agreements/Certifications (Form 3)

Community Mental Health Services Block Grant Funding Agreements
FISCAL YEAR 2012
I hereby certify that Alabama agrees to comply with the following sections of Title V of the Public Health Service Act [42 U.S.C. 300x-1 et seq.]
I. Section 1911:
Subject to Section 1916, the State will expend the grant only for the purpose of:
i. Carrying out the plan under Section 1912(a) [State Plan for Comprehensive Community Mental Health Services] by the State for the
fiscal year involved:
ii. Evaluating programs and services carried out under the plan; and
iii. Planning, administration, and educational activities related to providing services under the plan.
II. Section 1912:
(c)(1)&(2) [As a funding agreement for a grant under Section 1911 of this title] The Secretary establishes and disseminates definitions
for the terms “adults with a serious mental illness” and “children with a severe emotional disturbance” and the States will utilize such
methods [standardized methods, established by the Secretary] in making estimates [of the incidence and prevalence in the State of
serious mental illness among adults and serious emotional disturbance among children].
III. Section 1913:
(a)(1)(C) In the case for a grant for fiscal year 2011, the State will expend for such system [of integrated services described in section
1912(b)(3)] not less than an amount equal to the amount expended by the State for the fiscal year 1994.
[A system of integrated social services, educational services, juvenile services and substance abuse services that, together with health
and mental health services, will be provided in order for such children to receive care appropriate for their multiple needs (which
includes services provided under the Individuals with Disabilities Education Act)].
(b)(1) The State will provide services under the plan only through appropriate, qualified community programs (which may include
community mental health centers, child mental-health programs, psychosocial rehabilitation programs, mental health peer-support
programs, and mental-health primary consumer-directed programs).
(b)(2) The State agrees that services under the plan will be provided through community mental health centers only if the centers meet
the criteria specified in subsection (c).
(C)(1) With respect to mental health services, the centers provide services as follows:
(A) Services principally to individuals residing in a defined geographic area (referred to as a “service area”)
(B) Outpatient services, including specialized outpatient services for children, the elderly, individuals with a serious mental illness, and
residents of the service areas of the centers who have been discharged from inpatient treatment at a mental health facility.
(C) 24-hour-a-day emergency care services.
(D) Day treatment or other partial hospitalization services, or psychosocial rehabilitation services.
(E) Screening for patients being considered for admissions to State mental health facilities to determine the appropriateness of such
admission.
(2) The mental health services of the centers are provided, within the limits of the capacities of the centers, to any individual residing or
employed in the service area of the center regardless of ability to pay for such services.
(3) The mental health services of the centers are available and accessible promptly, as appropriate and in a manner which preserves
human dignity and assures continuity and high quality care.
IV. Section 1914:
The State will establish and maintain a State mental health planning council in accordance with the conditions described in this
section.
(b) The duties of the Council are:
(1) to review plans provided to the Council pursuant to section 1915(a) by the State involved and to submit to the State any
recommendations of the Council for modifications to the plans;
(2) to serve as an advocate for adults with a serious mental illness, children with a severe emotional disturbance, and other individuals
with mental illness or emotional problems; and
(3) to monitor, review, and evaluate, not less than once each year, the allocation and adequacy of mental health services within the
State.

(c)(1) A condition under subsection (a) for a Council is that the Council is to be composed of residents of the State, including
representatives of:
(A) the principle State agencies with respect to:
(i) mental health, education, vocational rehabilitation, criminal justice, housing, and social services; and
(ii) the development of the plan submitted pursuant to Title XIX of the Social Security Act;
(B) public and private entities concerned with the need, planning, operation, funding, and use of mental health services and related
support services;
(C) adults with serious mental illnesses who are receiving (or have received) mental health services; and
(D) the families of such adults or families of children with emotional disturbance.
(2) A condition under subsection (a) for a Council is that:
(A) with respect to the membership of the Council, the ratio of parents of children with a serious emotional disturbance to other
members of the Council is sufficient to provide adequate representation of such children in the deliberations of the Council; and
(B) not less than 50 percent of the members of the Council are individuals who are not State employees or providers of mental health
services.
V. Section 1915:
(a)(1) State will make available to the State mental health planning council for its review under section 1914 the State plan submitted
under section 1912(a) with respect to the grant and the report of the State under section 1942(a) concerning the preceding fiscal year.
(2) The State will submit to the Secretary any recommendations received by the State from the Council for modifications to the State
plan submitted under section 1912(a) (without regard to whether the State has made the recommended modifications) and comments
on the State plan implementation report on the preceding fiscal year under section 1942(a).
(b)(1) The State will maintain State expenditures for community mental health services at a level that is not less than the average level of
such expenditures maintained by the State for the 2-year period preceding the fiscal year for which the State is applying for the grant.
VI. Section 1916:
(a) The State agrees that it will not expend the grant:
(1) to provide inpatient services;
(2) to make cash payments to intended recipients of health services;
(3) to purchase or improve land, purchase, construct, or permanently improve (other than minor remodeling) any building or other
facility, or purchase major medical equipment;
(4) to satisfy any requirement for the expenditure of non-Federal funds as a condition of the receipt of Federal funds; or
(5) to provide financial assistance to any entity other than a public or nonprofit entity.
(b) The State agrees to expend not more than 5 percent of the grant for administrative expenses with respect to the grant.
VII. Section 1941:
The State will make the plan required in section 1912 as well as the State plan implementation report for the preceding fiscal year
required under Section 1942(a) public within the State in such manner as to facilitate comment from any person (including any Federal
or other public agency) during the development of the plan (including any revisions) and after the submission of the plan to the
Secretary.
VIII. Section 1942:
(a) The State agrees that it will submit to the Secretary a report in such form and containing such information as the Secretary
determines (after consultation with the States) to be necessary for securing a record and description of:
(1) the purposes for which the grant received by the State for the preceding fiscal year under the program involved were expended and
a description of the activities of the State under the program; and
(2) the recipients of amounts provided in the grant.
(b) The State will, with respect to the grant, comply with Chapter 75 of Title 31, United Stated Code. [Audit Provision]
(c) The State will:
(1) make copies of the reports and audits described in this section available for public inspection within the State; and
(2) provide copies of the report under subsection (a), upon request, to any interested person (including any public agency).
IX. Section 1943:
(1)(A) for the fiscal year for which the grant involved is provided, provide for independent peer review to assess the quality,
appropriateness, and efficacy of treatment services provided in the State to individuals under the program involved; and
(B) ensure that, in the conduct of such peer review, not fewer than 5 percent of the entities providing services in the State under such
program are reviewed (which 5 percent is representative of the total population of such entities);
(2) permit and cooperate with Federal investigations undertaken in accordance with section 1945 [Failure to Comply with Agreements];
and
(3) provide to the Secretary any data required by the Secretary pursuant to section 505 and will cooperate with the Secretary in the
development of uniform criteria for the collection of data pursuant to such section
(b) The State has in effect a system to protect from inappropriate disclosure patient records maintained by the State in connection with
an activity funded under the program involved or by any entity, which is receiving amounts from the grant.

Notice: Should the President's FY 2008 Budget be enacted, the following statement applies only to States that received the Mental Health
Transformation State Infrastructure Grants:
This Agreement certifies that States that received the Mental Health Transformation State Infrastructure Grants shall not use FY 2008 Mental
Health Block Grant transformation funding to supplant activities funded by the Mental Health Transformation Infrastructure Grants.
Name

Robert Bentley

Title

Governor

Organization

State of Alabama

Signature:

Footnotes:

Date: