Guide to Contracting Public Health Drills and Exercises by guy23

VIEWS: 0 PAGES: 69

									Guide to Contracting Public
Health Drills and Exercises
    Columbia Preparedness Partners
   Public Health Preparedness Summit
           February 23, 2007
              Session Topics
   Introduction
   The Building Block: Program of Exercises
   Why and When to Use a Contractor
   Principles of Contracting
   Principles of Contract Management
   Contracting Does Not End with the Exercise



                    Columbia University
                    Preparedness Partners
Columbia Preparedness Partners
 Mailman School of Public Health National
 Center for Disaster Preparedness
     Wilmer Alvarez
 School   of Nursing Center for Health Policy
     Kristine Gebbie
     Joan Valas (now at Adelphi University)


                    Columbia University
                    Preparedness Partners
    Why the guide to contracting?
 Resource for public health officials determining
  whether to use a contractor (or consultant) in
  any part of an emergency exercise program.
 Origin: questions asked by state and local public
  health officials as they work to improve agency
  capacity in emergency response.

       Supported by Centers for Disease Control and
        Prevention Centers for Public Health Preparedness
        Cooperative Agreement U90/CCU224241-01-2


                        Columbia University
                        Preparedness Partners
                   Expert Panel
   The team is indebted to the expert panel that met,
    reviewed and re-reviewed the material:
       Shep Cohen
        Gary Cox, JD
       Joanne Epley, RPh
       CDR John Maynard, MSSW, BCD
       Jaqueline Merrill, DNSc
       Josephine Peters
       Cynthia T. Smith, MPH
       Pamela Trotter, RN, MSN, FNP
       Peggy Whittie, PhD


                        Columbia University
                        Preparedness Partners
              Session Topics
   Introduction
   The Building Block: Program of Exercises
   Why and When to Use a Contractor
   Principles of Contracting
   Principles of Contract Management
   Contracting Does Not End with the Exercise



                    Columbia University
                    Preparedness Partners
  First step in the process: Developing an
Emergency Preparedness Exercise Program
 Is progressive, moving an agency toward even
  better emergency preparedness.
 Will provide insight into what does and does not
  work for each specific health department.




                   Columbia University
                   Preparedness Partners
    Developing an Emergency Preparedness
               Exercise Program
   Requires careful planning:
        Clearly identified long-term improvement goals
        specific exercise objectives and then designing,
         developing, conducting, and evaluating each
         exercise accordingly.




                          Columbia University
                          Preparedness Partners
All of these should be part of the
             program




            Columbia University
            Preparedness Partners
 Developing an Emergency Preparedness
            Exercise Program
 Enables    an agency to:
      test the implementation of emergency
      management procedures and protocols
     fine-tune the internal coordination of the
      emergency plan
     practice coordinating with external response
      sectors.


                    Columbia University
                    Preparedness Partners
    Developing an Emergency Preparedness
               Exercise Program
   Depending on the SCOPE and SCALE of the
    emergency preparedness exercises, they may
    involve many individuals, both INTERNAL and
    EXTERNAL to the health department




                   Columbia University
                   Preparedness Partners
                National Imperatives

   Homeland Security Presidential Directive 5 (HSPD-5)
   Homeland Security Presidential Directive 8 (HSPD-8
   National Response Plan (NRP)
   National Incident Management System (NIMS)
   Homeland Security Exercise Evaluation Program
    (HSEEP)
   National Planning Scenarios




                       Columbia University
                       Preparedness Partners
                 State Responsibilities

The exercise program must address all of the tasks detailed by federal
  guidelines including:
 Obtaining grants/funding
 Identifying roles and responsibilities for program development
 Designing, developing, implementing, and evaluating exercises
 Tracking improvements
 Developing a means for monitoring whether or not the exercises
  conducted are consistent with HSEEP doctrine
 Designating a state-level agency/organization as the clearinghouse
  for all exercises conducted within the state
 Conducting an annual exercise plan workshop to review the state
  exercise program, ensuring that the state objectives have been met
  and revising the multi-year exercise plan and schedule


                           Columbia University
                           Preparedness Partners
                 Local Responsibilities

   States disseminate their requirements to the
    local public health level in two ways:
       Through the local emergency response agency,
        which has a direct tie to the designated state Office
        of Emergency Management (OEM)
       Through the state health agency.
       Same principal holds true for non-public health
        response partners when conducting an exercise



