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Req. #:_____________
STATE OF INDIANA
DEPARTMENT OF CORRECTION
CONTRACTUAL AGREEMENT
This AGREEMENT is entered into between the Indiana Department of
Correction, X000 Xxxxxxx Xxxxxxxxxx Xxxxxx-Xxxxx, Xxxxxxxxxxxx, Xxxxxxx 00000,
(hereinafter DEPARTMENT), and Prison Health Services, Inc., Xxxxx 000, 000
Xxxxxxxx Xxxxx, Xxxxxxxxx, XX 00000, (000) 000-0000, FIN #232108853,
(hereinafter CONTRACTOR) pursuant to the provisions of Indiana Code section
11-8-3-1.
In consideration of the mutual covenants herein contained, the parties
hereto agree as follows:
1. DESCRIPTION OF GOODS AND/OR SERVICES:
CONTRACTOR agrees to provide the following goods and/or services:
health services and health service management for thirty-two (32)
department facilities, together with such additional facilities
operated by the DEPARTMENT, as may be added by the parties by
amendment of this AGREEMENT adopted through the formal amendment
process, where necessary (collectively the "IDOC SITES").
The DEPARTMENT and the Indiana Department of Administration ("IDOA")
issued a Request for Proposals (No. F12-6-191) for the provision of
health services for the IDOC SITES (the "RFP"). The CONTRACTOR
submitted a proposal dated July 22, 1996, in response to the RFP (the
"ORIGINAL BID"). At the request of the DEPARTMENT and IDOA, the
CONTRACTOR submitted the Best and Final Offer, dated September 6, 1996
("FINAL OFFER"). Throughout the negotiations, certain provisions of
all of the above-referenced documents (all such documents hereinafter
referred to as the "BID DOCUMENTS", and the BID DOCUMENTS together
with this AGREEMENT and any amendments thereto, which are herein
incorporated by reference, shall be referred to as the "CONTRACT
DOCUMENTS") have been modified and clarified to reflect the intent of
the parties and purpose of the RFP. Such documents shall be taken as a
whole in interpreting the agreement of the parties, but to the extent
of any conflict or inconsistency, the following shall be the priority
of determining resolution of such inconsistencies.
(i) This AGREEMENT shall be the governing document; then
(ii) the RFP (to the extent not clearly changed in the BID or
FINAL OFFER; then
(iii) the FINAL OFFER); and finally
(iv) the BID.
Notwithstanding the foregoing, it is understood and agreed that there
shall be from time to time certain determinations made jointly by the
parties as to changes in procedures and processes in the
implementation of this AGREEMENT, in accordance with the terms of
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section 36(c) hereof. Any operating memorandum or other written
understandings reached in accordance with the provisions of that
section shall thereafter govern those provisions and be included as
part of the CONTRACT DOCUMENTS.
2. CONSIDERATION:
DEPARTMENT agrees to compensate CONTRACTOR as follows:
a) The DEPARTMENT has elected the pricing and services to be
provided for the total state (all regions awarded in a
single contract), as described in the FINAL OFFER;
b) The price set forth in the FINAL OFFER, subject to
modification as provided in the CONTRACT DOCUMENTS shall be
on a per diem, per capita, offender basis. Offenders shall
include only those persons included in the daily official
offender count of the DEPARTMENT and shall not include any
persons who are transferred to the DEPARTMENT, but held in
county or other facilities, or otherwise not submitted to
the full custody and control of the DEPARTMENT, and located
at the IDOC SITES;
c) Pricing shall be subject to annual adjustments as set forth
herein. The adjustment dates shall be the annual anniversary
of the Initial Implementation Date (as defined in section
36(o) hereof); and
d) The "Per Diem Rates" shall be as follows:
Year Rate
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1 $ 3.66
2 $ 3.66
3 $ 3.83
4 $ 3.97
The total reimbursement to CONTRACTOR under this AGREEMENT is estimated not
to exceed $97,900,000.00; however, because of the difficulty in projecting
future offender populations and medical needs, the total reimbursement to
CONTRACTOR hereunder is subject to adjustment by formal amendment of this
AGREEMENT between the parties.
3. TERM:
This AGREEMENT shall commence on the Initial Implementation Date, or
on the date that the services begin following all required signatures
or as soon as all required signatures have been affixed to this
AGREEMENT, which ever date occurs last (the "COMMENCEMENT DATE"), and
shall terminate on the last day of the month which is four (4) years
after the COMMENCEMENT DATE.
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4. RENEWAL:
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5. PAYMENTS:
ALL payment obligations are subject to the appropriation and/or
encumbrance of monies and shall be made in arrears in accordance with
Indiana law and the State of Indiana fiscal policies and procedures.
CONTRACTOR agrees to execute all necessary forms (including, but not
limited to, invoices, claim vouchers, time sheets, etc.) not
inconsistent herewith. CONTRACTOR may not submit claim forms before
the services have been performed.
The parties agree that administration of this AGREEMENT shall best be
facilitated by regular payments to the CONTRACTOR to enable it to
reimburse such health care providers and contractors as may be
reasonably necessary for the efficient implementation of this
AGREEMENT. Therefore, the parties shall, on or before the INITIAL
IMPLEMENTATION DATE, agree on an estimate for the number of offenders
to be covered by this AGREEMENT for the first three (3) month period
("POPULATION ESTIMATE"). The POPULATION ESTIMATE shall be made in good
faith, but shall not be less than the current number of offenders.
Within fifteen (15) days after the first day of each calendar month,
the DEPARTMENT shall pay to the CONTRACTOR an amount equal to the PER
DIEM RATE then in effect multiplied by the POPULATION ESTIMATE, which
is then multiplied by the number of days in the preceding calendar
month. On a quarterly basis, the parties shall calculate the actual
number of offenders covered by this AGREEMENT during the preceding
three (3) month period, and within thirty (30) days after such
calculation, the DEPARTMENT shall pay CONTRACTOR the amount necessary
to reimburse for the actual prisoners served, based on the PER DIEM
RATES. In the event that payment is not timely made, CONTRACTOR shall
be entitled to late payment penalty on the amount not timely paid as
provided in section 21 hereof. In the event that the actual amount
owed is less than the amount paid pursuant to the Population Estimate,
then upon notice to CONTRACTOR, the DEPARTMENT may deduct the amount
of such overpayment from the next payment due to CONTRACTOR. The
parties further agree to revise the POPULATION ESTIMATE for the next
succeeding quarter at least fifteen (15) days prior to the
commencement of such quarter, which revised estimate shall not be less
than the actual number of offenders at the end of the preceding
quarter. The actual number of offenders shall be based upon the last
daily count made by the DEPARTMENT at each IDOC SITE.
The DEPARTMENT shall notify CONTRACTOR as to which offenders included
in the POPULATION ESTIMATE are remitted temporarily to the custody and
control of the DEPARTMENT by the counties and commonly known as
"SAFEKEEPERS". Such SAFEKEEPERS shall be deemed offenders for purposes
of this AGREEMENT. In addition, all third party payment claims with
respect to health care services provided to such offenders shall be
paid by CONTRACTOR and copies of such claims shall be forwarded
immediately to the DEPARTMENT. The DEPARTMENT shall use its best
efforts to obtain reimbursement from the county from which such
offender has been
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transferred for all such third party payment claims and shall, on a
quarterly basis, remit to CONTRACTOR any such reimbursements received
from a county in excess of the PER DIEM RATE paid by the DEPARTMENT
hereunder with respect to such offender.
6. CANCELLATION:
This AGREEMENT may be terminated, in whole or in part, by either party
upon ninety (90) days written notice to the office address of the
other party, said notice to be sent registered or certified mail,
return receipt requested. Notwithstanding the foregoing, if the
DEPARTMENT reasonably determines that an emergency exists, the
DEPARTMENT may terminate this AGREEMENT upon thirty (30) days' written
notice to CONTRACTOR. If this AGREEMENT is canceled by either party,
CONTRACTOR shall be paid for all services provided up to and including
the date of termination, together with any amounts of reimbursement
set forth in this AGREEMENT and any extraordinary employee severance
costs caused by such early termination. The DEPARTMENT shall be liable
only for payments for services rendered before the effective date of
termination.
7. GOVERNING LAWS:
This AGREEMENT is subject to all provisions of Indiana law in
existence at the time of execution and any law subsequently enacted.
This AGREEMENT shall be construed in accordance with and governed by
the laws of the State of Indiana and all suits, if any, arising from
the terms of performance of said AGREEMENT shall be brought in the
State of Indiana.
8. CANCELLATION FOR FUNDING:
When the Director of the State Budget Agency makes a written
determination that funds are not appropriated or otherwise available
to support continuation of performance of this contract, the contract
shall be canceled. A determination by the Budget Director that funds
are not appropriated or otherwise available to support continuation of
performance shall be final and conclusive.
9. AUDITS:
CONTRACTOR shall provide the DEPARTMENT and the State Board of
Accounts with a copy of its annual audited Financial Statement (Form
10-k) and shall work with the DEPARTMENT and the State Board of
Accounts to insure that such audit complies with the reporting
requirements prescribed by the State Board of Accounts. In the event
that additional information and audits are required, CONTRACTOR agrees
to allow, upon request, audits by the State Board of Accounts or its
designee. Such audits will be performed in accordance with compliance
guidelines established by the State Board of Accounts. CONTRACTOR
agrees to comply with reporting requirements prescribed by the State
Board of Accounts. CONTRACTOR will be charged the actual cost of the
examination as established by law and rule of the State Board of
Accounts.
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10. NONDISCRIMINATION:
Pursuant to Indiana Code section 22-9-1-10, CONTRACTOR, and its Agents
and subcontractors, if applicable, shall not discriminate against any
employee, or applicant for employment, to be employed in the
performance of this AGREEMENT, with respect to his hire, tenure or
terms, conditions, or privileges of employment, or in any matter
directly or indirectly related to such employment, because of his
race, color, religion, sex, disability, national origin, ancestry or
status as a veteran. CONTRACTOR understands that the DEPARTMENT and
the State of Indiana are recipients of federal funds. Pursuant to that
understanding, CONTRACTOR, and its subcontractors, if any, agree that
if the CONTRACTOR employs 50 or more employees and does at least Fifty
Thousand Dollars ($50,000.00) worth of business with the State of
Indiana and is not exempt, CONTRACTOR will comply with the affirmative
action reporting requirements of 41 CFR 60-1.7. Breach of this
covenant may be regarded as a material breach of this AGREEMENT. The
DEPARTMENT and the State of Indiana shall comply with section 202 of
Executive Order 11246, as amended, 41 CFR 60-250, and 41 CFR 60-741,
as amended, which are incorporated herein by specific reference.
11. CONFIDENTIALITY OF DEPARTMENT INFORMATION:
CONTRACTOR understands that data, materials and information disclosed
pursuant to this AGREEMENT may contain confidential and/or protected
data. CONTRACTOR, therefore, agrees that data, material and
information gathered, based upon, or disclosed under this AGREEMENT
shall not be disclosed to others without the DEPARTMENT'S prior
written approval. The DEPARTMENT agrees that it shall notify
CONTRACTOR in advance of any information that it deems confidential.
Notwithstanding the foregoing, it is understood that the patient
medical records are subject to certain provisions of state and federal
law and rules of the DEPARTMENT. Such shall not be disclosed or
released to any person or entity, including the patient, except as
necessary to provide medical treatment, except in compliance with
state law and published DEPARTMENT rules and procedures. DEPARTMENT
shall advise CONTRACTOR in writing of such laws, rules and procedures.
12. CONFIDENTIALITY OF DATA, PROPERTY RIGHTS IN PRODUCTS AND
COPYRIGHT PROHIBITION:
CONTRACTOR further agrees that all information, data, findings,
recommendations, proposals, etc., by whatever name described and by
whatever form therein, secured, developed, written or produced by the
CONTRACTOR in furtherance of this AGREEMENT shall be the property of
the DEPARTMENT and that CONTRACTOR shall take such action as is
necessary under law to preserve such property rights in and of the
DEPARTMENT while such property is within the control and/or custody of
CONTRACTOR and, to the extent that CONTRACTOR cannot convey ownership
thereof, to grant to the DEPARTMENT a non-exclusive royalty-free,
non-transferable license to use such work product developed by
CONTRACTOR. By this AGREEMENT, CONTRACTOR specifically releases to the
DEPARTMENT any cognizable property right
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in the CONTRACTOR to copyright or patent such information, data,
findings, recommendations, proposals, etc. Notwithstanding the
foregoing, it is understood that certain materials used by CONTRACTOR
are subject to applicable copyright, trademark and license agreements.
