State of Wisconsin DOA-3261 (R08/2003) s.16.75, Wis. Statutes PROPOSALS MUST BE SEALED AND ADDRESSED TO: PURCHASING SERVICES DEPARTMENT OF CORRECTIONS P.O. BOX 7991 MADISON, WI 53707-7991 REQUEST FOR PROPOSAL Remove from proposer list for this commodity/service. (Return this page only.) Proposal envelope must be sealed and plainly marked in lower corner with due date and Request for Proposal # SN-4371. Late proposals will be rejected. Proposals MUST be date and time stamped by the soliciting purchasing office on or before the date and time that the proposal is due. Proposals dated and time stamped in another office will be rejected. Receipt of a proposal by the mail system does not constitute receipt of a proposal by the purchasing office. Any proposal which is inadvertently opened as a result of not being properly and clearly marked is subject to rejection. Proposals must be submitted separately, i.e., not included with sample packages or other proposals. Proposal openings are public unless otherwise specified. Records will be available for public inspection after issuance of the notice of intent to award or the award of the contract. Proposer should contact person named below for an appointment to view the proposal record. Proposals shall be firm for acceptance for sixty (60) days from date of proposal opening, unless otherwise noted. The attached terms and conditions apply to any subsequent award. Proposals MUST be in this office no later than THIS IS NOT AN ORDER Public Opening JANUARY 8, 2014 at 3:00 PM CT PROPOSER (Name and Address) No Public Opening PLEASE COMPLETE: Name (Contact for further information) Name:______________________________________ SCOTT NOREUIL Phone Address:____________________________________ Date Nove111/26/2013 608-240-5588 Quote Price and Delivery FOB ____________________________________ DESTINATION Description The Wisconsin Department of Corrections, Division of Community Corrections is requesting proposals to provide SEX OFFENDER PROGRAM SERVICES IN GREEN BAY, APPLETON AND OSHKOSH, WISCONSIN, to serve offenders who are supervised by the DOC Division of Community Corrections. Respondents may submit proposals for any combination of the above listed three (3) sites. Late proposals will be rejected. Faxed and Emailed proposals are NOT accepted. This page must be completed, signed and included with your proposal. Delivery Time: per specifications Payment Terms: Net 30 We claim minority bidder preference [Wis. Stats. s. 16.75(3m)]. Under Wisconsin Statutes, a 5% preference may be granted to CERTIFIED Minority Business Enterprises. Proposer must be certified by the Wisconsin Office of Business Development. If you have questions concerning the certification process, contact the Wisconsin Department of Administration, 101 E. Wilson St., Madison, Wisconsin 53703, (608) 261-2510. Does not apply to printing bids. W e claim disabled veteran-owned business preference [Wis. Stats. s. 16.75(3m)]. Under Wisconsin Statutes, a 5% preference may be granted to CERTIFIED Disabled Veteran-Owned Businesses. Proposer must be certified by the Wisconsin Office of Business Development. If you have questions concerning the certification process, contact the Wisconsin Department of Administration, 101 E. Wilson St., Madison, Wisconsin 53703, (608) 261-2510. Does not apply to printing bids. We are a work center certified under Wis. Stats. s. 16.752 employing persons with severe disabilities. Questions concerning the certification process should be addressed to the Work Center Program, State Bureau of Procurement, 6th Floor, 101 E. Wilson St., Madison, Wisconsin 53702, (608) 266-2605. Wis. Stats. s. 16.754 directs the state to purchase materials which are manufactured to the greatest extent in the United States when all other factors are substantially equal. Materials covered in our bid were manufactured in whole or in substantial part within the United States, or the majority of the component parts thereof were manufactured in whole or in substantial part in the United States. Yes No Unknown In signing this proposal we also certify that we have not, either directly or indirectly, entered into any agreement or participated in any collusion or otherwise taken any action in restraint of free competition; that no attempt has been made to induce any other person or firm to submit or not to submit a proposal; that this proposal has been independently arrived at without collusion with any other proposer, competitor or potential competitor; that this proposal has not been knowingly disclosed prior to the opening of proposals to any other proposer or competitor; that the above statement is accurate under penalty of perjury. We will comply with all terms, conditions and specifications required by the state in this Request for Proposal and all terms of our proposal. Name of Authorized Company Representative (Type or Print) Signature of Above Title Date Phone ( ) Fax ( ) Email Website This form can be made available in accessible formats upon request to qualified individuals with disabilities. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 2 of 72 STATE OF WISCONSIN DEPARTMENT OF CORRECTIONS REQUEST FOR PROPOSAL (RFP) # CO-3844 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI TABLE OF CONTENTS 1.0 2.0 3.0 4.0 GENERAL INFORMATION .................................................................................................................. 5 1.1 Introduction ............................................................................................................................. 5 1.2 Scope of the Project................................................................................................................ 5 1.3 Procuring and Contracting Agency ......................................................................................... 6 1.4 Definitions ............................................................................................................................... 6 1.5 Questions, Clarifications and/or Revisions .................................................................. …….12 1.6 Reasonable Accommodations .............................................................................................. 12 1.7 Calendar of Events ............................................................................................................... 12 1.8 Contract Term ...................................................................................................................... 13 1.9 VendorNet Registration ......................................................................................................... 13 PREPARING AND SUBMITTING A PROPOSAL .............................................................................. 13 2.1 General Instructions .............................................................................................................. 13 2.2 Incurring Costs ...................................................................................................................... 14 2.3 RFP Submittal ....................................................................................................................... 14 2.4 Proposal Format ................................................................................................................... 15 2.5 Multiple Proposals ................................................................................................................. 16 2.6 Joint Proposal ....................................................................................................................... 16 2.7 Withdrawal of Proposal ......................................................................................................... 16 2.8 Late Responses .................................................................................................................... 16 PROPOSAL SELECTION AND AWARD PROCESS ........................................................................ 16 3.1 Evaluation Committee ........................................................................................................... 16 3.2 Preliminary Evaluation .......................................................................................................... 16 3.3 Proposal Scoring ................................................................................................................... 16 3.4 Evaluation Criteria ................................................................................................................. 17 3.5 Method to Score Cost……………………………………………………………………………….18 3.6 Interviews, Oral Presentations and Site Visit ........................................................................ 18 3.7 Final Evaluation..................................................................................................................... 18 3.8 Right to Reject Proposals and Negotiate Contract Terms .................................................... 18 3.9 Award and Final Offers ......................................................................................................... 18 3.10 Notification of Intent to Award ............................................................................................... 19 3.11 Appeals Process ................................................................................................................... 19 MANDATORY REQUIREMENTS ...................................................................................................... 19 4.1 Mandatory Agency Requirements ......................................................................................... 20 4.2 Mandatory Staff Requirements ............................................................................................. 20 4.3 Mandatory Notification of Contract Staff Changes ................................................................ 22 4.4 Mandatory Facility Requirements .......................................................................................... 22 RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI 5.0 6.0 7.0 Due Date: January 8, 2014 Page 3 of 72 4.5 Mandatory Group Requirements .......................................................................................... 22 4.6 Mandatory Polygraph Requirements ..................................................................................... 23 4.7 Mandatory Program Requirements ....................................................................................... 23 4.8 Mandatory Program Intake ................................................................................................... 24 4.9 Mandatory Program Rules .................................................................................................... 24 4.10 Mandatory Service Coordination (Case Management) ......................................................... 24 4.11 Mandatory Discharge & Termination Requirements ............................................................. 25 4.12 Mandatory Reports................................................................................................................ 25 4.13 Mandatory Program Monitoring............................................................................................. 26 4.14 Mandatory Quality Control Plan ............................................................................................ 26 4.15 Mandatory Collection of Offender Fees ................................................................................ 27 PROPOSER SOLUTIONS ................................................................................................................. 27 5.1 Program Description Summary …………………………………………………………………. 27 5.2 Organizational Capabilities ………………………………………………………………………. 27 5.3 Staff Qualifications & Experience ……………………………………………………………….. 28 5.4 Facility Location, Licensure & Site Plan…………………………………………………………. 29 5.5 Program Concept …………………………………………………………………………………. 30 5.6 Program Intake Procedures…………… ................................................................................ 31 5.7 Program Rules………………………...................................................................................... 31 5.8 Service Coordination (Case Management)/Staffing) ........................................................... 31 5.9 Discharge & Termination ……………………… ..................................................................... 31 5.10 Quality Control Plan ………………………. ............................................................................ 31 5.11 Collection of Offender Fees .................................................................................................. 32 5.12 Program Reporting................................................................................................................ 32 COST PROPOSAL ............................................................................................................................ 32 6.1 Preparing Cost Proposals ..................................................................................................... 32 6.2 Cost Proposal Format ........................................................................................................... 32 6.3 Firm Prices ............................................................................................................................ 32 6.4 Price Increase Requests ....................................................................................................... 32 SPECIAL CONTRACT TERMS AND CONDITIONS ......................................................................... 32 7.1 Payment Requirements ........................................................................................................ 32 7.2 Liquidated Damages ............................................................................................................. 33 7.3 Subcontracting ...................................................................................................................... 33 7.4 Prime Contractor, Minority Business Subcontractors, Disabled Veteran, Subcontractors ... 33 7.5 Executed Contract to Constitute Entire Agreement .............................................................. 34 7.6 Termination of Contract ........................................................................................................ 35 7.7 Affirmative Action .................................................................................................................. 35 7.8 Wisconsin Sales and Use Tax Registration .......................................................................... 36 7.9 Americans with Disability Act ................................................................................................ 36 7.10 Employment of Current Offenders ........................................................................................ 36 7.11 Fraternization ........................................................................................................................ 37 7.12 Contractor Audit Requirement .............................................................................................. 37 RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI 8.0 Due Date: January 8, 2014 Page 4 of 72 7.13 Faith Based and Charitable Organizations ........................................................................... 38 7.14 Confidentiality and the Health Insurance Portability Accountability....................................... 38 7.15 Carrying a Concealed Weapon ............................................................................................. 44 STANDARD TERMS AND CONDITIONS ......................................................................................... 44 Standard Terms and Conditions (Requests for Bids/Proposals) (DOA-3054) ................................... 44 Supplemental Standard Terms and Conditions for Procurements for Services (DOA-3681) ............ 48 Attachments DOA-3027 DOA-3477 DOA-3478 DOA-3333 ………… Designation of Confidential & Proprietary Information ………… Vendor Information ………… Vendor Reference ………… Wis. Cooperative Purchasing Services EXHIBIT A EXHIBIT C EXHIBIT B ………… Program Proposal Format ………… Cost Proposal Format ………… Proposer Checklist APPENDIX 1 APPENDIX 2 APPENDIX 3 APPENDIX 4 APPENDIX 5 APPENDIX 6 APPENDIX 7 APPENDIX 8 APPENDIX 9 ………… DCC Administrative Directive 01-10 ………… Referral for Services (DOC-1336) ………… Offender Report - Monthly (DOC-1088) ………… Unit Service Monthly Report (DOC-1026) * ……… Sex Offender Assessment Report (DOC-1577) * ……… Sex Offender Program Report (DOC-1423) * ………. Limits of Confidentiality of Health Information (DOC-1923) …………Evidence-Based Correctional Program Checklist (CPC) …………Program Guidelines ( * = separate, individual attachment) RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI 1.0 Due Date: January 8, 2014 Page 5 of 72 INTRODUCTION, PURPOSE AND SCOPE 1.1 INTRODUCTION The purpose of this Request for Proposal (RFP) is to provide interested parties with information to enable them to prepare and submit a proposal for Sex Offender Program services. The mandatory requirements for the program are specified in section 4.0 this document. The State of Wisconsin as represented by its Department of Corrections (DOC) may use the results of this process to award a contract for services to be located in Green Bay, Appleton and Oshkosh, WI. The program selected will serve offenders under the care and supervision of the DOC, Division of Community Corrections (DCC). The Wisconsin Department of Corrections (DOC) is changing its organizational culture to become a more evidence-based organization to meet the mission of reducing recidivism. With the completion of the statewide implementation of COMPAS (Northpointe COMPAS), a web based risk/needs assessment and case planning tool, the DOC now has quantitative tools for identifying those offenders with the highest risk to re-offend. The Division of Community Corrections (DCC) will be providing as much information as possible regarding each referred offender’s COMPAS assessment results. This COMPAS information will guide the awarded contractor in providing the best services possible. For some time, the DOC has strongly emphasized the importance of evidence-based practices (EBP). The Department has worked with and trained its staff and contractors on how to implement EBP within DCC programs. The studies that have been done on various programs delivery and curriculums serving correctional or similar clients all support very specific steps in the program delivery, along with quality staff and administrative support, to maintain contract fidelity. DOC is looking for EBP to be evident in the supporting information included in your bid response. This offers you the opportunity to explain the impact affecting the program participant by including the studies that have been done with correctional or similar clients. In your bid response reference the specific studies rather than simply stating ‘studies have been done’. Place the best available evidence from research at the heart of your program by including the EBP definable outcome(s); illustrate that outcomes are measurable; and show that outcomes are practical as they relate to the program participants. Awarded contractor and DOC shall work together in coordinating outcome data with DOC minimum outcome requirements identified in section 4.13 Program Evaluation of this bid. The Corrections Program Checklist (CPC) is included as Appendix 8 to assist bidders in understanding this concept and its role in helping the Department move its staff and contractors together towards the main goal of the Wisconsin Department of Corrections – reduction in recidivism. As the Department moves forward with integrating EBP, it is important that DOC include providers in the discussion. We must work together. While our goals may not always align, we all share a common goal of helping offenders to improve their lives by remaining crime free. The Department values all of you as our partners and we look forward to making sure our programs accomplish reduction in offender recidivism, fewer victims, and fewer crimes. 1.2 SCOPE OF THE PROJECT 1.2.1 Program Description The DCC supervises individuals who have been convicted of sex offenses and/or have a history of criminal and/or deviant sexual behavior. Sex Offender Program services are to provide assessment/evaluation as well as individual and/or group services which address offender rehabilitation and intervention needs and reduce the risk of re-offense presented by offenders who might otherwise be incarcerated. This RFP is looking for experienced contractors to propose a treatment program for sex offenders that, at a minimum, meet the mandatory requirements in section 4.0 RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI 1.2.2 1.2.3 Due Date: January 8, 2014 Page 6 of 72 Goals The goals of Sex Offender Program services are as follows: To assess the level of risk for re-offense presented by sex offenders on probation/parole supervision, extended supervision, and/or supervised by the DOC To assist offender in understanding the impact of offender’s actions on the victim, victim’s family, the community, the offender and the offenders family To facilitate offender acceptance of responsibility for deviant sexual behavior To assist DOC staff in determining supervision strategies/case plans utilizing the Containment Approach To provide offender accountability and community protection To reduce risk of offender relapse by providing interventions which interrupt offender deviant cycles, reduce deviant fantasies and arousal, develop victim empathy, provide sex education, and assist in development and implementation of individual relapse prevention plans To educate the offender on appropriate sexual behavior and/or outlets To provide assistance to DOC staff in providing community education and/or training which enhances the DOC’s ability to supervise sex offenders. Target Population Program services will be targeted for male offenders under the supervision of the Wisconsin DOC, DCC, who are referred by DOC staff. All groups need to be gender specific. A Special Population group of offenders may present particular characteristics that should be addressed by reasonable accommodations in the program. Factors considered in referrals will include convicting offense behavior(s), prior record, other prior history, indicators of imminent relapse, availability of resources, or other case contingencies. Priority placement shall be given to offenders scoring highest on risk to re-offend based upon the professional judgment, intake assessment and risk and needs assessment results. DCC staff will determine priority offenders. 1.3 PROCURING AND CONTRACTING AGENCY This Request for Proposal (RFP) is issued by the Wisconsin DOC which is the sole point of contact for the State of Wisconsin during the selection process. The person responsible for managing the procurement process is Scott Noreuil. 