                         Columbia University
                         Preparedness Partners
               Local Responsibilities

In general, local health departments are responsible for:
 Coordinating activities with state health agency
 Identifying goals and objectives consistent with local
   public health risk, vulnerability, and needs assessments,
   as well as DHS strategy
 Designing and conducting exercises that conform to
   HSEEP requirements




                       Columbia University
                       Preparedness Partners
              Local Responsibilities

In general, local health departments are responsible for
   (cont.):
 Providing plans, procedures, and personnel to support
   the design, development, support, control, and
   evaluation of public health exercises
 Providing an improvement plan (IP) based on the
   recommendations made in AAR




                      Columbia University
                      Preparedness Partners
             Decision to Exercise

 Exercise provides a means for health
  departments to strengthen their capacity to deal
  with emergencies and disasters.
 Exercising also meets the mandates and
  requirements of external agencies including the
  federal government.




                   Columbia University
                   Preparedness Partners
       The Benefits of Exercising Include:

   Validating existing emergency preparedness plans and
    procedures
   Validating interagency agreements and improving
    coordination and communication
   Clarifying roles and responsibilities
   Enhancing capabilities
   Finding opportunities for improvement
   Identifying resource requirements and gaps
   Meeting regulatory requirements

                      Columbia University
                      Preparedness Partners
       Overarching Goals of Exercise

 No “off the shelf” document to define goals in an
  exercise.
 Clearly stated goals are essential beginning for
  working with a contractor
 Goals will be the foundation on which the
  contractor will perform its work
 Templates, Lessons Learned documents, and
  other guides, while useful, do not take into
  account the specifics of the local agency and
  environment.
                   Columbia University
                   Preparedness Partners
Only the agency can answer the question



“Why does my agency need to
         exercise?”



              Columbia University
              Preparedness Partners
              Goals of Exercise

Additionally, the goal of any exercise must:
 Feed into the organization‟s preparedness
  mission
 Feed into the preparedness plan
 Be realistic and achievable
 Include measurable objectives




                   Columbia University
                   Preparedness Partners
   Exercise Planning and Public Health

 Should   include criteria to assess how well
  health departments perform during a
  public health emergency or disaster.
 Measuring performance against these
  criteria will provide a foundation for
  additional planning, training, conducting,
  and evaluating emergency response
  operations.

                 Columbia University
                 Preparedness Partners
     More information for planning and
           conducting exercises
 HSEEP http://hseep.dhs.gov
 Public Health Emergency Exercises Toolkit
  http://www.cumc.columbia.edu/dept/nursing/res
  earch/ResCenters/chphsr/btcomps.html




                  Columbia University
                  Preparedness Partners
            Capabilities Assessment

 Two   areas
     capability to respond to emergency events
     capability to plan and conduct exercises.
 Review  the emergency response plan.
 Determine gaps in ability to perform as
  potential areas to benefit from service
  offered by contractors

                    Columbia University
                    Preparedness Partners
              Session Topics
   Introduction
   The Building Block: Program of Exercises
   Why and When to Use a Contractor
   Principles of Contracting
   Principles of Contract Management
   Contracting Does Not End with the Exercise



                    Columbia University
                    Preparedness Partners
    Reasons to consider using a contractor :

   Size of department/available staff time/available
    resources
      Funds may be available, but no one with the

       time or expertise to spend them
      A staff person may have the expertise, but

       the other programmatic demands do not
       allow sufficient time for the process


                     Columbia University
                     Preparedness Partners
    Reasons to consider using a contractor :

   Complexity and Type of exercise
     Large scale exercises require extensive

      logistic arrangements that may be executed
      better by a contractor




                    Columbia University
                    Preparedness Partners
    Reasons to consider using a contractor :

   Coordination and collaboration with other (non-
    health) agencies
       Exercise requires extensive negotiations with other
        (non-health) agencies, and a contractor with prior
        experience with those agencies can facilitate
        coordination
       Partner agencies may be using contractors of their
        own to assist in planning and conducting exercises
       Contractor may be used as an external third party to
        mitigate partner disagreements
                         Columbia University
                         Preparedness Partners
    Reasons to consider using a contractor :

   Legislative/Funding Mandates
       Required by state health or emergency response
        agency
       Required by funder




                        Columbia University
                        Preparedness Partners
 Reasons to consider using a contractor :

   its basic level, a contractor might
 At
 augment the agency‟s ability by:
      Facilitating/organizing overall planning
      Managing exercise logistics including space,
       materials, and support staff
      Providing exercise resources
      Evaluating exercise

