1 Idaho Department of Correction Stard Operating Procedure Control Number: 1 of 16 Adopted: Reviewed: Next Review: Management Division General Administration Management: Healthcare This document was approved by Tony Meatte, chief of the Management Division, on 6/8/11 (signature on file). Open to the general public: Yes No If no, is there a redacted version available: Yes No BOARD OF CORRECTION IDAPA RULE NUMBER None POLICY CONTROL NUMBER 147 Management DEFINITIONS Stardized Terms Definitions List Medical Provider: A contractor who is under contract with the Idaho Department of Correction (IDOC) to provide comprehensive medical, dental, /or mental health services to the incarcerated offender population. Oversight Manual: A manual that (1) defines administrative oversight protocols procedures for a specific contract, (2) includes a communication plan, requirements to be monitored, performance measures, an escalation plan. Division of Purchasing (DOP): A division within the State of Idaho s Department of Administration that is responsible for the oversight of all state purchasing activities. : The Idaho Department of Correction (IDOC) employee who is primarily responsible for overseeing or managing the IDOC s medical services. (The health authority is commonly referred to as the health services director.) Regional Health Manager: The contract medical provider staff member who is the primary manager administratively responsible for the delivery of medical services, if health services are privatized. PURPOSE The purpose of this stard operating procedure (SOP) is to establish: The authority responsibilities involved in the oversight administration of healthcare services that are under contract with the Idaho Department of Correction (IDOC); Guidelines that ensure contracted services commodities are evaluated for contractual compliance satisfactory performance; Responsibilities for contract management components.
2 Management: Healthcare 2 of 16 Note: This SOP does not provide guidance on the specific procedures to be followed in conducting contract oversight for individual contracts. For contract management procedures involving general contracts see SOP , Management: General. For contract management procedures involving contracted prison operations see SOP , Management: ed Prison Operations. SCOPE This SOP applies to any IDOC employee involved in the procurement, oversight, administration, monitoring of healthcare services provided by a contract medical provider. RESPONSIBILITY Director of the IDOC The director of the IDOC (or designee) is responsible for contracting authority. Chief of the Management Division The chief of the Management Division (or designee) is responsible for overseeing monitoring the provisions provided herein. Chief of the Operations Division The chief of the Operations Division (or designee) is responsible for providing oversight monitoring of the healthcare services. Deputy Chief of the Bureau The deputy chief of the Bureau (or designee) shall be responsible for implementing this SOP for ensuring IDOC employees are practicing the guidelines, stards, procedures provided herein. The contract administrator shall be responsible for the contract administration activities described herein. (For additional expectations, see section 2.) Monitor The contract monitor shall be responsible for monitoring services commodities provided by a contract medical provider. (For additional expectations, see section 2.) Table of Contents General Requirements Goal Components Essential Functions...4 Administration...4 Oversight Activities Lifecycles/Timelines Monitoring Reporting...7 Process Step: Developing a Correlating Oversight Manual Payment Verification Approval Process...8 Escrow Account...9
3 Management: Healthcare 3 of Communication Protocols...9 Communication Chain of Comm...9 Correspondence Escalation Procedures...10 Table 7-1: Non Life-safety Issues...10 Table 7-2: Life-safety Issues Quality Assurance (Audit) Plan Change Management Process...13 Table 9-1: IDOC /or DOP Initiated Change Requests...14 Table 9-2: Medical Provider Initiated Change Requests Remedy Cure Process...15 References...16 GENERAL REQUIREMENTS Constitutional, statutory, contractual mates set forth the requirements for an offender s access to provision of healthcare (to include dental) mental health services. The IDOC ensures that offenders who are under the jurisdiction of the IDOC have access to healthcare services receive proper care. The healthcare services contract is broad in scope; governs access to provision of healthcare (to include dental) mental health services to thouss of offenders; involves significant legal issues liability. Additionally, the contract may involve issues of interest to various constituencies, including other branches of State of Idaho government, offenders families, the public, the courts. Proper contract administration monitoring thus requires a significant allocation of resources by the IDOC; expertise in the areas of contracts healthcare services; consultation with the deputy attorney general (DAG), who represents the IDOC, on contractual other legal issues. Note: Any employee involved in the procurement, oversight, administration, monitoring of healthcare services (provided by a contract medical provider) is required to conduct himself ethically professionally in accordance with policy 217, Ethics Stards of Conduct. 