PREVENTION

Actions taken to minimize and/or eliminate social, psychological, or other conditions. Prevention can occur at the individual, group, community, and societal levels and enhances opportunities to achieve positive fulfillment.		  
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  MANAGEMENT

See ADMINISTRATION		  
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  PRACTICE

Established actions or ways of proceeding in the regular performance of organizational duties. Policies and procedures often guide practice.		  
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  LIABILITY

An obligation, responsibility, or debt. 		 
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  CONTRACT

A formal written agreement between two or more parties that specifies the services, space, or products to be provided in exchange for some form of compensation. Also known as "purchase of service arrangement."		  
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  SERVICE

One or more organization-operated programs or activities that have a common general objective and deploy the organization's material and human resources in a planned and systematic manner. An organization that publicly promotes or identifies itself in writing as offering a service, is licensed to deliver a service, assigns personnel and/or space to a service, or allocates financial resources to a service is considered to offer that service.		  
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  CONSULTANT

A person who provides specialized or technical advice or services to an organization for specific purposes on a contractual or fee basis, or who provides such services as a volunteer with an agreement to provide services on a pro bono basis.		  
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  INDEPENDENT CONTRACTOR

An independently employed individual who contracts with an organization to do a piece of work according to his/her own methods and is subject to an employer's control only as to end product or final result of the work, not as to the means whereby it is to be accomplished.		  
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  DUE DILIGENCE

Performance of a process or review with the measure of prudence, activity, or assiduity properly expected from and ordinarily exercised by a reasonable person under particular circumstances. Due diligence is not measured by any absolute standard, but depends on the relative facts of a special case or situation.		  
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  MONITORING

An evaluation involving a periodic review of consumer services, organizational activities, or conduct. Specifically, monitoring is an activity of case coordination, whereas more broadly, monitoring is an evaluation technique used in overall quality assurance. 		 
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  PERFORMANCE

A measure of how well an organizational system provides services to consumers. Performance is often based on key indicators, such as rates of service, cost per consumer, degree of satisfaction with services, and extent of consumer access to services.		  
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  ELIGIBILITY

The degree to which an individual, family, group, or community meets the specific criteria and qualifications required to receive goods, benefits, or services.		  
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  CRITERIA

Systematically developed, objective, and quantifiable statements used to assess the appropriateness of specific decisions, services, and outcomes.		  
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  TRAINING

Instruction so as to make fit, qualified, or proficient in a skill or body of knowledge.		  
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  PROCEDURES

Written instructions that outline the steps for performing a task(s) or operationalizing an administrative or service delivery process. A procedure can be written as a step-by-step set of instructions or as a narrative description of a process. A procedure tells someone how to do something not just what to do.

Unlike policies, procedures do not need to be approved or reviewed by the governing body, and need not be associated with a specific policy. For example, whereas a broad anti-discrimination policy requires grievance or other procedures in order to be operationalized within an organization, assessment procedures do not require a governing body approved assessment policy.

Note: Procedures are sometimes referred to as administrative policies.

  
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  TERMINATION

See CASE CLOSING 		 
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  POLICY

A written statement of principles, values, or intent that provides a basis for consistent decision making and guides the actions of staff, management, and board of trustees. A policy is intentionally broad in its language and application. The following is an example of an anti-discrimination policy:

"[Organization Name] shall not discriminate on the basis of race, color, religion (creed), gender, age, national origin (ancestry), disability, marital status, sexual orientation, or military status, in any of its activities or operations. These activities include, but are not limited to, hiring and firing of staff, selection of volunteers, selection of vendors, and provision of services."

In contrast, a procedure is a detailed, step-by-step description of a process. It tells the reader how to do something. Generally, policies are implemented through procedures. For example, the above anti-discrimination policy would require a detailed grievance procedure in order to operationalize it within an organization.

The governing body has the fiduciary responsibility for setting organizational policy. Therefore, policies must be approved and periodically reviewed by the organization's governing body. However, the governing body typically delegates (via policy) the responsibility for policy development to management. In owner-operated for-profit companies, the owner can act as the company's governing body, depending on the company's corporate structure.

In a public agency the responsibility for setting and reviewing policies may belong to the agency's management team, elected officials, another governmental agency, or as is often the case, a combination of the above.

  
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  OBJECTIVE

A sub-goal stated in operational terms, i.e., a statement that makes clear what expected results are to be measured or assessed.		  
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  CONFIDENTIALITY

An ethical and practice principle that requires the protection of information shared within a professional-client relationship. An organization that upholds confidentiality prohibits personnel from disclosing information about persons served without their written consent.		  
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  CASE

A general term used to designate clients (including individuals, families, and groups) served by an organization for purposes of monitoring the provision of services. A foster care case is generally based on the placement of an individual child, although casework for the child may include services to the child's family. A child protective services case is based on an entire family household if a family assessment model is used; otherwise a case is defined as a child.		  
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  HOST ORGANIZATION

The larger corporate framework that maintains an internal EAP.