1.4 DEFINITIONS The following definitions are used throughout the RFP: Applicant, Proposer, or Agency: Firm submitting a response to this Request for Proposal Contractor: Successful vendor awarded the contract DAI: Division of Adult Institutions, administration of all state correctional incarceration facilities except those juvenile facilities operated by Division of Juvenile Corrections – headquartered at DOC Central Offices, 3099 E Washington Ave., Madison, WI 53704 DCC: Division of Community Corrections, supervises offenders outside secure facilities DJC: Division of Juvenile Corrections, operates the correctional ‘schools’ – headquartered at DOC Central Offices, 3099 E Washington Ave., Madison, WI 53704 DOA: Department of Administration has statutory authority [WI Stats. Chapter 16] to define, regulate and delegate all aspects of procurement of commodities and services for state agencies. DOC: Department of Corrections, also referred to as the department or the DOC – headquartered at DOC Central Offices, 3099 E Washington Ave., Madison, WI 53704 DVB: Disabled Veteran-Owned Business MBE: Minority Business Enterprise RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Offender: P-Card: Purchasing: RFP: State: Vendor: Must: Shall: Should: Due Date: January 8, 2014 Page 7 of 72 Person under the custody or supervision of the Wisconsin Department of Corrections Procurement Card (State credit card) Department of Corrections’ Purchasing Services Section Request for Proposal State of Wisconsin Firm submitting a response to this Request for Proposal Requirement is mandatory Requirement is mandatory Desirable but not mandatory Actuarial Assessment Tool: An empirically-validated tool that focuses primarily on static (unchangeable) factors that influence recidivism, in which the offender’s particular characteristics are inventoried and the offender’s risk is determined by the extent to which the offender possesses various risk factors associated with recidivism. Tools can also access dynamic (changeable) factors. Examples include the following Minnesota Sex Offender Screening Tool- Revised (MnSOT-R), Rapid Risk Assessment for Sexual Offender Recidivism (RRASOR), Sex Offender Risk Appraisal Guide (SORAG), Static-99, Vermont Assessment of Sex Offender Risk (VASOR), Bumby Cognitive Distortion Scale, Hanson Sexual Attitude Questionnaire, and the Sex Offender Need Assessment Rating (SONAR). Administrative and Fiscal Services: Tasks and responsibilities such as preparation and management of operational budget; personnel management; program planning and evaluation; supervision and evaluation of staff; labor/management relations; public relations; ensuring compliance with AA/CRC requirements; development, implementation and monitoring of policies/practices for information and technology, space, staff/offender health, safety and security. Alternative To Revocation (ATR): A written and signed agreement between DOC and the offender. Assessment: The process by which a counselor or service contractor reviews and evaluates offender history to include such data as the AODA assessment, Criminal Complaint, Judgment of Conviction, Agent’s Assessment and Impressions, and offender interview to determine and report appropriateness and level of group services to be provided. This process takes place so that appropriate decisions can be made regarding sentencing, supervision and treatment. Assessments may include the following types: Sex Offender Assessment: Identifies specific problem areas, strengths and weaknesses, skills, knowledge, and the precedents and antecedents of the sexually abusive behavior. Recommendations for the appropriate type of intervention and level of need for treatment must be included. It also includes a completed Sex Offender Assessment Report (DOC1577) Intake Assessment: Determines and documents sex offender problem areas to be addressed in the program and the sex offender’s appropriateness for the program. The intake assessment includes the initial Treatment Plan and the initial Sex Offender Program Report (DOC-1423). The treatment plan includes measurable goals and objectives, as well as activities/services needed to achieve successful discharge. Progress Assessment/Report: A report that describes the ongoing status of an offender while in a sex offender treatment program. For purposes of this bid, the Sex Offender Program Report (DOC-1423) will be used to report progress. Discharge Summary: Documents a summary of treatment progress when the offender completes or is terminated from a program. The discharge summary includes recommendations for further treatment as well as recommendations to assist the agent in supervising the offender. It also includes a completed Sex Offender Program Report (DOC1423). Service Coordination (Case Management): Process that includes treatment planning, general knowledge of social services and appropriate referrals, record keeping, mandatory reporting RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 8 of 72 requirements, confidentiality rules and regulations as they apply to the specific population, and knowledge of professional ethical standards. Case Plan: Process by which the contractor, supervising agent and offender identify problems needing resolution, establish agreed-upon immediate, short-term and long-term goals and decide on programming to be utilized based on the severity of the offender’s presenting problems Clinical Supervision: Management of the treatment aspects of the program. Tasks and responsibilities include development, implementation, and functional oversight of programs; maintaining current knowledge of research, literature, evidence based practices, program theories and models relevant to target populations served by the program; ensuring ethical and professional standards are maintained in program delivery. It also requires the periodic direct observation and analytic review of ongoing assessment, counseling, motivational interviewing, treatment plan development, implementation, discharge planning and Service Coordination (Case Management) by the contractor staff with the purpose of evaluating and improving service delivery and assuring quality of care. Clinical Supervisor: The person designated to be responsible for the clinical supervision of the staff delivering clinical services in a sex offender treatment program. This person is knowledgeable and experienced about the provision of sex offender treatment services, the change process and working with criminal offenders. Co-facilitator: A person who assists with the facilitation of program groups, assists a person who meets all the direct service staff requirements, and who provides direct program services as part of a team. Cognitive Interventions: Program which teaches specific strategies or techniques to enable offenders to: (1) Identify for themselves the specific thoughts that support their criminal behavior (selfobservation); (2) See and appreciate the pattern and consequences of their thinking; (3) Utilize reasoning and problem solving, self-talk, social interaction skills as a means of controlling and changing their thinking; (4) Recognize that they have choices and can make a conscious decision to change or not to change. The Department stresses programming that combines two types of cognitive interventions: cognitive restructuring (changing the thinking patterns, attitudes and beliefs that lead persons to offend) and cognitive skills training (teaching reasoning, problem solving and social skills). COMPAS: Northpointe COMPAS is a single statewide DOC system of risk/needs assessment and case planning for an offender's lifecycle. Containment Approach: Implementation strategies that depend on agency coordination and multidisciplinary partnerships, minimally between the agent, the treatment contractor and the polygrapher. Correctional Client: City, county, state, tribe or federal clients served in a correctional setting. The DOC will make sole determination of who meets this criterion. Culturally Diverse Programming: Programming which accommodates learning styles of offenders of African American, Hispanic, American Indian, Caucasian and other ethnic backgrounds. This is accomplished through diverse staff and program materials. Denial: The process through which an offender fails to accept responsibility for behavior. Denial can be seen on a continuum: deny the existence of the event (it didn’t happen; the victim made it up); acknowledge the event, but deny any personal responsibility (I did it, but I was drunk, etc.); acknowledge the event, admit responsibility, but deny the significance of the event (I did it, it was wrong, but no harm was done). Offenders from all parts of this continuum will be referred to this program. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 9 of 72 Direct Program Services: Tasks and responsibilities such as conducting sex offender assessments; providing individual and group treatment services; conducting program orientation, evaluation, aftercare, and support groups; Service Coordination (Case Management) activities including case planning, referral to other services, participation in staffings, maintenance of case records/files. Evidence-Based Practices (EBP): Encompasses the principle of making decisions about how to provide care by integrating the best available evidence with practitioner expertise and other resources, and with the characteristics, state, needs, values, and preferences of those who will be affected. Using EBP implies that (1) there is a definable outcome(s); (2) that the outcome is measurable; and (3) it is defined according to practical realities. Gender Specific: Programming designed specifically to address male and female offenders’ needs and learning styles. Guided Self-Discovery: This methodology proposes that to take a cognitive approach and then try to argue offenders out of their habits of thinking is ineffective and even counterproductive. Despite the fact that cognitive interventions involve learning new beliefs and behaviors, these are not taught through lectures or preaching. In guided discovery, questioning and exploration are used to help participants discover what they think, guide them to pinpoint the source of their problems, assist them in seeing new perspectives, and help them find their own solutions to their problems. When using guided discovery, facilitators model a process that offenders can use, on their own, to explore, evaluate and challenge their beliefs and thoughts rather than continually relying upon facilitators to pinpoint the sources of their problems and find solutions for them. Asking questions also helps the facilitator keep track of a participant’s progress in understanding cognitive concepts and making cognitive changes. The guided discovery approach is also used to maximize participant involvement in the group sessions. When responding to questions, the participant is doing most of the work rather than being a passive recipient listening to statements from the facilitator. Guiding participants to pinpoint the source of their problems and find their own solutions also minimizes the possibility of the participant believing that the facilitator is attempting to impose his or her own ideas on the participant. Participants often adopt new perspectives more readily when they are allowed to form their own conclusions than when they are persuaded to adopt the facilitator's conclusions. This methodology tends to increase feelings of self-efficacy and empowerment in participants by encouraging them to adopt an internal focus of evaluation. The facilitator’s role is to work with participants to help them recognize their cognitions and other risk factors that cause problems for them; to test the validity of the thoughts, beliefs and assumptions that prove important; and to make changes in both cognition and behaviors. By actively collaborating with the offender, facilitators minimize the resistance and opposition that is often elicited by taking an authoritarian role, yet they still remain in a position to structure each session and the overall course of the program in a way that is as efficient and effective as possible. High profile/high risk (HP/HR) offender: An offender whose Service Coordination (Case Management) includes issues arising from media attention, offender notoriety, or community opposition. They are often cases with an assaultive history, have mental health problems or convictions for sex offenses. Some of these sex offenders may be sentenced under statutes that require sex offender special bulletin notice (SBN) and/or sex offender registration with the DOC. Minimization: An offender admits to offense or main elements of offense but does not fully acknowledge significant factors, e.g., their responsibility for the offense, attributes responsibility to the victim, shortens period of time or frequency of offenses, diminishes degree of force, denies impact on victim, denies sexualized intent, admits knowing victim was underage but denies knowing victim as young as she/he was. Motivational Interviewing (MI): MI is a client-centered, directive method for enhancing intrinsic motivation to change by exploring and resolving ambivalence. A form of counseling that is more goal-directed yet less confrontational than conventional methods. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 10 of 72 Offender: For purposes of this solicitation, the term “offender” is defined as an individual convicted in adult court and/or with a history of criminal or deviant sexual behavior and under the supervision of the DOC, DCC. A person whose history includes a sexual assault conviction, commitment, or readin, or whose history includes any offense, commitment, juvenile adjudication, or read-in which involved behaviors that were sexually motivated or deviant. PCL-R: The Psychopathy Checklist-Revised, a clinical rating scale used in assessments to determine psychopathy by psychologists to assess sex offenders. Polygraph: An instrument that records continuously, visually, permanently, and simultaneously any changes in cardiovascular, respiratory, and electro dermal patterns as minimum instrumentation standards, and is used, or the results of which are used, for the purpose of detecting deception or verifying truth of statements made by an examinee. Program Evaluation: The identification of quantifiable behavioral indicators of response to the planned intervention used to determine program efficacy through reduction in recidivism. Program Participant: Program participant is defined as an offender referred by DCC and receiving services through the Sex Offender Program. Program Statement: The written statement of a program’s philosophy and model of treatment; the research basis for selection of the treatment model; the problem and the population to be served; the goals, objectives, and activities to be employed to achieve the desired outcomes; and the plan for determining the efficacy of the services provided. Protected Health Information(PHI): Individually identifiable health information in any form or medium, including demographic information, created, received, maintained, or transmitted by the Contractor, on behalf of the DOC, where such information relates to the past, present, or future physical or mental health or condition of an individual, the provision of health care to an individual, or the payment for the provision of health care to an individual, and where such information identifies the individual or provides a reasonable basis to believe that it can be used to identify an individual. PHI excludes individually identifiable health information in education records covered by the Family Educational Rights and Privacy Act (FERPA) and employment records held by the Department in its role as employer. Punishers: Involves the application of a stimulus to decrease behavior. Quality Control: A process by which entities review the quality of all factors involved in production and/or involved in providing services. This approach places an emphasis on three aspects: 1) Elements such as controls, job management, defined and well managed processes, performance and integrity criteria, and identification of records. 2) Competence, such as knowledge, skills, experience, and qualifications. 3) Soft elements, such as personnel integrity, confidence, organizational culture, motivation, team spirit, and quality relationships. Reinforcers: Involves the application of a stimulus to increase behavior. Relapse Profile: A profile of those factors in the offender’s milieu and lifestyle, behavior, thinking, beliefs, attitudes, arousal, and fantasy, which predispose and move the offender toward criminal sexual behavior. Responsivity: Refers to the learning style and characteristics of the offender which can affect their engagement in treatment. Risk Factors: A set of internal stimuli or external circumstances that have been empirically demonstrated to increase the risk of sexual re-offending, or that have been clinically determined on an individual basis to increase a particular offender’s risk of sexual re-offending. Screening: The process which identifies whether an offender has a problem and if so, a RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 11 of 72 recommendation for the most appropriate type of treatment. A screening is a “first cut” done quickly, without the detailed, in-depth, current information that would be gathered for an assessment. A screening should not be confused with an assessment, which is a lengthier, much more definitive process. Secular Programming: Programming that is free of religious components –Administrative Directive 01-10 (Appendix 1). Sexual Deviancy: Sexually Deviant Behaviors: Sexual behaviors that are considered abnormal, atypical, unusual, and/or outside societal norms, e.g. pedophilia. Sexually Deviant Arousal: Sexual arousal to prepubescent children, non-human objects, and/or to violence, humiliation or terror. Sex Offender: This is an offender with a current or past sexual or sexually-related offense conviction or adjudication, a read-in sexually-related case, a pending sexually-related case, or an offender who has a sex offender treatment need as established by Psychological Services assessment. Sex Offender Aftercare: Programming for offenders who have successfully completed a sex offender education or treatment program of some kind, comprised of one or more treatment provider(s)/facilitator(s) who lead a group in a support and monitoring model, with the goals of maintaining treatment gains, ensuring that offenders are following their individual reoffense prevention plans, and returning offenders to Sex Offender Education or Treatment when necessary. The goal of Aftercare is to improve the prognosis, function, and outcome of offenders in order to maintain the risk-reducing effects of sex offender treatment. Sex Offender Education: A comprehensive set of planned and organized didactic experiences that are intended to improve the prognosis, function, and outcome of low-risk sexual offenders in order to reduce risk of sexual reoffending and other sexually abusive and inappropriate behavior. The didactic approach is primary but does not exclude limited use of therapeutic devices such as role-playing, journaling and other writing, and personal disclosure. Sex Offender Treatment (SOT): A comprehensive set of planned and organized therapeutic experiences and interventions which are research-based intended to improve the prognosis, function, and outcome of offenders to reduce their risk of sexual re-offense, or other sexually abusive and other aggressive behavior. Sexually Abusive Behavior: Any behavior that is carried out for the purpose of personal sexual gratification or humiliation of the victim, involving nudity or the sexual organs of the victim. The behavior may not be illegal, but may still qualify as sexually abusive. Such behaviors may include touching, sexual actions, noncontact behaviors such as viewing, watching, photographing, or verbally harassing, or exposing a nonconsenting person (including children) to sexual materials, actions, or words. Sexual exploitation or manipulation via alcohol, “grooming,” deceit, or taking advantage of vulnerability may also be sexually abusive behavior. Sexually Violent Person Law (SVP): Refers to Chapter 980 of the Wisconsin Statutes. This law creates a process for the indefinite civil commitment, for treatment purposes, of persons previously convicted, adjudicated, or committed for certain sexually violent or sexually motivated offenses. Special Needs Offenders: Those who have been determined or suspected to have social skills deficits, behavioral problems, poor comprehension, or impaired retention ability due to cognitive limitations, developmental disorder, or mental illness. Typically, the target population does not include offenders who have special needs and limitations due solely to personality disorders or psychotic disorders, though these may be co-occurring conditions in an individual who also has cognitive limitations or a developmental disorder. Special Bulletin Notification (SBN): The release of a sex offender’s information pursuant of the 1995 Wisconsin Statute 301.46(2m), which authorizes the DOC to inform law enforcement agencies of the release of a convicted sex offender when the release of information will enhance public safety and protection. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 12 of 72 Special Populations: Offenders that may present particular characteristics such as the following cognitively challenged (low functioning), non-English speaking, learning challenged, mentally ill or physically challenged (hearing/visual/mobility impaired). Staffings: Verbal communication and information shared by DOC staff and contractor about a specific offender which usually involves a face-to-face meeting, but may take place over the telephone. The offender may or may not be present at the meeting or time of telephone call. 1.5 QUESTIONS, CLARIFICATIONS AND/OR REVISIONS All communications and/or questions regarding this RFP must be submitted in writing using the email address below on or before the date shown in Section 1.8, Calendar of Events. Paper submission will be acceptable providing it is within the established Calendar of Events. Email is preferred:[email protected] USPS ADDRESS: Department of Corrections Scott Noreuil/Purchasing Services Section P.O. Box 7991 MADISON, WI 53707-7991 COMMON CARRIER ADDRESS: Department of Corrections Scott Noreuil/Purchasing Services Section 3099 East Washington Avenue Madison, WI 53704-4338 Vendors are expected to raise any questions, exceptions or additions they have concerning the RFP document at this point in the RFP process. If a vendor discovers any significant ambiguity, error, conflict, discrepancy, omission or other deficiency in this RFP, the vendor should notify immediately, in writing, the above named individual of such error and request modification or clarification of the RFP. In the event that it becomes necessary to provide additional clarifying data or information, or to revise any part of this RFP, addendum, revisions/amendments and/or supplements will be provided to all vendors via VendorNet. Each proposal shall stipulate that it is predicated upon the requirements, terms and conditions of this RFP and any supplements or revisions thereof. Any contacts with State employees concerning this RFP are prohibited, except as authorized by the RFP manager during the period from date of release of the RFP until the notice of intent to award is released. 1.6 REASONABLE ACCOMMODATIONS The DOC will provide reasonable accommodations, including the provision of informational material in an alternative format, for qualified individuals with disabilities upon request. If you think you need accommodations contact Scott Noreuil via email at [email protected] or via telephone at 608-240-5588. 1.7 CALENDAR OF EVENT Listed below are important dates and times of actions related to this RFP. The actions with specific dates must be completed as indicated unless otherwise changed by the State. In the event that the State finds it necessary to change any of the specific dates and times in the calendar of events listed below, it will do so by issuing a supplement to this RFP and posting on VendorNet. There may or may not be a formal notification issued for changes in the estimated dates and times. DATE November 26, 2013 December 10, 2013 December 16, 2013 (estimate) January 8, 2014 3:00 PM CT February 2014 (estimate) March 2014 (estimate) EVENT Date of issue of the RFP Last day for submitting written questions Answers to bidder questions to be posted to VendorNet Proposals due from vendors Notification of intent to award sent to vendors Contract start date. An earlier start date is preferred. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI 1.8 Due Date: January 8, 2014 Page 13 of 72 CONTRACT TERM The initial contract term shall be effective on the date indicated on the purchase order or contract and shall continue for two years from that date. Based on satisfactory performance and by mutual agreement of the DOC and the contractor, the contract may be renewed for up to three (3) additional one-year periods or portions thereof. However, funding beyond June 30, 2014 is contingent upon the performance of the contractor during the contract period and upon the availability of funds. Availability of funding to support this purchase is contingent upon the biennial budget process. The initial contract term or any renewal period may be extended at the DOC’s option on a month-tomonth basis for the purpose of completing a future solicitation or subsequent transition to a new provider. Contract conditions, terms, and pricing shall not be modified during such month-to-month extension. 1.9 VENDORNET REGISTRATION Department of Administration and State Bureau of Procurement policies no longer require maintenance of bidders lists or individual notification of vendors on bidders lists. In addition, there is no requirement to post solicitations for bids/proposals in the Legal Notices of the Official State Newspaper. Section 16.75, Wisconsin Statutes, allows for use of the Internet to post due notice for certain procurements: http://publicnotices.wi.gov. Vendors who fail to register with VendorNet or who register or change/add commodity codes after the posting of a solicitation may not receive notification of procurement solicitations including amendments or cancellations. The State of Wisconsin’s purchasing information and vendor notification service, VendorNet, is available to all businesses and organizations that want to sell to the state. Anyone may access VendorNet on the Internet at http://vendornet.state.wi.us to get information on state purchasing practices and policies, commodities and services that the state buys, and tips on selling to the state. Vendors may use the same Web site address for inclusion on the bidders list for commodities and services that the organization wants to sell to the state. A registration with notification guarantees the organization will receive an e-mail message each time a state agency, including any campus of the University of Wisconsin System, posts a request for bid or a request for proposal in their designated commodity/service area(s) with an estimated value over $50,000. Organizations without Internet access receive paper copies in the mail. Increasingly, state agencies also are using VendorNet to post simplified bids valued at $50,000 or less. Vendors also may receive e-mail notices of these simplified bid opportunities. To obtain information on the state’s bidder registration, visit the VendorNet Web site at http://vendornet.state.wi.us/vendornet/asp/reginfo.asp or call the VendorNet Information Center (1800-482-7813). In the Madison area, call 608-264-7898. Make sure to select all the appropriate NIGP (Commodity-Service) Codes. Bid lists are generated by NIGP codes. Consider using a generic email address that is accessed or delivered to multiple recipients (example: [email protected]). This will insure that the bid notice is received. 2.0 PREPARING AND SUBMITTING A PROPOSAL 2.1 GENERAL INSTRUCTIONS Before preparing the proposal, proposers are cautioned to thoroughly read the entire Request for Proposal, particularly Section 4, Mandatory Requirements, Section 5, Proposer Solutions, and Section 6, Cost Proposal. Proposals submitted in reply to this RFP shall respond to the specifications stated herein. Failure to respond to the specifications may be a basis for a proposer to be eliminated from consideration during the selection process. Failure to meet mandatory requirements will result in the rejection of the proposer's proposal. The Department reserves the right to reject any or all proposals. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 14 of 72 Evaluation and selection of the contractor agency, as well as subsequent negotiations, will be based on the information submitted in the proposal. Brochures or other presentations, beyond that sufficient to present a complete and effective proposal, are not desired. Elaborate artwork, expensive paper and binders, and expensive visual and other presentation aids are not necessary. The Department reserves the right to visit, inspect and reject all facilities considered as a site(s) for program services under this RFP. 2.2 INCURRING COSTS The State of Wisconsin is not liable for any cost incurred by proposers in replying to this RFP. 2.3 RFP SUBMITTAL Proposers must submit one original (marked as such); four additional paper copies of proposal response; and, one copy on CD-ROM of proposal response (Microsoft Word or Adobe format). NOTE: any information deemed confidential MUST be in a separate folder marked “confidential” on the CD-ROM. Any open records requests will receive a copy of the CD-ROM minus the documents inside the confidential folder. For the purposes of this RFP, receipt of a proposal by the State mail system does not constitute receipt of a proposal by the Purchasing Services Section. The Proposal(s) must be received at the Purchasing Services Section, at the office listed below, no later than 3:00 PM Central Local Time on January 8, 2014. Any proposals received after this time and date will be rejected. Use one of the options below for submitting proposal(s): USPS ADDRESS: DEPARTMENT OF CORRECTIONS SCOTT NOREUIL/PURCHASING SERVICES P.O. BOX 7991 MADISON, WI 53707-7991 COMMON CARRIER ADDRESS: DEPARTMENT OF CORRECTIONS SCOTT NOREUIL/PURCHASING SERVICES 3099 EAST WASHINGTON AVENUE MADISON, WI 53704-4338 *NOTE: Allow an extra day for deliveries to the PO Box address. All proposals must be time-stamped as accepted by the Purchasing Services Section by the specified time stated above. Proposals not so stamped will not be accepted. Receipt of a proposal by the State mail system does not constitute receipt of a proposal by the Purchasing Services Section for purposes of this RFP. To ensure confidentiality of the document, all proposals must be packaged, sealed and show the following information on the outside of the package: o Proposer's Name and Address o Request for Proposal Title o Request for Proposal Number o Proposal Due Date The Cost Proposal must be sealed and submitted as a separate part of the proposal and is due to the addressee on the due date and time noted above. The outside of the envelope must be clearly labeled with: o the words “Cost Proposal” o Proposer's Name and Address o Request for Proposal Title o Request for Proposal Number o Proposal Due Date RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI 2.4 Due Date: January 8, 2014 Page 15 of 72 PROPOSAL FORMAT Proposals should be typed and submitted on 8½" x 11" 20# white paper, bound securely. Proposals should be organized and presented using the formats specified in Exhibit A using page numbers, Program Proposal Format, and Exhibit C, Cost Proposal Format. The Cost Proposal and the Program Proposal must be submitted in separate envelopes. No mention of the cost proposal may be made in the program proposal response. Proposals must be organized with the headings and subheadings included in Exhibits A and Exhibit C. Each heading and subheading should be separated by tabs or otherwise clearly marked. Required forms must be completed where indicated. The program proposal response to this RFP is to include the following: Program Proposal Format (Use Exhibit A) Cover Page: Request for Proposal Form DOA-3261 (Cover Sheet of this RFP). This form must be completed, signed, and dated by the person authorized to do so on behalf of the proposer’s organization and submitted as cover page to the proposer’s program proposal. Part 1: Mandatory Requirements (Section 4) Proposer Checklist (Exhibit B) Documentation Part 2: Program Description Summary (Section 5.1) Part 3: Organizational Capabilities (Section 5.2) Part 4: Staff Qualifications (Section 5.3) Part 5: Proposer Solutions (Sections 5.4 - 5.12) Part 6: Other Required Forms DOA 3027 – Designation of Confidential and Proprietary Information Information submitted as part of the proposal document which is proprietary and confidential in nature and which qualifies as a trade secret may be kept confidential under the Wisconsin Open Records Law – Section 19.36(5), Wis. Stats. Complete and sign the attached form. DOA-3477 – Vendor Information Provide Vendor Company contact information as requested on the form. DOA-3478 – Vendor Reference Complete the Vendor Reference form with four organizations (clients) that your company has done business with providing services similar to those include in this request for proposal. Include the company name, address, contact person, telephone number, and email address along with a brief description of the service. DOA-3333 – Wisconsin’s Cooperative Purchasing Service Proposers are encouraged to extend the contract resulting from this RFB to local governments in Wisconsin. Indicate your willingness to allow Wisconsin municipalities to participate in this contract by completing Form DOA-3333, Wisconsin’s Cooperative Purchasing Service. BE AS BRIEF AS POSSIBLE IN RESPONDING TO SPECIFICATIONS. The pages of the proposal should be consecutively numbered. Cost Proposal Format (Use Exhibit C) RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 16 of 72 The vendor must submit their Cost Proposal on the Cost Proposal Worksheet provided in Exhibit C according to the instructions provided. Failure to provide any requested information in the prescribed format may result in disqualification of the proposal. EXHIBIT C MUST BE SUBMITTED IN A SEPARATE ENVELOPE FROM THE WRITTEN PROPOSAL EXHIBIT A. No mention of the cost proposal may be made in the program (written) proposal response to this Request for Proposal. 2.5 MULTIPLE PROPOSALS Multiple proposals from a vendor will be permissible; however, each proposal must conform fully to the requirements for proposal submission. Each such proposal must be submitted separately and labeled as Proposal #1, Proposal #2, etc. on each page included in the response. Alternate acquisition plans do not constitute multiple proposals. 2.6 JOINT PROPOSAL The DOC requires each Proposal to have one Prime Contractor designated. See RFP Section 7.3 and 7.4. A Proposal submitted from two or more entities that intend to either share or split responsibilities under the Contract may be submitted. If submitted, the joint proposal shall include requested information for each participant, as well as for the entity (i.e., partnership, joint venture, consortium, new company, etc.) that will be the primary contact for, and responsible to, the State and the DOC under the Contract. Proposer must clearly indicate within the proposal response the specifics of any division or allocation of responsibilities for each participant. 3.0 2.7 WITHDRAWAL OF PROPOSAL Proposals shall be irrevocable until contract award unless the proposal is withdrawn. Proposers may withdraw a proposal in writing at any time up to the proposal closing date and time. To accomplish this, a written request to withdraw the proposal must be signed by an authorized representative of the proposer and submitted to the RFP manager. If a previously submitted proposal is withdrawn before the proposal due date and time, the proposer may submit another proposal at any time up to the proposal closing date and time. 2.8 LATE RESPONSES Any proposal received after the date and time specified in Section 2.3 will not be opened. PROPOSAL SELECTION AND AWARD PROCESS 3.1 EVALUATION COMMITTEE DOC’s evaluation committee will consist of members who have been selected because of their special expertise and knowledge of the service(s) that are subject of this RFP. Proposers may not contact members of the evaluation committee except at the DOC’s request. 3.2 PRELIMINARY EVALUATION The proposals will be reviewed initially to determine if mandatory requirements are met. Failure to meet mandatory requirements will result in rejection of the proposal. In the event that all vendors do not meet one or more of the mandatory requirements, the DOC reserves the right to continue the evaluation of the proposals and to select the proposal which most closely meets the requirements specified in this RFP. 3.3 PROPOSAL SCORING Accepted proposals will be reviewed by an evaluation committee and scored against the stated criteria. The committee may review references, request interview/presentations, and/or conduct onsite visits. The resulting information will be used to score the proposals. Proposals from certified Minority Business Enterprises may have points weighted by a factor of 1.00 to 1.05 to provide up to a five percent (5%) preference to these businesses (Wis. Stats. 16.75(3m)). Proposals from certified RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 17 of 72 Disabled Veteran-Owned Businesses a factor of 1.00 to 1.05 to provide up to a five percent (5%) preference to these businesses (Wis. Stats. 16.75(3m)). The evaluation team's scoring will be tabulated and proposals ranked based on the numerical scores received. 3.4 EVALUATION CRITERIA Proposals will be evaluated according to the following criteria: No. Criteria I Organization Capabilities (Section 5.2) Points 400 The proposer’s organization capabilities include, but are not limited to, the years of experience providing services to correctional clients in a venue similar to this proposal; permanence in the community; experience in the containment approach, policy for quality assurance and procedures for continued program improvement, and evaluative tools including computer equipment and resources. II Staff Qualifications (Section 5.3) 400 Staff qualification include, but are not limited to, the level and experience of executive management, the supervision practices and supervisor to staff ratios, employment policies and practices, staff retention and cultural diversity. No. Criteria Points III Proposer Solutions (Section 5.4 - 5.12) 700 The proposed solutions to provide the halfway house program include, but are not limited to, facility location and space use plan, how intake procedures will flow along with DOC staff and documentation, individual and group curriculums utilizing evidence-based practiced with solid program guidelines; use of pre/mid/post evaluation of offender progress and comprehension of materials; and, Service Coordination (Case Management) services that include staffing and reporting criteria. IV Proposal Format 200 Proposal format includes, but is not limited to, clarity of information, ease of use on reference guide to supportive materials and overall comprehensiveness of the RFP response. (85%) Sub - Total V Cost Proposal (Section 6.0) Grand Total 1,700 300 2,000 Only proposals that receive 1,275 (75%) points or greater, for the program (written) proposal requirements (Criteria No. I, II, III and IV), will have the cost proposal scored. A proposal that receives less than 1,275 points on these sections may be ineligible for further consideration. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI 3.5 Due Date: January 8, 2014 Page 18 of 72 METHOD TO SCORE COST Cost is one of the evaluation criteria listed above and will be a percentage of the total RFP evaluation. After the final grading of the proposal requirements, cost scoring will be prorated with the cost proposal with the lowest annual total cost proposed given the highest score for that part of the evaluation criteria. The formula will be as follows: Lowest Total Annual Cost (Constant) __________________________________________________ X 300 points = Score for the Cost Proposal Other Proposer’s Total Annual Cost (varies according to Proposal being scored) Calculation of points awarded to subsequent proposals will use the lowest total annual cost amount as a constant numerator and the dollar amount of the agency being scored as the denominator. (The result will always be less than one.) The number of points (300) multiplies by the result equals the cost score. 3.6 INTERVIEWS/PRESENTATIONS AND/OR SITE VISITS Top scoring proposers from the evaluation of written program proposals may be required to have interviews/presentations to support and clarify their proposals, if requested by the DOC. The DOC may conduct site visits of proposer’s facilities and/or references’ facilities to clarify or confirm proposal information. Every reasonable attempt will be made to arrange the interview/presentation and/or site visit at a time and date convenient to the proposer. Failure of the proposer to provide the visit and/or interview on the date scheduled may result in the rejection of the proposer's proposal. 3.7 FINAL EVALUATION Upon completion of any interviews/presentations by the proposers and/or any site visits, the DOC evaluation committee will review their evaluations and may adjust the program proposal scores based on the information obtained in the interview/presentation, site visit(s), possible reference checks, and any other pertinent proposer information. References may be contacted to confirm the Proposer’s abilities, qualifications, and experience as stated in the Proposer’s Response. The Department of Corrections may perform due diligence by contacting any applicable business reference, including references within the Department or other state agencies. The Department of Corrections reserves the right to disqualify any Proposer whose references do not support their stated claim of qualifications and experience in their proposal response. 3.8 RIGHT TO REJECT PROPOSALS AND NEGOTIATE CONTRACT TERMS The Department reserves the right to reject any and all proposals and to negotiate the terms of the contract, including the award amount, with the selected proposer prior to entering into a contract. If negotiations cannot be concluded successfully with the highest scoring proposer, the Department may negotiate with the next highest scoring proposer. The Department reserves the right to adjust the number of units of service, to add or move locations, and/or add additional locations outside the designated area if in its best interest. No partial proposals will be accepted. 3.9 AWARD AND FINAL OFFERS The Department will compile the final scores (program and cost) for qualifying proposals. The award will be granted in one of two ways. The award may be granted to the highest scoring responsive and responsible proposer. Alternatively, the highest scoring proposer or proposers most likely to be awarded a contract may be requested to submit best and final offer. If best and final offers are requested by the State and submitted by the proposers, the evaluation committee will evaluate the submissions of best and final offers and rescore the original response RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 19 of 72 based entirely on the content of the best and final offer submissions. The award then will be granted to the highest scoring vendor. However, a vendor shall not expect that the State will request a best and final offer. NOTE: Any award without an accepted site after one (1) month will be reviewed for status weekly for one (1) additional month. Un-sited beds after two (2) months may be considered for rescinding of award unless otherwise authorized by Contract Administrator. 3.10 NOTIFICATION OF INTENT TO AWARD All proposers who respond to this RFP will be notified via email if the Department intends to award the contract as a result of this solicitation. After notification of the intent to award is made, proposers may request in writing to view copies of proposals evaluated, under supervision of agency staff. This information will be available for public inspection during the hours of 9:30 a.m. to 3:30 p.m. at the following location: DEPARTMENT OF CORRECTIONS SCOTT NOREUIL/PURCHASING SERVICES SECTION 3099 E. WASHINGTON AVENUE MADISON, WI 53704 608-240-5587 EMAIL: Proposers shall make appointments with the RFP manager to ensure space is available for review. 3.11 APPEALS PROCESS The appeal procedure applies only to those proposals which are for $50,000 or greater. Notices of intent to protest and protests must be made in writing. Written protest should be as specific as possible and shall identify statutes and the Wisconsin Administrative Code provisions that are alleged to have been violated. The written notice of intent to protest the Intent to Award a contract must be filed with: EDWARD F. WALL, SECRETARY DEPARTMENT OF CORRECTIONS 3099 E. WASHINGTON AVENUE PO BOX 7925 MADISON, WI 53707-7925 and received in his office no later than five (5) working days after the notices of the intent to award are issued. Copies of the notice of intent to protest and written protest should be sent to the Purchasing Section Chief at the same address. The decision of the Secretary of the DOC may be appealed to the Secretary of the Department of Administration within five (5) working days of issuance, with a copy of such appeal sent to the DOC. The appeal must allege a violation of a statute or a provision of a Wisconsin Administrative Code. 4.0 MANDATORY REQUIREMENTS This section of the RFP includes program requirements. The following requirements are mandatory and the proposer must satisfy them in the proposal response for the proposal to be evaluated further and scored. Responses to each requirement must indicate that the proposer either “does comply” or “does not comply” on the Proposer Checklist (Exhibit B) and provide any requirement information and documentation as indicated. Failure to comply with a mandatory requirement shall result in rejection of the proposal (refer to Section 3.2 Preliminary Evaluation). Proposers must complete Exhibit B -- Mandatory Requirements Checklist and include with their response submission or their proposal will be disqualified. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 20 of 72 4.1 MANDATORY AGENCY REQUIREMENTS Agency must have a minimum of three (3) years experience providing sex offender treatment services to correctional clients. Experience must include working with involuntary clients, culturally diverse clients, and in a multi-disciplinary approach in order to ensure the containment approach can be utilized. 4.2 MANDATORY STAFF REQUIREMENTS DOC shall have final approval of all program staff related to any contract resulting from this solicitation. Contractor shall provide documentation to DOC on all staff background, including, but not limited criminal and employment checks. No staff or new hires, which are currently under supervision with the DOC, shall provide any service or have access to offenders and offender records. The DOC retains the right to require the reassignment of an employee or employees, as the Department may deem necessary. Reasons for this request may be but are not limited to incompetence, carelessness, disruptive or otherwise objectionable behavior. The request for reassignment is in no way a call for dismissal. It is just a request for the individual to be reassigned out of the State contracted program. 4.2.1 Staff providing Fiscal and Administrative Services must have a minimum of two (2) years of experience providing services to correctional or human services clients. 4.2.2 Staff providing clinical supervision must, at a minimum, be licensed or certified in one of the following professions: A. Advanced Practice Social Worker, Independent Social Worker, Clinical Social Worker, or Professional Counselor—licensed/certified under 1991 Wisconsin Act 160 as amended by Wisconsin Act 80 (Chapter 457) effective 11-01-2002. B. Psychologist—licensed under Wisconsin Statutes, Chapter 455. C. Psychiatrist—licensed under Wisconsin Statutes, Chapter 448 and board eligible as a psychiatrist by the American Medical Association. D. All noted licensing and certification must be current. E. Staff providing clinical supervision must conduct a minimum of 4 hours of direct group observation per year. The Clinical Supervisor must submit a report to the Contract Administrator including but not limited to the group, behavior displayed, topic, and facilitator skills that were observed during the clinical supervision time. 4.2.3 Staff providing Clinical Supervision, under any agreement resulting from this solicitation shall have two (2) years experience in each of the following areas: A. Conducting sex offender risk assessments using current instruments and methodologies B. Providing individual and group sex offender treatment C. Working with involuntary clients D. Working in a multidisciplinary approach (containment model) E. Working with culturally diverse client populations F. Providing cognitive/behavioral-based programming G. Providing relapse prevention programming H. Service Coordination (Case Management) including treatment planning, general knowledge of social services and appropriate referrals, record keeping, mandatory reporting requirements, confidentiality rules and regulations as they apply to the specific population (adult or juvenile), and knowledge of professional ethical standards. 4.2.4 Staff providing Clinical Supervision, under any agreement resulting from this solicitation, must have a minimum of forty (40) hours of training that includes a minimum of four (4) hours in each of the following areas: A. Treatment of cognitive distortions, thinking errors, and criminal thinking B. Risk assessment of sex offenders RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI C. D. E. F. G. H. 4.2.5 Due Date: January 8, 2014 Page 21 of 72 Relapse prevention Sex Offender Dynamic Risk Factors Containment Approach Model Sex offender treatment including group, individual, and behavioral therapy Human sexuality including etiology of sexual deviancy Treatment issues specific to target population(s) to be served by the program Staff conducting direct program services must, at a minimum, be licensed or certified in one of the following professions: A. Social Worker, Advanced Practice Social Worker, Independent Social Worker, Clinical Social Worker, or Professional Counselor licensed under 1991 Wisconsin Act 160 as amended by Wisconsin Act 80 (Chapter 457) effective 11-01-2002. B. Psychologist licensed under Wisconsin Statutes, Chapter 455. C. Psychiatrist licensed under Wisconsin Statutes, Chapter 488 and board eligible as a psychiatrist by the American Medical Association D. Psychiatric Nurse licensed as a registered nurse under Wisconsin Statutes, Chapter 441, and certified as a psychiatric nurse by the American Nursing Association All noted licensing and certification must be current. If treatment groups are co-facilitated, at least one co-facilitator shall meet the licensing requirements. 4.2.6 Staff providing direct program services under any agreement resulting from this solicitation shall have two (2) years experience in each of the following areas: A. Conducting sex offender risk assessments using current instruments and methodologies B. Providing individual and group sex offender treatment C. Working with involuntary clients D. Working in a multidisciplinary approach (containment model) E. Working with correctional clients F. Working with culturally diverse client populations G. Providing cognitive/behavioral-based programming H. Providing relapse prevention programming I. Service Coordination (Case Management) including treatment planning, general knowledge of social services and appropriate referrals, record keeping, mandatory reporting requirements, confidentiality rules and regulations as they apply to the specific population (adult or juvenile), and knowledge of professional ethical standards. 4.2.7 Staff providing direct program services must have a minimum of sixty (60) hours of training that includes a minimum of four (4) hours in each of the following areas: A. Treatment of cognitive distortions, thinking errors, and criminal thinking B. Risk assessment of sex offenders C. Relapse prevention D. Sex Offender Dynamic Risk Factors E. Containment Approach Model F. Group facilitation G. Sex offender treatment including group, individual, and behavioral therapy H. Human sexuality including etiology of sexual deviancy I. Treatment issues specific to target population(s) to be served by the program J. Family systems K. Victim Impact L. Specialized monitoring/assessment tools such as polygraph, PCL-R, penile plethysmograph, ABEL, pharmacological treatment, etc. 4.2.8 Staff providing direct program services may, though is not required, to co-facilitate groups. If co-facilitation is planned, at least one co-facilitator shall meet all experience requirements. Understanding the need to grow the field, the DOC will allow a person who is ‘In-Training’ to co-facilitate groups, though co-facilitation is not a requirement for this Proposal. If the vendor chosen as a result of this proposal chooses to utilize an ‘In-Training’ counselor, under no circumstance will this person be allowed to conduct groups alone. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 22 of 72 4.3 MANDATORY NOTIFICATION OF CONTRACT STAFF CHANGES DOC requires any change in staff, including ownership, management, supervision, and direct service staff during the contract period be reported, in writing, within 48 hours to the DCC Contract Administrator. Details to be explained in writing include who is leaving, what their title is, the program in which they are working; and their final service date. New staff shall be reviewed and approved by DCC Contract Administrator prior to the staff starting in the DCC program. 4.4 MANDATORY FACILITY REQUIREMENTS The facility must have sufficient physical space to reasonably accommodate individual and group programming in the Cities of Green Bay, Appleton, and Oshkosh, WI. DCC will be the sole determining factor in approving ‘sufficient’ space and reserves the right to adjust the number of cycles, to add or move locations, add locations outside the designated area and/or change the target population if in its best interest. NOTE: DCC Office space in Green Bay is NOT available for use by the contractor for the purpose of this Proposal. DCC Office space IS AVAILABLE and may be used for both Appleton and Oshkosh SOT services. Services in Appleton require at least two (2) of the treatment groups be held at the DCC Office located at 5600 Grande Market Drive, Appleton, WI 54913. DCC staff shall determine priority of referrals to be placed in this program. Any referrals denied acceptance will notify the Contract Administrator for final resolution. 4.5 4.4.1 At the time the proposal response to this RFP is submitted, the applicant agency shall have a site or a firm proposal for a site for the program. An award without an accepted site after one (1) month will be reviewed for status weekly for one (1) additional month. Un-sited program after two (2) months may be considered for rescinding of award unless otherwise authorized by Contract Administrator. 4.4.2 Before any contract resulting from the RFP is implemented, the facility must meet all applicable state and local building codes, fire safety, and sanitation requirements. 