                     Columbia University
                     Preparedness Partners
 Key Exercise Planning Actions
Health Departments Should Retain
1.   Identifying Exercise Planning Team and
     the Point of Contact for Contract
2.   Defining Terms of Contract and
     Expectations
3.   Communicating with Local Partner
     Agencies and Organizations


                 Columbia University
                 Preparedness Partners
              Session Topics
   Introduction
   The Building Block: Program of Exercises
   Why and When to Use a Contractor
   Principles of Contracting
   Principles of Contract Management
   Contracting Does Not End with the Exercise



                    Columbia University
                    Preparedness Partners
     Principles of Contracting
 Each  health department should have an
  established process already in place
  through which goods and services are
  acquired.
 Principles presented here to supplement
  the official contracting policies of the
  agency

                Columbia University
                Preparedness Partners
 Writing the Request for Contract
              (RFC)
 Mustbe clear, concise, and free of
  ambiguity.
 Should contain:
     Clear and concise information detailing the
      reasons the health department is pursuing
      the procurement.
     Description of the services the contractor
      must provide including the context in which it
      must provide them

                     Columbia University
                     Preparedness Partners
 Writing the Request for Contract
              (RFC)
 Many    mechanisms are used:
     Request for Contract (RFC)
     Request for Proposals (RFP)
     Request for Information (RFI)
     Simplified Acquisitions Procedures (SAP)
            mechanism does not matter
 Contracting
 as much as knowing what is being
 acquired!
                    Columbia University
                    Preparedness Partners
Writing the Request for Contract
             (RFC)
Inany contracting mechanism, the solicitation
should include the following sections:


   Background                         References
   Project Objectives                 Exclusions
   Scope of Work                      Price Range
   Detailed Technical                 Eligibility
    Requirements                       Review Criteria
   Reporting Schedule                 Submission Requirements
   Special Considerations


                       Columbia University
                       Preparedness Partners
    Writing the Request for Contract
                 (RFC)
   Background:
       Describes the general requirements of contract in
        general, non-technical terms.
       Explains the purpose of the procurement and how it
        relates to past, present, and future initiatives of the
        health department.

   Project Objectives:
       Explicitly outlines the goal of the exercise and the
        specific expectations the health department has of
        the contractor.

                          Columbia University
                          Preparedness Partners
    Writing the Request for Contract
                 (RFC)
   Scope of Work (SOW)
       Outline the work the contractor will perform in
        general, non-technical terms, but in more detail than
        what was described in the project objectives.
       The key to this section is detailing the parameters, or
        limits, of the project.
         • what part of the exercise will the contractor be hired to
           perform versus the parts of the exercise the health
           department will perform.
       Statement that accurately details the division of labor
        for the project.

                            Columbia University
                            Preparedness Partners
    Writing the Request for Contract
                 (RFC)
   Detailed Technical Requirements:
       Includes statements of the specific methods, approaches,
        models, and tests the health department expects the contractor
        to include in the project.
       the type, format, and number of deliverables.
         • Example:
                SOW = facilitation of an exercise or drill
                Technical Section should describe:
                   • Type of drill (e.g. tabletop, full-scale)
                   • Format of the facilitation (e.g. lecture, small groups).
       Taking your time with this section will save you time in
        misunderstandings, and even disputes, in the future.


                                 Columbia University
                                 Preparedness Partners
    Writing the Request for Contract
                 (RFC)
   Reporting Schedule:
       Details how the contractor will apprise you of its progress.
         • Schedule of meetings
                In-person
                Location
                Format
         • Progress Reports
                Format
                Content
       Tied directly to the contract monitoring efforts.
         • Include as many controls as possible to assist you in monitoring
           progress once the award is made and the work is started.



                              Columbia University
                              Preparedness Partners
 Writing the Request for Contract
              (RFC)
 Special    Considerations:
     Should include information that does not fit
      into any other section
       • Collaborations with other contractors
       • Use of health department equipment for the drill or
         exercise.




                       Columbia University
                       Preparedness Partners
    Writing the Request for Contract
                 (RFC)
   References
       Provide the contractor with reference to information
        the health department believes may assist them in
        writing a successful contract proposal.
         •   Studies
         •   Grant Announcements
         •   Technical Reports
         •   Articles
         •   Specific Standards
                 OSHA PPE


                             Columbia University
                             Preparedness Partners
 Writing the Request for Contract
              (RFC)
 Exclusions:
     Detail any items a contractor might assume
      will be provided by the health department for
      the project
       • Mock Drugs for a POD
     May include a statement of the work the
      health department will perform, and which the
      contractor can exclude from their proposal.

