# Presentation: 865782

## U.S. Probation and Pretrial ServicesDistrict of KansasManaging Your Federal Purchase Agreement

**Notes:**
Wade start here
Welcome to the conference 
Congratulations on being awarded the federal contract in your area.
Today’s agenda at the front of the folder you have been given.  
2 – 15 minute breaks.  Feel free to leave if you need to.  We’ll have refreshments at the afternoon break.
Restrooms are where?
Break for lunch from 12:00 – 1:15.  You all have a list of some suggested restaurants in the area in your folders.
Your folder includes samples of many of the topics we will discuss today which you will be referred to as we go along.
Front of folder contains a copy of the power point along with space to take notes.

## The Referral Packet

**“****Program Plan” ****- Form 45**
**Client Responsibility Form**
**Release of Information **
**Digital picture**
**Copy of presentence or bond report**
**Judgment Order**

**Notes:**
First we’re going to look at the initial referral packet you will receive from the probation officer.    Each time a client is referred to your agency, you will be mailed a packet that will include:  (list forms)
We will go through each of these forms individually, then look at the referral process as a whole.

## “Treatment Services Program Plan” D/KS Prob. 45 

- Contractual Government Agreement
- Vendor performs _only authorized services_
- NO “verbal authorizations” ~ services may only begin upon receipt of program plan
- All services remain in effect until receipt of “amended” program plan
- Provide copy to agency billing department

**Notes:**
Refer to the sample of this form at 1st Form after Referral package tab
The actual contract for services begins upon receipt of the program plan authorizing services.  
No services may be performed that are not listed on the plan.  If additional services or change to the plan are deemed necessary, clinician is to contact US Probation Officer and request plan be amended.
No verbal authorizations for services are allowed.  Clinician should wait until receipt of faxed program plan to begin or change services.
Each agency should establish a system to ensure the individual responsible for preparing the monthly billing receives a copy of the program plan to assist them in preparing the invoice.

## Program Plan Layout -Personal Information

- Client Name
- Client Pacts ID #
- Whether Client is a Probation or Pretrial Client

- U.S. Probation Officer
- Effective Service Date
- Suspend Services Date (if applicable)

**Notes:**
The program plan is divided into three sections.  The first area contains basic personal information including:  (list)

The “Type of Client” is important in the billing process as they are invoiced separately, which will be discussed this afternoon.  
Probation clients refers to all offenders that have been sentenced and released direct from court or released from custody ~ such as those on supervised release, parole, or probation.
Pretrial clients are those on pretrial supervision who have not yet been sentenced.

After USPO Name, you will see the officers initials. – these are used on the chain of custody forms for UA collection. (Show them the contact sheet at the back of the packet)

PACTS ID # is assigned by probation office for tracking purposes and vendors will utilize this number on other forms that will be reviewed during the course of today

## Program Plan Layout – Services

- Only services checked are authorized in the units indicated

**Notes:**
The second area includes information regarding what specific services have been ordered by the U.S. Probation Officer.  This area of the program is divided into specific groups, according to what type of service is being ordered, such as Drug testing, substance abuse treatment, inpatient, mental health, sex offender treatment, and other miscellaneous services.  Your agency may or may not provide many of the services listed.  Only perform the services marked in the quantities indicate.  

We’ll talk more later about the specifics of each of these services. 

## Program Plan – Special Instructions

- USPO will provide specific client information such as address and telephone number or special tests required for UAs
- Clinicians ~  pay close attention to determine instructions on variances to listed services.

**Notes:**
The last section includes any special instructions regarding the referral, such as client contact information, specific tests required for any urine specimens collected, etc.

## Client Responsibility Form

- Details:
- vendor location,
- phone number, and
- drug testing responsibilities
- Client signs at initial meeting with USPO ~ acknowledging receipt and understanding
- Instructions ~ who/when to contact vendor

**Form will be tailored specifically for your agency prior to October 1**

**Notes:**
Refer to sample in packet behind “Referral packet”

Review form and areas regarding client reporting expectations

## Release of Information

- Types of Release Forms:
- Probation 11b – Substance Abuse
- Probation 11i – Mental Health
- Pretrial 6b – Substance Abuse
- Pretrial 6d – Mental Health

- See FAQ section of website for releasing information under HIPAA

**Notes:**
Refer to Samples in packet behind “Referral packet”

Discuss redisclosure policies

No Client confidentiality between counselor/USPO

## Referral Packet – Miscellaneous Forms 

- Digital Picture
-  To aid in identification of client
- Presentence or Pretrial Bond Report
-  Background information on the offender/defendant
- Judgment and Commitment Order
-  Contains conditions of release including 	substance abuse/mental health testing or 	treatment

**Notes:**
Samples in packet

Any questions regarding the forms in the referral packet?  If not, let’s move on to the actual referral process..............