To the extent that CONTRACTOR is limited in its ability to assign such
rights or licenses to the DEPARTMENT, such assignment shall not be
required hereunder so long as CONTRACTOR uses good faith efforts to
obtain necessary rights and licenses for the DEPARTMENT. It is further
understood and agreed that any materials developed by CONTRACTOR for
general use and not exclusively in furtherance of this AGREEMENT or
materials used by CONTRACTOR generally and not exclusively in
furtherance of this AGREEMENT (including, without limitation, TXEN
claims payment and CONTRACTOR's utilization management system) shall
not be assigned or licensed to, or become the property of, the
DEPARTMENT.
13. WORK STANDARDS:
CONTRACTOR agrees to execute all responsibilities by following and
applying, at all times, the highest professional and technical
guidelines and standards. It is understood that such standards are
those that are consistent with prudent medical treatment and the
standards set forth in Prison Health Standards, 1992, as amended from
time to time ("STANDARDS"), of the National Commission on Correctional
Health Care ("NCCHC"), but, in any event, not less than the services
set forth in the BID unless otherwise agreed upon by the parties
hereto; provided, however, that CONTRACTOR's obligations to follow and
apply any future changes to the STANDARDS which increase CONTRACTOR's
costs of performance under this AGREEMENT and reimbursement to
CONTRACTOR of such costs shall be determined by the CONTRACT
ADMINISTRATION GROUP pursuant to section 36(c) and 36(k) hereof.
Further, if services hereafter agreed upon are in excess of the
services set forth in the BID, such shall constitute ADDITIONAL
SERVICES and the DEPARTMENT shall reimburse CONTRACTOR therefor in
accordance with section 36(k). If the DEPARTMENT becomes reasonably
dissatisfied with the work product or the working relationship with
those individuals assigned to work on the WORKING GROUP or CONTRACT
ADMINISTRATION GROUP, the DEPARTMENT may request the replacement of
any or all such individuals, and CONTRACTOR shall use good faith
efforts to accommodate the requests of the DEPARTMENT.
14. OWNERSHIP OF DOCUMENTS AND MATERIALS:
All documents, data, records, programs, film, tape, articles and other
material developed pursuant to this AGREEMENT shall be the property of
the DEPARTMENT. Use of these materials other than related to contract
performance by the CONTRACTOR without prior written consent of the
DEPARTMENT is prohibited. During the performance of the services
specified herein, the CONTRACTOR shall be responsible for any loss or
damage to these materials developed for or supplied by the DEPARTMENT
and used to develop or assist in the services provided herein, while
they are in the possession of the CONTRACTOR and any loss or damage
thereto shall be restored at the CONTRACTOR'S expense. Full, immediate
and unrestricted access to the work product of the CONTRACTOR during
the term of this AGREEMENT shall be available to the
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DEPARTMENT and thereafter the CONTRACTOR shall grant the DEPARTMENT a
non-exclusive, non-transferable license to use such work product. The
access and ownership of the DEPARTMENT to the work product of the
CONTRACTOR shall be subject to applicable trademark, copyright and
license agreements so long as CONTRACTOR uses good faith efforts to
provide such access.
15. PROGRESS REPORTS:
The CONTRACTOR will submit progress reports to the DEPARTMENT upon
request. The report will be oral, unless the DEPARTMENT upon receipt
of the oral report should deem it necessary to have it in written
form; provided, however, that CONTRACTOR shall deliver periodic
written progress reports at such times and in such form as determined
by the WORKING GROUP pursuant to section 36(c); and, provided further,
that, prior to the FINAL IMPLEMENTATION DATE, CONTRACTOR shall deliver
oral progress reports on a weekly basis. The progress report shall
serve the purpose of assuring the DEPARTMENT that work is progressing
in line with the schedule and the completion can be reasonably assured
on the scheduled date.
16. ACCESS TO RECORDS:
CONTRACTOR and its subcontractors shall maintain all books, documents,
papers, accounting records and other evidence pertaining to the cost
incurred and shall make such materials available at their respective
offices at all reasonable times during the contract period and for
three (3) years from the date of final payment under the AGREEMENT,
for inspection by the DEPARTMENT or any authorized representative of
the State Government and copies thereof shall be furnished at no cost
to the DEPARTMENT if requested.
17. INDEPENDENT CONTRACTOR:
Both parties hereto, in the performance of this AGREEMENT, will be
acting in an individual capacity and not as agents, employees,
partners, joint venturers or associates of one another. The employees
or agents of one party shall not be deemed or construed to be the
employees or agents of the other party for any purposes whatsoever.
Neither party will assume any liability for any injury (including
death) to any persons, or any damage to any property arising out of
the acts or omissions of the agents, employees or subcontractors of
the other party.
CONTRACTOR shall be responsible for providing all necessary
unemployment and worker's compensation insurance for its employees.
18. INDEMNIFICATION:
CONTRACTOR agrees to indemnify, defend and hold harmless the State of
Indiana and its agents, officers and employees from all claims and
suits, including court costs,
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attorney's fees and other expenses caused by an act or omission of
CONTRACTOR, and/or its subcontractor, if any. The DEPARTMENT shall not
provide such indemnification to CONTRACTOR.
19. LOSS OF OR DAMAGE TO DOCUMENTS OR MATERIALS:
During the performance of this AGREEMENT, CONTRACTOR shall be
responsible for any loss of or damage to the DEPARTMENT'S documents
and materials utilized in the performance of this AGREEMENT, while
they are in the possession of the CONTRACTOR, and/or subcontractor if
applicable, and any loss of or damage thereto shall be restored at
CONTRACTOR'S expense to the extent reasonably practicable. DEPARTMENT
shall have unrestricted access to CONTRACTOR'S work product and
records as they pertain to the performance of this AGREEMENT during
the term of said AGREEMENT and any renewal thereof.
20. TAXES:
DEPARTMENT is exempt from State, Federal and Local taxes. The
DEPARTMENT will not be responsible for any taxes levied on the
CONTRACTOR as a result of this AGREEMENT.
21. PENALTIES/INTEREST/ATTORNEY'S FEES:
DEPARTMENT will in good faith perform its required obligations
hereunder and does not agree to pay penalties, liquidated damages,
interest or legal fees of CONTRACTOR, incurred in enforcing this
AGREEMENT, except as herein provided or otherwise required by Indiana
law, including, IC 5-17-5-1, et seq., IC 34-2-22-1, et seq., and IC
34-4-16-6, et seq. In the event that payment is not timely made by the
DEPARTMENT hereunder, the CONTRACTOR shall be entitled to interest on
the amount not timely paid at the rate of 1% per month to reimburse it
for its additional costs incurred by the delay in payment.
22. COMPLIANCE WITH LAWS:
CONTRACTOR agrees to comply with all applicable federal, state and
local laws, rules, regulations or ordinances and all provisions
required thereby to be included herein, are hereby incorporated by
reference. The enactment of any State or Federal statute or the
promulgation of regulations thereunder after execution of this
AGREEMENT shall be reviewed by the Attorney General and CONTRACTOR to
determine whether the provisions of this AGREEMENT require formal
amendment.
This provision shall include the possession and maintenance of any
license, certificate or authorization which may be required by law,
rule, regulation or ordinance. A copy of such license, certificate or
authorization shall be presented to DEPARTMENT prior to the
commencement of this AGREEMENT.
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23. AUTHORITY TO BIND CONTRACTOR:
Notwithstanding anything in this AGREEMENT to the contrary the
signatory for the CONTRACTOR represents that he/she has been duly
authorized to execute contracts on behalf of the CONTRACTOR designated
above and has obtained all necessary or applicable approval from the
officers or owners of CONTRACTOR when his/her signature is affixed
hereto and accepted by the State of Indiana.
24. ENTIRETY OF AGREEMENT:
This AGREEMENT, plus any proper attachments hereto, incorporated by
reference or otherwise, shall constitute the entire understanding of
the parties and no additional provisions may be added to this
AGREEMENT by presumption, inference or intendment.
25. BINDING OF AGREEMENT:
This AGREEMENT shall not be deemed to bind DEPARTMENT absent proper
execution by all required signatories.
26. ASSIGNMENT:
Subject to the provisions of sections 36(b) and 36(i), CONTRACTOR
shall not assign or subcontract the whole or any part of the AGREEMENT
without the DEPARTMENT'S prior written consent, except that CONTRACTOR
may assign its rights to receive payments to such third parties as the
CONTRACTOR may desire without the prior consent of DEPARTMENT,
provided that CONTRACTOR gives written notice (including evidence of
such assignment) to the DEPARTMENT thirty (30) days in advance of any
payment so assigned. Any such assignment shall cover all unpaid
amounts under this AGREEMENT and shall not be made to more than one
party.
27. SUCCESSORS AND ASSIGNEES:
CONTRACTOR binds his/her successors, executors, administrators and
assignees to all covenants of this AGREEMENT. Except as set forth,
CONTRACTOR shall not assign, sublet or transfer its interest in this
AGREEMENT without the prior written consent of the DEPARTMENT.
28. KEY PERSON(S):
a. In the event that both parties have designated in an Appendix
that the individual(s) therein named are essential to the
services offered pursuant to this AGREEMENT, the parties agree
that in the event such individual or individuals are no longer
employed during the term of this AGREEMENT by CONTRACTOR for
whatever reason, the DEPARTMENT shall have the right to terminate
this AGREEMENT upon thirty (30) days' prior written notice. It is
agreed that at the time of execution of this AGREEMENT, no such
persons have been designated.
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b. In the event that CONTRACTOR is an individual, that individual
shall be considered a key person and as such essential to the
AGREEMENT. Substitution of another for CONTRACTOR shall not be
permitted without express written permission from the DEPARTMENT.
c. Nothing in subsections (a) or (b) above shall be construed to
prevent CONTRACTOR from using the services of others to perform
tasks ancillary to those tasks which directly require the
expertise of the key person. Examples of such ancillary tasks
include secretarial, clerical and common labor duties. CONTRACTOR
shall at all times remain responsible for the performance of all
necessary tasks, whether performed by a key person or others.
29. CHANGES IN WORK/AUTHORIZATIONS:
CONTRACTOR and DEPARTMENT shall each designate authorized signatories
for changes in work, memoranda of understanding, operating and medical
protocols and other issues, which authorized signatories may vary
depending on the nature of the issues involved. Neither party may rely
on a decision which modifies this AGREEMENT without obtaining the
written authorization of the applicable designated signatories and
following formal amendment processes, where necessary. The authorized
signatories and the matters with respect to which each signatory is
authorized for both CONTRACTOR and DEPARTMENT shall have been
designated by each party hereto prior to the INITIAL IMPLEMENTATION
DATE in a separate writing and shall be updated and revised from time
to time in writing as necessary.
30. FORCE MAJEURE; SUSPENSION AND TERMINATION:
In the event that either party is unable to perform any of its
obligations under this AGREEMENT or to enjoy any of its benefits
because of (or if failure to perform the services is caused by)
natural disaster, actions or decrees of governmental bodies or
communication line failure not the fault of the affected party
(hereinafter referred to as a "Force Majeure Event"), the party who
has been so effected shall immediately give notice to the other party
and shall do everything possible to resume performance. Upon receipt
of such notice, all obligations under this AGREEMENT shall be
suspended immediately. If the period of nonperformance exceeds thirty
(30) days from the receipt of notice of the Force Majeure Event, the
party whose ability to perform has not been so affected may, by giving
written notice, terminate this AGREEMENT.
In particular, and without limiting the generality of the foregoing,
labor strife, work slowdown, other circumstances involving labor and
affecting the services to be provided hereunder and civil
disturbances, riots or epidemics affecting the services to be provided
hereunder or the cost thereof, shall be regarded as force majeure
events and shall be grounds for equitable price adjustments pursuant
to sections 29, 36(c) and 36(k) hereof.
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31. DEFAULT BY STATE:
If the DEPARTMENT, after sixty (60) days written notice, fails to
correct or cure any breach of this AGREEMENT, then CONTRACTOR may
cancel and terminate this AGREEMENT and collect monies due up to and
including the date of termination.
32. SUBSTANTIAL PERFORMANCE:
This AGREEMENT shall be deemed to have been substantially performed
only when fully performed according to its terms and conditions and
any modifications thereof.