1. Goal Components Generally stated, the goal of contract management is to ensure contracted services commodities are evaluated for contractual compliance satisfactory performance, the responsibilities of all parties are discharged properly. The technical administration of a government contract is an essential activity, its importance ensures a maximum return on the IDOC s contract dollars. management activities should begin at the development of contract procurement documents remain in effect throughout the term of a contract. The components of contract management include, without limitation, the following: Definition of roles expectations;
4 Management: Healthcare 4 of 16 Identification of primary milestones activities from contract procurement through contract closeout; Establishment of contract monitoring reporting protocols procedures related to the specific contract; Verification authorization of contract payments; Development of communication protocols; Identification of escalation procedures; Establishment of a quality assurance (audit) plan; Development of the change management process; Exercise of State of Idaho remedies, as appropriate, when a contract medical provider s performance is deficient. 2. Essential Functions management is typically divided into the following two (2) essential functions: Administration At the beginning of a procurement process, a contract administrator shall be identified to manage the procurement process for the IDOC. The contract administrator shall work in conjunction with the State of Idaho s Division of Purchasing (DOP). Upon contract award throughout the term of the contract, the contract administrator shall report (routinely /or as requested by the deputy chief of the Bureau [or designee]) to the deputy chief of the Bureau, chief of the Management Division, IDOC Leadership Team regarding contract compliance. Note: The Leadership Team consists of the director of the IDOC, division chiefs, the director s administrative support manager. administration duties typically include, but will not be limited to, the following: Managing the contract procurement process, to include Request for Information (RFI) Request for Proposal (RFP) development participation in the evaluation process; Facilitating contract pre-award post-award activities; Coordinating contract implementation activities; Ensuring all parties meet the terms of the contract; Managing the change management process (see section 9); Facilitating contract negotiations between the IDOC a contract medical provider to incorporate change of scope; Acting as the liaison between the IDOC, DOP, a contract medical provider s legal or contract representative(s); Developing a stardized filing system maintaining the Records Management Guide;
5 Management: Healthcare 5 of 16 Providing clarification of contract language technical assistance; Coordinating remedy cure processes; Coordinating contract closeout activities; Coordinating contract audits with the Quality Assurance Unit; Coordinating legal reviews of all contract procurement documents, breach notifications, amendments; Managing the contract payment approval process. Oversight At the beginning of a procurement process, the chief of the Management Division (or designee) shall identify at least one contract monitor to participate in the procurement process (along with the health authority) as a subject matter expert. The chief (or designee) may designate other resources as necessary. Upon contract award throughout the term of the contract, the contract monitor(s) shall act as a liaison between the IDOC a contract medical provider to facilitate conduct contract oversight activities. The contract monitor(s) involved with the processes described herein, will report to the health authority director of the Education, Treatment, Reentry Bureau. oversight duties typically include, but will not be limited to, the following: Developing the Oversight Manual (see section 4); Evaluating on-site operations to determine adherence to contract terms conditions; Measuring, monitoring, tracking performance; Analyzing key indicators to identify patterns trends; Escalating life-safety issues or contract violations; Analyzing contract medical provider reporting performance outcome measures; Utilizing effective methodology for monitoring activities, to include direct observation, document record reviews, interviews, statistical analysis, unannounced inspections, fact-finding; Completing compliance reports briefing the chain of comm the contract administrator on contract operational issues; Reviewing a contract medical provider s progress on corrective action plans. Management Team A Management Team may be assigned to a contract as designated by the chief of the Management Division chief of the Operations Division. Typically, the team consists of the deputy chief of the Bureau; the director of the Education, Treatment, Reentry Bureau; the health authority; a contract administrator; a contract monitor(s); the business support manager (located in the Bureau); a contract medical provider s legal or contract representative(s).