                     Columbia University
                     Preparedness Partners
    Writing the Request for Contract
                 (RFC)
   Price Range:
       Before completing:
         • Determine the benefits and consequences of announcing
           the price range of the acquisition.
               Cons:
                  • Stifle competition
                  • Unnecessary
               Pro:
                  • Eliminates One of the Biggest Questions
                  • Natural Filter
       If disclosing price range, have full confidence in the
        internal cost estimate.


                             Columbia University
                             Preparedness Partners
    Writing the Request for Contract
                 (RFC)
   Price Range (cont.):
         • Internal Cost Estimate Determination
                Consult with local procurement officer
                “10-Step Process for Developing an Accurate Cost Estimate”
   Eligible Contractors:
       Outlines the kind and type of entities eligible to apply
         • State and/or Local procurement codes may dictate how this
           is done
       Example:
         • LHD wants ONLY State Universities to Apply
         • LHD must state that Private Universities are NOT eligible


                              Columbia University
                              Preparedness Partners
Writing the Request for Contract
             (RFC)
 Submission      Requirements:
     Provide potential bidders with all of the
      information pertaining to the submission of
      their proposal including the:
       • Number of copies of the proposal the contactor
         must submit
       • Address(es) where the proposals should be sent
       • Required forms that would need to be submitted
         with the proposal


                      Columbia University
                      Preparedness Partners
       Advertising for Bidders
A process for announcing contract
 opportunities may already be in place at
 the LHD.
    the procurement officer may request
     assistance with determining where best to
     advertise the solicitation.



                   Columbia University
                   Preparedness Partners
          Advertising for Bidders
   If a process for announcing contract
    opportunities is NOT in place at the LHD, LHD
    should:
       Find a method that widely exposes the opportunity to
        the appropriate audiences, and avoids a conflict of
        interest.
       Should determine ahead of time:
         • Where the announcement will placed (e.g. health
           department‟s website, County Officer‟s Office),
         • Methods it will employ to deal with bidders seeking
           information.

                            Columbia University
                            Preparedness Partners
          Advertising for Bidders
   Bidders Seeking Information:
       Best Approach:
         • Provide as much information as they can in the initial
           announcement and to include a section detailing how
           questions will be addressed.
       Alternative Method:
         • Q&A Document:
                Placing the companion in document in the same place as the
                 announcement will ensure that all potential bidders have
                 access the same information and that no one entity has gained
                 a competitive advantage over another.

                              Columbia University
                              Preparedness Partners
        Advertising for Bidders
 Bidders    Seeking Information (cont.):
     Dealing with Questions:
       • Rule of Thumb:
             • Ensure the health department is not giving one
               vendor a competitive advantage over another. In
               other words, health departments must develop
               standardized questions and answers for all potential
               bidders.




                       Columbia University
                       Preparedness Partners
             Making the Selection
   Objectivity is the key to making a sound selection.
   Recommended Strategy:
       Assign a numerical value to the elements of the scope of work
        that are deemed critical.
       Develop “score sheets” that detail the amount of points of each
        critical element of the proposal.
       Recruit individuals who have a sound knowledge of drills and
        exercises to review and score the proposals
       Analyze review recommendations along side other factors




                            Columbia University
                            Preparedness Partners
            Making the Selection
   Other Factors:
       Outside Information
         • LHD should determine whether the review and scoring of the
           proposals was independent of information beyond what was
           provided in the proposal.
                Information outside the proposal that was introduced during
                 the review may influence the score of proposals.
         • If outside information was introduced, the LHD should
           implement corrective actions:
                Voiding scores
                Recruiting and convening a new group of reviewers.


                               Columbia University
                               Preparedness Partners
             Making the Selection
   Other Factors (cont.):
       Cost Benefit Considerations
         • Health departments should also begin review of the
           proposals in the context of what is financially feasible.
                Try not to discount a good application hastily because of price.