4.4.3 The facility must be accessible to public transportation. MANDATORY GROUP REQUIREMENTS The following provisions are required for all program service groups – 1) At the onset of offender program participation, the contract staff shall inform offenders of the contractor’s duty to warn and communication obligation to DOC. The contractor shall have the offender sign a waiver of confidentiality to allow information to be shared with DOC or other criminal justice/social service agencies that have a need to know. 2) The contract staff shall be willing to address community safety issues and cooperate with DOC staff to monitor risk. The contractor shall report lapses, violations, and when the offender is in a high-risk situation to the referring agent within 24 hours. 3) The contract staff shall agree to accept subpoenas and sign admissions of service of such subpoenas to appear at revocation and court hearings if requested by the Department of Corrections or its employees or agents. 4) For evaluation purposes, the contract staff shall be willing to have group treatment observed and evaluated by a DOC representative. 5) All groups shall follow the characteristics consistent with program efficacy per Appendix 8. 6) Contractor is responsible to develop strategies to address gender responsivity. 7) Contractor is responsible for providing all materials. 8) The contract staff shall demonstrate an ability to be assertive and non-punitive toward offenders. Staff shall have a written policy addressing the implementation and use of punishers RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 23 of 72 and reinforcers, as well as an electronic system for tracking the delivery of the behavioral modification methods. Staff training in the application of these behavior modification tools shall be documented. 9) Accommodations may be required for specific populations of offenders based upon the following: intelligence under IQ of 80, gender, race/ethnicity, and motivation to change, personality or mental disorder. 10) All program services shall be secularly based. Program content, materials and self-help support groups employed in the delivery of treatment to the offender must comply with the requirements of Kerr v. Farrey, 95 f.3d 472 (1996) and DCC Administrative Directive 01-10, attached as Exhibit 4. 11) Multiple cycles may run concurrently at the same location. In the event that groups are provided in succession by the same facilitator, there must be adequate time between groups and at a minimum, not less than 15 minutes apart. 12) When services are cancelled or delayed due to inclement weather or other circumstances as deemed appropriate by DOC, contract staff shall make all reasonable efforts to notify group participants of group cancelation prior to start time. Cancellation policy shall be approved by DOC and provided to group participants within program rules. 13) Contractor shall have the capability to accept offender referral forms and related documents electronically. 14) DOC Contract Administrator or designee shall have access to all DCC Offender files and program groups as they deem necessary. This includes both announced and unannounced visits. 4.6 MANDATORY POLYGRAPH REQUIREMENTS The Department purchases a limited number of polygraphs through a contract separate from this solicitation. Contracted agency would be expected to make a commitment to participate in a multidisciplinary approach which involves intensive monitoring of sex offenders on supervision to prevent them from committing new offenses. The Service Coordination (Case Management) team, (containment approach) which consists of the agent, polygrapher and treatment contractor closely cooperates to reduce the risk of reoffense, in an approach varied by offender, with the goal of eliminating opportunity and access to victims. 4.7 MANDATORY PROGRAM REQUIREMENTS Offenders in all groups shall be expected to prepare homework/journals/assignments or thinking reports. In addition, all offenders shall be required to participate, and give and receive feedback during each group session. Role playing exercises should be utilized in all group sessions to allow the offender to practice the learned skill. The program shall provide the ability to enroll offenders at various points throughout the treatment group cycle as long as the group size does not exceed 10 participants. Groups must be comprised of only offenders supervised by DOC. Accommodations may be required for special populations of offenders. 4.7.1 Sex Offender Assessments The assessment process must include the following: A. B. C. D. E. F. G. H. Meeting in person with the client for a clinical interview. At least one (1) empirically-validated STATIC actuarial assessment tool. At least one (1) empirically-validated DYNAMIC actuarial assessment tool. A review of the historical risk factors presented by the offender based upon a validated measurement tool. The offender’s readiness for treatment services. The offender’s ability to adapt to the treatment setting. Recommendation for supervision strategies. Sex Offender Assessment Report (DOC-1577-Sample Appendix 5). RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 24 of 72 The assessment shall include a detailed written report that will be forwarded to the agent of record within ten (10) days. Accommodations may be required for special populations of offenders. 4.7.2 Male Sex Offender Group Treatment Male group treatment, based on the assessment as detailed in 4.7.1 of this proposal, is to follow a cognitive intervention model of sex offender treatment. Group treatment shall be specifically designed to address male sex offender issues. The group shall be male only but heterogeneous relative to type of offense (e.g., predatory, rapists, child molesters, etc.). 4.7.3 Special Needs Sex Offender Group Treatment Special Needs Population group treatment, based on the assessment as detailed in 4.7.1 of this proposal, must follow a cognitive intervention model of sex offender treatment for offenders who are cognitively impaired. However, it is expected this program will follow a general relapse prevention model with less emphasis on written reports and insight. Social skills may be included as a component of the program. The group shall be male only but heterogeneous relative to type of offense (e.g., exhibitionists, rapists, child molesters, etc.). Treatment shall be conducted in a group setting. 4.7.4 Aftercare Sex Offender Group Treatment Relapse Prevention group treatment, based on the assessment as detailed in 4.7.1 of this proposal, is to follow a cognitive intervention model of sex offender treatment. Group treatment shall be specifically designed to address male sex offender issues. 4.8 MANDATORY PROGRAM INTAKE Program Intake will include Sex Offender Assessment per requirements detailed in 4.7.1. when specifically requested via a DOC-1336. Not all referrals will require an assessment due to prior treatment history and/or case file information from the Department. When an Assessment is required, Proposer shall submit a completed summary and recommendation using the Sex Offender Assessment Report (DOC 1577), (Appendix 5) within 10 working days of admission. 4.9 MANDATORY PROGRAM RULES Proposer shall incorporate the DOC-1923 Limits of Confidentiality Regarding Information Rendered to Treatment Staff (Appendix 7) into the program rules and obtain offender signature. Signed form will be delivered to the referring agent/liaison within 10 days of the offender’s admission to the program. Contract staff must be available to appear in court, if ordered, as a part of this contract and at no additional charge. 4.10 MANDATORY SERVICE COORDINATION (CASE MANAGEMENT) 4.10.1 In order to effectively monitor an offender’s participation and progress in Sex Offender programming, the contractor agency and DOC staff need to share ongoing information regarding the offender’s behavior. Considering the risk sex offenders present to the community, this information sharing needs to be current, structured and consistent. A written report that includes the DOC-1423 Sex Offender Program Report (Appendix 6) that addresses offender progress in treatment is required and shall be completed at a minimum every three (3) months. Copies will be provided to Agent upon report completion. 4.10.2 As part of the Service Coordination (Case Management), it is required that the contractor meets with DOC Staff at least once a month. During these meetings, the contractor shall be prepared to discuss the progress of the offenders in the treatment group, including but not limited to, any red flag situations that have been disclosed, risk factors, participation, and areas of improvement. Discussions for offender treatment participation lasting beyond twelve (12) months must occur at these meetings and written documentation shall be provided by the contractor to request extensions. Final approval shall be determined by the Department. 4.10.3 Contract staff shall be a part of the polygraph process to achieve the collaborative approach among the supervision/treatment team. This would include participation in the polygraph preparation with the offender as well as involvement in staffing the results. Contract staff shall attend DOC provided polygraph training. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI 4.11 Due Date: January 8, 2014 Page 25 of 72 MANDATORY DISCHARGE AND TERMINATION REQUIREMENTS 4.11.1 A written discharge summary including the DOC-1423 Sex Offender Program Report (Appendix 6) is required and submitted to DCC within 10 working days of termination or discharge. This will include a description of offender’s progress in group or individual programming, additional program recommendations, the offender’s relapse prevention plan, and recommendations to assist the agent in supervising the sex offender’s subsequent activities. 4.11.2 For programs with separate denial focus group a staffing with DOC staff is required to coordinate offender movement to group treatment. 4.12 MANDATORY REPORTS 4.12.1 Violation Reports 220.127.116.11Law Violations: In addition to complying with all applicable Wisconsin Statutes, the contractor shall notify the referring DCC agent or other available DOC staff if a participant is in violation of the law. This notification must take place as soon as possible and no later than 24 hours subsequent to receiving information concerning the law violation. 18.104.22.168Serious Program Violations: Serious program rule violations, including failure to attend, shall be reported to the referring DCC agent or other available DOC staff within one working day. 22.214.171.124Ad Hoc Reports: Upon request, the contractor shall provide to DOC staff reports on offenders served in the program when needed by the courts for revocation procedures and/or other Departmental processes. 4.12.2 Written Reports/Documents 126.96.36.199Attendance Report: The contractor shall provide weekly attendance reports with information regarding offender’s attendance, compliance with payment, and any relevant comments/updates. The comments should include risk factors, deviant thoughts, and participation level. The attendance report shall be submitted in person, via fax or e-mailed, within 24 hours from the start of each group. 188.8.131.52DOC-1336 Referral for Services (Appendix 2): The contractor shall submit a completed DOC-1336 form for each offender referred by DOC for service. These forms shall be submitted with the first DOC-1088 Client Report Monthly following offender’s rejection or acceptance into the program. 184.108.40.206DOC-1088 Client Report– Monthly (Appendix 3): The contractor shall submit a completed DOC-1088 to report data on offenders served each month. This report shall be submitted within ten (10) days of the last day of the month during which service was provided. 220.127.116.11DOC-1026 Unit Service Monthly Report (Appendix 4): The contractor shall submit a completed DOC-1026 to provide data on the number of units of service provided each month. This report shall be submitted within ten (10) days of the last day of the month during which the service was provided. 18.104.22.168DOC-1577 Sex Offender Assessment Report (Appendix 5): The contractor shall review the DOC-1577, if provided in the DOC referral packet, with the offender. If not included in the referral packet, contractor shall complete the form. Include the form with the intake assessment and submit to the referring agent/DCC liaison within ten (10) working days of offender’s admission to the program. 22.214.171.124DOC-1423 Sex Offender Program Report (Appendix 6): The contractor shall review the DOC-1423, if provided in the DOC referral packet, with the offender. If not RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 26 of 72 included in the referral packet, contractor shall complete the form. Include the form with the intake assessment and submit to the referring agent/DCC liaison within ten (10) working days of offender’s admission to the program. 126.96.36.199DOC-1923 Limits of Confidentiality of Health Information (Appendix 7): The contractor shall review the DOC-1923 with the offender prior to providing any services to the offender. The completed form signed by the offender shall be submitted to the referring agent/liaison within ten (10) working days of offender’s admission to the program. 4.13 MANDATORY PROGRAM MONITORING 4.13.1 Program evaluation is intended to return useful information to program sites for the purpose of program improvement. Contractors delivering services to offenders shall prepare for and cooperate with evaluation efforts initiated by the Department including long-term results of offenders discharged from the program. The Correctional Program Checklist (CPC) will be used as the evaluation tool to assess the extent to which correctional treatment programs adhere to the known principles of effective intervention. It is designed to evaluate the integrity of a program, not outcomes. It is not the intent of the evaluation process to terminate any program, however, lack of improvement action may result in notice of termination. CPC steps are attached as Appendix 9. 4.13.2 Contractors will be expected to collect and maintain similar data on offenders and their participation in the treatment process in an electronic database. Requirements include computer capabilities with internet access, e-mail, and Microsoft Windows applications. Data will be reviewed at the end of each year and submitted in a report providing details to show how the program reduced recidivating. Outcome reports shall be submitted annually, at a minimum, with a summary page explaining report outcomes. At minimum, the report will include – o Program overview including outcome goals and relationship to reducing recidivism. o Number of offenders participated in each program level. o Number of offenders completing the level of program. o Number of offenders completing all programming as assessed. o Number of offenders who do not complete the program and why. o Number of offenders returning to the program including the period of time after leaving the program. 4.13.3 Contractor is expected to survey offenders currently active in group services. These written surveys shall be completed at least one (1) time for every cycle of service delivered, not to include at discharge. At a minimum, feedback surveys are expected to examine: o Targeted behaviors o Dynamic risk factors o Using validated instruments o Utilize the information to drive programming and add information to dynamic case plans. A written summary specifically addressing these requirements shall be sent to the Contract Administrator within ten (10) days of offender survey completion. 4.14 MANDATORY QUALITY CONTROL PLAN Contractor shall have a Quality Control Plan which provides indicators of program progress and staff assigned to provide monitoring of those indicators. 4.14.1 Contractor shall establish goals within the Quality Control Plan 4.14.2 Contractor shall submit quarterly Quality Control Plan Monitoring Reports that indicate evidence of progress and problems with respect to reaching their goals. 4.14.3 Contractor shall define steps to remedy any deficiencies identified by their quality control process. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI 4.15 Due Date: January 8, 2014 Page 27 of 72 MANDATORY COLLECTION OF OFFENDER FEES 4.15.1 Contractor shall collect fees from program participants or via third party payments. Program participants who are employed or who receive other public or private funds will be expected to contribute toward program costs. Collection should take place outside of group session hours. The DCC Contract Administrator shall provide the scale for determining the amount of offender fees. NO OFFENDER WILL BE DENIED SERVICES BECAUSE OF INABILITY TO PAY. 4.15.2 Offenders shall be provided written fee collection requirements at the program start including the specific total amount of fees required while in program. Offenders shall receive a written receipt from contract staff whenever a fee is paid. Contractor will balance fee receipt book on a monthly in order to show individual monthly totals for DCC invoicing and auditing purposes. 4.15.3 The amount of these collections will be reported on the DOC-1026 Unit Service Monthly Report, for the month in which the fee was paid, and deducted from the amount reimbursable to the contract agency by the DCC. 5.0 PROPOSER SOLUTIONS The proposer is to respond to each item requested and completely describe and discuss in their proposal how they plan to deliver services, including any expectations of the Department to provide materials or information to their agency which the proposer believes is necessary to fulfill the program requirements. The questions and statements in this section are only to assist in preparing program concept and potential responses to the mandatory requirements. Program Services, Program Deliver, and Reporting as identified in your proposal response shall be provided under any contract which may result from this RFP. The level of service and staff identified in your proposal response will be the level of service and staffing required to be maintained throughout the period of the contract. 5.1 PROGRAM DESCRIPTION SUMMARY Proposer may develop a detailed summary of the program in 200 words or less. The summary should include the purpose of the program, the program model, type of service provided by the agency, method of service delivery, coordination with other service agencies (if applicable), location or proposed location, target group(s), expected length of offender involvement in the program, and total number of offenders to be served during the contract period. Summary may indicate the background supporting that all core programs are evidence-based, include referenced studies showing curriculum appropriate for correctional clients and commitment to program fidelity. 5.2 ORGANIZATIONAL CAPABILITES A successful proposer will have documented experience providing sex offender treatment services to correctional clients. Proposers will include agency organizational charts identifying staff professions, resumes, and current licensing qualifications according to Wisconsin State Statutes and Codes; agency experience working in multi-disciplinary approach with correctional clients; composition of staff and recruitment policies 5.2.1 Agency Structure and Experience 188.8.131.52 Organization, List of Staff and Staff Credentials o Describe the number of hours of administrative and staff supervision services to be provided to the program staff. This should be displayed in an administrative and supervisory support plan that describes the administrative activity by name, date, and time and staff position over a sample program cycle period. o Detail what makes your agency stand out from others. 184.108.40.206 Agency Experience in Providing Sex Offender Treatment Services to Correctional Clients o Provide your agency’s experience and qualifications in providing services as described above. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI o o o 5.2.2 Describe the nature of your agency’s experience, including dates, in providing services to correctional clients. Indicate the name(s) of the program(s), the dates of operation, and total numbers and background of clients served throughout the agency's operation of the program (s). Explain your past experience using the containment approach including the program in which it was used and the communication or process used to accomplish this approach. Program Monitoring, Evaluation, Improvement and Quality Assurance Program evaluation is intended to return useful information to program sites for the purpose of program improvement. Contractors delivering services to offenders are asked to prepare for and cooperate with evaluation efforts initiated by the Department including long-term results of offenders discharged from the program. The Correctional Program Checklist (CPC) steps are attached as Exhibit 9 and may be used as the evaluation tool to assess the extent to which correctional treatment programs adhere to the known principles of effective intervention. o o o o o o o o o o o 5.3 Due Date: January 8, 2014 Page 28 of 72 Describe the data that your agency would consider relevant to measure the outcome of the program. Identify the computer capabilities your agency currently has and how you track program evaluation. Show how data will be presented and who has responsibility for reporting. Include how the data will be used to improve program content, delivery and dosage. Provide the name of your staff person who will be the contact person responsible for coordinating with DOC and evaluation staff. List that staff person’s qualifications and experience. Include the methods used for collecting data on the program and the criteria you will use to evaluate the program. Identify the type of standardized pre/mid/post-testing you recommend be used to measure offender change and how you will report your results and how often. Describe how your agency measures offender progress and how your agency addresses’s deficiencies. Submit an example of the format anticipated to be used on this program and a copy of a past report on a similar service and sized program. If your organization has an existing system for documenting and managing client-level information, please provide an overview and copy of format as applicable. STAFF QUALIFICATIONS AND EXPERIENCE 5.3.1 Composition of Current Staff and Recruitment Activities o Provide a) the current job classifications by race and gender, (b) a description of recruitment activities, AND (c) details on conducting background checks on all staff providing services to DOC. o Specify your method of screening staff proposed for work within the program in the facility. o Include your average length of staff retention. o Describe the arrangement proposed for adding/maintaining sufficient staff for the delivery of services to correctional clients and monitoring of services provided. o Explain the procedure that will be followed to inform DCC when staff changes within the agency per 4.3 of this RFP. o Specify the activities the agency will undertake to recruit and maintain staff with a goal of having a work force composition which relates to the cultural and social needs of the target population. o Explain your supervisor to staff ratio. o Detail how you ensure a culturally diverse staff. o Include the type(s) of training required of new staff. o Show how you ensure that staff stays up to date with training. o Detail the method of delivery of training (i.e. in house, web based, outsourced and/or face to face). RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI 5.4 Due Date: January 8, 2014 Page 29 of 72 5.3.2 Staff Providing Fiscal and Administrative Services o Indicate agency staff who will be assigned these responsibilities including their experience providing fiscal and administrative services. o Specify the date and location of staff experience including the name(s) of program(s) with contact person who can verify this experience. 5.3.3 Staff Providing Clinical Supervision o Document that staff meets the qualifications listed in sections 4.2 and include a copy of license or certification criteria. o Indicate agency staff who will be assigned these responsibilities. Detail their experience including specific dates of employment and a copy of the appropriate license or certification. o Indicate the name(s) of the program(s), the dates of operation, and the numbers and backgrounds of clients served throughout the employing agency(ies). o Provide contact name and phone number of persons who can verify details of staff experience. 5.3.4 Staff Qualifications for Providing Direct Program Service o Provide documentation that staff meets the license or certification criteria in one of the following professions listed in section 4.2. o Indicate agency staff who will be assigned these responsibilities and specifically identify name of staff who will provide bilingual groups. Detail their experience including specific dates of employment and a copy of the appropriate license or certification. o Indicate the name(s) of the program(s), the dates of operation, and the numbers and backgrounds of clients served throughout the employing agency(ies). o Provide contact name and phone number of persons who can verify details of staff experience. o If groups are being co-facilitated, at least one facilitator shall meet all licensing requirements. 5.3.5 Staff Experience for Providing Direct Program Services o Provide documentation that staff meets the two (2) years of experience in each of the required areas. o Indicate agency staff who will be assigned these responsibilities. Detail their experience including bilingual facilitation of groups, specific dates of employment and experience in all the areas listed above. o Indicate the name(s) of the program(s), the dates of operation, and the numbers and backgrounds of clients served throughout the employing agency(ies). o Provide contact name/phone number of who can verify experience. o If groups are being co-facilitated, at least one facilitator shall meet all licensing requirements. 