33. WAIVER OF RIGHTS:
No right conferred on either party under this AGREEMENT shall be
deemed waived and no breach of this AGREEMENT excused, unless such
waiver or excuse shall be in writing and signed by the party claimed
to have waived such right.
34. DISPUTES:
Should any disputes arise with respect to this AGREEMENT, CONTRACTOR
and DEPARTMENT agree to act immediately to resolve such disputes. Time
is of the essence in the resolution of disputes.
CONTRACTOR agrees that, the existence of a dispute notwithstanding, it
will continue without delay to carry out all of its responsibilities
under this AGREEMENT which are not affected by the dispute. Should
CONTRACTOR fail to continue without delay to perform its
responsibilities under this AGREEMENT in the accomplishment of all
non-disputed work, any additional costs incurred by CONTRACTOR or the
DEPARTMENT as a result of such failure to proceed shall be borne by
CONTRACTOR, and CONTRACTOR shall make no claim against the DEPARTMENT
for such costs. If CONTRACTOR and DEPARTMENT cannot resolve a dispute
within ten (10) working days following notification in writing by
either party of the existence of said dispute, then the following
procedure shall apply:
The parties agree to resolve such matters through submission of their
dispute to the Commissioner of the Indiana Department of
Administration who shall reduce a decision to writing and mail or
otherwise furnish a copy thereof to CONTRACTOR and DEPARTMENT within
ten (10) working days after presentation of such dispute for her
decision. The decision shall be final and conclusive unless CONTRACTOR
mails or otherwise furnishes to the Commissioner of Administration,
within ten (10) days after receipt of the Commissioner's decision, a
written appeal. Within ten (10) working days of receipt, the
Commissioner may reconsider the decision. If no reconsideration is
provided within ten (10) working days or a negative reconsideration is
given, CONTRACTOR may submit the dispute to an Indiana court of
competent jurisdiction.
The DEPARTMENT may withhold payments on disputed items pending the
resolution of the dispute. The non-payment by the DEPARTMENT to
CONTRACTOR of one or more
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invoices in dispute shall not constitute default, however, CONTRACTOR
may bring suit to collect such monies without following the disputes
procedure contained herein.
35. [INTENTIONALLY LEFT BLANK]
36. ADDITIONAL PROVISIONS:
Parties agree to be bound by the following additional provisions:
a) Nurses/Pharmacists/Medical Staff/Clerical Staff. The ability
of the parties to successfully implement the provisions of
this AGREEMENT is dependent upon a full nursing, mental
health counseling and pharmaceutical staff and the
cooperation of DEPARTMENT (and its employees) in the
implementation of CONTRACTOR'S managed care guidelines.
CONTRACTOR and DEPARTMENT further acknowledge and agree that
the nursing staff and pharmacists at the IDOC SITES are and
during the term of this AGREEMENT will remain the employees
of the DEPARTMENT and that the observance and compliance by
all health care personnel with prudent managed care
guidelines, health care protocols and the Standards is vital
to satisfactory health care services. To that end,
CONTRACTOR and the DEPARTMENT agree as follows:
(i) As used in this AGREEMENT, the term "MINIMUM STAFFING
STANDARDS" means (A) with respect to the DEPARTMENT,
the staffing levels for nursing, mental health
counseling and pharmaceutical staff in place at each
IDOC SITE as of the date of this AGREEMENT, as such
staffing levels may be changed by mutual agreement of
CONTRACTOR and the DEPARTMENT from time to time; and
(B) with respect to CONTRACTOR, the staffing levels set
forth in the FINAL OFFER for each IDOC SITE, as such
staffing levels may be changed by mutual agreement of
CONTRACTOR and the DEPARTMENT from time to time.
(ii) CONTRACTOR shall specify to the DEPARTMENT medical
protocol and performance standards it believes are
necessary or desirable for the successful
implementation of this AGREEMENT. CONTRACTOR and the
DEPARTMENT shall reasonably agree upon the medical
protocol and performance standards necessary or
desirable for the successful implementation of this
AGREEMENT. The DEPARTMENT shall adopt such mutually
agreed upon standards as the protocol and performance
standards applicable to and required of its nursing
staff, mental health counselors, pharmacists and any
other health care professionals (or other persons
involved with the provision of health care services)
hereafter employed by or under separate contract with
the DEPARTMENT ("DEPARTMENT EMPLOYEES").
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(iii) CONTRACTOR shall supervise all DEPARTMENT EMPLOYEES
with respect to all clinical and medical practice
matters. CONTRACTOR agrees to provide training to
DEPARTMENT EMPLOYEES of the same type and nature as the
employees of CONTRACTOR to enable them to meet clinical
and medical practice standards established by
CONTRACTOR. In addition, CONTRACTOR agrees to provide
training to nonmedical employees of the DEPARTMENT as
CONTRACTOR determines is necessary to carry out the
terms of this AGREEMENT.
(iv) The DEPARTMENT shall provide all supervision of
DEPARTMENT EMPLOYEES with respect to all administrative
matters. CONTRACTOR shall notify the DEPARTMENT of any
standards involving DEPARTMENT EMPLOYEES that
CONTRACTOR believes are necessary to implement its
managed care guidelines, such as scheduling, changes in
MINIMUM STAFFING STANDARDS and qualifications and
credentials of medical professionals at each IDOC SITE,
and may include recommendations for meeting any such
standards. CONTRACTOR and the DEPARTMENT shall
reasonably agree upon such standards and the DEPARTMENT
shall use good faith efforts to meet and satisfy the
same, provided, however, that in the event the
DEPARTMENT is unable to satisfy any such standards,
CONTRACTOR may, subject to the provisions of section
36(m) hereof, enter into temporary contracts for the
satisfaction thereof to the extent necessary to carry
out its obligations under this AGREEMENT, the costs of
which shall be reimbursed to CONTRACTOR in accordance
with the terms of section 36(k) hereof.
(v) The DEPARTMENT shall provide training to CONTRACTOR and
its employees with respect to the terms, conditions and
implementation of all union settlement agreements,
state personnel rules and procedures and DEPARTMENT's
progressive disciplinary system applicable to all
DEPARTMENT EMPLOYEES. In addition, the DEPARTMENT shall
provide training to all of CONTRACTOR's personnel and
all DEPARTMENT EMPLOYEES with respect to the security
and custody of offenders at all IDOC SITES.
(vi) At the request of the DEPARTMENT, CONTRACTOR shall
cooperate in appraisals and evaluations of DEPARTMENT
EMPLOYEES and shall notify the DEPARTMENT of any
DEPARTMENT EMPLOYEE who fails to comply with the
applicable medical protocol and performance standards.
CONTRACTOR shall not sign off on any appraisals or
evaluations of DEPARTMENT EMPLOYEES.
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(vii) In the event any DEPARTMENT EMPLOYEE fails to comply
with CONTRACTOR's medical protocol and performance
standards, CONTRACTOR shall notify the DEPARTMENT, and
the DEPARTMENT shall resolve such situation as soon as
possible. If failure to follow medical protocols and
guidelines results in additional cost to CONTRACTOR,
such shall be subject to reimbursement pursuant to the
provisions of sections 36(h) and 36(k) hereof.
CONTRACTOR agrees to cooperate with the DEPARTMENT in
connection with any disciplinary procedure involving
any DEPARTMENT EMPLOYEE.
(viii) CONTRACTOR and the DEPARTMENT agree to cooperate in
interviewing personnel for all medical positions and
other positions that directly impact the delivery of
medical services pursuant to this AGREEMENT. Each
employee of the DEPARTMENT and CONTRACTOR shall, at a
minimum, satisfy the staffing qualifications applicable
to such employee's position as set forth in section
3.5(B) of the RFP. All CONTRACTOR and DEPARTMENT
personnel shall be recruited and employed in accordance
with the terms of this AGREEMENT and sections 3.5(B),
(D) and (E) of the RFP
b) Current Employees of DEPARTMENT. CONTRACTOR agrees to
interview, in good faith, all individuals currently employed
by the DEPARTMENT at any of the IDOC SITES who will not
remain DEPARTMENT EMPLOYEES after the COMMENCEMENT DATE
("CURRENT EMPLOYEE(S)"). CONTRACTOR and DEPARTMENT hereby
acknowledge and agree that the provisions of this subsection
(b) shall be in lieu of the provisions of the second
paragraph of section 3.5(A) of the RFP. In the event that
there is more than one candidate for any given position, the
CURRENT EMPLOYEE eligible for such position shall be given
the opportunity to fill such position so long as such
CURRENT EMPLOYEE is at least as qualified and as well suited
for the position as all other candidates for that position
(as reasonably determined by CONTRACTOR). CONTRACTOR shall
provide health insurance coverage to each CURRENT EMPLOYEE
that CONTRACTOR determines to hire, which coverage shall be
effective on the first day of such CURRENT EMPLOYEE'S
employment by CONTRACTOR. The DEPARTMENT agrees that it
shall conduct all background checks on all applicants for
employment, whether or not such candidates are CURRENT
EMPLOYEES, and shall provide a copy of the results of all
such background checks to CONTRACTOR. The DEPARTMENT may
refuse access to any IDOC SITE by an employee of CONTRACTOR
if the DEPARTMENT reasonably believes that the presence of
such employee at an IDOC SITE may threaten the safety or
security at such IDOC SITE. The DEPARTMENT further agrees to
provide copies of all performance appraisals in its
possession with respect to any candidate that is a
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CURRENT EMPLOYEE, subject to such candidate's consent, which
may be oral or written. If such consent is not received from
a candidate, the DEPARTMENT may nonetheless make such
performance appraisals available to CONTRACTOR, in the
DEPARTMENT'S sole discretion. In the event CONTRACTOR
determines not to hire a CURRENT EMPLOYEE, it shall promptly
notify the DEPARTMENT of such determination.
c) Modifications and Operational Decisions. It is understood
and agreed that there will be changes from time to time
necessary to accommodate changing standards of medical
practice as well as to clarify and implement the provisions
of this AGREEMENT. There shall be appointed by each party a
working group (the "WORKING GROUP") to discuss operational
issues, which WORKING GROUP shall include health care
representatives, human resources representatives and such
other persons as either DEPARTMENT or CONTRACTOR shall deem
appropriate. Such WORKING GROUP shall not exceed nine (9)
persons with representation from both parties, and the
identity of those representatives shall be determined by the
mutual consent of the parties.
In addition, there shall be appointed by each party to this
AGREEMENT no more than three (3) representatives each to a
contract administration group (the "CONTRACT ADMINISTRATION
GROUP") which shall have the authority to recommend
clarifications and modifications to this AGREEMENT. The
CONTRACT ADMINISTRATION GROUP shall recommend any changes in
pricing, performance standards and requests for upgraded or
changed services as may be agreed to by the parties,
provided that no documents amending this AGREEMENT shall be
binding except to the extent that they first pass through
the formal amendment process, where necessary, and are
signed by parties authorized on behalf of both sides to
execute a written agreement. Notwithstanding the foregoing,
at all times CONTRACTOR shall use its best efforts to abide
by the standards set forth currently by the NCCHC, subject
to the provisions of section 36(j) of this AGREEMENT and any
modifications implemented pursuant to this subsection of the
AGREEMENT of the parties. Notwithstanding the foregoing, it
is understood that certain recommended standards and
treatments may be modified from time to time and it is
intended that the CONTRACT ADMINISTRATION GROUP recommend
any appropriate adoption and pricing changes. It is
specifically understood that the CONTRACT ADMINISTRATION
GROUP will present recommendations regarding additional
services or personnel requested by the DEPARTMENT and any
changes to the MINIMUM STAFFING STANDARDS requested by
either party.
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d) Legal Representation/Indemnification.