       In the past, while contracting a drill or exercise,
        health departments have overestimated their need
        for outside expertise:
         • Inflated budgets with a lot of technical experience and very
           little logistical support.
         • Remedy: Cross-reference the contractor‟s proposed budget
           with the internal cost estimate

                               Columbia University
                               Preparedness Partners
           Making the Selection
 Other     Factors (cont.):
     Reference Checks
      •   Reports of Past Performance
      •   Request List of References
      •   Other Local Agencies (Fire, EMS, etc.)
      •   Other Health Departments




                       Columbia University
                       Preparedness Partners
          Making the Selection
 Other    Factors (cont.):
     Intangibles
       • Understanding of the public health culture
       • Understanding of your community
       • LHD should think of the upcoming relationship
         with the contractor as a partnership, not a vendor
         relationship.



                       Columbia University
                       Preparedness Partners
              Session Topics
   Introduction
   The Building Block: Program of Exercises
   Why and When to Use a Contractor
   Principles of Contracting
   Principles of Contract Management
   Contracting Does Not End with the Exercise



                    Columbia University
                    Preparedness Partners
      Managing the contract
 LHD‟s  may have established process for
  managing contracts.
 Contract Management principles
  presented here should supplement
  established LHD policies



                Columbia University
                Preparedness Partners
Principles of Contract Management
 Kick-Off   Meeting
     Begin contract management by convening a
      meeting with the contractor to carefully review
      what will be expected of both sides
     The “kick-off” meeting should be led by the
      person responsible for writing and organizing
      the acquisition.


                     Columbia University
                     Preparedness Partners
Principles of Contract Management
   Kick-Off Meeting Agenda
       Context in which the work will be performed
       Scope of Work
       Responsibilities
       Additional topics of discussion:
         •   √ Points of contact
         •   √ Reporting and communication procedures
         •   √ Criteria by which progress will be evaluated
         •   √ Consequences for poor performance
         •   √ Procedure for submitting and processing invoices
         •   √ Official start date of contract activities
         •   √ Project work plan and timeline

                               Columbia University
                               Preparedness Partners
Principles of Contract Management
 Monitoring    Contract Deliverables
     Monitoring the progress and completion of
      every obligated item, or service, is the sole
      responsibility of the health department.
     Different ways to monitor contract
      deliverables:
       • Variety of IT Tools
       • Meetings and Progress Reports

                     Columbia University
                     Preparedness Partners
Principles of Contract Management
   In some jurisdictions, monitoring contract
    performance falls to more than one individual.
       Program
       Finance
   whoever is the point of contact should have
       A thorough understanding of the intent of the contract
        and its deliverables
       Either the authority to make decisions concerning
        contract deliverables, or clear access to the person
        who does
       The skill to analyze invoices and vouchers

                         Columbia University
                         Preparedness Partners
Principles of Contract Management
 Consistent monitoring of deliverable
 progress will, in the end, ensure that the
 deliverable will meet the need the health
 department is attempting to meet with the
 procurement.




                Columbia University
                Preparedness Partners
Principles of Contract Management
   Holding Contractor Accountable to Timetable
    and Costs
       Closely aligned with contract monitoring
         • When the health department monitors a contract
           consistently, it places itself in a position where it is able to
           identify deviations from project objectives, timelines, or cost
           projections.
       Deviation from projections:
         • LHD should do all it can to get the contractor back on the
           right path.
                Revisiting the SOW and Technical Requirement Sections
                Modifying the Contract



                              Columbia University
                              Preparedness Partners
Principles of Contract Management
 Modifying     the Contract
     Should only be done when no one or the
      health department was at fault for the delay
      or cost overrun.
     Should never be done when the contractor is
      at fault for delays and overruns.
       • Instead the health department should revert to the
         penalty clauses within the contract and seek
         guidance from the agency‟s legal counsel.

                      Columbia University
                      Preparedness Partners
              Session Topics
   Introduction
   The Building Block: Program of Exercises
   Why and When to Use a Contractor
   Principles of Contracting
   Principles of Contract Management
   Contracting Does Not End with the Exercise



                    Columbia University
                    Preparedness Partners
      Concluding the contract
A   contract is not „done‟ until
    all deliverables have been completed,
     submitted, and accepted;
    all administrative actions performed; and
    all payments rendered.




                   Columbia University
                   Preparedness Partners
        Evaluate the contracting
              experience
 Did you get what you wanted?
 Did you get it for a reasonable
  expenditure of time, money and stress?
 Would you do it again?




                Columbia University
                Preparedness Partners
Thank you for your participation!




           Columbia University
           Preparedness Partners

								
To top