  
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  ACCREDITATION

The formal evaluation of an organization against accepted criteria or standards. A professional society, non-governmental organization, or a governmental agency may conduct accreditation activities. A COA-accredited organization has undergone a period of rigorous self-study and is capable of providing programs and services that meet or exceed COA standards.		  
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  CERTIFICATION

Assurance from a state or professional association that a person or organization possesses certain attributes, knowledge, or skills. 		 
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  QUALITY

In this context, the extent to which contemporary and generally recognized standards for professional practice are met and exceeded, and desirable service outcomes achieved.		  
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  CASE RECORD

A written compilation that describes the client and the services delivered. Records can be in hard copy and/or electronic format. The case record can be used as a source of information for quality improvement or other evaluation activities, for research purposes, or to demonstrate accountability to funding bodies. 		 
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  PROTOCOLS

Instruments and procedures used to accomplish a particular goal, activity, or purpose.		  
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Risk Prevention and Management
  
Private Org Public Agency  

RPM 9: Contracts and Service Agreements*

 
The organization enters into contracts and service agreements with due regard for practices that promote efficient use of resources.
related PQI 2.01
Interpretation: RPM 9 is not applicable to contracts with individual consultants and independent contractors, which are addressed in HR
Note: Please see Tip Sheet: Contracting in the Tools Index for additional assistance with this standard.

RPM 9.01

 

The pursuit of contracts for services is consistent with the organization's mission and purpose, and the organization:

  1. establishes a system of standardized contracting practices;
  2. conducts due diligence in contracting activities, including review of possible risks; and
  3. assigns a qualified individual to oversee contracts.
Interpretation: The organization assigns each contract to a specific qualified individual who is charged with monitoring the progress and outcomes of each service contract.

RPM 9.02

 
Written contracts contain all significant terms and conditions in accordance with applicable law.
related RPM 1,  RPM 2.01,  RPM 10

Interpretation: “Significant terms” include, as appropriate to the type of contract:

  1. roles and responsibilities of participating organizations;
  2. services to be provided;
  3. clearly defined performance goals;
  4. measurable outcomes;
  5. service authorization, including eligibility criteria;
  6. provisions for training and technical support, as necessary;
  7. duration of contract, including delineation of follow-up services;
  8. policies and procedures for sharing information;
  9. methods for resolving disputes;
  10. a plan and procedure for timely payment, and consequences for failure to pay;
  11. documentation necessary for, and means of reporting to, funding or oversight bodies; and
  12. conditions for termination of the contract.

RPM 9.03

 
All contracts are reviewed by legal counsel or another qualified individual prior to signing.
Interpretation: Depending on the organization's resources and policy, the organization's CEO or a member of the Board or management team may be qualified to review contracts. The review should ensure that the contract is both legal and the terms of the contract are clearly understood and agreed upon by both parties.

RPM 9.04

 

Non-contractual service agreements include, as appropriate:

  1. services exchanged or provided, and/or the goals and objectives of such collaborations;
  2. roles and responsibilities of each organization, including reporting responsibilities;
  3. procedures for sharing information;
  4. confidentiality protections, including signed written consent forms;
  5. assignment of case coordination responsibilities;
  6. service authorization procedures, including accepting or rejecting cases;
  7. how to resolve communication difficulties.
related RPM 2.01
Interpretation: This standard applies to non-contractual arrangements, also known as Memorandums of Understanding (MOUs), in which organizations collaborate with providers to deliver specific services to a person or persons. For example, a service in which a provider voluntarily comes into the host organization’s facility to provide weekly smoking cessation classes.
NA The organization does not enter into non-contractual service agreements.

RPM 9.05

 
When an organization enters into a service agreement with a provider that operates adventure-based activities with a significant degree of risk; the organization requests proof of accreditation, licensure, or certification with a nationally recognized authority for the activity being conducted.
Interpretation: Adventure-based activities with a significant degree of risk can include, white water rafting, climbing walls, or ropes courses.
NA The organization does not enter into service agreements with providers that operate adventure-based activities.

RPM 9.06

 

Contracts for the provision of network services also include:

  1. the network's requirements regarding provider participation in network quality improvement activities;
  2. access to case record provisions;
  3. utilization management protocols;
  4. required levels of insurance; and
  5. agreement to participate in network training.
related NET 7,  PQI 2.04,  RPM 4.03,  RPM 8.04,  TS 4
NA The organization is not a network management entity.
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PURPOSE: Comprehensive, systematic, and effective risk prevention and management practices reduce the organization’s risk, loss, and liability exposure.
 
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