CONTRACTOR and the DEPARTMENT each shall be solely
responsible for the acts and omissions of its respective
employees, agents and representatives in connection with the
performance of this AGREEMENT and the CONTRACT DOCUMENTS and
any judgment or award resulting from the acts or omissions
of its respective employees, agents and representatives. In
the event of any actual or threatened claim, dispute,
litigation, administrative or other action by any third
party against the DEPARTMENT, CONTRACTOR and/or either of
their respective employees, agents or representatives
arising from or in connection with this AGREEMENT and the
CONTRACT DOCUMENTS (a "LEGAL ACTION"), the DEPARTMENT and
CONTRACTOR shall each retain separate legal counsel and
shall be responsible for its own counsel's fees and
expenses. However, to the extent feasible, CONTRACTOR and
the DEPARTMENT agree to cooperate in good faith to resolve
any such LEGAL ACTION, and the DEPARTMENT further agrees to
assist CONTRACTOR in coordinating representation by the
Indiana Attorney General's Office in connection with any
LEGAL ACTION. Notwithstanding the foregoing, CONTRACTOR
acknowledges that the provisions of IC 34-4-16.5-2 are not
applicable to any of its employees. Nothing in this
AGREEMENT shall be construed as preventing the DEPARTMENT
from seeking legal representation from the Indiana Attorney
General.
e) Bonds. CONTRACTOR has previously provided a Bid Bond to IDOA
as required by the BID DOCUMENTS, and such shall be returned
to CONTRACTOR within fifteen (15) days of the execution of
this AGREEMENT. The parties further agree that the
Performance Bond required to be furnished to the DEPARTMENT
shall be equal to One Million Five Hundred Thousand Dollars
($1,500,000.00). The parties further agree that in the event
of termination of this AGREEMENT, all bonds held by the
DEPARTMENT or IDOA shall be immediately returned to
CONTRACTOR, but in any event not more than thirty (30) days
after termination of this AGREEMENT. In the event of a
default by CONTRACTOR under this AGREEMENT, the DEPARTMENT
may present the Performance Bond to the surety for
performance or payment of the DEPARTMENT's actual damages,
up to the amount of One Million Five Hundred Thousand
Dollars ($1,500,000.00).
f) Insurance. CONTRACTOR shall procure and maintain medical
malpractice insurance in accordance with the requirements of
the RFP or, in the alternative and at its option, CONTRACTOR
may satisfy the coverage requirements of Indiana's medical
malpractice law (IC 27-12-1-1 et seq.) and contribute to the
fund established thereunder.
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g) Equipment and Supplies. The DEPARTMENT shall deliver to
CONTRACTOR prior to the INITIAL IMPLEMENTATION DATE a
current and complete inventory of all equipment and
facilities located at each IDOC SITE, which inventory shall
be substantially the same as contained in the Technical
Library at the time of issuance of the RFP (the "EXISTING
EQUIPMENT"). The DEPARTMENT'S obligations shall be to (i)
deliver all EXISTING EQUIPMENT and facilities to CONTRACTOR
in good working condition and repair, (ii) provide all
equipment and facilities necessary to carry out this
AGREEMENT with respect to an expansion of any IDOC SITE,
whether resulting from growth in offender population,
physical expansion of an IDOC SITE, inclusion of a new
facility within the IDOC SITES covered hereunder or
otherwise, and (iii) subject to the provisions of section
11, make available to CONTRACTOR on a daily basis by data
transfer from the DEPARTMENT's MIS offender tracking system
such information on each offender included within the PER
DIEM RATE as is necessary for CONTRACTOR to fulfill its
obligations hereunder, including, without limitation, the
name, gender, date of birth of each offender and IDOC SITE
to which such offender is currently assigned. Except as
otherwise provided in the immediately preceding sentence,
CONTRACTOR shall provide all equipment necessary to carry
out this AGREEMENT, repair and maintain in good order and
condition all equipment, including, without limitation,
those items identified in the BID DOCUMENTS (except that,
notwithstanding anything in the BID DOCUMENTS to the
contrary, CONTRACTOR shall not be required to provide time
clocks at any IDOC SITE), and to replace such equipment as
is reasonably necessary to meet the STANDARDS of the NCCHC.
Notwithstanding the foregoing, any repair or replacement of
a piece of EXISTING EQUIPMENT with a replacement cost of
Five Thousand Dollars ($5,000.00) or more that becomes
necessary within the first six (6) months after the
implementation date at the IDOC SITE where such EXISTING
EQUIPMENT is operated shall be the responsibility of the
DEPARTMENT. Further, to the extent the CONTRACTOR elects to
use existing DEPARTMENT hardware and software systems and
data bases (such as the pharmacy and portions of the
offender tracking system), such shall be repaired and
maintained by the DEPARTMENT. All EXISTING EQUIPMENT and any
other equipment purchased by the DEPARTMENT shall be the
property of the DEPARTMENT. All equipment provided or
purchased by CONTRACTOR in furtherance of this AGREEMENT
shall be the property of CONTRACTOR unless and until
purchased by the DEPARTMENT pursuant to this AGREEMENT.
In the event of an emergency, CONTRACTOR may procure any
necessary equipment which is otherwise the DEPARTMENT's
responsibility, which procurement shall constitute
ADDITIONAL SERVICES hereunder, and the DEPARTMENT shall
reimburse CONTRACTOR for the cost of such equipment in
accordance with the provisions of section 36(k). CONTRACTOR
shall provide to the DEPARTMENT, on a quarterly basis, an
accounting of all equipment purchased by CONTRACTOR in
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furtherance of this AGREEMENT. At the termination of this
AGREEMENT, the DEPARTMENT shall pay to CONTRACTOR an amount
sufficient to purchase equipment purchased by CONTRACTOR in
carrying out this AGREEMENT and any additional software or
computer equipment provided by CONTRACTOR pursuant to the
BID DOCUMENTS, based on a straight-line depreciation
schedule over the four (4) year term of this AGREEMENT;
provided, however, that if such amount is less than One
Thousand Dollars ($1,000.00), such equipment shall become
the property of the DEPARTMENT at no cost; and provided
further, however, that CONTRACTOR shall notify the
DEPARTMENT prior to purchasing any piece of equipment with a
cost of Five Thousand Dollars ($5,000.00) or more, and any
such piece of equipment shall be deemed to be part of the
equipment to be purchased by the DEPARTMENT at the
termination of this AGREEMENT unless the DEPARTMENT shall
object in writing to CONTRACTOR'S purchase thereof within
thirty (30) days of such notice, in which case the
DEPARTMENT'S obligations to purchase such equipment at the
termination of this AGREEMENT shall be determined by the
CONTRACT ADMINISTRATION GROUP pursuant to the provisions of
section 36(c) hereof.
h) Pricing and Adjustments. It is understood and agreed that
the pricing set forth herein contemplates that the parties
have agreed on a total state coverage for this AGREEMENT.
Further, to the extent that additional reimbursements by the
DEPARTMENT are established pursuant to the terms of this
AGREEMENT, at the DEPARTMENT'S election, such may be
reimbursed on a lump sum basis (with no more than a 15%
add-on for administration and purchasing), or the parties
may agree to an adjustment to the Per Diem Rates sufficient
to cover such reimbursement costs, together with other
reasonable costs thereof or the parties may agree to other
terms for reimbursement pursuant to section 36(k) below.
(i) Notwithstanding the foregoing, it is understood and
agreed that the implementation of this AGREEMENT shall
be phased-in in accordance with subsection (o) below.
CONTRACTOR and the DEPARTMENT agree that, until the
FINAL IMPLEMENTATION DATE, "Per Diem Rates" shall mean,
for any region, the per diem rates for such region set
forth in the FINAL OFFER, and after the FINAL
IMPLEMENTATION DATE, Per Diem Rates shall be as set
forth herein. CONTRACTOR and the DEPARTMENT agree that,
during the phased implementation of this AGREEMENT,
CONTRACTOR shall be responsible for the payment of only
those third party provider payment claims, or portion
thereof, for health services provided to an offender at
a time when such offender is included within the Per
Diem Rates or for which CONTRACTOR receives
reimbursement as an ADDITIONAL SERVICE under section
36(k) hereof. The DEPARTMENT shall be responsible for
payment of all other third party provider payment
claims. In the
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event CONTRACTOR or the DEPARTMENT receives a third
party provider invoice or request for payment for
health services requested or approved by the other
party hereto, it shall immediately forward to the
other party hereto such invoice or request for
payment. CONTRACTOR and the DEPARTMENT shall each use
good faith efforts to ensure that all third party
provider payment claims for which it is responsible
are paid in a timely manner.
(ii) Notwithstanding any other provisions of this
AGREEMENT to the contrary, during the phased
implementation, the DEPARTMENT shall reimburse
CONTRACTOR for overhead expenses pursuant to the
following formula:
No. of Offenders not covered by Per Diem Rates X
Overhead Expenses Official offender count of the
DEPARTMENT
Overhead Expenses shall be determined on a monthly
basis and paid in arrears with the next monthly
payment. Reimbursement for partial months shall
be prorated on a daily basis.
As used herein, "Overhead Expenses" means all
expenses of CONTRACTOR (including employees,
facilities, equipment and materials) attributable
to statewide services under this AGREEMENT and
not attributable directly to specific IDOC SITES
already implemented hereunder.
i) Outside Vendors/Providers/Hospitals. The parties understand
and agree that the CONTRACTOR shall enter into agreements
with certain health service providers, including doctors,
ambulance services and others. Notwithstanding the foregoing
in the event that the DEPARTMENT notifies the CONTRACTOR in
writing that certain providers are providing an unacceptable
level of service, the CONTRACTOR shall in good faith work to
make such changes as are necessary to accommodate the wishes
of the DEPARTMENT. It is also agreed that while certain
contractors were identified in the BID DOCUMENTS as being
potential subcontractors and providers of services, such is
dependent upon the good faith negotiations of certain
parties which are not party to this AGREEMENT. Therefore,
CONTRACTOR shall not be required to contract with such
persons. The DEPARTMENT may refuse access to any IDOC SITE
by any of CONTRACTOR's subcontractors or health service
providers if the DEPARTMENT reasonably believes that the
presence of such subcontractor or health service provider at
an IDOC SITE may threaten the safety or security at such
IDOC SITE.
The CONTRACTOR shall seek in good faith to negotiate
reasonable agreements with such hospitals and other off-site
providers as may be
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suggested by the DEPARTMENT. Further, so long as the current
locked patient units at Xxxxxxx Memorial Hospital
(Indianapolis), Memorial Hospital (Michigan City) and Xxxx
Xxxxxxx Hospital (Xxxxxxxx) are available to the CONTRACTOR
at the current per diem and physician reimbursement rates
available to the DEPARTMENT (or such other rates as are
satisfactory to CONTRACTOR) and are in compliance with
CONTRACTOR's Utilization Management Processes, the
CONTRACTOR agrees that it shall use such hospital facilities
for at least the first six (6) months of the term of this
AGREEMENT. Thereafter, the CONTRACTOR shall work with the
DEPARTMENT to insure that satisfactory arrangements are
made.
j) Accreditation. The parties agree to work in good faith
toward accreditation pursuant to the STANDARDS of the NCCHC
("ACCREDITATION") of those IDOC SITES where on-site health
care service is provided, as listed in Exhibit A attached
hereto. Such ACCREDITATION shall occur as soon as
practicable but in any event within twenty-four (24) months
of the FINAL IMPLEMENTATION DATE of this AGREEMENT (as
hereinafter defined). The parties further agree to work in
good faith thereafter to continuously operate each IDOC SITE
at NCCHC operating standards. It is understood and agreed
that the DEPARTMENT believes that ACCREDITATION is an
important provision of this AGREEMENT. However, the parties
also agree that certain provisions of ACCREDITATION rely
integrally on the DEPARTMENT, the DEPARTMENT's STANDARDS,
and the cooperation of the DEPARTMENT and employees,
especially nurses and other health care professionals, under
the direction and control of the DEPARTMENT. The parties
further acknowledge and agree that the MINIMUM STAFFING
STANDARDS for some of the IDOC SITES are or may be
inconsistent with NCCHC standards and therefore preclude
ACCREDITATION of those IDOC SITES. Notwithstanding anything
contained herein or in the RFP or other BID DOCUMENTS to the
contrary, CONTRACTOR shall not be required to obtain or
maintain ACCREDITATION of any IDOC SITE for which the
MINIMUM STAFFING STANDARDS are inconsistent with NCCHC
standards. Further, if ACCREDITATION is required under this
AGREEMENT and is not obtained or maintained due to no
failure by CONTRACTOR to perform its obligations hereunder,
such shall not be a default hereunder and the DEPARTMENT
shall pay any additional costs associated with obtaining
such ACCREDITATION (fees, survey costs, etc.). However, if
ACCREDITATION required by this AGREEMENT is not obtained on
or before twenty-four (24) months after the FINAL
IMPLEMENTATION DATE, and such failure to obtain required
ACCREDITATION is due solely to the responsibility of the
CONTRACTOR, then the CONTRACTOR agrees that it shall pay
liquidated damages to the DEPARTMENT in the amount of One
Hundred Thousand Dollars ($100,000.00) for each such IDOC
SITE for which required ACCREDITATION is not obtained and/or
maintained, and shall
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continue to work toward ACCREDITATION as expeditiously as
possible. In the event that the CONTRACTOR is unable to
obtain required ACCREDITATION and pays the liquidated
damages amount, and thereafter the CONTRACTOR is able to
obtain such ACCREDITATION, the CONTRACTOR shall receive a
refund of the pro rata share of such liquidated damages from
the DEPARTMENT, based upon a fraction whereby the number of
days elapsed since the FINAL IMPLEMENTATION DATE is the
numerator, and the number of days from the FINAL
IMPLEMENTATION DATE to the final termination of this
AGREEMENT is the denominator.