5.3.6 Staff Training for Providing Direct Program Services o Provide documentation that staff meets the minimum sixty (60) hours of training including the minimum of four (4) hours in each of the areas listed in 4.2.7 o Indicate agency staff who will be assigned these responsibilities. Detail their training including specific dates in all the areas listed above. o Indicate the name(s) of the program(s), the dates of operation, and the numbers and backgrounds of clients served throughout the employing agency(ies). o Provide contact name/phone number of who can verify training hours. o If groups are being co-facilitated, at least one facilitator shall meet all licensing requirements. o Describe the process used in the agency to provide relevant, on-going training for the staff, including frequency, and areas of training. Include how this will be communicated to DOC during the contract period. o If staff positions are pending hire, submit recruitment plan and job description of those pending positions. FACILITY LOCATION, LICENSURE AND SITE PLAN 5.4.1 Site Location Plan and Narrative RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI o o o o 5.5 Due Date: January 8, 2014 Page 30 of 72 Your response should address the mandatory facility requirements Describe in detail where the program will be located. If the agency has an existing site, include a copy of the lease or proof of ownership. Submit a physical space use plan showing how you will use this site. If the agency does not have a site, include firm plans with a realistic timeline for securing the site. The timeline should be a weekly, dated plan specifying the activities necessary to site the program, to complete the activities associated with the licensing of the facility including any remodeling or equipment installation and the time for applicable state and local requirements. In the weekly timeline, the agency should specify the staff position(s) responsible for completing or monitoring the specific activities. Agencies should indicate the total amount of time they will need to complete siting and licensing activities. Submit a physical space use plan for a proposed site. Address any possible problem(s) your agency may expect in providing program services to offenders at the site(s) indicated. Specify the activities your agency plans to take to deal with or lessen these problems. Include, as specified by name and title, who in your agency will be assigned to carry out these activities and when will they be completed. Identify if the facility be exclusive to DOC offenders. If no, explain who, what and number of other services provided at this location. PROGRAM CONCEPT When proposing your program services describe your goals, objectives, and performance measures for this service. The Department of Corrections (DOC) is looking for program services that have an evidence based approach to meeting the needs of supervised individuals with a need for correctional services. 5.5.1 Program Overview o Research has found (English, et.al) that collaboration on the Service Coordination (Case Management) level promotes effective day-to-day offender management through consistent information sharing and the utilization of comprehensive data to inform decision making across the team. Describe how you would integrate the containment approach in your practice. o Describe how the program will serve DOC offenders and how your program concept will reduce offender recidivism. Include all accreditation and use of quality control methods. o Explain the process for monitoring offender progress and for determining program completion/successful discharge. Describe the process for making decisions for termination of offenders who are not compliant. o Describe how accommodations will be provided to special populations of offenders (ie. low functioning, non-English speaking, learning challenged). o A goal of the sex offender treatment is the specific reduction in an individuals own risk factors. Detail how your agency will evaluate the effectiveness of group treatment for the individual participant. o Include the number of months and number of program hours an offender can expect to remain in each group treatment to successfully complete group treatment. Include a description of the issues covered in each group, how frequently the groups will meet, and how long each group session is. Explain if groups are to be conducted by a single facilitator or co-facilitated. Describe in detail, program materials, topics addressed, and any objective evaluation tools to measure offender’s progress. o Describe each group size (min/max) and how the treatment group will be designed to address each specific group of offender issues. Explain how each group process will address individual offender offense patterns and the relapse prevention plan. o Explain your process for working with offenders in denial and offenders who lack motivation to participate in treatment. o Explain your method for moving offenders to the Aftercare groups. 5.5.2 Sex Offender Assessments o Explain your assessment process to specifically address all eight (8) service specifications in 4.7.1. o Include Assessment tool to be utilized including reliability and validity as tested on criminal populations. o Include an example of a previously completed Assessment Report (names to be omitted). RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI 5.5.3 Due Date: January 8, 2014 Page 31 of 72 Sex Offender Group Treatment o Include a detailed description of each of the program group treatment components, curriculum, topic areas covered, pre/mid/post testing to evaluate offenders progress and comprehension, determination of completion, and research showing that the curriculum is evidence-based in each of the following group areas: 1. Male Sex Offender Group Treatment per 4.7.2. 2. Aftercare Sex Offender Group Treatment per 4.7.3 5.6 PROGRAM INTAKE PROCEDURES o Describe your written referral/intake plans and procedures. How will you incorporate a completed summary and recommendation using the Sex Offender Assessment Report (DOC 1577), Appendix 5? o Identify, if any, your intake restrictions. o Detail how you will involve the offender in the process. o Explain how you will communicate information regarding the referral to the offender and DOC staff. 5.7 PROGRAM RULES o Address how you incorporate the DOC-1923 Limits of Confidentiality Regarding Information Rendered to Treatment Staff (Appendix 7) and how this is explained to the offender. o Identify when in the process the offender will sign the release forms and how the offender will receive copies. o Describe the process of how the offender receives copies of the program rules and how the rules are explained along with program expectations. o Explain how you advise offenders that they will be required to discuss details of the conviction offense as part of the treatment process and that information revealed about the conviction offense cannot be used against them in criminal proceedings. o Submit a draft copy of your release of information forms and a copy of your written program rules 5.8 SERVICE COORDINATION (CASE MANAGEMENT)/STAFFING o In order to effectively monitor an offender’s participation and progress in Sex Offender Programming, the contractor agency and DOC staff need to share ongoing information regarding the offender’s behavior. How will you address this issue? o Explain your policy and written procedure on appearing at revocation and court hearings including how you will work with DOC in these situations. o Describe how your agency would share information and make recommendations to both the Polygrapher and DOC staff in preparation for scheduled polygraphs. How frequently and in what form would the information sharing take place? 5.9 DISCHARGE/TERMINATION o Describe your written discharge or termination summary. o Will the same written summary be included for both group and individual treatment? o When and how will the referring agent/DOC liaison be informed of the program’s intent to terminate an offender from treatment? Will it be prior to discharge and what level of details will be included? o Explain what criteria will be used to terminate an offender from programming for poor adjustment or lack of progress. o Explain what criteria will be used to assess offender successful completion of the program. How will decisions be made? Who will participate in the decision-making process? How will the information be shared with offenders and DOC staff? o Provide a sample copy, if available. 5.10 QUALITY CONTROL PLAN o Explain or provide a copy of an existing quality control plan that you will implement with this program. o Identify indicators used to determine offender progress. o Provide names, background and qualifications of staff that will provide monitoring of the plan. o Include a copy of a detailed quarterly report. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI 6.0 Due Date: January 8, 2014 Page 32 of 72 5.11 COLLECTION OF OFFENDER FEES o Describe how you will ensure accurate accounting for reporting fees collected. o Detail how fees will be collected (daily/weekly/monthly) and how offenders are to be informed of the amount to be paid, when they need to be paid, how to retain receipt and impact of nonpayment. o Explain the process for DCC notification if fees are not paid by offenders during the program participation. o Please include a copy of the format you will use to screen offenders for third party payment or other funding. 5.12 PROGRAM REPORTING o Do you anticipate any problems in complying with the requirements stipulated by DOC in 4.12? o Explain how you propose to adapt current practices to comply. COST PROPOSAL 6.1 PREPARING COST PROPOSAL The cost proposal must be submitted in a separate envelope with the written proposal. The proposal will be scored using a standard quantitative calculation where the most points will be awarded to the proposal with the lowest cost. 6.2 COST PROPOSAL FORMAT Proposers must prepare and submit the Cost Proposal using Exhibit C, Cost Proposal Format (cover page) and Cost Proposal Worksheet. The Cost Proposal Worksheet includes three parts: the Cost Summary (Part 1); Cost Summary Percentage by Program Service Provided (Part 2); and Itemized Budget (Part 3). Submit total annual cost and unit cost per bed day as indicated on the Cost Proposal Worksheet. COMPLETION OF ALL INFORMATION IS MANDATORY. Proposers must prepare the cost proposal using the format provided in Exhibit B, Cost Proposal Format, supported by a budget breakdown to show how cost is determined. COMPLETION OF ALL INFORMATION IS MANDATORY. EXHIBIT B MUST BE SUBMITTED IN A SEPARATE ENVELOPE FROM THE WRITTEN PROPOSAL EXHIBIT A. 7.0 6.3 FIRM PRICES Prices must remain firm for the initial contract term. Prices established may be lowered due to general market conditions. 6.4 PRICE INCREASE REQUESTS Price increase requests proposed after the initial Contract term must be received by Purchasing and the Contract Manager in writing ninety (90) calendar days prior to the beginning of the next contract term for acceptance or rejection. Proposed price increases are limited to fully documented cost increases submitted with the request and may not increase more than the Consumer Price Index. If Purchasing deems cost increases are not acceptable, it reserves the right to rebid the contract in whole or part. Acceptance of the price increases shall be in the form of an amendment to the contract. Price increases must be labeled with the contract number and be submitted in the same format as the original RFP. Any price increase requested that is not submitted in the proper format may be rejected. SPECIAL CONTRACT TERMS AND CONDITIONS 7.1 PAYMENT REQUIREMENTS Contractor must agree that all invoices shall reflect the prices and client fees collected for the duration of any contract resulting from this bid. The DOC must meet a statutory mandate to pay or reject invoices within thirty (30) days of receipt by DOC Accounts Payable (Note exemption of aids payments to individuals and organizations which is a funding source for this service). Before payment is made, it also must verify that all invoiced RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 33 of 72 charges are correct as per this Contract. Only properly submitted invoices will be officially processed for payment. Prompt payment requires that contractor invoices be clear and complete in conformity with the instructions below. All invoices must be itemized showing: Contractor name remit to address purchase order number release number if given date of service(s) prices per the Contract The original invoice must be sent to the DOC address listed on the Purchase Order. Final payment may not be made until work has been accepted by the DOC. 7.2 LIQUIDATED DAMAGES This shall be surety for fulfillment of the contract(s) including quality, performance and delivery under the terms of this Request for Proposal. Liquidated damages shall consist of the contracted cost per group for failure to deliver the program according to the mandatory requirements of the proposal and subsequent contract with statement of deliverables. Liquidated damages will be deducted from payments on the invoice if the invoice is of sufficient amount to cover the liquidated damages. If the invoice is not of a sufficient amount to cover the liquidated damages, the agency will request cancellation of the invoice and a credit to cover the balance. All liquidated damage letters will be generated by the Contract Manager or Purchasing designee. 7.2.1 CONTRACTOR APPEALS PROCESS In the event liquidated damages are assessed the contractor will be given an opportunity to appeal the damages by using the following process: o o o o Respond to the DOC Contract Manager’s liquidated damage letter. Contract Manager responds back after consulting with the program. If contractor is still not satisfied, the contractor appeals to the Division Administrator. If the contractor is not satisfied with the Division Administrator’s response, the contractor can appeal to the State of Wisconsin Claims Board. NOTE: Each party gets 10 business days to respond between steps unless otherwise agreed. 7.3 7.4 SUBCONTRACTING Any Contract resulting from this RFP shall not be, in whole or in part, subcontracted, assigned/referred, or otherwise transferred to any other Contractor without prior written approval by Purchasing Services. 7.3.1 The Contractor shall be directly responsible for any subcontractor’s performance and work quality when used by the Contractor to carry out the scope of the job. 7.3.2 Contractor must assure subcontractors abide by all terms and conditions under this Contract. 7.3.3 If subcontractors are to be used, the Contractor must clearly explain their participation. PRIME CONTRACTOR: MINORITY BUSINESS SUBCONTACTORS AND DISABLED VETERANOWNED BUSINESS SUBCONTRACTORS The prime contractor will be responsible for contract performance when subcontractors are used. However, when subcontractors are used, they must abide by all terms and conditions of the contract. If subcontractors are to be used, the bidder must clearly explain their participation. The State of Wisconsin is committed to the promotion of minority business in the state's purchasing program and a goal of placing 5% of its total purchasing dollars with certified minority businesses. Authority for this program is found in ss. 15.107(2), 16.75(4), 16.75(5) and 560.036(2), Wisconsin RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 34 of 72 Statutes. The contracting agency is committed to the promotion of minority business in the state's purchasing program. The State of Wisconsin policy provides that minority-owned business enterprises certified by the Wisconsin Office of Business Development should have the maximum opportunity to participate in the performance of its contracts. The supplier/contractor is strongly urged to use due diligence to further this policy by awarding subcontracts to minority-owned business enterprises or by using such enterprises to provide goods and services incidental to this agreement, with a goal of awarding at least 5% of the contract price to such enterprises. The supplier/contractor shall furnish appropriate quarterly information about its effort to achieve this goal, including the identities of such enterprises certified by the Wisconsin Office of Business Development and their contract amount. The Wisconsin Office of Business Development also certifies disabled veteran-owned businesses and supplier/contractor should also include the identities of such businesses in their quarterly information. Quarterly reports shall be due fifteen (15) calendar days after the end of the quarter, 9/30, 12/31, 3/31 and 6/30. The form for submitting this information is available from the VendorNet Department of Administration Forms Page: http://vendornet.state.wi.us/vendornet/doaforms/doa-3234.doc . The report shall be submitted even if there is no activity. Submit to: e-mail: [email protected] post: MBE Purchasing Report PO BOX 7991 Madison, WI 53707-7991 The State reserves the right to request additional reports from the Contractor at no additional cost. Contractor shall use every effort to provide such reports in a reasonable timeframe, but no later than thirty (30) calendar days from the time the request was submitted. These reports shall be in a form approved in advance in writing by the State. A listing of certified minority businesses, as well as the services and commodities they provide, is available from the Department of Administration, Minority Business Program, (608) 267-3293. The listing is published on the Internet at: http://www.doa.state.wi.us/mbe/report2.asp?locid=0 . A directory of certified disabled veteran-owned business can be accessed via this website: http://commerce.wi.gov/BusinessDirectory/. Information about the Disabled Veteran-Owned Business Program is available from the Department of Administration, (608) 267-3293. 7.5 EXECUTED CONTRACT TO CONSTITUTE ENTIRE AGREEMENT In the event of contract award, the contents of this RFP (including all attachments), RFP addenda and revisions, the proposal of the successful proposer, and additional terms agreed to, in writing, by DOC and the contractor shall become part of the contract. Failure of the successful proposer to accept these as a contractual agreement may result in a cancellation of award. The following priority for contract documents will be used if there are conflicts or disputes. State of Wisconsin standard terms and conditions Final Signed Contract including amendments Official State of Wisconsin Purchase Order Written Proposer’s response Written Request for Proposal including any amendments; Other exhibits/attachments RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 35 of 72 Successful proposer should retain a copy of this DOC Request for Proposal document and their own response to the RFP solicitation, as it becomes part of the awarded contract. 7.6 7.7 TERMINATION OF CONTRACT This Contract may be terminated for the following conditions: 7.6.1 The DOC may terminate the Contract at any time, with or without cause and without penalty by delivering thirty (30) days written notice to the Contractor. 7.6.2 The DOC has a Vendor Performance Evaluation process for soliciting feed-back from contract users about vendor performance and compliance with contract specifications. Vendor noncompliance with the terms, conditions or specifications that is persistent and/or significantly impacts the quality and performance provided pursuant to the contract may be considered in breach of contract. Negative Vendor Performance Evaluation Surveys may result in non-renewal or termination of contract. 7.6.3 If at any time the Contractor performance threatens the health and/or safety of the DOC, the DOC has the right to cancel and terminate the Contract without notice. 7.6.4 Failure to maintain the required Certificates of Insurance, Permits and Licenses shall be cause for Contract termination. If the Contractor fails to maintain and keep in force the insurance as provided in #23 of the Standard Terms and Conditions, the DOC has the right to cancel and terminate the Contract without notice. 7.6.5 If at any time a petition in bankruptcy shall be filed against the Contractor and such petition is not dismissed within ninety (90) calendar days, or if a receiver or trustee of Contractor's property is appointed and such appointment is not vacated within ninety (90) calendar days, the DOC has the right, in addition to any other rights of whatsoever nature that it may have at law or inequity, to terminate the Contract by giving ten (10) calendar days notice in writing of such termination. 7.6.6 Failure of the DOC to comply with contract terms, conditions or specifications shall provide the sole cause for which the Contractor is entitled to terminate the contract. The Contractor shall notify the Department in writing within thirty (30) days after the Contractor becomes aware of the alleged noncompliance with a complete description of the same. If the DOC does not, within forty-five (45) days after its receipt of the Contractor’s notice, either (1) effect a cure or (2) if the noncompliance is not one that can reasonably be cured within forty-five (45) days, develop a plan to cure the noncompliance and diligently proceed according to that plan unto a cure is effected, then the Contractor may terminate the Contract for cause by written notice to the DOC. The Contractor may not terminate the Contract without cause unless express written consent to do so is provided by the DOC. AFFIRMATIVE ACTION All contracts of more than Fifty Thousand Dollars ($50,000) require the submission of a written affirmative action plan or request exemption. Contractors with an annual workforce of less than twenty-five employees are eligible for exemption. Within fifteen (15) days after the award of the contract, the written affirmative action plan, or statement requesting exception, shall be submitted to the Department’s Contract Compliance Office. Address plan to: AFFIRMATIVE ACTION MANAGER/PURCHASING SERVICES DEPARTMENT OF CORRECTIONS 3099 E. WASHINGTON AVE. PO BOX 7991 MADISON, WISCONSIN 53707-7991. Contractors are encouraged to contact this office at, (608) 240-5419, for technical assistance on equal opportunity. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 36 of 72 "Affirmative Action Plan" is a written document that details an affirmative action program. Key parts of an affirmative action plan are: (1) a policy statement pledging nondiscrimination and affirmative action employment, (2) internal and external dissemination of the policy, (3) assignment of key employee as the equal opportunity officer, (4) a workforce analysis that identifies job classification where representation of women, minorities and the disabled is deficient, (5) goals and timetables that are specific and measurable and that are set to correct deficiencies and to reach a balance of work force, (6) revision of all employment practices to ensure that they do not have discriminatory effects, (7) establishment of internal monitoring and reporting systems to measure progress regularly. Failure to comply appropriately with these requirements can lead to bidder being banned from doing business with any agency of the State of Wisconsin. Additionally, failure to comply can result in termination of this contract, or withholding of payment. On the Vendor Information Sheet provide the requested information. For additional information see Section 19.0 of the Standard Terms and Conditions. 7.8 WISCONSIN SALES AND USE TAX REGISTRATION The State of Wisconsin shall not enter into a contract with a vendor, and reserves the right to cancel any existing contract if the vendor or contractor has not met or complied with the requirements of s. 77.66, Wis. Stats., and related statutes regarding certification for collection of sales and use tax. If you have not established a certification for Collection of Sale and Use Tax status with the Wisconsin Department of Revenue, the DOC and any other state agency can not issue any purchase orders to your firm. For additional information see http://www.dor.state.wi.us/html/vendlaw.html 7.9 AMERICANS WITH DISABILITY ACT The contractor agency must complete or currently have on file a facility self-survey and a program and policy self-evaluation to address compliance with the Americans with Disability Act. (Public Law 101336, July 26, 1990, 104 Stat. 327 and Title 42, U.S.C.A., ss. 12101 to 12213). During the course of the contract, the contractor must take action to comply with the facility, program and employment provisions of the Americans with Disability Act. Applicants may obtain information on the Americans with Disability Act by contacting the Director of the Office of Diversity and Employee Services, Wisconsin Department of Corrections, 3099 E. Washington Avenue, PO Box 7991, Madison, Wisconsin 53707-7991. 7.10 EMPLOYMENT OF CURRENT OFFENDERS AND EMPLOYMENT AND RETENTION OF INDIVIDUALS ARRESTED, CHARGED OR CONVICTED OF CRIMINAL OFFENSES 7.10.1 Contractor shall not employ a person who is on probation, parole or an inmate who is supervised by Intensive Sanctions for any position where the primary duties and responsibilities involve the supervision or treatment of inmates, probationers or parolees or involve access to offenders' records or funds. 7.10.2 Contractor will implement policies and procedures to ensure that – Job applicants or current employees shall be dealt with as follows: a) For a job applicant who has a pending criminal charge: Where the circumstances of said criminal charge substantially relate to the circumstances of a particular job or licensed activity, the applicant will not be hired for that job; b) For a current employee who has a pending criminal charge: Where the circumstances of said criminal charge substantially relate to the circumstances of the job or licensed activity, the employee will not be continued in that particular job; c) For a job applicant who is convicted of a criminal offense: Where the circumstances of said conviction of a criminal or other offense that substantially relates to the circumstances of a particular job or licensed activity, the applicant will not be hired for that job; and d) For a current employee who is convicted of a criminal offense: Where the circumstances of said conviction of a criminal or other offense that substantially relates to the circumstances of the current job or licensed activity, the employee will RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 37 of 72 not be retained in that particular job; and e) For a job applicant who is required to use an Ignition Interlock Device (IID): Where the circumstances of said court ordered requirement substantially relate to the circumstances of a particular job or licensed activity, the applicant will not be hired for that job; and f) For a current employee who is required to use an Ignition Interlock Device (IID): Where the circumstances of said court ordered requirement substantially relate to the circumstances of a particular job or licensed activity, the employee will not be retained in that particular job. Nothing in this contract prohibits the Contractor from reassigning or suspending the employee or, in the case of a conviction, terminating the employee. 