RFP 250000002000-Schedule C-Service Level Agreements.docx

SCHEDULE C – SERVICE LEVEL AGREEMENTS

Agency/Vendor: TBD

Contract #: TBD – RFP 250000002000

Effective Date: TBD

Metric 1: Chart Review Audit

Definition and Purpose

A representative sample of cases designated by the MDOC will be retrieved to ensure documentation is completed according to contract standards. This includes verifying individual progress notes, group progress notes, assessments, treatment plans and relapse prevention plans contain the clinical elements outlines in the contract.

Schedule A, Section 1, 1.1

Data Source:

1. Client Individual Sessions

2. Client Progress Notes

3. Client Assessments

4. Client Treatment Plans

5. Client Discharge Summaries

6. Client Relapse Prevention Plans

Methodology:

A random sample of cases will be reviewed by the Program Manager or designee and Contract Monitor. A sample size of five cases per therapist employed for a full contract year will be reviewed annually. Case sample size for therapists working less than a full contract year will be prorated accordingly.

Acceptable Standard:

The Acceptable Standard for contract Year 1 is 85% compliance.

The Acceptable Standard for subsequent contract years is 90% compliance.

Service Level Credit

A credit will be assessed per annual review that the Contractor falls below the acceptable compliance rate for documentation. A credit of $3,000 be assessed in year one and $5,000 in subsequent years.

Extenuating circumstances will be reviewed by the MDOC Contract Manager before any Service Credits are assessed. At the discretion of the State, these credits may be applied toward any payable due to the Contractor or be payable directly to the State of Michigan. Payments made directly to the State of Michigan shall be completed within 10 calendar days upon demand.

Metric 2: Staff Qualifications

Definition and Purpose

The Contractor must ensure staff has the appropriate credentials and that their professional license or certification meets the contract standards.

Schedule A, Section 1.1, H and I. and Section 4.4

Data Source:

1. Contractor Employee Resumes

2. Copy of Contractor Employee License

3. School Transcripts

4. LARA Verify a License website

Methodology:

MDOC will verify Contractor staff licensure and/or certification expiration dates based on submitted agency documents.

Acceptable Standard:

The acceptable standard is 100% compliance.

Service Level Credit

A credit of $1,000 will be assessed for each Therapist and/or Clinical Supervisor whose license and/or certification has lapsed.

Extenuating circumstances will be reviewed by the MDOC Contract Manager before any Service Credits are assessed. At the discretion of the State, these credits may be applied toward any payable due to the Contractor or be payable directly to the State of Michigan. Payments made directly to the State of Michigan shall be completed within 10 calendar days upon demand.

Metric 3: Staffing Levels

Definition and Purpose

The Contractor is responsible for maintaining clinical therapist staffing levels based on the number of offenders needing groups at each facility.

Schedule A, Section 1.1, I.6

Data Source:

1. MDOC reviews facility waitlist

2. MDOC reviews facility capacity

Methodology:

Monthly, MDOC will review data sources listed above to verify individual and group sessions were staffed and conducted as scheduled.

Acceptable Standard:

The acceptable standard is 100% compliance.

Service Level Credit

A credit equal to the MDOC Hourly Billing Rate per Therapist for the total hours of each group session that is not staffed beyond 10 business days will be assessed for any groups that are not being run due to a staff vacancy.

Note: The MDOC considers the position filled when the new replacement therapist has completed training and is ready to provide services. The staff assigned to provide the coverage cannot be pulled from another group to do so unless this coverage has no impact to the groups they are already providing.

Extenuating circumstances will be reviewed by the MDOC Contract Manager before any Service Credits are assessed. At the discretion of the State, these credits may be applied toward any payable due to the Contractor or be payable directly to the State of Michigan. Payments made directly to the State of Michigan shall be completed within 10 calendar days upon demand.

Metric 4: Law Enforcement Information Network (LEIN)

Definition and Purpose

The Contractor will provide the Law Enforcement Information Network (LEIN) Form to the Michigan Department of Corrections (MDOC) in accordance with Schedule A. Section 4.7 and must ensure staff are LEIN-cleared prior to arriving at the correctional facility.

Data Source:

1. Contractor’s Staff Roster

1. LEIN forms and databases

1. Correspondence with MDOC staff

Methodology:

The MDOC may review data sources 1-3 to ensure timeliness and compliance with contract requirements.

Acceptable Standard:

The Acceptable Standard is 100% compliance.

Service Level Credit

A credit will be assessed for every contracted staff member who is not cleared by the MDOC prior to working on the contract. per annual review that the Contractor falls below the acceptable compliance rate for documentation.

A credit of $500.00 be assessed in year one and $1,000 in subsequent years.

Metric 5: Billing

Definition and Purpose

All invoices and supporting documentation must be received within 15 calendar days after the end of the month in which services were provided.