k) Special Reimbursements. In the event the DEPARTMENT changes
existing medical directives or the mutually agreed formulary
dated April 4, 1997, and such change impacts CONTRACTOR's
costs of performing under this AGREEMENT, adjustments in
compensation to CONTRACTOR, whether upwards or downwards,
shall be determined in accordance with the provisions of
sections 36(c), 36(h) and 36(k) hereof. CONTRACTOR shall not
commence the additional work or change the scope of the work
until authorized in writing by the DEPARTMENT and no claim
for additional compensation in connection with such changes
in medical directives or formulary shall be made in the
absence of a prior written approval executed by all
signatories hereto amending this AGREEMENT by formal
amendment process, where necessary. In addition, CONTRACTOR
has agreed, at the DEPARTMENT's request and subject to the
terms of this subparagraph, to provide certain health
services more particularly described in Exhibit B attached
hereto which are not contemplated by or included in the BID
DOCUMENTS (the "ADDITIONAL SERVICES"). The DEPARTMENT shall
reimburse CONTRACTOR monthly for the amounts agreed upon for
such ADDITIONAL SERVICES or, if no amount for reimbursement
has been agreed upon, the actual cost of providing
ADDITIONAL SERVICES, provided that the DEPARTMENT shall have
no obligation to reimburse CONTRACTOR for that portion of
its actual costs which exceed the usual and customary
charges for such services by other health care providers in
the area. Further, the DEPARTMENT may request, and
CONTRACTOR may agree, to provide other ADDITIONAL SERVICES
in the future, or it may become necessary, due to emergency
or other unforeseeable circumstances, for CONTRACTOR to
provide ADDITIONAL SERVICES not otherwise identified herein.
The DEPARTMENT and CONTRACTOR agree that provision of any
such future ADDITIONAL SERVICES and the reimbursement by the
DEPARTMENT to CONTRACTOR therefor shall, to the extent
possible, be determined by good faith negotiations of the
CONTRACT ADMINISTRATION GROUP pursuant to section 36(c) of
this AGREEMENT. Notwithstanding the foregoing, CONTRACTOR
shall not be responsible for providing or supervising the
provision of substance abuse counseling unless otherwise
specifically agreed. Additionally, the DEPARTMENT represents
that, to its knowledge, as of the date of execution of this
AGREEMENT, there is no offender located at any IDOC
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SITE for whom an organ transplant is or foreseeably may
become medically necessary. However, should an organ
transplant become medically necessary for an offender
included within the PER DIEM RATE during the term hereof,
such organ transplant shall be included in the services to
be provided by CONTRACTOR under this AGREEMENT; provided,
however, that the services to be provided by CONTRACTOR
hereunder shall not include any services or costs with
respect to or incurred by or in connection with any organ
donor.
l) Mental Health. It is understood and agreed that the
CONTRACTOR shall not be responsible for substance abuse
disorder treatment. However, the parties agree to work
cooperatively to establish standards for a determination as
to which offenders shall meet the definitions in the mental
health coverage that is required under this AGREEMENT.
m) Vacancies. CONTRACTOR shall use all reasonable efforts to
fill any personnel vacancies as expeditiously as possible.
In the event a vacancy in a position which is included in
the MINIMUM STAFFING STANDARDS is not filled within thirty
(30) days after becoming vacant, the DEPARTMENT may setoff
against the next monthly reimbursement due to CONTRACTOR an
amount equal to one hundred thirty percent (130%) of
CONTRACTOR's statewide average salary for such vacant
position for the period of time it is vacant; provided,
however, that if CONTRACTOR's failure to fill such vacancy
within thirty (30) days is due, in whole or in part, to the
DEPARTMENT's clearance and preapproval procedures or an
agreed upon change in MINIMUM STAFFING STANDARDS, no such
penalty shall be assessed or be payable.
The DEPARTMENT shall use all reasonable efforts to fill any
DEPARTMENT EMPLOYEE (as defined in section 36(a)(i))
vacancies as expeditiously as possible. CONTRACTOR shall
promptly notify the DEPARTMENT upon becoming aware of any
such vacancy and, in the event the DEPARTMENT has not filled
such vacancy within forty-five (45) days after such notice,
and CONTRACTOR and the DEPARTMENT mutually agree, in good
faith, CONTRACTOR may contract on a temporary basis to fill
such vacancy; provided, however, that CONTRACTOR may
contract on a temporary basis as necessary to fill a vacancy
in a position included within the MINIMUM STAFFING STANDARDS
or as otherwise necessary to comply with state and federal
law immediately after notice to the DEPARTMENT's medical
director. Resolving any DEPARTMENT EMPLOYEE vacancy on a
temporary contract basis shall constitute ADDITIONAL
SERVICES under this AGREEMENT and the DEPARTMENT shall
reimburse CONTRACTOR for all costs associated therewith in
accordance with section 36(k) of this AGREEMENT. Such
temporary contracting pursuant to this section shall be
subject to the same background checks and employment
conditions and standards as other DEPARTMENT EMPLOYEES.
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n) Existing Legal Actions. The parties hereto acknowledge that
there are certain legal orders, agreed entries, consent
decrees and other matters which may affect the services
provided hereunder (collectively "JUDICIAL ORDERS"), and
those which currently exist are as follows:
(i) an Agreed Entry in the matter of Xxxxxxxx x. Xxx (Civil
Action No. 583-0481), dated ____________ ___, 1988,
relating to Westville Correctional Center;
(ii) an Entry of Agreed Order in the matters of Xxxxxxx x.
Xxxxxxxx (Cause No. 579-32), Xxxxx x. Xxxxxxxxx (Cause
No. 577-35) and Xxxxxxx x. Xxxxx (Cause No. 576-187),
dated October 11, 1985, relating to the Indiana State
Prison;
(iii) the decision of the Seventh Circuit Court of Appeals
in French x. Xxxxx (Cause Nos. 83-2280 and 85-1065),
decided November 26, 1985 relating to the Indiana State
Prison;
(iv) the Amended Order of the Federal Court of the Southern
District of Indiana in French x. Xxxxx (Civil Action
No. IP-75-677-C), dated December 14, 1984, relating to
the Pendleton Reformatory;
(v) the Agreed Entry in Xxx x. Xxx (Cause No. IP-82-477-C),
dated February 18, 1986, relating to the State Farm;
(vi) the Entry of the United States District Court for the
Northern District of Indiana in Xxxxx x. Xxxx (Civil
Action No. 3:92-CV-429AS), dated January 3, 1994,
including an Agreed Entry relating to the Maximum
Control complex; and
(vii) Stipulation to Enter Consent Decree in the United
States District Court for the Southern District of
Indiana in W.C. & X.X. x. Xxxxx & Xxxxx (Civil Action
No. IP-90-40-C), dated _______ ___, 19__, relating to
the Boys School.
While it is agreed that CONTRACTOR shall abide by the terms
of the existing JUDICIAL ORDERS, it is also understood that
such shall not bind CONTRACTOR to the extent the JUDICIAL
ORDERS relate to matters outside the scope of this AGREEMENT
(such as non-medical matters), or which are expressly
excluded from this AGREEMENT (such as over-the-counter
pharmaceuticals). To the extent requested by the DEPARTMENT,
CONTRACTOR and the DEPARTMENT shall negotiate in good faith
to modify this AGREEMENT to comply with any additional
JUDICIAL ORDERS and to comply with the terms of any
additional JUDICIAL ORDERS. To the extent that such
modification and/or compliance would result in additional
cost to CONTRACTOR, and such additional JUDICIAL ORDERS do
not result from a failure by CONTRACTOR to perform
hereunder, such modification and/or
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compliance shall constitute ADDITIONAL SERVICES under this
AGREEMENT and the DEPARTMENT shall reimburse CONTRACTOR for
all costs associated therewith in accordance with section
36(k) of this AGREEMENT. Further, the parties shall
cooperate in seeking to obtain modification or release from
the existing JUDICIAL ORDERS to the extent that such are
inconsistent with prudent managed care practices.
o) Implementation Timing. At the request of the DEPARTMENT, the
CONTRACTOR has agreed to a phased implementation process. It
is agreed that on or before sixty (60) days after all
required signatures have been affixed to this AGREEMENT
("INITIAL IMPLEMENTATION DATE"), the CONTRACTOR shall
implement the services at the Correctional Industrial
Facility located at Pendleton, Indiana, and the Xxxxxxxxx
Correctional Facility located at Pendleton, Indiana (both
sites as identified in the BID DOCUMENTS). Not earlier than
sixty (60) days, nor later than ninety (90) days thereafter,
the CONTRACTOR shall commence implementation of services at
the other IDOC SITES delineated in the RFP, according to the
implementation schedule attached hereto as Exhibit C, with
final implementation at all IDOC SITES as therein indicated
("FINAL IMPLEMENTATION DATE"). The parties shall use good
faith efforts to comply with such implementation schedule.
CONTRACTOR shall use its best efforts to notify the
DEPARTMENT of the IMPLEMENTATION DATE for each IDOC SITE
thirty (30) days in advance of such IMPLEMENTATION DATE, if
possible, or on the earliest date as is reasonably feasible.
p) Co-Payment Procedures. There are certain co-payment
procedures which are currently being established by the
DEPARTMENT. The CONTRACTOR agrees to be bound thereby and to
use good faith efforts to implement such co-payment
procedures. The intended co-payment procedures are set forth
in the attached Exhibit D, and to the extent of such a
change, the parties will work together in good faith to
agree on any changes thereto.
q) Cooperation with Facilities. It is understood and agreed
that there are certain statutory authorities designated to
the superintendents of each facility as set forth in
applicable law. The parties hereby agree to cooperate in
implementing the services hereby and facilitating the
statutory obligations of the superintendents. Further,
CONTRACTOR shall cooperate with internal DEPARTMENT
procedures on monitoring and disciplining offenders,
including the Conduct Adjustment Board, and shall report to
the DEPARTMENT any violations of such procedures by
offenders.
r) Additional Facilities. To the extent that if additional
correctional facilities are placed in service by the
DEPARTMENT during the term of this AGREEMENT, the DEPARTMENT
may by memorandum of understanding adopted through the
formal amendment process, where
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necessary, bring such facilities under the terms of this
AGREEMENT as an IDOC SITE.
37. MAINTAINING A DRUG-FREE WORKPLACE:
Pursuant to Executive Order No. 90-5, CONTRACTOR covenants and agrees
to the following:
a) CONTRACTOR agrees to make a good faith effort to provide and
maintain during the term of this AGREEMENT a drug-free
workplace, and that it will give written notice to the
DEPARTMENT and the Indiana Department of Administration
within ten (10) days after receiving actual notice that an
employee of CONTRACTOR has been convicted of a criminal drug
violation occurring in CONTRACTOR'S workplace.
b) In addition to the provisions of subparagraph (a) above, if
the total amount set forth in this AGREEMENT is in excess of
Twenty-Five Thousand Dollars ($25,000.00), CONTRACTOR hereby
further agrees that this AGREEMENT is expressly subject to
the terms, conditions and representations contained in the
"Drug-Free Workplace Certification" executed by CONTRACTOR
in conjunction with this AGREEMENT and which is set forth in
section 38 of this AGREEMENT.
c) It is further expressly agreed that the failure of
CONTRACTOR to comply in good faith with the terms of
subparagraph (a) above, or falsifying or otherwise violating
the terms of the certification referenced in subparagraph
(a) above, or falsifying or otherwise violating the terms of
the certification referenced in subparagraph (b) above,
shall constitute a material breach of this AGREEMENT, and
shall entitle the State of Indiana to impose sanctions
against the CONTRACTOR including, but not limited to,
suspension of contract payments, termination of this
AGREEMENT and/or debarment of the CONTRACTOR from doing
further business with the State of Indiana for up to three
(3) years.