## The Referral Process

**USPO meets with client, forms are signed**
**Program Plan faxed**
**Referral packet mailed**
**Clinician assigned**
**Client calls for initial appointment**

**Notes:**
-Counselor/clinician assigned if treatment is authorized

Vendor should contact USPO promptly if defendant/offender does not call as instructed on the client responsibility form

BREAK NOW?  15 MINUTES – GIVE THEM TIME TO BE BACK

## Vendor Forms

-   **Monthly Treatment Report**
**  ****Daily Treatment Log**
**  ****Central Specimen/ ****	****Breathalyzer Log**

**Notes:**
KIM Starts here
Word and WordPerfect versions on diskettes. If you didn’t receive....  If anyone would like to have these forms on CD – let us know at break and we’ll get you a copy.

## Monthly Treatment Report 

- Completed by clinician
- Summarizes client’s monthly activities
- Indicates client progress

**Notes:**
First Sample behind “Vendor Forms” tab in packet.

## Monthly Treatment Report

**Reflects any Program Plan changes**
**Records drug testing**
**Records **_**copay**_** collected**
**Copy USPO**
**Copy with monthly billing**

## Daily Treatment Log

**Record of actual monthly services**
**Client **_**and**_** Vendor initial time in and out**
**Confidential**** ~ Avoid other clients viewing**
**Send copy with billing ~ certifies monthly invoice**

## Central Specimen / Breathalyzer Log

**Record:**
**all urine specimens collected & breathalyzer tests  **
**unusual occurrences in the collection process (temperature, etc.)**
**Confidential**** ~**** ****no viewing allowed by clients**
**Submitted with monthly invoice**

**Notes:**
Right behind the Central Specimen log you will find a sample of a Sweatpatch Log.  None of you will be applying sweatpatches in the immediate future, but should the need arise, the forms are on the diskette for your use.

## Blanket Purchase Agreement Requirements

**Services**
**Communication with USPO**
**Recordkeeping**

**Notes:**
KIM DOES THIS ALSO

## Services

- Urine Collection

- Assessments

- Individual Counseling

- Group Counseling

- Cognitive Behavioral Groups

- Alcohol Evaluations

- ADIS

- Breathalyzer

- Copayment

## Urine Collection ~ 1010

- Random with less than 24 hours notice
- Observed by individual of same sex
- Phase Levels:
-   I	5 per month
-   II	3 per month
-   III	2 per month

**Notes:**
Code-a-phone procedures

## District of Kansas Local Needs – 1010 Urine Collection and Testing

**Vendor** must be:
- capable of providing urine collection services for male and female clients, and
- able to collect specimens on all days of the week, varying the collection days in order to insure randomness.
**Vendor** must provide:
- “windows” of collection during morning, afternoon and/or evening, depending on the needs of the client population.
- The use of a code-a-phone or direct dial system whereby clients call daily.

## Substance Abuse/Mental Health Intake Assessment and Report ~ 2011/5011

- Includes _at least_ one diagnostic interview and a written report **within 15 calendar days** to USPO
- Addresses client’s substance abuse as it relates to supervision
- Includes identifying and background information, medical history, mental status, treatment diagnosis, and prognosis
- Is NOT a synopsis or overview of the presentence report

## District of Kansas Local Needs – 2011/ 5011 Intake Assessment

- If the vendor must complete an assessment to comply with state licensure requirements, the vendor must do this in conjunction with authorized counseling sessions, and may not charge the probation office for completion of the assessment.
- The vendor, in this instance, is under no obligation to provide a written report to the U.S. Probation Office.

## Individual Counseling ~ 2010/2021 (SA) and 6010 (MH)

- Sessions = 1 hour ~ unless otherwise indicated
- 3 Phase Levels
- Phase I 	1 session per **week**
- Phase II  	3 sessions per **month**
- Phase III 	2 sessions per **month**

- Bill all sessions in 1⁄2 hour (30 minute) units

## District of Kansas Local Needs – All Individual and Group Counseling

- Vendor must be capable of providing daytime and/or evening group or individual counseling sessions depending on the needs and availability of the client population

## District of Kansas Local Needs – 2021 Cognitive Behavioral Group

- Vendor must utilize the “Thinking for a Change” An Integrated Approach to Changing Offense Behavior” cognitive therapy program, developed by National Institute of Corrections.
- If not currently certified, vendor has six months from date of award to obtain certification
- Vendor must receive advance approval from USPO to utilize another cognitive therapy program

