Exhibit W, Official Correspondence Process.pdf

Streamlined Official Correspondence Process

Description:

The Official Correspondence Process is the formal communication mechanism between the Health and Human Services Commission (HHSC) Contract Administration and Provider Monitoring (CAPM) and their contractors. The process is initiated when HHSC CAPM requests their contractors to perform an activity, provide clarification, changes to processes/policy, etc.

There will be a revised numbering methodology to identify correspondence. The identification number issued by the initiating party (e.g. the State or Contractor) will remain the same throughout the correspondence string until the subject status is closed.

The HHSC CAPM Assignment Coordinator is responsible for internal distribution and coordination with management on assignments to staff and the final formatting of the memo prior to distribution.

Only the Assignment Coordinator assigns the State Action Request (SAR) number.

An HHSC approved template will be used for official communication between HHSC CAPM and their contractors. (See Example below, page 5).

SAR Correspondence Process:

Official correspondence initiated by HHSC (the State) submitted to the Contractor/Vendor by HHSC is called a SAR.

The HHSC Initiator completes the initial top section of the Official Correspondence Memo: To, From, Date, Subject, Response Due Date, Originator of Memo, Phone Number, and Email. The SAR # should be left blank and will be assigned by the CAPM Assignment Coordinator.

The initiator completes the correspondence information: Background/Discussion, Action Required/Recommendation, and imbed any required attachments within the memo.

The initiator sends an email along with the attached Official Correspondence Memo to their supervisor for approval, prior to submitting to the designated HHSC Mailbox for processing.

Once supervisory approval is received, the initiator will forward Official Correspondence Memo to the HHSC Mailbox for processing.

The CAPM Assignment Coordinator is responsible for the following bulleted items:

o Updating the Submission Date to the actual date the correspondence will be sent.

o Completing the Correspondence ID and Response Due Date information.

o Ensuring the Official Correspondence Memo contains all of the required information for the initial submission of the SAR. Note: If the information is incomplete, it is returned to the sender.

o Completing the subject line of the email which forwards the Official Correspondence Memo to the Contractor, with the same Correspondence ID number listed within the attached memo.

o Including the Response Due Date, Program Area(s) impacted by the correspondence, and a contact person.

RFP No. HHS0016867 Exhibit W

Contractor staff responds to the initial SAR through the Official Correspondence Memo and follows internal supervisory approval processes for responding to HHSC SARs.

Once the Contractor submits their response to the Initial SAR to the HHSC Mailbox, the CAPM Assignment Coordinator makes the assignment.

The HHSC Assignee may assign review of the Contractor’s response to a Respondent.

The HHSC Assignee or Respondent reviews and completes their response under the appropriate Response # in the Official Correspondence Memo and sends an email with the response to their supervisor for approval prior to submitting for processing.

Once supervisory approval is received, the HHSC Assignee or Respondent forwards the response and the attached Official Correspondence Memo to the HHSC Mailbox for processing.

The CAPM Assignment Coordinator forwards the email with the Official Correspondence Memo attached (with the same subject and identification number as the initial SAR) to the Contractor, and copies the same individuals who were copied (cc'd) on the original correspondence.

The CAPM Assignment Coordinator is responsible for coordinating response due dates and following up with HHSC or Contractor staff, where applicable, to promote timely responses.

The response coordination process is followed until the subject status is closed. The CAPM Assignment Coordinator is responsible for monitoring the status of all correspondence until the subject is closed. However, each Respondent is responsible for monitoring the status of their assigned correspondence until the subject is closed.

When the subject is closed, the CAPM Assignment Coordinator logs the correspondence as closed in the Official Correspondence Management Tracking Log.

Contractor Initiated Memorandum (CIM) Correspondence Process:

Official correspondence received from the Contractor/Vendor to HHSC will be called a CIM.

The Contractor Initiator completes the initial top section of the Official Correspondence

Memo: To, From, Date, Subject, CIM number, Response Due Date, Contractor Initiator, Phone Number, Email.

The initiator completes the correspondence information: Background/Discussion, Action Required/Recommendation, and imbed any required attachments within the memo.

The initiator should follow appropriate internal coordination and approval processes prior to submitting the Official Correspondence Memo/CIM Memo for processing.