38. DRUG-FREE WORKPLACE CERTIFICATION:
This certification is required by Executive Order No. 90-5, April 12,
1990, issued by the Governor of Indiana. Pursuant to its delegated
authority, IDOA is requiring the inclusion of this certification in
all contracts with and grants from the State of Indiana in excess of
Twenty-Five Thousand Dollars ($25,000.00). No award of a contract
shall be made, and no contract, purchase order or agreement, the total
amount of which exceeds Twenty-Five Thousand Dollars ($25,000.00),
shall be valid unless and until this certification has been fully
executed by CONTRACTOR and made a part of the AGREEMENT as part of the
CONTRACT DOCUMENTS. False certification or violation of the
certification may result in sanctions including, but not limited to,
suspension of contract payments, termination of AGREEMENT and/or
debarment of contracting opportunities with the State of Indiana for
up to three (3) years.
25
26
CONTRACTOR certifies and agrees that it will provide a drug-free workplace
by:
a) Publishing and providing to all of its employees a statement notifying
employees that the unlawful manufacture, distribution, dispensing,
possession or use of a controlled substance is prohibited in
CONTRACTOR's workplace and specifying the actions that will be taken
against employees for violations of such prohibition;
b) Establishing a drug-free awareness program to inform employees of (1)
the dangers of drug abuse in the workplace; (2) CONTRACTOR's policy of
maintaining a drug-free workplace; (3) any available drug counseling,
rehabilitation, and employee assistance programs; and (4) the
penalties that may be imposed upon an employee for drug abuse
violations occurring in the workplace;
c) Notifying all employees in the statement required by subparagraph (a)
above that as a condition of continued employment the employee will
(1) abide by the terms of the statement; and (2) notify the employer
of any criminal drug statute conviction for a violation occurring in
the workplace no later than five (5) days after such conviction;
d) Notifying in writing the DEPARTMENT and IDOA within ten (10) days
after receiving notice from an employee under subparagraph (c)(2)
above, or otherwise receiving actual notice of such conviction;
e) Within thirty (30) days after receiving notice under subparagraph
(c)(2) above of a conviction, imposing the following sanctions or
remedial measures on any employees who is convicted of drug abuse
violations occurring in the workplace: (1) take appropriate personnel
action against the employee, up to and including termination; or (2)
require such employee to satisfactorily participate in a drug abuse
assistance or rehabilitation program approved for such purposes by a
federal, state or local health, law enforcement, or other appropriate
agency; and
f) Making a good faith effort to maintain a drug-free workplace through
the implementation of subparagraphs (a) through (e) above.
39. NON-COLLUSION AND ACCEPTANCE:
The undersigned attests under penalties of perjury that he is the
contracting party, or that he is the representative, agent, member or
officer of the contracting party, that he has not, nor has any other
member, employee, representative, agent or officer of the firm,
company, corporation or partnership represented by him, directly or
indirectly, to the best of his knowledge, entered into or offered to
enter into any combination, collusion or agreement to receive or pay,
and that he has not received or paid, any sum of money or other
consideration for the execution of this AGREEMENT other than that
which appears on the face of the AGREEMENT.
The parties having read and understand the foregoing terms of the
AGREEMENT do by their respective signatures dated below hereby agree
to the terms thereof, including, if this
26
27
AGREEMENT is in excess of Twenty-Five Thousand Dollars ($25,000.00),
paragraph 38, Drug-Free Workplace Certification.
IN WITNESS WHEREOF, the parties hereunto affixed their signatures:
For CONTRACTOR: For DEPARTMENT:
PRISON HEALTH SERVICES, INC. Attested By: /s/ Xxxxxx X. Xxxx
-------------------
Printed Name: Xxxxxx Xxxx
Title: Commissioner
By: Date: 4-18-97
------------------------
(authorized signature)
------------------------
Name: (print or type)
Chairman
--------------------
Title or Official Capacity: (print or type)
Date: 4/18/97
APPROVED: APPROVED AS TO LEGALITY AND FORM:
STATE BUDGET AGENCY
/s/ Xxxxx X. Xxxxx, Xx. /s/ Xxxxx X. Xxxxx, Deputy
-------------------------- ----------------------------
Xxxxx Xxxxx Xxxxxxx Xxxxxxxx
Director Attorney General of Indiana
Date: 5/8/97 Date: 5-8-97
APPROVED:
INDIANA DEPARTMENT OF ADMINISTRATION
/s/ Xxx X. XxXxxxx, Xx.
-------------------------------
Xxxxx Xxxxxxx
Commissioner
Date: May 1, 1997
27
28
EXHIBIT A
IDOC FACILITIES TO BE NCCHC ACCREDITED
ADP INDIANA (as of July 1996) NOW KNOWN AS:
----------- ------------
Central
Indiana State Reformatory Xxxxxxxxx Correctional Facility
Correctional Industrial Complex Correctional Industrial Facility
Indiana Women's Intake Unit
Indianapolis Women's Work Release Indianapolis Women's Work Release Center
Indiana Women's Prison
Reception Diagnostic
Indiana Youth Center Plainfield Correctional Facility
Indiana Boys' School Plainfield Juvenile Correctional Facility
Indiana Girls' School Indianapolis Juvenile Correctional Facility
Southern
Indiana State Farm Putnamville Correctional Facility
Henryville Correctional Unit Henryville Correctional Facility
Madison Correctional Unit Madison Correctional Facility
Rockville Training Center Rockville Correctional Facility
Wabash Valley Correctional Wabash Valley Correctional Facility
Branchville Training Center Branchville Correctional Facility
Northern
Indiana State Prison
Lakeside Correctional Center Lakeside Correctional Facility
North Central Juvenile Facility North Central Juvenile Correctional Facility
Medaryville Correctional Unit Medaryville Correctional Facility
Maximum Control Complex Maximum Control Facility
Westville Correctional Center/Psych Westville Correctional Facility
Westville Transition Unit Westville Transitional Facility
29
EXHIBIT B
1. Vaccines for offenders in addition to those required by IC 20-8.1-7-9.5,
for which CONTRACTOR shall be reimbursed at cost.
2. Periodic routine physicals (excluding psychiatric evaluations) provided at
the IDOC SITES for DEPARTMENT EMPLOYEES, for which CONTRACTOR shall be
reimbursed in the amount agreed upon by the parties.
3. Emergency health care services outside of the offender care services
anticipated by the CONTRACT DOCUMENTS with respect to which CONTRACTOR
incurs additional significant costs. CONTRACTOR agrees to consult with the
medical director of the applicable IDOC SITE or superintendent at the
applicable IDOC SITE, to the extent possible, before providing emergency
health care services outside of the offender care services anticipated by
the CONTRACT DOCUMENTS; provided, however, that CONTRACTOR will not refuse
to provide first response emergency care as necessary.
30
EXHIBIT C
IDOC SITES AND PROJECTED START DATES
CENTRAL ADP PHASE I PHASE II PHASE III
------- ----- ------- -------- ---------
Pendleton Correctional Facility 1,592 *60 DAYS
Correctional Industrial Facility 1,250 60 DAYS
Indianapolis Men's Work Release Center 31 75 DAYS
Plainfield Juvenile Correctional Facility 380 90 DAYS
Indianapolis Juvenile Correctional Facility 193 90 DAYS
Reception Diagnostic Center 650 120 DAYS
Plainfield Correctional Facility 1,276 120 DAYS
Indiana Women's Intake Unit 380 165 DAYS
Indianapolis Women's Work Release Center 18 165 DAYS
Indiana Women's Prison 113 165 DAYS
---
TOTAL 5,883
SOUTHERN
Xxxxxxxxx Correctional Facility 74 75 DAYS
Edinburgh Correctional Facility 99 75 DAYS
Henryville Correctional Facility 106 75 DAYS
Madison Correctional Facility 180 90 DAYS
Rockville Correctional Facility 388 90 DAYS
Bloomington Juvenile Correctional Facility 54 75 DAYS
Putnamville Correctional Facility 1,645 105 DAYS
Branchville Correctional Facility 836 105 DAYS
Wabash Valley Correctional Facility 907 120 DAYS
---
TOTAL 4,289
NORTHERN
Northeast Juvenile Correctional Facility 47 135 DAYS
Ft. Xxxxx Juvenile Correctional Facility 40 135 DAYS
Chain O'Lakes Correctional Facility 100 135 DAYS
South Bend Work Release Center 72 135 DAYS
South Bend Juvenile Correctional Facility 43 135 DAYS
Camp Summit 44 135 DAYS
Lakeside Correctional Facility 313 150 DAYS
Logansport Juvenile Intake/Diag. Facility 79 150 DAYS
North Central Juvenile Correctional Facility 126 150 DAYS
Medaryville Correctional Facility 121 150 DAYS
Indiana State Prison 1,721 180 DAYS
Maximum Control Facility 53 180 DAYS
Westville Correctional Facility 2,744 180 DAYS
Westville Transition Facility 194 180 DAYS
---
TOTAL 5,697
GRAND TOTAL 15,869
*Days after contract finally executed
31
EXHIBIT D
TITLE 210 DEPARTMENT OF CORRECTION
FINAL RULE
LSA Document #96-64 (F)
DIGEST
Adds 210 IAC 7 concerning the administration of offender health care
co-payments. This article complies with IC 11-10-3-5: (1) provides that an
inmate committed to the department may be required to make a co-payment for
health care related services provided during the inmate's confinement; (2)
provides for certain exceptions; and (3) requires money collected to be used to
reimburse the department of correction. Effective 30 days after filing with the
secretary of state.
210 IAC 7
SECTION 1. 210 IAC 7 IS ADDED TO READ AS FOLLOWS:
ARTICLE 7. OFFENDER HEALTH CARE CO-PAYMENT PROCEDURES
RULE 1. GENERAL PROVISIONS; APPLICABILITY
210 IAC 7-1-1 DEFINITIONS; APPLICABILITY
AUTHORITY: IC 11-10-3-5
AFFECTED: IC 11-10-3
SEC. 1. THE DEFINITIONS IN THIS RULE APPLY THROUGHOUT THIS ARTICLE.
(Department of Correction; 210 IAC 7-1-1)
210 IAC 7-1-2 "CHRONICALLY PRESCRIBED MEDICATION" DEFINED
AUTHORITY: IC 11-10-3-5
AFFECTED: IC 11-10-3
SEC. 2. "CHRONICALLY PRESCRIBED MEDICATION" MEANS A DRUG OR
SUBSTANCE PRESCRIBED REPEATEDLY OVER A PROLONGED PERIOD OF TIME, USUALLY IN THE
TREATMENT OF A CHRONIC ILLNESS. (Department of Correction; 210 IAC 7-1-2)
210 IAC 7-1-3 "CO-PAYMENT" DEFINED
AUTHORITY: IC 11-10-3-5
AFFECTED: IC 11-10-3
SEC. 3. "CO-PAYMENT" MEANS THE SHARE OF THE COSTS OF PROVIDING HEALTH
CARE RELATED SERVICES OR GOODS PAID BY AN OFFENDER. (Department of Correction;
210 IAC 7-1-3)
1
32
210 IAC 7-1-4 "DEPARTMENT" DEFINED
AUTHORITY: IC 11-10-3-5
AFFECTED: IC 11-10-3
SEC. 4. "DEPARTMENT" MEANS DEPARTMENT OF CORRECTION. (Department of
Correction; 210 IAC 7-1-4)
210 IAC 7-1-5 "HEALTH CARE SERVICES" DEFINED
AUTHORITY: IC 11-10-3-5
AFFECTED: IC 11-10-3
SEC. 5. "HEALTH CARE SERVICES" MEANS ANY SERVICES, INCLUDING MEDICAL,
DENTAL, EYE OR HEARING CARE, OR PHARMACY PROVIDED BY THE DEPARTMENT TO
OFFENDERS. THESE SERVICES MAY BE PROVIDED EITHER BY DEPARTMENT STAFF, THROUGH A
CONTRACT, OR BY A PRIVATE PROVIDER SELECTED BY THE DEPARTMENT. MENTAL HEALTH
SERVICES AND THE PRESCRIPTION OF PSYCHOTROPIC OR NEUROLEPTIC MEDICATIONS ARE
NOT INCLUDED IN THESE SERVICES. (Department of Correction; 210 IAC 7-1-5)
210 IAC 7-1-6 "HEALTH CARE SERVICES STAFF" DEFINED
AUTHORITY: IC 11-10-3-5
AFFECTED IC 11-10-3
SEC. 6. "HEALTH CARE SERVICES STAFF" MEANS HEALTH CARE PROFESSIONALS
INCLUDING:
(1) PHYSICIANS;
(2) NURSES;
(3) DENTISTS;
(4) OPTOMETRISTS; AND
(5) SPECIALISTS;
WHO ARE EITHER STAFF OR PROVIDE SERVICES TO THE DEPARTMENT AT THE REQUEST OF
THE DEPARTMENT. (Department of Correction; 210 IAC 7-1-6)
210 IAC 7-1-7 "NEUROLEPTIC MEDICATION" DEFINED
AUTHORITY: IC 11-10-3-5
AFFECTED: IC 11-10-3
SEC. 7. "NEUROLEPTIC MEDICATION" MEANS PSYCHOTROPIC MEDICATION
UTILIZED TO CONTROL PSYCHOTIC THINKING OR BEHAVIOR. (Department of Correction;
210 IAC 7-1-7)
210 IAC 7-1-8 "OFFENDER" DEFINED
AUTHORITY: IC 11-10-3-5
AFFECTED: IC 11-10-3
SEC. 8. "OFFENDER" MEANS ANY PERSON COMMITTED TO THE DEPARTMENT AND
WHO IS HOUSED IN A DEPARTMENT FACILITY. (Department of Correction; 210 IAC
7-1-8)
2
33
210 IAC 7-1-9 "PSYCHOTROPIC MEDICATION" DEFINED
AUTHORITY: IC 11-10-3-5
AFFECTED: IC 11-10-3-5
SEC. 9. "PSYCHOTROPIC MEDICATION" MEANS A DRUG OR SUBSTANCE WHICH
EXERTS AN EFFECT UPON THE MIND AND IS CAPABLE OF MODIFYING MENTAL ACTIVITY.