## District of Kansas Local Needs – Alcohol Services ~ 2710/2720

**2710 - Alcohol Evaluation**
**Vendor must be able to provide alcohol evaluations and reports required by Kansas Statute for those who apply for diversion or are convicted of DUI. This service must conform with any State of Kansas statutory requirements. **

**2720 – Alcohol and Drug Information School**
**Vendor must be able to provide the ADIS (Alcohol Drug Information School) required by Kansas Statute for those who apply for diversion or are convicted of DUI.  This service must conform with any State of Kansas statutory requirements****. **

## District of Kansas Local Needs – Breathalyzer ~ 1504

**Utilized only upon receipt of USPO Program Plan authorizing this service~ unless use is suspected**

**Training on use and monthly calibration to be provided**

**Intoxilyzer is provided by and remains property of the U.S. Probation Office**

**Notes:**
If you suspect use, utilize breathalyzer and contact USPO as soon as possible.  Otherwise, may only be used with service authorized on program plan from USPO.

## District of Kansas Local Needs – Copayment

**Vendors** are _required_ to provide copies of **copayments receipts, **received during the billing month, with the monthly invoice.

## Communicating with theU.S. Probation Officer

- is
-     Crucial

## Notify the USPO Immediately if Any of the Following Occur

**No-show** for testing or treatment
- Attempt to adulterate a urine specimen
- Third party risk identified

**Failure**:
- to follow staff direction;
- to comply with release conditions;
- to provide a urine specimen (stall, insufficient quantity).

**Notes:**
Fax a letter to USPO within 24 hours if any of these occur.  There is a sample letter in your handouts behind “BPA Requirements.”  We have also placed this on your disk in your materials.  You may develop a letter like this on your own letterhead if you wish using the language on the disk.

## Case Staffing with USPO

**Meet:**
**at least quarterly to discuss client’s progress,**
**Or as needed.**
**Case staffing conferences are included in vendor’s prices for client services**

## RecordkeepingFile Requirements and Content

_**Maintenance**_
- Client files must be:
- secure
- separate from other  files
- individual per client
- Consistent/organized
- Marked **Confidential**
- Maintained for 3 years after final payment date unless under appeal or involves litigation

_**Content of Charts**_
- Chronological notes:
- detail all contacts
- legible
- available for USPO review
- Initial & Amended Program Plans
- Referral packet items
- Monthly Treatment Reports
- Daily logs

**Notes:**
Wade Starts here

## Monthly Invoicing

| Where do I start? | How many invoices?
Together, separate?
Parts A & B? |
| --- | --- |
| What do I mail?
To whom?
When? | Calculating units?
Copay?  |

## Monthly Invoices –Where do I start?

- Collect paperwork from clinicians:
- Monthly Treatment Reports
- Daily Logs
- Obtain a copy of all copayment receipts for the month

- Compare services on daily log to Probation 45 – “Program Plan”

## Monthly Invoice -What do I mail? Where?

- Send to:		  Linda Grissom
- U.S. Probation Office
- 500 State Avenue, Room M35
- Kansas City, Ks 66101
**By 10****th**** of the month:**
**Original invoice with original signature**
**Copies of:**
- Monthly Treatment Report for each client
- Daily Log for each client
- Central Specimen Log
- Copayment receipts

## Monthly Invoice

- Submit separate invoices for:
**“****P”**** **Invoice Probation clients ~ Substance Abuse Services
**“****PS”**** **Invoice** **Pretrial clients ~  Substance Abuse Services
**“****MH”** Invoice Probation clients ~ Mental Health Services
**“****MH-PS”**** **Invoice** **Pretrial clients ~ Mental Health Services

**Notes:**
The Courts have established separate budget accounts for substance abuse testing and treatment services for probation clients, mental health services for probation clients, substance abuse testing and treatment for pretrial clients and mental health services for pretrial clients.
This will be a little easier this year as we have solicited mental health services separately.  For those of you that have been awarded the contract for both substance abuse and mental health, you will need to pay particularly close attention to this distinction.
On the program plan, you will find it marked either “Probation” or “Pretrial.”  It is important that the individual preparing the monthly billing receive a copy of every program plan so they will have access to this information and know whether a client is probation or pretrial.
The program plan is also divided into categories.  If you’ll look at your sample, the first section is the substance abuse testing area, then the substance abuse treatment area, and finally on the right side you’ll find mental health services.
All of the substance abuse testing and treatment services for probation clients will go on the “P” invoice.
All of the substance abuse testing and treatment services for pretrial clients will go on the “PS” invoice.
All of the mental health services for probation clients will go on the “MH” invoice.
All of the mental health services for pretrial clients will go on the “MH-PS” invoice.