7.10.3 In hiring and retention decisions, Contractor may consider records of pending criminal charges and convictions when it can be demonstrated that the circumstances of the offense substantially relate to the circumstances of the job or licensed activity. When determining whether the circumstances of a pending charge or conviction are substantially job related, Contractor should take into consideration elements related to the position, the offense, and the individual. 7.10.4 To make determinations on substantial relationships to the circumstances of the job, Contractor shall have written policies on how the applicant for employment and the employee will be reviewed. To guide the development of the policy, the Contractor may obtain a copy of Chapter 301 of the Department of Corrections Supervisor's Manual from the Contract Administrator. 7.11 FRATERNIZATION 7.11.1 Contractor agrees to have a written policy on fraternization that prohibits the forming of improper relationships between Contractor's employees and offenders. The policy must be substantially equivalent to the DOC' policy as expressed in Executive Directive 16, May 1991 - Revised January 1997, Further Revised August 2004. A copy of Executive Directive 16 may be obtained from the Contract Administrator. 7.11.2 Contractor shall address at the minimum the policy required in Sub. A: definitions of employee, relationships and offender; a statement of prohibited relationships; duty of an employee to inform Contractor of unplanned contacts with offenders; a statement that Contractor-directed contacts or those which are part of the employee's job duties are exempt from the policy; an exception procedure which may be carried out by the Executive Director or designee; and a standard employee statement indicating that each employee has read a copy of the Contractor's policy on fraternization. 7.11.3 Contractor must maintain a copy of the signed employee statement on fraternization in each employee's personnel file. 7.12 CONTRACTOR AUDIT REQUIREMENT 7.12.1 Governmental entities shall comply with the Single Audit Act of 1984, OMB Circular A-128 and the State Single Audit Guidelines issued by the Department of Administration. They shall also comply with the Department of Health and Family Services' Allowable Cost Policy Manual. Single audit reports are due to the Department within thirty (30) days from issuance of the report, but no later than one year after the end of the audit period. 7.12.2 Non-profit agencies that have been certified under USC 501(c)(3) shall comply with OMB Circular A-133, the Department's Contractor Agency Audit Guide, the Allowable Costs Policy Manual and ss.301.08. Audits are due to the Contractor within one year of the close of the contract. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 38 of 72 7.12.3 Profit agencies shall comply with the Department's Contractor Agency Audit Guide, the Allowable Costs Policy Manual, and ss. 301.08. Audits are due to the Contractor within one year of the close of the contract. 7.12.4 If a Contractor agency's audit is based on a calendar rather than state fiscal year (July 1 through June 30), the Contractor and/or auditor shall submit a worksheet which reconciles the expenditures based on the state fiscal year and the relevant purchase orders within one year of the close of the contract. 7.12.5 Department shall notify Contractor within 90 days of receipt of the audit completed by the independent certified auditor, whether or not the audit meets the requirements of Department's audit guidelines. Department shall initiate resolution of audit findings with Contractor within 180 days following notification of the audit's acceptance. If the audit is not complete or is acceptable only in part, Department shall rely upon the acceptable portion of the audit and any additional audit work shall build upon the work already done. 7.12.6 Department reserves the right to conduct an independent audit of Contractor if Contractor fails to secure an audit covering all funds, or a follow-up review of selected areas is determined to be necessary. In the event that Contractor fails to secure an audit, Department's costs for completing an audit will be charged back to Contractor. 7.12.7 Contractor agrees that it is responsible to assure that all purchase of service contracts of $25,000 or more meet the requirements of the Office of Management and Budget Circulars A-133 and A-128 that pertain to sub-recipient audits. 7.13 FAITH-BASED AND CHARITABLE ORGANIZATIONS 7.13.1 A faith-based or charitable organization is eligible to be a contractor on the same basis as any other private organization. If Contractor is a faith-based or charitable organization it shall retain its independence from the State of Wisconsin, including without limitation Contractor’s control over the definition, development, practice, and expression of its charitable religious beliefs. Except as otherwise provided by state or federal law, Department shall not interpret this Contract to require a faith-based or charitable organization to alter its form of internal governance or remove religious art, icons, scriptures, or other symbols. 7.13.2 A religious organization does not, by contracting with the State of Wisconsin, lose the exemption provided under Section 702 of the Civil Rights Act (42 U.S.C. 2000e-1(a)) regarding its employment practices. Furthermore, if a faith-based or charitable organization segregates the government funds provided under the Contract, then only the financial assistance provided by these funds will be subject to audit. 7.13.3 Neither Department’s selection of a charitable or faith-based contractor to provide the Services described herein nor the expenditure of funds under this Contract is an endorsement of the Contractor’s charitable or religious character, practices, or expression. The purpose of this Contract is the provision of Services; none of Department’s expenditures have as their objective the funding of sectarian worship, instruction, or proselytization. As such, a faith-based or charitable Contractor of Services under this Contract shall post at its place(s) of business the following written notice and personally appraise all assisted offenders of the same: Neither the State of Wisconsin’s selection of a faith-based contractor of services or the expenditure of funds under any contract with said contractor is an endorsement of that contractor’s religious character, practices, or expression. No contractor of services may discriminate against you on the basis of religion, a religious belief, or your refusal to actively participate in a religious practice. If you object to a particular contractor because of its religious character, you may request assignment to a different non-sectarian contractor by contacting your Agent. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 39 of 72 7.13.4 To ensure an offender is informed of the foregoing, a faith-based or charitable Contractor shall require that each offender receiving Services under this Contract signs an acknowledgment form prepared by the Contractor containing the aforementioned notice and verifying the offender’s receipt of the same. A copy of all signed acknowledgment forms shall be promptly provided to Department. Finally, Department will require that each offender sign the Department’s “Voluntary Choice and Waiver” form prior to receiving any Services from a faith-based or charitable Contractor under this Contract. A faith-based or charitable Contractor agrees to refrain from providing Services hereunder to an offender until it receives a copy of a fully executed Voluntary Choice and Waiver form from Department for that respective offender. 7.14 CONFIDENTIALITY AND HEALTH INSURANCE PORTABILITY ACCOUNTABILITY In addition to Health Insurance Portability and Accountability Act of 1996 (HIPAA) regulations on medical record privacy (45 CFR, parts 160 & 164), the department considers all personally identifiable information relating to offenders to be confidential, and such data is not to be released unless approved by the DOC. 7.14.1 DEFINITIONS Designated Record Set: (1) A group of records maintained by or for a covered entity that is: (i) The medical records and billing records about individuals maintained by or for a covered health care provider; (ii) The enrollment, payment, claims adjudication, and case or medical management record systems maintained by or for a health plan; or (iii) Used, in whole or in part, by or for the covered entity to make decisions about individuals. (2) For purposes of this Contract, the term record means any item, collection, or grouping of information that includes protected health information and is maintained, collected, used, or disseminated by or for a covered entity. Disclosure - the release, transfer, provision of access to, or divulging in any other manner of information outside the entity holding the information. Incident - a use or disclosure of PHI by the Contractor or subcontractor not authorized by this Contract or in writing by the Department. This definition includes any attempted, successful or unsuccessful, unauthorized access, modification, or destruction of PHI, including electronic PHI, or interference with the operation of any information system that contains PHI. Individual - the person who is the subject of PHI or the personal representative of the individual, as defined and provided for under applicable provisions of HIPAA. Protected Health Information or “PHI” - Individually identifiable health information in any form or medium, including demographic information, created, received, maintained, or transmitted by the Contractor, on behalf of the Department, where such information relates to the past, present, or future physical or mental health or condition of an individual, the provision of health care to an individual, or the payment for the provision of health care to an individual, and where such information identifies the individual or provides a reasonable basis to believe that it can be used to identify an individual. PHI excludes individually identifiable health information in education records covered by the Family Educational Rights and Privacy Act (FERPA) and employment records held by the Department in its role as employer. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 40 of 72 7.14.2 Prohibition on Unauthorized Use or Disclosure of PHI The Contractor shall not use or disclose any PHI except as permitted or required by the Contract or this Agreement, as permitted or required by law, or as otherwise authorized in writing by the Department. 7.14.3 Permitted Use and Disclosure of PHI The Contractor may use or disclose PHI only: a. For the delivery of the services, program management, activities, or functions contracted for in the Contract; or b. For meeting contractual or legal obligations as established in any agreements between the parties evidencing their business relationship; or c. As permitted by HIPAA if such use or disclosure were made by the Department or otherwise required by applicable law, rule or regulation; or d. For use in the operations of the Contractor as provided in paragraph 4 of this Contract; or e. As otherwise authorized by the Department in writing; or f. For data aggregation for the health care operations of the Department. 7.14.4 Use of PHI in Contractor Operations The Contractor may use or disclose PHI as necessary for the delivery of the services or programs provided for in the Contract, including appropriate management and administration of programs or services, or to fulfill the contractual or legal obligations of the Contractor provided: a. The disclosure is permitted or required by law; or b. The Contractor obtains reasonable assurances, evidenced by a written contract, from any person or organization to which the Contractor will disclose PHI that such person or organization shall: (i) Hold all PHI in confidence and use or further disclose it only for the purpose for which the Contractor disclosed it to the person or organization, or as required by law; and (ii) Notify the Contractor, who will in turn promptly notify the Department, of any instance of which the person or organization becomes aware that PHI was improperly disclosed. 7.14.5 Safeguarding and Maintenance of PHI a. The Contractor will develop, implement, maintain, and use: (i) Reasonable and appropriate administrative, technical, and physical safeguards to prevent improper use or disclosure of PHI, in any form or medium; and, (ii) Reasonable and appropriate administrative, technical, and physical security measures that protect the confidentiality, integrity and availability of electronic PHI that it creates, receives, maintains, or transmits on behalf of the Department. b. The Contractor will document PHI safeguards and security measures and agrees to provide the Department with access and review of this documentation if requested by the Department or an agent of the Department. Security measures employed by the Contractor must be sufficient to ensure that the Department is compliant with the HIPAA privacy and security requirements for those covered services, activities, or functions performed on behalf of the Department on or before the date such requirements become effective. c. The Contractor agrees to conduct an accurate and thorough assessment of the potential risks and vulnerabilities to the confidentiality, integrity, and availability of electronic PHI held by the Contractor. The Contractor and the Department agree that all costs associated with performance of these activities will be the responsibility of the Contractor unless the Department agrees to be responsible for some or all of the costs associated with the performance of these activities. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 41 of 72 7.14.6 Use or Disclosure of PHI by Subcontractors and Agents of the Contractor The Contractor agrees to require any agent, including subcontractors, to whom the Contractor provides PHI to comply with the same restrictions and conditions applicable to the Contractor with respect to PHI. Contractor further agrees to ensure that any agents or subcontractors, to whom the Contractor provides PHI received from, or created or received by the Contractor on behalf of the Department agrees to the same restrictions and conditions applicable to the Contractor with respect to such information. This provision does not apply to the use or disclosure of PHI by subcontractors that provide health care treatment to individuals or to other persons or organizations that have entered into an Organized Health Care Arrangement (OHCA) as provided for under the provisions of HIPAA. 7.14.7 Compliance with Electronic Transactions and Code Set Regulations If the Contractor conducts any HIPAA-covered standard electronic transactions on behalf of the Department, the Contractor will comply with the applicable provisions of HIPAA for such standard transactions. The Contractor will likewise require any subcontractor or agent conducting any standard electronic transactions on behalf of the Contractor, for services or programs covered by the Contract, to comply with the applicable provisions of HIPAA relating to standard transactions. a. General requirements. (i) If any entity requests the Contractor to conduct any of the standard electronic transactions, the Contractor must comply with the request (ii) The Contractor may not delay or reject a transaction, or otherwise adversely affect or impact the other entity or the transaction submitted, because the transaction is a standard electronic transaction (iii) The Contractor may not reject a standard electronic transaction on the basis that it contains data elements not needed or used by the Contractor (e.g., coordination of benefits data elements) (iv) The Contractor may not offer an incentive to a health care provider to conduct a covered transaction through direct data entry rather than as a standard electronic transaction (v) The Contractor, which is operating as a health care clearinghouse, or requiring an entity to use a health care clearinghouse to receive, process, or transmit standard electronic transactions, may not charge fees or impose costs in excess of the fees or costs for normal telecommunications that the entity incurs when it directly transmits, or receives, a standard electronic transaction to, or from, the Contractor. b. The Contractor will not enter into, or permit its subcontractors or agents to enter into, any contract related to the conducting of standard electronic transactions for or on behalf of the Department that: (i) Changes or modifies the definition, data condition, or use of a data element or segment in an implementation specification; or (ii) Adds any data elements or segments to the maximum defined data set; or (iii) Uses any code or data elements that are marked “not used” in the implementation specification or are not contained within the implementation specification; or (iv) Changes the meaning or intent of any implementation specification. c. If the Contractor receives a standard electronic transaction and coordinates benefits with another health plan, it must store the coordination of benefits data it needs to forward the standard electronic transaction to the other health plan. 7.14.8 Access to PHI At the request of the Department, the Contractor agrees to provide access to PHI held by the Contractor that the Department has determined to be part of the Designated Record Sets of the programs covered by the Contract. Access to PHI will be provided to the Department or to an individual as directed by the Department to comply with applicable HIPAA RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 42 of 72 requirements. The Department may delegate to the Contractor responsibility for performing any or all obligations related to the Designated Record Set, including those activities required under HIPAA to permit an individual to exercise his or her HIPAA privacy rights. 7.14.9 Amendment or Correction to PHI At the direction of the Department, the Contractor agrees to amend or correct PHI that the Department determines is included in the Designated Record Set held by the Contractor. The Contractor agrees to complete any amendment or correction to PHI in accordance with HIPAA requirements. 7.14.10 Reporting of Incidents to the Department by Contractor The Contractor agrees to inform the Covered Entity of any incident covered by this Contract within five (5) business days of becoming aware of the incident. The Department, at its discretion, may require a written report. If the Department requests a written report, the Contractor agrees to forward the report to the Department not more than five (5) business days after such request is made. Written and verbal reports of incidents will include: a. A complete description of the circumstances of the incident; b. The name of persons assigned to review and investigate the incident; c. A description of all PHI used or disclosed during the incident; d. The names of persons and organizations involved in the incident; e. The actions the Contractor has undertaken or will undertake to mitigate any harmful effect of the incident; and, f. A corrective action plan that includes steps the Contractor has taken or will take to prevent future similar incidents from occurring. 7.14.11 Mitigating Effect of Unauthorized Disclosures or Misuse of PHI The Contractor agrees to mitigate, to the extent practicable, any harmful effect known to the Contractor created by an improper use or disclosure of PHI by the Contractor in violation of the requirements of this Contract. 7.14.12Statutory Duty of the Department to Report Material Breaches by Contractor to Secretary of United States Department of Health and Human Services (HHS) Contractor and the Department agree that if the Contractor engages in a pattern of activity or practice that constitutes a material breach or violation of this Contract, and the Department becomes aware of such pattern or practice, the Department is required to take reasonable steps to cure the breach or end the violation, as applicable, and, if such steps are not successful and termination of the Contract is not feasible, the Department is required to report the problem to the Secretary of HHS. 7.14.13 Tracking and Accounting of Disclosures of PHI by the Contractor a. The Contractor agrees to track disclosures of PHI as required by the applicable provisions of HIPAA and applicable Wisconsin laws. Specifically, the Contractor agrees that it will maintain a record of all PHI disclosures made to third parties, except as provided for by the subsections to this paragraph below. The Contractor agrees that the following information will be recorded: (i) The date the PHI was disclosed; (ii) The name and address, if known, of the person or entity that the PHI was disclosed to; (iii) A brief description of the PHI disclosed; and (iv) A brief statement describing the purpose for the disclosure. b. For repetitive disclosures that the Contractor makes to the same person or entity for a single purpose the Contractor will provide: (i) The disclosure information as specified in paragraph 13(a)(i-iv) of this Contract for the first of such repetitive disclosures; (ii) The frequency, periodicity or number of such repetitive disclosures; and (iii)The date of the most recent of such repetitive disclosures. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 43 of 72 c. The Contractor will make the record of disclosures available to the Department within five (5) business days after receiving a request by the Department. d. Exceptions from Disclosure Tracking. The Contractor is not required to track or record disclosures of PHI, or to provide an accounting of disclosures for PHI meeting the following conditions: (i) Disclosures of PHI that are permitted under this Contract, or otherwise expressly authorized by the Department in writing; and (ii) Disclosures of PHI for the following: (1) For purposes of treatment, payment or health care operations activity of the Department; (2) In response to a request from an Individual who is the subject of the disclosed PHI, or to that individual’s personal representative; (3) Made to persons involved in health care or payment for health care of the individual; (4) For disaster relief notification purposes; (5) For national security or intelligence purposes; or, (6) To law enforcement officials or correctional institutions regarding individuals in custodial situations. e. Agreement to Obtain Valid Authorization or Informed Written Consent Prior to Disclosure of PHI. Contractor agrees to obtain a valid authorization or informed written consent from the individual that is the subject of the PHI disclosure or a personal representative of such individual except for those exceptions listed in this Contract or otherwise required by law. f. Disclosure Tracking Time Periods. Contractor agrees to maintain and make available to the Department upon its request information on disclosures of PHI made by the Contractor for the six-year period preceding the request, but not including disclosures made prior to April 2005, or the date that the Contractor began performing covered services, activities, or functions on behalf of the Department, whichever is later. 7.14.14 Accounting to the Department and to Government Agencies The Contractor agrees to make its internal practices, books, and records relating to the use and disclosure of PHI available to the Department, or to the Secretary of HHS in a time and manner determined by the Department or the Secretary or designee, for purposes of determining compliance by the Department with the requirements of HIPAA. Further, the Contractor agrees to promptly notify the Department of communications with HHS regarding PHI and will provide the Department with copies of any PHI or other information the Contractor has made available to HHS under this provision. 7.14.15 Return or Destruction of PHI Upon termination, cancellation, expiration or other conclusion of this Contract, the Contractor will: a. Return to the Department or, if return is not feasible, destroy all PHI and any compilation of PHI in any medium or form. The Contractor agrees to ensure that this provision also applies to PHI in possession of subcontractors and agents of the Contractor provided to the agent or subcontractor by the Contractor. The Contractor agrees that any original record or copy of PHI in any medium is included in and covered by this provision, as are all original or copies of PHI provided to subcontractors or agents of the Contractor by the Contractor. The Contractor agrees to complete the return or destruction as promptly as possible, but not more than five (5) business days after the effective date of termination of this Contract. The Contractor will provide written documentation evidencing that return or destruction of all PHI has been completed. Contractor agrees to extend the requirements of this provision to contracts entered into with subcontractors and agents that create, receive, or maintain PHI on behalf of the Contractor. RFP # SN-4371 Sex Offender Program Services in Green Bay, Appleton and/or Oshkosh, WI Due Date: January 8, 2014 Page 44 of 72 b. If the Contractor believes that the return or destruction of PHI is not feasible, the Contractor shall provide written notification of the conditions that make return or destruction not feasible. If the Contractor and the Department agree that return or destruction of PHI is not feasible, the Contractor shall extend the protections of this Contract to PHI and prohibit further uses or disclosures of the PHI of the Department without the express written authorization of the Department. Subsequent use or disclosure of any PHI subject to this provision will be limited to the use or disclosure that makes return or destruction not feasible. 