Schedule A., Section 8.3. 3.

Data Source:

1. MDOC will confirm receipt of invoices and documentation with accounting

Methodology:

The MDOC may review data sources to ensure timeliness and compliance with contract requirements.

Acceptable Standard:

A financial penalty will be assessed for less than 100% compliance.

Service Level Credit

A credit of $1,000.00 will be assessed for each monthly invoice by program/facility that is not submitted timely, accurate or without the supporting documentation.

Note: See contract for details on supporting documentation.

Metric 6: Training

Definition and Purpose

Contracted staff and/or subcontractor staff (as applicable) must complete MDOC-required training prior to entering MDOC facilities and/or working on any contract deliverables as outlined in Schedule A., Section 1.3 (MDOC Training).

MDOC-provided training must be completed each training year (defined as October 1st through September 30th). The annual deadline for training completion is September 30th.

Data Source:

1. MDOC MI-TRAIN web site training data.

2. Other forms of training documentation (electronic or hard copies).

3. Contractor organizational chart.

4. MDOC Contractor Roster.

5. Correspondence with MDOC Staff or the Contractor.

Methodology:

MDOC will conduct an annual audit of Data Sources 1-5.

Acceptable Standard:

Acceptable standard is 100% compliance.

Service Level Credit

A credit of $250.00 will be assessed per finding for each contractor staff and/or subcontractor staff who do not complete MDOC-required training by the deadline.

If over 30% of contractor staff and/or subcontractor staff do not complete MDOC-required training by the deadline, an additional $500.00 will be assessed.

Extenuating circumstances will be reviewed by the MDOC Contract Manager before any Service Credits are assessed. At the discretion of the State, these credits may be applied toward any payable due to the Contractor or be payable directly to the State of Michigan. Payments made directly to the State of Michigan shall be completed within 10 calendar days upon demand.

Metric 7: Responsiveness to Corrective Action Plan Requests

Definition and Purpose

The State requires that the contractor must confirm receipt and submit their plan of action in response to any Corrective Action Plan Request within the timeframe outlined in the request as outlined in Schedule A. Section 10, Service Level Agreement. If the MDOC Contract Manager or Contract Monitor provides a written pre-approval of an alternate submission date, the Service Credit may not apply.

Data Source:

1. Corrective Action Plan Request.

2. Corrective Action Plan confirmation of receipt.

3. Corrective Action Plan response/plan of action.

4. Written pre-approval of an alternative submission date.

5. Internal MDOC correspondence with Program Area staff.

6. Additional correspondence with Contractor.

Methodology:

Reconcile and review Data Sources 1-6 as needed.

Acceptable Standard:

Acceptable standard is 100% compliance.

Service Level Credit

A credit of $500.00 per day may be assessed for each business day that the Contractor fails to submit their plan of action by the deadline stated in the Corrective Action Plan Request.

Extenuating circumstances will be reviewed by the MDOC Contract Manager before any Service Credits are assessed. At the discretion of the State, these credits may be applied toward any payable due to the Contractor or be payable directly to the State of Michigan. Payments made directly to the State of Michigan shall be completed within 10 calendar days upon demand.

Metric 8: Reoccurring or Unresolved Corrective Action Plan Requests

Definition and Purpose

The State requires that the Contractor must cure, at no additional cost to the State, any deficiency identified in a Corrective Action Plan Request as outlined in Schedule A. Section 10, Service Level Agreement. The Plan of Action must include a solution that resolves the issue so that it does not reoccur.

Data Source:

1. Corrective Action Plan Request.

2. Corrective Action Plan Response/Plan of Action.

3. Corrective Action Plan Implementation Documentation.

4. Documentation of non-compliant contract activities.

5. Notification to the Contractor of non-compliant contract activities.

6. Internal MDOC correspondence with Program Area staff.

7. Additional correspondence with Contractor.

Methodology:

Reconcile and review Data Sources 1-7 to determine if there are reoccurring or unresolved contract deficiencies.

Acceptable Standard:

The Acceptable Standard is 100% compliance. Reoccurring or unresolved contract deficiencies are unacceptable.

Service Level Credit

The following credits per occurrence will be assessed for any identified contract deficiency addressed in a Corrective Action Plan that is reoccurring or unresolved.

Occurrence 1 Amount: $500.00

Additional service credits may be assessed for each additional occurrence:

Occurrence 2 Amount: $1,000.00

Occurrence 3 Amount: $2,000.00

Extenuating circumstances will be reviewed by the MDOC Contract Manager before any Service Credits are assessed. At the discretion of the State, these credits may be applied toward any payable due to the Contractor or be payable directly to the State of Michigan. Payments made directly to the State of Michigan shall be completed within 10 calendar days upon demand.

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