(Department of Correction; 210 IAC 7-1-9)
210 IAC 7-1-10 APPLICABILITY OF ARTICLE
AUTHORITY: IC 11-10-3-5
AFFECTED: IC 11-10-3
SEC. 10. (A) THIS ARTICLE IS APPLICABLE TO ALL OFFENDERS COMMITTED TO
THE DEPARTMENT, EXCEPT THOSE OFFENDERS WHO:
(1) MAINTAIN A POLICY OF HEALTH CARE INSURANCE FROM A PRIVATE COMPANY
THAT WILL BE IN EFFECT DURING THE OFFENDER'S INCARCERATION AND WILL COVER:
(A) MEDICAL CARE;
(B) DENTAL CARE;
(C) EYE CARE; OR
(D) ANY OTHER HEALTH CARE RELATED SERVICE; OR
(2) ARE WILLING AND ABLE TO PAY FOR THEIR OWN MEDICAL
CARE.
(B) ALL OTHER OFFENDERS NOT COVERED IN SUBSECTION (A) WHO ARE
COMMITTED TO THE DEPARTMENT SHALL BE REQUIRED TO MAKE A CO-PAYMENT FOR COVERED
HEALTH CARE SERVICES UNLESS:
(1) THE OFFENDER DOES NOT HAVE FUNDS IN THE INMATE TRUST FUND ACCOUNT
AT THE TIME THE SERVICE IS PROVIDED;
(2) THE OFFENDER DOES NOT HAVE FUNDS IN THE INMATE TRUST FUND ACCOUNT
WITHIN THIRTY (30) DAYS AFTER THE SERVICE IS PROVIDED;
(3) THE SERVICE IS PROVIDED IN AN EMERGENCY;
(4) THE SERVICE IS PROVIDED AS A RESULT OF AN INJURY RECEIVED WHILE
IN THE CUSTODY OF THE DEPARTMENT; OR (5) THE SPECIFIC SERVICES ARE
PROVIDED AT THE REQUEST OF THE FACILITY HEAD OR DESIGNEE.
(Department of Correction; 210 IAC 7-1-10)
RULE 2. HEALTH CARE SERVICES
210 IAC 7-2-1 ACCESS
AUTHORITY: IC 11-10-3-5
AFFECTED: IC 11-10-3
SEC. 1. (A) ALL OFFENDERS SHALL BE ENTITLED TO THE FOLLOWING:
(1) MEDICAL CARE, MEDICAL PERSONNEL, AND MEDICAL FACILITIES OF A
QUALITY COMPLYING WITH APPLICABLE STATE LICENSING REQUIREMENTS.
(2) FIRST-AID OR EMERGENCY TREATMENT ON A TWENTY-FOUR (24) HOUR BASIS.
(3) MENTAL HEALTH CARE BY A PSYCHIATRIST, A PSYCHOLOGIST, OR ANOTHER
MENTAL HEALTH PROFESSIONAL.
3
34
(B) ONLY THOSE HEALTH CARE SERVICES AUTHORIZED BY THE DEPARTMENT, AND
IN ACCORDANCE WITH DEPARTMENT PROCEDURES AND HEALTH CARE DIRECTIVES, SHALL BE
AVAILABLE TO OFFENDERS. OFFENDERS SEEKING HEALTH CARE SERVICES SHALL BE
REQUIRED TO OBTAIN THE AUTHORIZED SERVICES FROM HEALTH CARE PROFESSIONALS
DESIGNATED BY THE DEPARTMENT. OFFENDERS SHALL NOT BE ALLOWED TO CHOOSE EITHER
THE HEALTH CARE PROFESSIONAL OR THE LOCATION WHERE SUCH SERVICES ARE PROVIDED.
(C) NO OFFENDER SHALL BE DENIED HEALTH CARE SERVICES BY ANYONE OTHER
THAN A QUALIFIED HEALTH CARE PROFESSIONAL WHO HAS MADE A DETERMINATION, BASED
UPON PROFESSIONAL JUDGEMENT, THAT THE REQUESTED SERVICES ARE NOT APPROPRIATE.
(D) NO OFFENDER SHALL BE DENIED HEALTH CARE SERVICES DUE TO A LACK OF
SUFFICIENT FUNDS IN THE INMATE TRUST FUND ACCOUNT TO MAKE THE REQUIRED
CO-PAYMENT.
(E) ALL OFFENDERS WHO HAVE BEEN COMMITTED TO THE DEPARTMENT, BUT WHO
ARE HOUSED IN A COUNTY JAIL, SHALL BE SUBJECT TO THE RULES OF THE COUNTY JAIL
IN WHICH THEY ARE HOUSED. ANY CO-PAYMENT FOR HEALTH CARE SERVICES SHALL BE AS
DETERMINED BY THE RULES OF THE COUNTY JAIL. (Department of Correction; 210 IAC
7-2-1)
210 IAC 7-2-2 COVERED HEALTH CARE SERVICES
AUTHORITY: IC 11-10-3-5
AFFECTED: IC 11-10-3
SEC. 2. UNLESS SPECIFICALLY EXEMPTED FROM THIS CHAPTER, ALL HEALTH
CARE SERVICES PROVIDED BY THE DEPARTMENT SHALL REQUIRE AN OFFENDER CO-PAYMENT.
CO-PAYMENTS SHALL NOT BE REQUIRED FOR THE FOLLOWING:
(1) MENTAL HEALTH SERVICES.
(2) SUBSTANCE ABUSE SERVICES.
(3) STAFF-INITIATED CONTACTS, SUCH AS THE FOLLOWING:
(A) INITIAL HEALTH CARE SCREENINGS.
(B) TRANSFER SCREENINGS.
(C) ANNUAL OR AGE APPROPRIATE SCREENINGS.
(D) WRITTEN REFERRALS FROM ONE (1) HEALTH CARE
PROFESSIONAL TO ANOTHER.
(E) FOLLOW-UP APPOINTMENTS WITH SPECIALISTS OR DESIGNATED
HEALTH CARE PROFESSIONALS.
(4) IMMUNIZATIONS AND TESTS, SUCH AS TUBERCULOSIS SKIN TESTS, AND
OTHER TREATMENTS INSTITUTED BY THE DEPARTMENT FOR PUBLIC HEALTH
REASONS.
(5) ANCILLARY SERVICES, SUCH AS LAB WORK OR X-RAYS.
(6) ADMISSION TO A HOSPITAL OR EMERGENCY ROOM SERVICES.
(7) HEALTH CARE SUPPLIES, SUCH AS THE FOLLOWING:
(A) BRACES.
(B) STOCKINGS.
(C) OSTOMY SUPPLIES.
(D) DENTURES.
4
35
(E) EYE GLASSES.
(8) REVIEW OF CHARTS OR MEETINGS WITH OFFENDERS FOR INTER-FACILITY
TRANSFERS. (Department of Correction; 210 IAC 7-2-2)
210 IAC 7-2-3 AMOUNT OF CO-PAYMENTS
AUTHORITY: IC 11-10-3-5
AFFECTED: IC 11-10-3
SEC. 3. (A) THE AMOUNTS CHARGED FOR COVERED HEALTH CARE SHALL BE AS
FOLLOWS:
(1) FOR ALL OFFENDER-INITIATED CONTACT WITH A COVERED HEALTH CARE
PROFESSIONAL (INCLUDING PHYSICIANS, NURSES, DENTISTS, OPTOMETRISTS,
AND SPECIALISTS IN THE MEDICAL, DENTAL, OR OPTOMETRIC FIELDS), FIVE
DOLLARS ($5)
(2) FOR ALL INITIAL PRESCRIPTIONS OF MEDICATIONS OR MEDICATIONS
PROVIDED, AT A SINGLE VISIT, WITH THE EXCEPTION OF PSYCHOTROPIC AND
NEUROLEPTIC MEDICATIONS, FIVE DOLLARS ($5).
(B) THERE SHALL BE NO CO-PAYMENT FOR RENEWAL OF CHRONICALLY
PRESCRIBED MEDICATION FOLLOWING THE INITIAL PRESCRIPTION OF THE MEDICATION.
ADDITIONALLY, THERE SHALL BE NO CO-PAYMENT FOR RENEWAL OF MEDICATION THAT IS
PRESCRIBED AS A PART OF A TREATMENT PROGRAM THAT WILL REQUIRE A FOLLOW-UP
EVALUATION REQUESTED BY THE HEALTH CARE SERVICES STAFF. (Department of
Correction; 210 IAC 7-2-3)
210 IAC 7-2-4 REQUEST FOR HEALTH CARE SERVICES; OFFENDER-INITIATED
AUTHORITY: IC 11-10-3-5
AFFECTED: IC 11-10-3
SEC. 4. (A) ANY OFFENDER MAY REQUEST HEALTH CARE SERVICES AT ANY
TIME. AN OFFENDER SHALL NOT BE DENIED ACCESS TO HEALTH CARE SERVICES DUE TO THE
INABILITY TO MAKE THE REQUIRED CO-PAYMENT. ADDITIONALLY, ONLY HEALTH CARE STAFF
SHALL MAKE THE DECISION THAT AN OFFENDER DOES NOT NEED TO SEE A HEALTH CARE
PROFESSIONAL.
(B) AN OFFENDER DESIRING TO SEE A HEALTH CARE PROFESSIONAL SHALL
OBTAIN STATE FORM 45913, "REQUEST FOR HEALTH CARE'" FROM A DESIGNATED SOURCE.
THE OFFENDER SHALL COMPLETE THE OFFENDER PORTION OF THE FORM INDICATING THE
TYPE OF REQUEST AND THE NATURE OF THE COMPLAINT OR REQUEST. THE OFFENDER SHALL
BE REQUIRED TO SIGN AND DATE STATE FORM 45913. AN OFFENDER WHO REFUSES TO SIGN
OR DATE STATE FORM 45913 SHALL BE PROVIDED ACCESS TO THE HEALTH CARE STAFF.
THE STAFF PERSON RECEIVING THE FORM SHALL SIGN THE FORM INDICATING THAT THE
OFFENDER REFUSED TO SIGN. REFUSAL TO SIGN THE FORM SHALL NOT PREVENT THE
DEPARTMENT FROM WITHDRAWING THE APPROPRIATE CO-PAYMENT FROM THE OFFENDER'S
INMATE TRUST FUND ACCOUNT.
(C) IN THE CASE WHERE AN OFFENDER CANNOT COMPLETE STATE FORM 45913
DUE TO ILLITERACY OR PHYSICAL INABILITY, A STAFF PERSON SHALL COMPLETE THE FORM
FOR THE OFFENDER. WHEN A STAFF PERSON COMPLETES
5
36
THE FORM ON BEHALF OF THE OFFENDER, THE REQUEST SHALL BE CONSIDERED AS AN
OFFENDER-INITIATED REQUEST. THE STAFF PERSON ASSISTING THE OFFENDER SHALL
ENSURE THAT THE OFFENDER PORTION OF STATE FORM 45913 IS COMPLETED AND THAT IT
IS FORWARDED TO THE HEALTH CARE SERVICES STAFF.