7.15 8.0 CARRYING A CONCEALED WEAPON Contractor agrees to have a written policy addressing the concealed carry law which prohibits the possession of any weapon by Contractor's employees while providing services to DOC offenders. The policy must be substantially equivalent to the Department of Corrections' policy as expressed in Executive directive 80, signed October 31, 2011. A copy of Executive Directive 80 may be obtained from the Contract Administrator. A. Contractor must maintain a copy of the signed employee statement on concealed carry in each employee's personnel file. B. Contractor will prohibit firearms/weapons in any owned, leased/rented, or available location in which program services are provided for DOC. Signs shall be posted at every public entrance. Each sign must be at least five inches by seven inches state the restriction on carrying a firearm, and inform people that weapons or firearms are prohibited. Sample signage will be available through the Contract Administrator. STANDARD TERMS AND CONDITIONS The State of Wisconsin reserves the right to incorporate standard State contract provisions into any contract negotiated with any proposal submitted responding to this RFP (Standard Terms and Conditions (DOA-3054) and Supplemental Standard Terms and Conditions for Procurements for Services (DOA-3681)). Failure of the successful proposer to accept these obligations in a contractual agreement may result in cancellation of the award. Wisconsin Department of Administration Chs. 16, 19, 51 DOA-3054 (R10/2005) Page 1 of 3 Standard Terms And Conditions (Request For Bids / Proposals) 1.0 2.0 3.0 4.0 SPECIFICATIONS: The specifications in this request are the minimum acceptable. When specific manufacturer and model numbers are used, they are to establish a design, type of construction, quality, functional capability and/or performance level desired. When alternates are bid/proposed, they must be identified by manufacturer, stock number, and such other information necessary to establish equivalency. The State of Wisconsin shall be the sole judge of equivalency. Bidders/proposers are cautioned to avoid bidding alternates to the specifications which may result in rejection of their bid/proposal. ACCEPTANCE-REJECTION: The State of Wisconsin reserves the right to accept or reject any or all bids/proposals, to waive any technicality in any bid/proposal submitted, and to accept any part of a bid/proposal as deemed to be in the best interests of the State of Wisconsin. Bids/proposals MUST be date and time stamped by the soliciting purchasing office on or before the date and time that the bid/proposal is due. Bids/proposals date and time stamped in another office will be rejected. Receipt of a bid/proposal by the mail system does not constitute receipt of a bid/proposal by the purchasing office. DEVIATIONS AND EXCEPTIONS: Deviations and exceptions from original text, terms, conditions, or specifications shall be described fully, on the bidder's/proposer's letterhead, signed, and attached to the request. In the absence of such statement, the bid/proposal shall be accepted as in strict compliance with all terms, conditions, and specifications and the bidders/proposers shall be held liable. 9.0 METHOD OF AWARD: Award shall be made to the lowest responsible, responsive bidder unless otherwise specified. 10.0 QUALITY: Unless otherwise indicated in the request, all material shall be first quality. Items which are used, demonstrators, obsolete, seconds, or which have been discontinued are unacceptable without prior written approval by the State of Wisconsin. ORDERING: Purchase orders or releases via purchasing cards shall be placed directly to the contractor by an authorized agency. No other purchase orders are authorized. 11.0 PAYMENT TERMS AND INVOICING: The State of Wisconsin normally will pay properly submitted vendor invoices within thirty (30) days of receipt providing goods and/or services have been delivered, installed (if required), and accepted as specified. QUANTITIES: The quantities shown on this request are based on estimated needs. The state reserves the right to increase or decrease quantities to meet actual needs. 5.0 DELIVERY: Deliveries shall be F.O.B. destination freight prepaid and included unless otherwise specified. 6.0 PRICING AND DISCOUNT: The State of Wisconsin qualifies for governmental discounts and its educational institutions also qualify for educational discounts. Unit prices shall reflect these discounts. 6.1 6.2 6.3 7.0 8.0 Invoices presented for payment must be submitted in accordance with instructions contained on the purchase order including reference to purchase order number and submittal to the correct address for processing. A good faith dispute creates an exception to prompt payment. 12.0 Unit prices shown on the bid/proposal or contract shall be the price per unit of sale (e.g., gal., cs., doz., ea.) as stated on the request or contract. For any given item, the quantity multiplied by the unit price shall establish the extended price, the unit price shall govern in the bid/proposal evaluation and contract administration. Prices established in continuing agreements and term contracts may be lowered due to general market conditions, but prices shall not be subject to increase for ninety (90) calendar days from the date of award. Any increase proposed shall be submitted to the contracting agency thirty (30) calendar days before the proposed effective date of the price increase, and shall be limited to fully documented cost increases to the contractor which are demonstrated to be industrywide. The conditions under which price increases may be granted shall be expressed in bid/proposal documents and contracts or agreements. In determination of award, discounts for early payment will only be considered when all other conditions are equal and when payment terms allow at least fifteen (15) days, providing the discount terms are deemed favorable. All payment terms must allow the option of net thirty (30). UNFAIR SALES ACT: Prices quoted to the State of Wisconsin are not governed by the Unfair Sales Act. TAXES: The State of Wisconsin and its agencies are exempt from payment of all federal tax and Wisconsin state and local taxes on its purchases except Wisconsin excise taxes as described below. The State of Wisconsin, including all its agencies, is required to pay the Wisconsin excise or occupation tax on its purchase of beer, liquor, wine, cigarettes, tobacco products, motor vehicle fuel and general aviation fuel. However, it is exempt from payment of Wisconsin sales or use tax on its purchases. The State of Wisconsin may be subject to other states' taxes on its purchases in that state depending on the laws of that state. Contractors performing construction activities are required to pay state use tax on the cost of materials. 13.0 14.0 GUARANTEED DELIVERY: Failure of the contractor to adhere to delivery schedules as specified or to promptly replace rejected materials shall render the contractor liable for all costs in excess of the contract price when alternate procurement is necessary. Excess costs shall include the administrative costs. ENTIRE AGREEMENT: These Standard Terms and Conditions shall apply to any contract or order awarded as a result of this request except where special requirements are stated elsewhere in the request; in such cases, the special requirements shall apply. Further, the written DOA-3054 Page 2 of 3 contract and/or order with referenced parts and attachments shall constitute the entire agreement and no other terms and conditions in any document, acceptance, or acknowledgment shall be effective or binding unless expressly agreed to in writing by the contracting authority. 15.0 16.0 APPLICABLE LAW AND COMPLIANCE: This contract shall be governed under the laws of the State of Wisconsin. The contractor shall at all times comply with and observe all federal and state laws, local laws, ordinances, and regulations which are in effect during the period of this contract and which in any manner affect the work or its conduct. The State of Wisconsin reserves the right to cancel this contract if the contractor fails to follow the requirements of s. 77.66, Wis. Stats., and related statutes regarding certification for collection of sales and use tax. The State of Wisconsin also reserves the right to cancel this contract with any federally debarred contractor or a contractor that is presently identified on the list of parties excluded from federal procurement and non-procurement contracts.. ANTITRUST ASSIGNMENT: The contractor and the State of Wisconsin recognize that in actual economic practice, overcharges resulting from antitrust violations are in fact usually borne by the State of Wisconsin (purchaser). Therefore, the contractor hereby assigns to the State of Wisconsin any and all claims for such overcharges as to goods, materials or services purchased in connection with this contract. 17.0 ASSIGNMENT: No right or duty in whole or in part of the contractor under this contract may be assigned or delegated without the prior written consent of the State of Wisconsin. 18.0 WORK CENTER CRITERIA: A work center must be certified under s. 16.752, Wis. Stats., and must ensure that when engaged in the production of materials, supplies or equipment or the performance of contractual services, not less than seventy-five percent (75%) of the total hours of direct labor are performed by severely handicapped individuals. 19.0 sets forth the provisions of the State of Wisconsin's nondiscrimination law. 19.3 20.0 PATENT INFRINGEMENT: The contractor selling to the State of Wisconsin the articles described herein guarantees the articles were manufactured or produced in accordance with applicable federal labor laws. Further, that the sale or use of the articles described herein will not infringe any United States patent. The contractor covenants that it will at its own expense defend every suit which shall be brought against the State of Wisconsin (provided that such contractor is promptly notified of such suit, and all papers therein are delivered to it) for any alleged infringement of any patent by reason of the sale or use of such articles, and agrees that it will pay all costs, damages, and profits recoverable in any such suit. 21.0 SAFETY REQUIREMENTS: All materials, equipment, and supplies provided to the State of Wisconsin must comply fully with all safety requirements as set forth by the Wisconsin Administrative Code and all applicable OSHA Standards. 22.0 WARRANTY: Unless otherwise specifically stated by the bidder/proposer, equipment purchased as a result of this request shall be warranted against defects by the bidder/proposer for one (1) year from date of receipt. The equipment manufacturer's standard warranty shall apply as a minimum and must be honored by the contractor. 23.0 INSURANCE RESPONSIBILITY: The contractor performing services for the State of Wisconsin shall: NONDISCRIMINATION / AFFIRMATIVE ACTION: In connection with the performance of work under this contract, the contractor agrees not to discriminate against any employee or applicant for employment because of age, race, religion, color, handicap, sex, physical condition, developmental disability as defined in s. 51.01(5), Wis. Stats., sexual orientation as defined in s. 111.32(13m), Wis. Stats., or national origin. This provision shall include, but not be limited to, the following: employment, upgrading, demotion or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. Except with respect to sexual orientation, the contractor further agrees to take affirmative action to ensure equal employment opportunities. 19.1 19.2 Contracts estimated to be over twenty-five thousand dollars ($25,000) require the submission of a written affirmative action plan by the contractor. An exemption occurs from this requirement if the contractor has a workforce of less than twenty-five (25) employees. Within fifteen (15) working days after the contract is awarded, the contractor must submit the plan to the contracting state agency for approval. Instructions on preparing the plan and technical assistance regarding this clause are available from the contracting state agency. The contractor agrees to post in conspicuous places, available for employees and applicants for employment, a notice to be provided by the contracting state agency that Failure to comply with the conditions of this clause may result in the contractor's becoming declared an "ineligible" contractor, termination of the contract, or withholding of payment. 24.0 23.1 Maintain worker's compensation insurance as required by Wisconsin Statutes, for all employees engaged in the work. 23.2 Maintain commercial liability, bodily injury and property damage insurance against any claim(s) which might occur in carrying out this agreement/contract. Minimum coverage shall be one million dollars ($1,000,000) liability for bodily injury and property damage including products liability and completed operations. Provide motor vehicle insurance for all owned, non-owned and hired vehicles that are used in carrying out this contract. Minimum coverage shall be one million dollars ($1,000,000) per occurrence combined single limit for automobile liability and property damage. 23.3 The state reserves the right to require higher or lower limits where warranted. CANCELLATION: The State of Wisconsin reserves the right to cancel any contract in whole or in part without penalty due to nonappropriation of funds or for failure of the contractor to comply with terms, conditions, and specifications of this contract. DOA-3054 Page 3 of 3 25.0 VENDOR TAX DELINQUENCY: Vendors who have a delinquent Wisconsin tax liability may have their payments offset by the State of Wisconsin. 26.0 PUBLIC RECORDS ACCESS: It is the intention of the state to maintain an open and public process in the solicitation, submission, review, and approval of procurement activities. Material Safety Data Sheet for each item with the shipped container(s) and one (1) copy with the invoice(s). 31.0 PROMOTIONAL ADVERTISING / NEWS RELEASES: Reference to or use of the State of Wisconsin, any of its departments, agencies or other subunits, or any state official or employee for commercial promotion is prohibited. News releases pertaining to this procurement shall not be made without prior approval of the State of Wisconsin. Release of broadcast e-mails pertaining to this procurement shall not be made without prior written authorization of the contracting agency. 32.0 HOLD HARMLESS: The contractor will indemnify and save harmless the State of Wisconsin and all of its officers, agents and employees from all suits, actions, or claims of any character brought for or on account of any injuries or damages received by any persons or property resulting from the operations of the contractor, or of any of its contractors, in prosecuting work under this agreement. 33.0 FOREIGN CORPORATION: A foreign corporation (any corporation other than a Wisconsin corporation) which becomes a party to this Agreement is required to conform to all the requirements of Chapter 180, Wis. Stats., relating to a foreign corporation and must possess a certificate of authority from the Wisconsin Department of Financial Institutions, unless the corporation is transacting business in interstate commerce or is otherwise exempt from the requirement of obtaining a certificate of authority. Any foreign corporation which desires to apply for a certificate of authority should contact the Department of Financial Institutions, Division of Corporation, P. O. Box 7846, Madison, WI 53707-7846; telephone (608) 261-7577. 34.0 WORK CENTER PROGRAM: The successful bidder/proposer shall agree to implement processes that allow the State agencies, including the University of Wisconsin System, to satisfy the State's obligation to purchase goods and services produced by work centers certified under the State Use Law, s.16.752, Wis. Stat. This shall result in requiring the successful bidder/proposer to include products provided by work centers in its catalog for State agencies and campuses or to block the sale of comparable items to State agencies and campuses. 35.0 FORCE MAJEURE: Neither party shall be in default by reason of any failure in performance of this Agreement in accordance with reasonable control and without fault or negligence on their part. Such causes may include, but are not restricted to, acts of nature or the public enemy, acts of the government in either its sovereign or contractual capacity, fires, floods, epidemics, quarantine restrictions, strikes, freight embargoes and unusually severe weather, but in every case the failure to perform such must be beyond the reasonable control and without the fault or negligence of the party. Bid/proposal openings are public unless otherwise specified. Records may not be available for public inspection prior to issuance of the notice of intent to award or the award of the contract. 27.0 28.0 PROPRIETARY INFORMATION: Any restrictions on the use of data contained within a request, must be clearly stated in the bid/proposal itself. Proprietary information submitted in response to a request will be handled in accordance with applicable State of Wisconsin procurement regulations and the Wisconsin public records law. Proprietary restrictions normally are not accepted. However, when accepted, it is the vendor's responsibility to defend the determination in the event of an appeal or litigation. 27.1 Data contained in a bid/proposal, all documentation provided therein, and innovations developed as a result of the contracted commodities or services cannot by copyrighted or patented. All data, documentation, and innovations become the property of the State of Wisconsin. 27.2 Any material submitted by the vendor in response to this request that the vendor considers confidential and proprietary information and which qualifies as a trade secret, as provided in s. 19.36(5), Wis. Stats., or material which can be kept confidential under the Wisconsin public records law, must be identified on a Designation of Confidential and Proprietary Information form (DOA3027). Bidders/proposers may request the form if it is not part of the Request for Bid/Request for Proposal package. Bid/proposal prices cannot be held confidential. DISCLOSURE: If a state public official (s. 19.42, Wis. Stats.), a member of a state public official's immediate family, or any organization in which a state public official or a member of the official's immediate family owns or controls a ten percent (10%) interest, is a party to this agreement, and if this agreement involves payment of more than three thousand dollars ($3,000) within a twelve (12) month period, this contract is voidable by the state unless appropriate disclosure is made according to s. 19.45(6), Wis. Stats., before signing the contract. Disclosure must be made to the State of Wisconsin Ethics Board, 44 East Mifflin Street, Suite 601, Madison, Wisconsin 53703 (Telephone 608-266-8123). State classified and former employees and certain University of Wisconsin faculty/staff are subject to separate disclosure requirements, s. 16.417, Wis. Stats. 29.0 RECYCLED MATERIALS: The State of Wisconsin is required to purchase products incorporating recycled materials whenever technically and economically feasible. Bidders are encouraged to bid products with recycled content which meet specifications. 30.0 MATERIAL SAFETY DATA SHEET: If any item(s) on an order(s) resulting from this award(s) is a hazardous chemical, as defined under 29CFR 1910.1200, provide one (1) copy of a State of Wisconsin Department of Administration Division of Agency Services Bureau of Procurement DOA-3681 (01/2001) ss. 16, 19 and 51, Wis. Stats. Supplemental Standard Terms and Conditions for Procurements for Services 1.0 ACCEPTANCE OF BID/PROPOSAL CONTENT: The contents of the bid/proposal of the successful contractor will become contractual obligations if procurement action ensues. 2.0 CERTIFICATION OF INDEPENDENT PRICE DETERMINATION: By signing this bid/proposal, the bidder/proposer certifies, and in the case of a joint bid/proposal, each party thereto certifies as to its own organization, that in connection with this procurement: 2.1 The prices in this bid/proposal have been arrived at independently, without consultation, communication, or agreement, for the purpose of restricting competition, as to any matter relating to such prices with any other bidder/proposer or with any competitor; 2.2 Unless otherwise required by law, the prices which have been quoted in this bid/proposal have not been knowingly disclosed by the bidder/proposer and will not knowingly be disclosed by the bidder/proposer prior to opening in the case of an advertised procurement or prior to award in the case of a negotiated procurement, directly or indirectly to any other bidder/proposer or to any competitor; and 2.3 No attempt has been made or will be made by the bidder/proposer to induce any other person or firm to submit or not to submit a bid/proposal for the purpose of restricting competition. 2.4 Each person signing this bid/proposal certifies that: He/she is the person in the bidder's/proposer's organization responsible within that organization for the decision as to the prices being offered herein and that he/she has not participated, and will not participate, in any action contrary to 2.1 through 2.3 above; (or) 3.2 4.0 DUAL EMPLOYMENT: Section 16.417, Wis. Stats., prohibits an individual who is a State of Wisconsin employee or who is retained as a contractor full-time by a State of Wisconsin agency from being retained as a contractor by the same or another State of Wisconsin agency where the individual receives more than $12,000 as compensation for the individual’s services during the same year. This prohibition does not apply to individuals who have full-time appointments for less than twelve (12) months during any period of time that is not included in the appointment. It does not include corporations or partnerships. 5.0 EMPLOYMENT: The contractor will not engage the services of any person or persons now employed by the State of Wisconsin, including any department, commission or board thereof, to provide services relating to this agreement without the written consent of the employing agency of such person or persons and of the contracting agency. 6.0 CONFLICT OF INTEREST: Private and non-profit corporations are bound by ss. 180.0831, 180.1911(1), and 181.0831 Wis. Stats., regarding conflicts of interests by directors in the conduct of state contracts. 7.0 RECORDKEEPING AND RECORD RETENTION: The contractor shall establish and maintain adequate records of all expenditures incurred under the contract. All records must be kept in accordance with generally accepted accounting procedures. All procedures must be in accordance with federal, state and local ordinances. He/she is not the person in the bidder's/proposer's organization responsible within that organization for the decision as to the prices being offered herein, but that he/she has been authorized in writing to act as agent for the persons responsible for such decisions in certifying that such persons have not participated, and will not participate in any action contrary to 2.1 through 2.3 above, and as their agent does hereby so certify; and he/she has not participated, and will not participate, in any action contrary to 2.1 through 2.3 above. 