Att K - SOW.docx

Attachment K -

STATEMENT OF WORK

I. EXECUTIVE SUMMARY-

The Mental Health Ombudsman program provides an independent mechanism for reviewing and resolving complaints involving mental health agencies, facilities, or programs that are not licensed or certified by the Division of Mental Health and Addiction (DMHA). The contracted nonprofit organization is responsible for investigating complaints, advocating on behalf of mental health consumers, issuing recommendations to entities when concerns are validated, and referring unresolved or serious matters to appropriate regulatory bodies. Through statewide coverage, dedicated staff, and trained volunteers, the program supports consumer rights, promotes accountability, and helps ensure the quality and fairness of mental health service delivery across Indiana.

II. BACKGROUND AND CURRENT STATE

Indiana’s mental health system includes a wide range of service providers, some of which operate outside DMHA’s licensing and certification structure. Consumers interacting with these entities may encounter situations where their rights, care, or treatment are adversely affected, yet have limited structured avenues for recourse. The Mental Health Ombudsman was established to fill this gap by offering independent review, investigation, and support. The Ombudsman receives complaints from any source including DMHA’s toll‑free helpline and website and works to mediate issues or recommend corrective action. When providers fail to comply with recommendations, the Ombudsman refers concerns to oversight entities such as the Indiana Professional Licensing Board or Attorney General. The program also provides quarterly reporting, annual statistical compilations, and maintains all records of activities conducted on behalf of consumers.

III. SCOPE OF WORK

a. OBJECTIVES OF ENGAGEMENT

· Operate an independent Mental Health Ombudsman program to investigate complaints related to unlicensed or uncertified mental health agencies, facilities, or programs.

· Advocate for and support mental health consumers through mediation, investigation, and referral activities.

· Provide statewide coverage and timely complaint resolution.

· Maintain comprehensive documentation and statistical reporting to DMHA.

b. DELIVERABLES AND DEADLINES

· Staff at least one full‑time employee to operate the program.

· Recruit and train volunteers to support program activities.

· Accept complaints from any source and complete investigations in appropriate timeframes.

· Enter and view agency or facility premises as needed for investigations.

· Notify complainants and agencies/facilities upon completion of each review.

· Determine whether complaints have merit and issue recommendations when needed.

· Follow up on recommendations and refer non‑compliance to appropriate oversight bodies.

· Provide quarterly reports of all activities to DMHA.

· Compile annual statistics detailing complaint types, findings, and agencies/facilities that did not comply with recommendations.

c. PAYMENT MILESTONES There will be monthly invoices based on 12 units at a standard rate. Monthly reports must include complaint type, dates, recommendations issued, compliance status, and closure dates.

IV. PROJECT MANAGEMENT

a. PROJECT MANAGEMENT PLAN The contractor will operate a statewide ombudsman program using structured investigative procedures, volunteer support, and established documentation practices to ensure consistent review, follow‑up, and reporting.

b. KEY PERSONS At least one full‑time staff member will serve as the primary program operator responsible for complaint intake, investigation, consumer advocacy, and reporting.

c. OTHER PROJECT STAFF Trained volunteers will support investigations, complaint intake, and consumer engagement activities.

d. DOCUMENT MANAGEMENT The contractor will maintain records of all consumer activities, complaint investigations, follow‑up actions, and outcomes. All documentation will be stored securely and reported quarterly to DMHA.

e. STATUS UPDATES AND REPORTING Monthly reports and quarterly summaries will be submitted to DMHA per contract requirements. Annual statistical reports will be provided to the DMHA Director.

V. INDEPENDENT VALIDATIONS AND VERIFICATION

In the event the State determines that any independent verification and validation ("IV&V") oversight is required by the State during the term of this Contract, the Contractor shall comply with any such oversight during the term of this Contract, pursuant to which an independent third-party review may be conducted by a reviewer selected by the State, for the purpose of verifying that the Contractor has performed its obligations in compliance with the terms of this Contract. In the absence of any such IV&V oversight, the Contractor shall comply with any other appropriate methods or means for verification and validation required by the State during the term of this Contract for the purpose of verifying and validating that the Contractor has performed its obligations in compliance with the terms of this Contract. The Contractor shall provide all information and documentation requested during the State's IV&V oversight or verification and validation efforts related to this Contract and in connection with any IV&V oversight or verification and validation efforts related to an initiative of which this Contract is a part.

VI. COMPLIANCE REQUIREMENTS

The contractor must:

· Be a nonprofit corporation.

· Be eligible to receive tax‑deductible contributions under IRS Section 170.

· Have statewide offices.

· Possess experience in mental health advocacy.

· All activities must comply with DMHA standards, privacy rules, and applicable regulatory requirements governing consumer advocacy and complaint investigation.

VII. KEY PERFORMANCE INDICATORS

At this time, no specific Key Performance Indicators (KPIs) have been formally defined for the Mental Health Ombudsman contract. The State and the Contractor will collaborate during the initial phase of the engagement to establish appropriate KPIs that reflect program objectives, quality standards, timeliness expectations, and overall consumer satisfaction.

VIII. END OF CONTRACT TRANSITION AND TURNOVER

Upon contract completion or transition, the contractor will provide all required documentation, records, and program materials necessary to ensure uninterrupted continuation of services. The contractor will cooperate fully with any State‑directed transition processes.