6 Management: Healthcare 6 of 16 The Management Team shall facilitate attend regularly scheduled meetings to discuss contract performance, compliance, operations. All formal contracts (or corporate correspondence) shall be reviewed signed by the deputy chief of the Bureau (for the purpose of IDOC contract oversight). 3. Activities Lifecycles/Timelines The following provides an outline of activities that represent the lifecycle of a contract. Each activity includes a responsible party timeline from contract inception through closeout. Responsible Party Activity Timeline Procurement Development of solicitation documents 8 to 12 months prior to contract award (or expiration/termination) (RFI, RFP) Development of proposal Concurrent with RFP development evaluation criteria scoring documents Pre post-contract award activities 90 to 120 days prior to contract commencement date Post-award conference with contract medical 90 days prior to contract commencement date provider implementation /or transition activities 90 days prior to contract commencement date until complete Performance Development of the Oversight 90 to 120 days prior to contract commencement date ongoing Monitor Manual Quality Assurance (QA) Manager Development of a quality assurance plan 30 days prior to contract commencement date Development of a change 30 days prior to contract management process commencement date or operational meetings Frequency mutually agreed upon, but no less than semi-annually audit Annually Closeout Conduct contract closeout audit Begin contract closeout checklist activities 90 to 120 days prior to contract expiration date 60 to 90 days prior to contract expiration date
7 Management: Healthcare 7 of 16 Responsible Party Activity Timeline Issue final contract 45 to 90 days after contract payment completion Archive contract records 1 year after contract completion 4. Monitoring Reporting It is the IDOC s responsibility to monitor a contract medical provider s performance of compliance with contract terms conditions for contracted services commodities. The contract monitor(s) is responsible for understing the contract terms conditions, knowing the scope limitations of his authority. Each contract, as designated by the chief of the Management Division (or designee), will have defined monitoring responsibilities within the contract within a correlating Oversight Manual. The Oversight Manual shall identify the contract monitor s duties reporting requirements to include monitoring methodology, protocols, procedures. Process Step: Developing a Correlating Oversight Manual A Oversight Manual (that correlates to the contract) will be developed as follows: Functional Roles Monitor Monitor Monitor Monitor Monitor 1 Develop a list of contract requirements to be monitored. Note: The priorities must be based on the requirements risk to the IDOC. Define the stards or performance measures for each requirement Develop the process for evaluation of performance measures. Determine the monitoring frequency. Develop an escalation plan in accordance with section 7 of this SOP.
8 Management: Healthcare 8 of 16 Functional Roles Monitor 6 Monitor Business Support Manager ( Bureau) Deputy Chief, Bureau Director; Education, Treatment, Reentry Bureau Monitor Develop a communication plan. Note: The plan must outline the chain of comm, points of contact, reporting protocols. Submit a completed plan to the business support manager ( Bureau); deputy chief of the Bureau; director of the Education, Treatment, Reentry Bureau. Review the Oversight Manual; Approve if complete; or Return to the contract monitor, contract administrator, or health authority for revision. If the Oversight Manual: Requires revision revise as instructed return to step 7. Was approved Provide a copy to the contract medical provider. 5. Payment Verification Approval Process The following contract payment verification approval process will be followed to ensure payments are reviewed, verified, approved, processed in a timely manner. Functional Roles 1 Receive the monthly invoice review it for accuracy. 2 Return the invoice to the contract medical provider to address the discrepancies; or Approve the invoice forward it to the contract administrator. Complete a secondary review of the invoice. 3 4 Verify whether liquidated damages have been assessed. If so, attach liquidated damage documents to the invoice. Forward the approved invoice to the Fiscal Unit 5 (located in Central Office) for processing; File a copy of the invoice in the contract records.