(D) EACH FACILITY SHALL ENSURE THAT SUFFICIENT COPIES OF STATE FORM
45913 ARE AVAILABLE FOR OFFENDER USE. COPIES OF STATE FORM 45913 SHALL BE MADE
AVAILABLE, AT A MINIMUM, AT THE FOLLOWING LOCATIONS:
(1) IN CONTROL POSTS, HOUSING UNITS, AND WORK OR PROGRAM ASSIGNMENT
AREAS; AND
(2) THROUGH THE OFFENDER COUNSELORS.
OFFENDERS SHALL HAVE ACCESS TO THESE FORMS AT ANY TIME.
(E) UPON COMPLETION OF THE FORM, THE OFFENDER SHALL SUBMIT STATE FORM
45913 IN ACCORDANCE WITH THE ESTABLISHED PROCEDURES OF THE FACILITY. THE STAFF
PERSON RECEIVING THE FORM SHALL ENSURE THAT THE FORM IS FORWARDED TO THE
APPROPRIATE HEALTH CARE SERVICES STAFF AS QUICKLY AS POSSIBLE AND IN ACCORDANCE
WITH FACILITY PROCEDURES.
(F) HEALTH CARE STAFF SHALL REVIEW THE FORM TO DETERMINE WHETHER IT
IS COMPLETED CORRECTLY AND TO MAKE A PRELIMINARY DETERMINATION AS TO WHAT
ACTION SHALL BE TAKEN. IT THE REQUEST IS DETERMINED TO BE APPROPRIATE, THE
HEALTH CARE STAFF SHALL MAKE THE NECESSARY ARRANGEMENTS TO SEE THE OFFENDER AND
FOLLOW THE APPLICABLE DEPARTMENT PROCEDURES AND HEALTH CARE SERVICES
DIRECTIVES.
(G) DESIGNATED HEALTH CARE SERVICES STAFF SHALL COMPLETE THE HEALTH
CARE SERVICES STAFF PORTION OF STATE FORM 45913. HEALTH CARE SERVICES STAFF
SHALL INDICATE WHETHER THE PROVIDED SERVICE IS A CO-PAYMENT AUTHORIZED SERVICE
AND SHALL SO INDICATE ON THE FORM. A COPY OF THIS FORM SHALL BE FILED IN THE
OFFENDER'S HEALTH CARE RECORD. IF A CO-PAYMENT IS TO BE CHARGED, THE REMAINING
COPIES OF THE FORM SHALL BE FORWARDED TO FACILITY BUSINESS OFFICE. (Department
of Correction; 210 IAC 7-2-4)
210 IAC 7-2-5 REQUEST FOR HEALTH CARE SERVICES; STAFF-INITIATED
AUTHORITY: IC 11-10-3-5
AFFECTED: IC 11-10-3
SEC. 5. (A) IN CERTAIN CASES, STAFF MAY DETERMINE THAT AN OFFENDER IS
IN NEED OF SERVICES PROVIDED BY HEALTH CARE PROFESSIONALS. THESE CASES MAY
INCLUDE THOSE TIMES INDICATED IN SECTION 2 OF THIS RULE AND WHEN STAFF FEEL
THAT AN OFFENDER MAY REQUIRE IMMEDIATE OR EMERGENCY CARE.
(B) WHEN STAFF INITIATE AN OFFENDER'S HEALTH CARE SERVICES CONTACT,
THE STAFF PERSON MAKING THE REQUEST SHALL CONTACT THE FACILITY'S HEALTH CARE
SERVICES STAFF. THE STAFF PERSON SHALL
6
37
INDICATE THAT THE CONTACT IS STAFF-INITIATED AND EXPLAIN THE APPARENT NEED FOR
THE SERVICES. HEALTH CARE SERVICES STAFF SHALL DETERMINE WHETHER IT WILL BE
NECESSARY FOR THE OFFENDER TO BE SEEN.
(C) HEALTH CARE SERVICES STAFF SHALL COMPLETE STATE FORM 45913 AT THE
TIME THAT THE SERVICES ARE PROVIDED. THE COMPLETED STATE FORM 45913 SHALL BE
DISTRIBUTED AS NECESSARY. (Department of Correction; 210 IAC 7-2-5)
210 IAC 7-2-6 PAYMENT FOR SERVICES
AUTHORITY: IC 11-10-3-5
AFFECTED: IC 11-10-3
SEC. 6. (A) THE PROCESSING OF REQUESTS OF CO-PAYMENT SHALL BE DONE ON
THE SAME CYCLE AS COMMISSARY PURCHASES. HEALTH CARE SERVICES CO-PAYMENTS SHALL
BE POSTED TO THE INMATE TRUST FUND ACCOUNT PRIOR TO THE PROCESSING OF
COMMISSARY ORDERS. WITHDRAWALS FROM THE INMATE TRUST FUND FOR CO-PAYMENT OF
HEALTH CARE SERVICE SHALL BE MADE PRIOR TO ANY OTHER WITHDRAWAL, EXCEPT FOR
THOSE WITHDRAWALS MANDATED BY STATUTE, COURT ORDER, OR DEPARTMENT DISCIPLINARY
ACTIONS. AN OFFENDER SHALL NOT BE AUTHORIZED TO MAKE ANY PURCHASES OR OBTAIN
ANY MONIES FROM THE INMATE TRUST FUND UNTIL SUCH TIME AS ALL OUTSTANDING HEALTH
CARE SERVICES CO-PAYMENTS HAVE BEEN WITHDRAWN FROM THE ACCOUNT.
(B) AFTER THE REQUESTED SERVICES HAVE BEEN PROVIDED, THE DESIGNATED
HEALTH CARE SERVICES STAFF SHALL ENSURE THAT THE HEALTH CARE STAFF PORTION OF
STATE FORM 45913 IS COMPLETED. HEALTH CARE STAFF SHALL INDICATE WHETHER A
CO-PAYMENT IS REQUIRED AND, IF SO, THE AMOUNT THAT IS TO BE WITHDRAWN FROM THE
OFFENDER'S ACCOUNT. THE HEALTH CARE SERVICES STAFF PERSON COMPLETING THE FORM
SHALL SIGN AND DATE THE FORM.
(C) FOLLOWING THE COMPLETION OF THE DESIGNATED PORTION OF STATE FORM
45913, HEALTH CARE SERVICES STAFF SHALL FORWARD THE TWO (2) COPIES OF THE FORM
TO THE FACILITY'S BUSINESS OFFICE, WHEN THE SERVICES REQUIRE AN OFFENDER
CO-PAYMENT. THE FACILITY SHALL DESIGNATE A STAFF PERSON IN THE BUSINESS OFFICE
TO RECEIVE THESE FORMS. THIS PERSON SHALL HAVE ACCESS TO THE INMATE TRUST FUND.
(D) UPON RECEIPT OF STATE FORM 45913, THE DESIGNATED BUSINESS OFFICE
STAFF SHALL REVIEW THE FORM AND DETERMINE THE AMOUNT OF CO-PAYMENT THAT IS TO
BE WITHDRAWN FROM THE OFFENDER'S ACCOUNT. FOLLOWING THIS REVIEW, THE BUSINESS
OFFICE STAFF PERSON SHALL REVIEW THE OFFENDER'S INMATE TRUST FUND ACCOUNT. A
DETERMINATION SHALL BE MADE AS TO WHETHER THE OFFENDER HAS SUFFICIENT FUNDS
AVAILABLE IN THE TRUST FUND ACCOUNT TO MAKE THE INDICATED CO-PAYMENT. IF THERE
ARE SUFFICIENT FUNDS AVAILABLE TO MAKE THE INDICATED CO-PAYMENT, THE STAFF
PERSON SHALL WITHDRAW THAT AMOUNT FROM THE OFFENDER'S ACCOUNT. A NOTATION SHALL
BE MADE ON THE STATE
7
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FORM 45913 INDICATING THE AMOUNT WITHDRAWN FROM THE OFFENDER'S ACCOUNT AND THE
DATE. THE STAFF PERSON MAKING THE WITHDRAWAL SHALL SIGN THE FORM. A COPY SHALL
BE RETURNED TO THE OFFENDER AND A COPY FILED IN THE DESIGNATED FILE.
(E) WHEN A CO-PAYMENT IS REQUIRED AND THE OFFENDER DOES NOT HAVE
SUFFICIENT MONIES IN THE INMATE TRUST FUND, THE STAFF PERSON SHALL PLACE AN
ADMINISTRATIVE HOLD ON THE OFFENDER'S ACCOUNT. THIS HOLD SHALL BE DATED AND
SHALL REMAIN IN EFFECT FOR A PERIOD OF THIRTY (30) DAYS. DURING THE THIRTY (30)
DAY PERIOD, IF THE OFFENDER RECEIVES ANY FUNDS IN THE INMATE TRUST FUND, THE
CO-PAYMENT SHALL BE MADE PRIOR TO ANY OTHER OFFENDER INITIATED WITHDRAWALS AND
THE HOLD RELEASED. THE PAYMENT OF THE HEALTH CARE SERVICES CO-PAYMENT SHALL
TAKE A PRIORITY OVER ANY OTHER WITHDRAWALS FROM THE OFFENDER'S ACCOUNT, EXCEPT
THOSE MANDATED BY STATUTE, COURT ORDER OR DEPARTMENT DISCIPLINARY ACTION.
(F) IN THOSE CASES WHERE AN OFFENDER DOES NOT RECEIVE SUFFICIENT
FUNDS TO COVER THE CO-PAYMENT WITHIN THE THIRTY (30) DAY PERIOD OF THE HOLD,
THE AMOUNT AVAILABLE IN THE ACCOUNT WILL BE DEDUCTED AND THE HOLD REMOVED FROM
THE ACCOUNT. PRIOR TO THE END OF THE THIRTY (30) DAY HOLD, THE DESIGNATED
BUSINESS OFFICE STAFF PERSON SHALL REVIEW THE OFFENDER'S INMATE TRUST FUND
ACCOUNT TO DETERMINE THE BALANCE OF THE ACCOUNT. IF SUFFICIENT FUNDS ARE NOT
AVAILABLE TO COVER THE ENTIRE COST OF THE HEALTH CARE SERVICES CO-PAYMENT, THE
STAFF PERSON SHALL WITHDRAW WHATEVER AMOUNT IS AVAILABLE IN THE ACCOUNT AND
APPLY IT TOWARD THE CO-PAYMENT. THE AMOUNT DEDUCTED FROM THE OFFENDER'S
ACCOUNT SHALL BE CONSIDERED FULL PAYMENT OF THE HEALTH CARE SERVICES
CO-PAYMENT. AFTER THE THIRTY (30) DAY PERIOD OF THE HOLD, THE HOLD ON THE
ACCOUNT SHALL BE REMOVED AND THE DEBT SHALL BE CONSIDERED RETIRED. THE
FACILITY SHALL NOT GO BEYOND THIRTY (30) DAYS FROM THE DATE OF THE SERVICE IN
ORDER TO TRY TO RECOVER THE CO-PAYMENT. THE FACILITY'S BUSINESS OFFICE OR
DESIGNATED STAFF SHALL BE RESPONSIBLE FOR ENSURING THAT THE HOLD IS REMOVED AT
THE END OF THE THIRTY (30) DAY PERIOD.
(G) THE DESIGNATED STAFF PERSON SHALL ENSURE THAT XXX XXXXXXXX XXXXXX
XXXXXXX XX XXXXX XXXX 00000 IS COMPLETED. THE STAFF PERSON SHALL INDICATE THE
TOTAL AMOUNT OF FUNDS DEDUCTED FROM THE OFFENDER'S ACCOUNT. A COMPLETED COPY OF
THE STATE FORM 45913 SHALL BE RETURNED TO THE OFFENDER AND A COPY FILED IN THE
DESIGNATED FILE. (Department of Correction; 210 IAC 7-2-6)
210 IAC 7-2-7 GRIEVANCES
AUTHORITY: IC 11-10-3-5
AFFECTED: IC 11-10-3
SEC. 7. AN OFFENDER MAY CHALLENGE ANY ORDER FOR HEALTH CARE SERVICES
CO-PAYMENT OR ANY ACTION RELEVANT TO PAYMENT FOR HEALTH CARE SERVICES IN
ACCORDANCE WITH THE PROCEDURES FOR POLICY 00-00-000, "THE OFFENDER GRIEVANCE
PROCESS". (Department of Correction; 210 IAC 7-2-7)
8