## Monthly Invoice – Part A

- Part A:
- 	is a summary, by project code, of the total 	units of each service provided for all 	clients for the month, the bid unit price, 	and the total amount due.
- Total copayment collected for the month is subtracted from the subtotal
- Must contain an original signature

**Notes:**
Let’s take a look next at the actual invoice form. 

Part A of the invoice is a summary of all the services you have listed in Part B which we will look at in a minute. The sample invoice in your packet shows the grand total for the month of each project code (or service) provided during the month for all clients.  These services are then subtotaled, the total copayment received for the month shown as a negative, followed by the grand total due.
As a vendor, you do have the option to charge up to 10% of the total copayment collected as an administrative fee.  You might have seen the project code 1501 in the proposal; this is simply the code assigned to this fee.  List this fee after the copayment, and before the grand total.

So you can understand Part A a little better, let’s take a look at Part B now.

## Monthly Invoice – Part B

- Part B Lists:
- client name,
- client ID number,
- each service provided,
- the number of units,
- the actual unit price bid in proposal, and
- the total price for that service

**Counseling** sessions - _always_ reflected in 30 minute units.
**No-shows & stalls** - _may not be charged;_ included in bid.
**Copayment** collected for the month is _subtracted_ from the subtotal for each client.

**Notes:**
So as you will see on your sample invoice, Part B lists each client, then each separate service they received from the daily log, showing the full price, followed by a subtotal, total of any copayments received for the month, and a grand total due for that client.  Then you will subtotal all the separate project codes for all clients and reflect that number on Part A of the invoice.

Copayment and how to report it has been a confusing issue for many vendors. Some vendors have tried to minus the copayment from each service. For instance, if $5.00 was collected for a UA, and the total bid price for UA collection is $10.00, they charged only $5.00 for the UA. Instead, the actual total amount for that service should always be shown, and after the subtotal of all services, minues the actual total copayment collected during the month for that client.  

 It is important for you to know that the government is always going to pay you the total of all services you have provided for the month, even if you don’t collect the copayment ordered by the officer.  There is no guarantee you will be able to ever collect a copayment that a USPO has ordered on the program plan.  

You’ll note that the services are all shown in units.  A unit for a counseling session is always in 30 minute increments.  When reviewing the daily log and transferring those services to Part B of the invoice, you will use the following example to determine how many units to charge.  Look at the first 2010 counseling session on Part B of the invoice.

## Calculating Fractional Units for Counseling Sessions

- Assume price for 2010 counseling session is
-  $20.00 per 30 minute unit ~

| 
If  Session is: | # Units to Charge = |  Price to Charge = |
| --- | --- | --- |
|   0-15 minutes | .5 unit     | $10.00 |
| 16-30 minutes |  1 unit | $20.00 |
| 31-45 minutes | 1.5 units | $30.00 |
| 46-60 minutes |    2 units | $40.00 |

## Monthly Invoice – Copayment

**Establish receipt system**
**Receipt copies attached to billing**
**Total receipts match invoice total**
**Government reimbursed by Vendor for payments received from insurance programs or other sources**
**Vendor only accepts payments authorized on Program Plan by USPO**

## Ordering Supplies

**Contact Linda Grissom at**
**(913) 551-6622**
**With questions**
**Complete the form at the Supply Ordering section of this website**

## Drug Testing in the District of Kansas

## Drug Testing Procedures

- Effective 10-1-04, all vendors in the District of Kansas will no longer utilize NIDT Devices (Test Cups)
- Vendors will collect urine specimens and mail directly to U.S. Pretrial Services Lab in New Mexico for initial EMIT screen
- Presumptive positives and those requiring special tests will be sent by New Mexico Lab to National Lab for confirmation

**Notes:**
GO DIRECTLY TO POWERPOINT REGARDING COLLECTION PROCEDURES

## Monitoring Visits and Reports

- Contract Specialist will visit twice a year
- First visit is within 120 days of contract award
- May be scheduled or unscheduled
- Written report will be provided to agency

**Notes:**
KIM START HERE

## BPA Renewal Process

- Solicited for 1 year, with two 1-year options.
- Chief Probation Officer has the final authority on whether or not to exercise option.
- Notice of Intent to Renew letter will be mailed out at least 60 days prior to end of fiscal year (on or about July 31).
- Vendor must have current and satisfactory monitoring report.
- New purchase orders with bid prices will be mailed around October 1.