9 Management: Healthcare 9 of 16 Escrow Account All escrow requests are approved by the health authority forwarded to the contract administrator. The contract administrator shall be responsible for oversight of the escrow account. The contract administrator shall enter each escrow request into the escrow inventory database; track the requests invoices; conduct an annual inventory; in conjunction with the health authority, determine placement priority for equipment. The contract administrator shall communicate with the Fiscal Unit (located at Central Office) to maintain equipment inventory into the Fixed Asset System (FAS). 6. Communication Protocols Communication Chain of Comm The health authority the regional health manager shall be the primary points of contact between the IDOC the contract medical provider. The health authority shall openly communicate with: The regional health manager contract medical provider staff; The IDOC contract administrator, deputy chiefs, division chiefs, director as defined in the communication plan of the correlating Oversight Manual (see section 4). The health authority shall report to the director of the Education, Treatment, Reentry Bureau (or designee). The contract administrator shall openly communicate with: medical provider staff; The contract medical provider s regional corporate office regarding contractual issues. The contract administrator shall report to the business support manager ( Service Bureau) as described in section 2. Monitor(s) The contract monitor(s) shall openly communicate with contract medical provider staff, report to the health authority as described in section 2. DAGs The DAGs (who represent the IDOC) shall be the point of contact for IDOC staff regarding contractual legal issues. DAG consultation services include, but are not limited to the: Application of state federal law governing privately managed correctional facilities contracts; Drafting of contract procurement documents, contract amendments, other legal documents; Determination of non-compliance or breach of contract; Availability use of legal or contractual remedies;
10 Management: Healthcare 10 of 16 Interpretation of contract language; Communication of non-compliance, breach, violations of state or federal law, remedies, any other legal issue to the contract medical provider s legal or contract representative(s); Determination of potential legal liability or risk arising out of the contract medical provider s operation. Correspondence All correspondence with the contract medical provider shall be made, maintained, retained in accordance with the Records Management Guide. Correspondence sent from IDOC staff to the contract medical provider that communicates (1) normal, daily work activities may be delivered via electronic mail ( ) or memorum, (2) approval, formal request, or notification shall be delivered via letter (using IDOC letterhead paper). Correspondence sent from the contract administrator to the contract medical provider may be delivered via letter (preferably, using IDOC letter head) or . Working papers, activity reports, internal correspondence, notes created by IDOC staff shall be retained in accordance with the Records Management Guide. Note: All formal contracts (or corporate correspondence) shall be reviewed signed by the deputy chief of the Bureau (for the purpose of IDOC contract oversight). 7. Escalation Procedures Escalation procedures will be specifically defined in the Oversight Manual (that correlates to the contract). When performance or non-compliance issues are identified, findings shall be reported in accordance with the process steps in the following tables (as applicable). Table 7-1: Non Life-safety Issues Functional Roles Monitor 1 Observe, review, assess, analyze the performance deficiencies; Report the deficiencies to the health authority contract administrator. Consult with the business support manager ( Bureau) to determine the appropriate course of 2 action based on the situation, circumstance, contract parameters. 3 Provide a written notice to the contract medical provider that outlines the performance deficiency, IDOC expectations to address the issue, require an action plan.
11 Management: Healthcare 11 of 16 Functional Roles Advise the business support manager ( Bureau); health authority; deputy chief of the 4 Bureau; director of the Education, Treatment, Reentry Bureau of the performance deficiency the steps taken to address or resolve the deficiency. Medical Submit a plan of action resolution timeframe to the Provider 5 contract administrator. Evaluate identify whether the contract medical provider satisfactorily addressed the performance deficiency. The deficiency was addressed satisfactorily report your finding to the health authority. (The health authority will inform the contract administrator whether Monitor 6 or not the deficiency is considered resolved. If the deficiency is considered resolved, the contract administrator will document the resolution the process will end here.) The deficiency was not addressed satisfactorily report your finding to the health authority. (The process will continue with step 7.) 7 Gather all necessary documentation to support a formal determination of contract non-compliance /or breach; Consult with the business support manager ( Bureau); deputy chief of the Bureau; the director of the Education, Treatment, Reentry Bureau to develop an action plan; Brief the DAG who represents the IDOC, internal IDOC stakeholders, the DOP; Facilitate the decision-making process; Correspond with the contract medical provider s legal or contract representative(s) on formal notifications remedies. Table 7-2: Life-safety Issues If the contract monitor observes a serious security breach, or any other incident that may pose a risk to the safe, secure operation of the facility, or constitutes a life-safety issue, he shall begin the following process steps: Functional Roles Monitor 1 Immediately notify the contract medical provider s management staff or the highest ranking supervisory personnel within the facility. Note: This notification must be verbal in writing. Monitor 2 Immediately notify the health authority the contract administrator.