Once the initial Official Correspondence Memo is submitted by the Contractor to the HHSC Mailbox for processing, the CAPM Assignment Coordinator forwards the assignment and Official Correspondence received from the Contractor, to the HHSC Assignee.

The HHSC Assignee may assign review of the Contractor’s initial CIM Memo to a Respondent.

The HHSC Assignee or Respondent reviews and completes the response to the initial CIM under comments and sends an email with the response attached to their supervisor for approval prior to submitting for processing.

Once supervisory approval is received, the HHSC Assignee or Respondent will forward CIM Memo response, provided by HHSC, to the HHSC Mailbox for processing.

The CAPM Assignment Coordinator forwards the email with the CIM Memo attached (with the same subject and identification number as the initial CIM) to the Contractor, and copies the same individuals who were copied (cc'd) on the initial CIM correspondence.

Contractor staff responds to the CIM Memo by providing a response under the appropriate Response # and following internal approval protocol prior to responding to HHSC.

Once the Contractor submits their response to the HHSC Mailbox, the CAPM Assignment Coordinator makes the assignment.

The response coordination process is followed until the subject status is closed.

The CAPM Assignment Coordinator is responsible for monitoring the status of all correspondence until the subject is closed. However, each Respondent is responsible for monitoring the status of their assigned correspondence until the subject is closed.

When the subject is closed, the Assignment Coordinator logs the correspondence as closed in the Official Correspondence Management Tracking Log.

Official Correspondence Identification Process:

The identification of the SAR correspondence will be labeled with 12 characters as follows.

The first 8 characters represent the date the correspondence is being sent using the format of a two digit month, two digit date and a four digit year (i.e. MM/DD/YYYY).

The next alpha character identifies the HHSC area which originated the correspondence

SAR based on the indicator code (See chart below). *The CAPM Assignment Coordinator is responsible for assigning HHSC SAR Correspondence Identification Numbers and managing the indicator code list.

The final 3 characters include three numbers to indicate if it was the first, second or third SAR sent (i.e. 001, 002, 003). The numbering sequence should be continuous throughout the fiscal year regardless of the day in which the correspondence was sent.

• An example of a SAR sent the 1st of May by HHSC CAPM to the Contractor would be labeled as follows:

o 05012018C001

• Examples of correspondence numbering continuing for May 1st and from the example above would be as follows:

o On May 1st there were 3 SARs submitted:

05012018C001 05012018C002 05012018C003 o On May 2nd there were 2 SARs submitted:

05022018C001 05022018C002

Indicator Code Program

C HHSC - Contract Administration and Provider Monitoring (CAPM) J HHSC – Program Enrollment Support (PES)

A tracking log will be used to track the numbers used for each day to ensure accuracy in the correct numbering sequence.

The identification of the CIM correspondence will be labeled with 9 characters as follows.

The identification of the CIM correspondence will be identified by numbers and a letter.

The number is generated by the date a CIM is created and a letter is put behind the date to show how many CIMs have been created that day.

An example of a CIM sent the 1st of May from the Contractor to HHSC would be labeled as follows:

• 05012018A, if a second correspondence was sent from the contractor to HHSC on the 1st of May would be labeled as follows: 05012018B.

Official Correspondence Management/Tracking Log:

In order to manage and provide quality assurance over the Official Correspondence Process, the Assignment Coordinators will use the Official Correspondence Tracking Logs. Each time correspondence is received or sent through the HHSC Mailbox, the information is logged and tracked for timely responses to correspondence.

Each Contractor will have their individual tracking logs. The individual logs will include a tab for SARs (correspondence initiated by HHSC) and CIMs (correspondence initiated by the Contractor) pertaining to the associated Contractor.

To:

From:

Date:

Subject:

SAR#: Response Due Date:

Originator of Memo: Email:

Phone Number:

Background/Discussion, Action Required/Recommendation, and/or Identify what Response is Requested.

If you have any questions, please contact INSERT NAME via email at INSERT Email Address.

CC:

Include who needs to be CC’ed from HHSC.

Attachments:

Imbed any required attachments or put N/A.

Response #1

From:

Submission Date:

Response Due Date:

Response:

Response #2

Submission Date:

Response #3

Submission Date:

Response #4

Submission Date:

Response #5

Submission Date:

Response #6

Submission Date:

Response #7

Submission Date:

Response #8

Submission Date: