QUESTION:
We placed a provider on a Performance Improvement Plan (“PIP”) because of clinical concerns.  The PIP requires the provider to identify another physician willing to serve as a proctor.  The provider has identified a physician whom we believe would be a suitable proctor.  How should we communicate our expectations and ensure that the proctor understands the responsibilities of the role?

ANSWER FROM HORTYSPRINGER ATTORNEY HALA MOUZAFFAR:
The best way to ensure that the proctor understands the role, performs it as expected, and provides the information you need, is to meet with the proctor before the proctorship begins.

Proctors are not bound by the provider’s PIP and often are not privy to all the details surrounding its implementation. Although they may agree to serve in the role, they may not fully understand their responsibilities.

Meeting with the proctor in advance allows you to (1) clearly explain the expectations the proctor must meet and (2) identify the information which the proctor will need to report on or attest to.

This discussion is an opportunity to define the parameters of the proctorship.  For example:  How many procedures must be proctored? What procedures must be proctored?  Should the proctor discuss the treatment plan with the provider?  How long must the proctor be present during each procedure – from beginning to end, or only for a specified portion?

You should also specify the information the proctor must provide.  For example, did the provider make appropriate decisions regarding treatment plans and procedures?  Did any complications occur?  Did the proctor identify any other concerns?  It may be helpful to provide a standardized review form for the proctor to complete that includes all the details you may be looking for the proctor to be able to report on.  Over the years, HortySpringer has developed tools – including a Proctoring Review Checklist – that simplify this process for committees that use proctors. Standard forms like this ensure the committee clearly outlines everything they are looking for and makes it easy for the proctor to relay that information.

Finally, as lawyers, we would be remiss not to mention at this meeting the importance of explaining the legal protections available to the proctor while serving in this role.  Understanding those protections can help the proctor feel comfortable providing the candid, thorough feedback you need.

If you have a quick question about this, e-mail us at info@hortyspringer.com.