12 Management: Healthcare 12 of 16 Functional Roles 3 4 Monitor Business Support Manager ( Bureau) Deputy Chief, Bureau Director; Education, Treatment, Reentry Bureau Consult with the business support manager ( Bureau); Send a formal notification to the contract medical provider requesting an action plan to resolve the lifesafety issue within 24 to 48 hours. Report the life-safety issue to the director of the Education, Treatment, Reentry Bureau; deputy chief of the Bureau. Note: The director of the Education, Treatment, Reentry Bureau will inform the IDOC Leadership Team. 8 Monitor the contract medical provider s response progress; If the contract medical provider does not comply, notify the director of the Education, Treatment, Reentry Bureau; the deputy chief of the Bureau. Contact the contract medical provider s corporate office to discuss the life-safety issue a resolution. medical provider indicates they will comply monitor the progress. (The process skips to step 8.) medical provider indicates they will not comply the process continues at step 7. Meet with the IDOC Leadership Team a DAG (who represents the IDOC) to determine a course of action. Document the follow-up action report to the director of the Education, Treatment, Reentry Bureau; deputy chief of the Bureau. Note: The director of the Education, Treatment, Reentry Bureau will brief the IDOC Leadership Team. 8. Quality Assurance (Audit) Plan medical provider contracts shall be audited at a frequency to be determined by the health authority, but no less than annually through a formalized quality assurance process. The IDOC shall conduct a contract compliance audit, with a scope that encompasses all terms conditions of the contract, applicable IDOC policy procedures, other practices stards as appropriate. Audits shall be conducted at each facility at which healthcare services are provided. The audit units responsibilities are as follows: The Quality Assurance Unit (located at Central Office) shall be responsible for leading facilitating contract compliance audits; The Medical Unit (located at Central Office) shall be responsible for planning conducting contract compliance audits that are specific to healthcare services.
13 Management: Healthcare 13 of 16 At the commencement of each audit, the lead auditor shall conduct an entrance briefing with other assigned auditors contract medical provider staff to discuss the audit s scope, logistics, timeframes, reporting procedures. Upon conclusion of each audit, the lead auditor shall conduct an exit briefing with contract medical provider staff to discuss the preliminary findings provide staff the opportunity to respond with any clarifying information. The lead auditor shall then finalize an audit report that report will be presented to the IDOC s Leadership Team. The report will then be distributed to the contract medical provider s legal (or contract) representative(s) the contract medical provider s local designee, along with a request for a corrective action plan (if necessary). As necessary, a follow-up audit shall then be conducted to determine whether non-compliance, unsatisfactory performance, potential contract breach findings were remedied (see section 10). All audit documentation shall be maintained by the contract administrator filed in a centralized record-keeping area. 9. Change Management Process Throughout the term of a contract, it may become necessary to make changes to the contract s terms conditions or the scope of work. changes are made through a formal contract amendment process in which the contract medical provider, the IDOC, the DOP agree that a modification is necessary because of the scope of work, the term of the contract, or some other provision needs to be altered. Failure to manage control contract changes can result in an unintentional modification to the scope of work, extension of the term, increase in cost, circumvention of management controls, or lessened contract medical provider accountability. The contract administrator the health authority are responsible for: Ensuring formal, written approval of all changes occur prior to the change taking place; Evaluating the impact of each change to the contract objectives deliverables; Facilitating negotiations; Drafting the amendment attaining internal review approval before attaining external review approval; Maintaining documentation of all changes approvals; Distributing the amendment to the contract monitor(s); Retaining an amendment for inclusion in the contract file; Ensuring contract extensions are approved by the IDOC Leadership Team. Change requests can be initiated by the IDOC, DOP, or contract medical provider in accordance with the process steps in the following tables (as applicable).
14 Management: Healthcare 14 of 16 Table 9-1: IDOC /or DOP Initiated Change Requests Functional Roles DOP Representative DOP Representative Business Support Manager ( Bureau) DOP Representative 6 DOP Representative 7 Medical Provider 8 DOP Representative Director of the IDOC Develop the scope of the change. Note: The DOP shall work with the contract administrator to initiate a change. Provide a letter to the contract medical provider outlining the scope of the change being requested; Request that the contract medical provider provide a proposal with a description of any impacts to cost, time, quality, or performance. Review the contract medical provider s proposal to determine whether it is reasonable a benefit to the IDOC. Negotiate any scope, cost, or terms conditions with the contract medical provider. Obtain approval for contract changes from the director of the Education, Treatment, Reentry Bureau, deputy chief of the Bureau, the IDOC Leadership Team. Prepare an amendment (in conjunction with the DOP); Submit it for approval to the business support manager deputy chief of the Bureau. Submit the amendment to the contract medical provider for execution. Execute the amendment return it to the DOP. Fully execute the amendment. Distribute the amendment to all involved parties.
15 Management: Healthcare 15 of 16 Table 9-2: Medical Provider Initiated Change Requests Functional Roles Medical Provider 1 DOP Representative Business Support Manager ( Bureau) DOP Representative 5 DOP Representative 6 Medical Provider 7 DOP Representative Director of the IDOC Provide a letter to the contract administrator outlining the scope of the change being requested; Provide a proposal with a description of any impacts to cost, time, quality, or performance. Review the contract medical provider s proposal to determine whether it is reasonable a benefit to the IDOC. Negotiate any scope, cost, or terms conditions with the contract medical provider. Obtain approval for contract changes from the director of the Education, Treatment, Reentry Bureau, deputy chief of the Bureau, the IDOC Leadership Team. Prepare an amendment (in conjunction with the DOP); Submit it for approval to the business support manager deputy chief of the Bureau. Submit the amendment to the contract medical provider for execution. Execute the amendment return it to the DOP. Fully execute the amendment. Distribute the amendment to all involved parties. 10. Remedy Cure Process Remedy cure processes shall be generally stipulated in a RFP the resulting contract. The contract monitor, contract administrator, business support manager ( Bureau), health authority are responsible for identifying areas of contract medical provider non-compliance or unsatisfactory performance evaluating potential contract breach.
16 Management: Healthcare 16 of 16 In the event the potential for breach exists, the health authority will consult with the contract administrator business support manager to propose a contract remedy or cure process, which must be approved by the: Director of the Education, Treatment, Reentry Bureau; Deputy chief of the Bureau; DOP; DAGs who represent the IDOC. The contract administrator will: Formally notify the contract medical provider in writing; Request a plan of action. The plan of action shall be reviewed its acceptance determined by the IDOC the DOP. All formal determinations of breach will be made conjunctively by the IDOC the DOP. Remedy processes, to include remedial action or liquidated damages, shall be managed by the contract administrator. terms identified as a cause for breach are considered high risk shall be monitored on a regular basis. Incidents of breach that result in contract termination shall be administered by the DOP, in cooperation with the IDOC. Any contract termination decisions shall be approved by the IDOC s Leadership Team with consultation with the DAG who represents the IDOC. REFERENCES Records Management Guide Policy 217, Ethics Stards of Conduct Stard Operating Procedure , Management: General Stard Operating Procedure , Management: ed Prison Operations State of Idaho, Department of Administration ( End of Document
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