3.0 DISCLOSURE OF INDEPENDENCE AND RELATIONSHIP: 3.1 Prior to award of any contract, a potential contractor shall certify in writing to the procuring agency that no relationship exists between the potential contractor and the procuring or contracting agency that interferes with fair competition or is a conflict of interest, and no relationship exists between the contractor and another person or organization that constitutes a conflict of interest with respect to a state contract. The Department of Administration may waive this provision, in writing, if those activities of the potential contractor will not be adverse to the interests of the state. Contractors shall agree as part of the contract for services that during performance of the contract, the contractor will neither provide contractual services nor enter into any agreement to provide services to a person or organization that is regulated or funded by the contracting agency or has interests that are adverse to the contracting agency. The Department of Administration may waive this provision, in writing, if those activities of the contractor will not be adverse to the interests of the state. The contracting agency shall have the right to audit, review, examine, copy, and transcribe any pertinent records or documents relating to any contract resulting from this bid/proposal held by the contractor. The contractor will retain all documents applicable to the contract for a period of not less than three (3) years after final payment is made. 8.0 INDEPENDENT CAPACITY OF CONTRACTOR: The parties hereto agree that the contractor, its officers, agents, and employees, in the performance of this agreement shall act in the capacity of an independent contractor and not as an officer, employee, or agent of the state. The contractor agrees to take such steps as may be necessary to ensure that each subcontractor of the contractor will be deemed to be an independent contractor and will not be considered or permitted to be an agent, servant, joint venturer, or partner of the state. STATE OF WISCONSIN DOA-3027 N(R01/98) DESIGNATION OF CONFIDENTIAL AND PROPRIETARY INFORMATION The attached material submitted in response to Proposal #SN-4371 includes proprietary and confidential information which qualifies as a trade secret, as provided in s. 19.36(5), Wis. Stats., or is otherwise material that can be kept confidential under the Wisconsin Open Records Law. As such, we ask that certain pages, as indicated below, of this bid/proposal response be treated as confidential material and not be released without our written approval. Prices always become public information when bids/proposals are opened, and therefore cannot be kept confidential. Other information cannot be kept confidential unless it is a trade secret. Trade secret is defined in s. 134.90(1)(c), Wis. Stats. as follows: "Trade secret" means information, including a formula, pattern, compilation, program, device, method, technique or process to which all of the following apply: 1. The information derives independent economic value, actual or potential, from not being generally known to, and not being readily ascertainable by proper means by, other persons who can obtain economic value from its disclosure or use. 2. The information is the subject of efforts to maintain its secrecy that are reasonable under the circumstances. We request that the following pages not be released Section Page # Topic _______________________________________________________________________________________________________ _______________________________________________________________________________________________________ _______________________________________________________________________________________________________ _______________________________________________________________________________________________________ _______________________________________________________________________________________________________ IN THE EVENT THE DESIGNATION OF CONFIDENTIALITY OF THIS INFORMATION IS CHALLENGED, THE UNDERSIGNED HEREBY AGREES TO PROVIDE LEGAL COUNSEL OR OTHER NECESSARY ASSISTANCE TO DEFEND THE DESIGNATION OF CONFIDENTIALITY AND AGREES TO HOLD THE STATE HARMLESS FOR ANY COSTS OR DAMAGES ARISING OUT OF THE STATE'S AGREEING TO WITHHOLD THE MATERIALS. Failure to include this form in the bid/proposal response may mean that all information provided as part of the bid/proposal response will be open to examination and copying. The state considers other markings of confidential in the bid/proposal document to be insufficient. The undersigned agrees to hold the state harmless for any damages arising out of the release of any materials unless they are specifically identified above. Company Name ___________________________________________ Authorized Representative ___________________________________________ Signature Authorized Representative ___________________________________________ Type or Print Date ___________________________________________ This document can be made available in accessible formats to qualified individuals with disabilities. STATE OF WISCONSIN Proposal # SN-4371 S.16.765.WIS.STATS. DEPARTMENT OF ADMINISTRATION DOA-3477 (R01/08) Service SOT SERVICES REGION 4 VENDOR INFORMATION 1. BIDDING / PROPOSING COMPANY NAME Phone ( ) Toll Free Phone FAX ( ) E-Mail Address ( ) Address City 2. State Zip + 4 Name the person to contact for questions concerning this bid / proposal. Name Title Phone ( ) Toll Free Phone FAX ( ) E-Mail Address ( ) Address City 3. State Zip + 4 Any vendor awarded over $50,000 on this contract must submit affirmative action information to the department. Please name the Personnel / Human Resource and Development or other person responsible for affirmative action in the company to contact about this plan. Name Title Phone ( ) Toll Free Phone FAX ( ) E-Mail Address ( ) Address City 4. State Zip + 4 Mailing address to which state purchase orders are mailed and person the department may contact concerning orders and billings. Name Title Phone ( ) Toll Free Phone FAX ( ) E-Mail Address ( Address City 5. CEO / President Name State Zip + 4 ) SN-4371 STATE OF WISCONSIN DOA-3478 (R12/96) VENDOR REFERENCE FOR VENDOR: Provide company name, address, contact person, telephone number, and appropriate information on the product(s) and/or service(s) with requirements similar to those included in this solicitation document. If vendor is proposing any arrangement involving a third party, the named references should also be involved in a similar arrangement. Company Name Address (include Zip + 4) Contact Person Phone No. Product(s) and/or Service(s) Used Company Name Address (include Zip + 4) Contact Person Phone No. Product(s) and/or Service(s) Used Company Name Address (include Zip + 4) Contact Person Phone No Product(s) and/or Service(s) Used Company Name Address (include Zip + 4) Contact Person Phone No. Product(s) and/or Service(s) Used State of Wisconsin Department of Administration DOA-3333 (R03/2004) Division of State Agency Services State Bureau of Procurement Vendor Agreement Wisconsin’s Cooperative Purchasing Service Wisconsin statutes (s. 16.73, Wis. Stats.) establish authority to allow Wisconsin municipalities to purchase from state contracts. Participating in the service gives vendors opportunities for additional sales without additional bidding. Municipalities use the service to expedite purchases. A "municipality" is defined as any county, city, village, town, school district, board of school directors, sewer district, drainage district, vocational, technical and adult education district, or any other public body having the authority to award public contracts (s. 16.70(8), Wis. Stats.). Federally recognized Indian tribes and bands in this state may participate in cooperative purchasing with the state or any municipality under ss. 66.0301(1) and (2), Wis.Stats. Interested municipalities: will contact the contractor directly to place orders referencing the state agency contract number; and are responsible for receipt, acceptance, inspection of commodities directly from the contractor, and making payment directly to the contractor. The State of Wisconsin is not a party to these purchases or any dispute arising from these purchases and is not liable for delivery or payment of any of these purchases. The State of Wisconsin will determine the contractor’s participation by checking a box below. MANDATORY: Bidders/Proposers must agree to furnish the commodities or services of this bid/proposal to Wisconsin municipalities. Vendors should note any special conditions below. OPTIONAL: Bidders/Proposers may or may not agree to furnish the commodities or services of this bid/proposal to Wisconsin municipalities. A vendor’s decision on participating in this service has no effect on awarding this contract. A vendor in the service may specify minimum order sizes by volume or dollar amount, additional charges beyond normal delivery areas, or other minimal changes for municipalities. Vendor: please check one of the following boxes in response. I Agree to furnish the commodities or services of this bid/proposal to Wisconsin municipalities with any special conditions noted below. I Do Not Agree to furnish the commodities or services to Wisconsin municipalities. Special Conditions (if applicable): Signature Date (mm/dd/ccyy) Name (Type or Print) Title Company Telephone ( Address (Street) Service SOT Services Green Bay, Oshkosh and Appleton City State ) ZIP + 4 Proposal Number SN-4371 Exhibit A Exhibit A - Program Proposal Format RFP SN-4371 PROGRAM PROPOSAL FORMAT FOR SEX OFFENDER PROGRAM SERVICES IN GREEN BAY, APPLETON AND/OR OSHKOSH, WI Completion of all information is mandatory. Include this page as well as the completed and signed DOA3261 form as cover pages to the program proposal. Exhibit A Exhibit A - PROGRAM PROPOSAL FORMAT RFP SN-4371 Part 1: Mandatory Requirements Checklist (Exhibit B) Documentation Part 2: Program Description Summary Part 3: Organizational Capabilities Part 4: Staff Qualifications Part 5: Proposer Solutions Facility Location, Licensure and Site Plan Program Concept Program Intake Procedures Program Rules Service Coordination (Case Management)/Staffing Discharge/Termination Program Monitoring Quality Control Collection of Offender Fees Program Reporting Part 6: Forms Required In addition to the requirements stated in Exhibit A & B, the following enclosed forms are to be completed and returned as part of the response to this proposal: 1. Request for Proposal Cover Sheet (DOA-3261) must be signed and submitted as a cover page 2. Designation of Confidential Proprietary Information (DOA-3027) (NOTE: any information deemed confidential MUST be in a separate folder marked “confidential” on the cd-rom. Any open records requests will receive a copy of the cd-rom minus the documents inside the confidential folder.) 3. Vendor Information (DOA-3477) 4. Vendor Reference (DOA-3478) 5. Wisconsin Cooperative Purchasing Service (DOA-3333) Exhibit B EXHIBIT C – COST FORMAT RFP SN-4371 COST PROPOSAL FORMAT FOR SEX OFFENDER PROGRAM SERVICES IN GREEN BAY, WI Completion of all information is mandatory. This information must be submitted in a separate envelope with the written proposal. This page must be attached as a cover page to the Cost Proposal. Exhibit B EXHIBIT C Complete and submit the Cost Proposal Worksheet and attach with the Cost Proposal Format cover page. The Cost Proposal must be submitted in a separate envelope from the Program Proposal. Name of Authorized Company Representative (Type or Print) Title Signature of Above Date Cost Summary – No other costs, including but not limited to direct, indirect, allocated, travel, or incidental expenses may be proposed or charged to the ensuing contract. Proposal cost must be inclusive of all costs associated with performance of contract requirements and fulfillment of contract deliverables. COST PROPOSAL WORKSHEET FOR SEX OFFENDER PROGRAM SERVICES IN GREEN BAY, WI. SERVICE SEX OFFENDER ASSESSMENT (As requested by DCC ) Number of Units * Cost Per Unit Total Cost $______ Estimate about 25_ Per assessment MALE SEX OFFENDER GROUP TREATMENT SERVICES (5 groups anticipated to meet per week x 52 weeks annually = 260 total groups) 260 $______ per GRP SEX OFFENDER AFTERCARE/RELAPSE PREVENTION GROUP TREATMENT SERVICES (2 groups anticipated to meet per week x 52 weeks annually = 104 total groups) 104 $______ per GRP TOTAL AMOUNT * The quoted proposal for each service area is not to include anticipated offender fees in the cost per unit Exhibit B COST PROPOSAL FORMAT FOR SEX OFFENDER PROGRAM SERVICES IN APPLETON, WI Completion of all information is mandatory. Include this page as well as the completed and signed DOA3261 form as cover pages to the program proposal. Exhibit B EXHIBIT C Complete and submit the Cost Proposal Worksheet and attach with the Cost Proposal Format cover page. The Cost Proposal must be submitted in a separate envelope from the Program Proposal. Name of Authorized Company Representative (Type or Print) Title Signature of Above Date Cost Summary – No other costs, including but not limited to direct, indirect, allocated, travel, or incidental expenses may be proposed or charged to the ensuing contract. Proposal cost must be inclusive of all costs associated with performance of contract requirements and fulfillment of contract deliverables. COST PROPOSAL WORKSHEET FOR SEX OFFENDER PROGRAM SERVICES IN APPLETON, WI. SERVICES SEX OFFENDER ASSESSMENT (AS REQUESTED BY DCC) Number of Units * Cost Per Unit Total Cost $______ Estimate 25 Per assessment MALE SEX OFFENDER GROUP TREATMENT SERVICES (4 groups anticipated to meet per week x 52 weeks annually = 208 total groups) 208 $______ per GRP SEX OFFENDER AFTERCARE/RELAPSE PREVENTION GROUP TREATMENT SERVICES (1 groups anticipated to meet per week x 52 weeks annually = 52 total groups) 52 $______ per GRP TOTAL AMOUNT * The quoted proposal for each service area is not to include anticipated offender fees in the cost per unit Exhibit B Exhibit C - COST Proposal Format RFP SN-4371 COST PROPOSAL FORMAT FOR SEX OFFENDER PROGRAM SERVICES IN OSHKOSH, WI Completion of all information is mandatory. Include this page as well as the completed and signed DOA3261 form as cover pages to the program proposal. EXHIBIT C Complete and submit the Cost Proposal Worksheet and attach with the Cost Proposal Format cover page. The Cost Proposal must be submitted in a separate envelope from the Program Proposal. Exhibit B Name of Authorized Company Representative (Type or Print) Title Signature of Above Date Cost Summary – No other costs, including but not limited to direct, indirect, allocated, travel, or incidental expenses may be proposed or charged to the ensuing contract. Proposal cost must be inclusive of all costs associated with performance of contract requirements and fulfillment of contract deliverables. COST PROPOSAL WORKSHEET FOR SEX OFFENDER PROGRAM SERVICES IN OSHKOSH, WI. FOR BUDGET PURPOSES ONLY, A TOTAL OF 54 OFFENDERS WERE SERVED JULY 2011 – JUNE 30, 2012 AND APPROXIMATELY 10% OF SERVICES MAY BE FOR BILINGUAL OFFENDERS. USE THIS INFORMATION WHEN FORMULATING THE PROGRAM TREATMENT GROUPS NEEDED TO SERVE THIS NUMBER OF OFFENDERS. Number of Units * Cost Per Unit Total Cost $______ SEX OFFENDER ASSESSMENT ESTIMATE 5 SEX OFFENDER GROUP TREATMENT SERVICES FOR THE SPECIAL NEED (Cognitively Disabled) (1 group anticipated to meet per week x 52 weeks annually = 52_ total groups) Per assessment 52 $______ per GRP TOTAL AMOUNT * The quoted proposal for each service area is not to include anticipated offender fees in the cost per unit PROPOSER CHECKLIST FOR RFP SECTION 4 (Submit this completed checklist under Part 1 of Exhibit B Program Proposal Format; see Section 2.4 for RFP Submittal instructions) PROPOSER’S NAME __________________________________________________________________________ Proposers are required to submit this checklist with your response. Exhibit B This checklist identifies each section or subsection of Section 4 of the RFP that requires a detailed response. The section and subsections are listed and column headings are included which allow for positive and negative responses plus appropriate explanations. The proposer shall place an "X" under the columns that represents your response. All negative responses should be explained on separate pages attached to this checklist. Each explanation shall reference the related section or subsection. Detailed Response Required: Content Acknowledged and Accepted: Content Acknowledged but NOT Acceptable: DOC requires the Proposer to respond to the Section or Subsection. In most instances a detailed description of the Proposer’s approach, thoughts, and experience must be provided in the response. These Sections and Subsections of the proposal will be evaluated and scored. The Proposer has read the content of the Section or Subsection and states agreement to comply with the conditions therein. The Proposer has read the content of the Section or Subsection, but does NOT agree to comply with the conditions therein. Gray rows in the table below do not require any response. RFP Section or Subsection 4.0 4.1 4.2.1 4.2.2 4.2.3 4.2.4 4.2.5 4.2.6 4.2.7 4.2.8 4.2.9 4.3 4.4 4.4.1 4.4.2 4.4.3 4.6 4.7.1 4.7.2 4.7.3 4.8 4.9 4.10.1 4.10.2 4.10.3 4.11.1 4.11.2 4.13.1 4.13.2 4.14.1 4.14.2 Content Acknowledged and Accepted Content Acknowledged, but NOT Acceptable (Explanation Included) Detailed Response Required YES YES YES YES YES YES YES YES YES YES YES YES YES YES YES YES YES YES YES YES YES YES YES YES YES YES YES YES YES YES If Detailed Response Required Indicate below where detailed response is located within your proposal by listing page number(s) and/or proposal attachment(s) Exhibit B RFP Section or Subsection 4.14.3 4.15.1 4.15.2 4.15.3 Content Acknowledged and Accepted Content Acknowledged, but NOT Acceptable (Explanation Included) Detailed Response Required YES YES YES YES If Detailed Response Required Indicate below where detailed response is located within your proposal by listing page number(s) and/or proposal attachment(s) Appendix 1 EFFECTIVE DATE WISCONSIN DOC DCC July DOC-1356 (Rev. 05/96) PAGE 1 OF 2001 1 MANUAL REFERENCE New ORIGINATED BY Administrative Directive 01-10 Replaces 99-15 SUBJECT: x Revision William J. Grosshans, Administrator Kerr v. Farrey DISSEMINATION X PRIORITY All Staff X Supervisory Staff Only X Policy / Directive Information Discuss at Staff Meeting Read / Route / Post The purpose of this directive is to ensure the DCC' procedures comply with the decision of the United States 7t' Circuit Court of Appeals in Kerr v. Farrey. 95 F.3d 472 (1996). In that decision, the court ruled that it was a violation of the 1St Amendment of the United States Constitution to order an offender to attend a treatment program with religious components. The court considered Alcoholics Anonymous, for example, to be a program with a religious component since the program refers to a "higher being" and to "God as we understand him." An agent may order an offender to attend a specific secular (non-religious) treatment or support program. An agent may not order an offender to attend a specific program with a religious component. An offender may voluntarily participate in a treatment or support program with a religious component as long as a non-religious program is offered. An agent may write a rule requiring an offender to attend and complete AODA treatment without naming a specific program. An agent may also provide an offender with a list of acceptable programs, as long as both secular and non-secular options are clearly identified. If an offender chooses to participate in a program having a religious component, the agent should document in the Chronological Log that a secular program was offered. ________________________________ William J. Grosshans Administrator cc - DCC Administrative Directive Group Executive Staff Appendix 2 DEPARTMENT OF CORRECTIONS Division of Community Corrections DOC-1336 (Rev. 4/2010) WISCONSIN REFERRAL FOR SERVICES PART A REFERRAL FOR SERVICES To be Completed by Referral Agent PROGRAM NAME PROGRAM LOCATION REFERRAL DATE (Month/Day/Year) PROJECTED ELIGIBILITY DATE FOR SERVICES (Month/Day/Year) AGENT NAME AGENT AREA NUMBER AGENT TELEPHONE NUMBER (Include Area Code) AGENT ADDRESS REFERRAL TYPE ALTERNATIVE TO REVOCATION (ATR) RESPONSE TO VIOLATION (NOT AN ATR) OPERATING WHILE INTOXICATED 2nd CERTAIN EARNED RELEASE (CER) POSITIVE ADJUSTMENT TIME (PAT) OPERATING WHILE INTOXICATED 3rd COURT-ORDERED CONDITION SERVICES REQUEST (Check All That Apply) Anger Management PAROLE/ES CONDITION OTHER - SPECIFY: Domestic Violence Services Transitional Living Program AODA Group Services Education Services Other (Specify) AODA Aftercare Services Emergency Housing Other (Specify) AODA Assessment/Evaluation Family/Parenting Services Assigned Co-Pay AODA Intensive Nonresidential Groups AODA Relapse Prevention/Aftercare Case Management Cognitive Interventions Groups Crisis Intervention Day Report Services OFFENDER LAST NAME (As Shown on Court Order) Halfway House (CBRF) Sex Offender Assessment/Evaluation Sex Offender Denial Focus Group Sex Offender Education Group Sex Offender Relapse Prevention/Aftercare Sex Offender Treatment Group FIRST DOB RACE SEX Male MI $ DOC NUMBER OFFENDER TELEPHONE NUMBER (Include Area Code) Female OFFENDER CURRENT ADDRESS MARITAL STATUS Single, never married Married OFFENDER STATUS AT TIME OF REFERRAL Probation Parole Felony Separated Widow/Widower Extended Supervision 980 Case NGI SUPERVISION DISCHARGE DATE Misdemeanor Habitual Reentry from Jail Deferred Prosecution Reentry from Prison Divorced One Year or Less Probation Reentry from DAI ATR DOES INDIVIDUAL HAVE OUTSTANDING WARRANT OR PENDING CHARGES? Yes No - If Yes, Explain: REASON FOR REFERRAL (List Problems Behaviors Evidenced By Offender And Specific Services Requested) SPECIAL NEEDS (Check All Relevant Categories) Yes No Alcohol Problems Yes No History of Violence, attach description. Appendix 2 Drug Problems (Specify) History of Committing Sexual Assaults Health Problems (Specify) Pregnant Mental Health Problems (Specify) Relationship Problems Developmental or Learning Disabilities Financial Management Problems IS OFFENDER TAKING MEDICATION? OTHER (Specify) Prescription Yes No - If Yes , List Reason: EDUCATIONAL ACHIEVEMENT Highest Grade Level Achieved THIS REFERRAL MUST INCLUDE THE FOLLOWING INFORMATION: Self-Pay Insurance Authorization for Use and Disclosure of Protected Health Information (DOC-1163A) Only required for information that involves personal health information, medical, mental health, AODA, or other confidential or services. Court Order, Criminal Complaint and Prior Record Social Information (DOC-179) Violation Report(s), if applicable. Information in Regard to Alcohol, other Drug Problems and Prior Treatment Experience, if applicable. INSTRUCTIONS: Attach Part A and Part B to your agency’s “Offender Report Form Monthly" (DOC-386, DOC-1088A and DOC-1088) for each new intake and each offender who re-enters your program. PART B INTAKE DECISION To Be Completed by Provider Agency for Offender Entering or Re-entering The Program OFFENDER ACCEPTANCE / PROGRAM RETURN (Check Appropriate Box, Enter Appropriate Data) Offender accepted as new intake Offender returned to enter program RECOMMENDED PROGRAM START DATE REJECTION OFFENDER REJECTED - FOR WHAT REASON (Specify): PROJECTED DISCHARGE DATE Appendix 3 DEPARTMENT OF CORRECTIONS Division of Community Corrections DOC-1088 (Rev. 4/2010) WISCONSIN OFFENDER REPORT – MONTHLY COMMUNITY - BASED PROGRAMS and SERVICES AGENCY NAME TELEPHONE NUMBER REPORTING PERIOD (Month/Year) PURCHASE ORDER NUMBER PROGRAM NAME FEDERAL FUNDING Yes REPORT COMPLETED BY (Signature/Title) I Total Number of Offenders L Other Information J Total Units Provided B6 OWI 3rd B5 OWI 2nd B4 CER B3 PAT B OFFENDER NAME B2 ATR A DOC # REPORT REVIEWED BY DCC Staff (Signature) DATE SIGNED Use this form for all Community-based programs and services except Halfway House, use DOC-386 and Day Treatment, use DOC-1088A. Letters A through F must be completed; all other columns may be required in accordance with the agency’s contract/grant agreement or at the direction of the Contract Administrator. An asterisk notes all columns that require a code. All codes for the completion of this form are listed on the back of the form. B1 DOB INSTRUCTIONS: DATE SIGNED No C AGENT AREA # D ADMISSION DATE E* TYPE OF SERVICE G* STATUS Discharge F SERVICE DATE OR DATES Date K Are Alcohol and Other Drug Abuse Services Provided Under This Contract/Grant Code Yes H OFFENDER FEES COLLECTED THIS MONTH No Appendix 3 INSTRUCTIONS AND CODES FOR DOC-1088 A Enter Offender DOC Number as given to provider on Part A, "Referral for Service Form" (DOC-1336). B Enter Offender Last Name, First Name and Middle Initial as given to approver agent on Part A, "Referral of Services Form" (DOC-1336). B1 Enter Offender Date of Birth as given by agent on Part A, "Referral of Services Form" (DOC-1336). B2 Enter Offender Referral Type as given by agent on Part A, "Referral of Services Form" (DOC-1336). Check all that apply. B3 Enter Offender Referral Type as given by agent on Part A, "Referral of Services Form" (DOC-1336). Check all that apply. B4 Enter Offender Referral Type as given by agent on Part A, "Referral of Services Form" (DOC-1336). Check all that apply. B5 Enter Offender Referral Type as given by agent on Part A, "Referral of Services Form" (DOC-1336). Check all that apply. B6 Enter Offender Referral Type as given by agent on Part A, "Referral of Services Form" (DOC-1336). Check all that apply. C Enter DOC Agent Area Number as given to provider on Part A, "Referral for Services Form" (DOC-1336). D Enter Admission Date. E Enter Code number which applies. If your agency provided more than one type of service under the contract/grant during the month, use a separate line on the form to report each type of service provided to each offender. (507Group counseling, outpatient (606) Emergency housing 30) (507Outpatient counseling, Individual (607Employment, on-the-job 10) 10) (507Outpatient counseling, family (607Employment - evaluation 20) 20) (603) Intake assessment (607Employment - job placement 30) (604) Evaluation (607Employment - job preparation 40) (605) Sex offender treatment (608) Education F List each separate date on which service was provided. As an example, if service was provided on May 5, 10 and 16, list 5/5, 5/10 and 5/16. Do not list a range of dates such as 5/5 through 5/10. G Enter Status Code for each program participant under the DOC contract or grant. If two codes apply, enter highest code number. Enter date of Status Change for all codes except 01. 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 H Continues in program Completed Service - Significant improvement in most or all areas has occurred and the offender is approaching or has attained full recovery (Good) Completed Service - Improvement in some areas has occurred but the degree of improvement is minimal (Fair) Completed Service - No positive change has occurred (Poor) Referred to another Agency Behavioral Termination - Staff / Program decision to terminate due to breaking internal program rules Withdrew Against Staff Advice Funding / Authorization Expired (service not completed) Program Hold - When offender is temporarily not involved in service. Each program hold incident must be 30 days or less Positive urinalysis screen, positive breathalyzer test or other indication of drugs Absconding Rules Violation - Other than drug / alcohol use or absconding New Offense Hospitalized Death Other (specify in Field L "Other Information" at bottom of form) Enter total amount of offender fees collected this month for each offender. Total amount of fees collected are reflected as a total monthly offender fee reduction on the “Unit Service Monthly Report” (DOC-1026). I Total number of offenders provided direct service this month. J Total units of service provided this month. The total units provided, (for example, number of hours, days or group sessions provided) are dependent upon the payment arrangement with the Department of Corrections. K Are alcohol and drug abuse services provided under this contract/grant? This is necessary to verify confidential status of form. L Use this space to note codes which need to be specified from Field E and Field G. DOC DCC DOC-1026 (Rev. 2/97) APPENDIX 4 WISCONSIN Wisconsin Statutes Section 301.08 UNIT SERVICE MONTHLY REPORT AGENCY NAME VENDOR ID NUMBER PURCHASE ORDER NUMBER PROGRAM NAME TELEPHONE NUMBER DOC CONTACT SIGNATURE REPORTING PERIOD (Month / Year) As the authorized representative of the above named agency, I request that my agency be reimbursed for units of service provided to eligible Correctional offenders. UNIT OF SERVICE(S) PROVIDED UNIT DESCRIPTION NUMBER OF UNITS TOTAL COST PER UNIT Less Billing to Other Agencies - Less Offender Fees Collected - NET REIMBURSABLE = I understand that my agency is required to submit a Offender Monthly Report within 30 days after the final day of the month for which this Unit Service Report is due. I certify that the unit of services indicated for claiming State reimbursement are just, true and correct in the amount stated and have not been reimbursed, and represent actual services delivered and reimbursable under the laws, rules and regulation of the Wisconsin DOC. PROVIDER AGENCY CONTACT SIGNATURE DISTRIBUTION: Submit original and 2 copies to Grant/Contract Administrator DATE SIGNED APPENDIX 8 Evidence-Based Correctional Program Checklist The Correctional Program Checklist (CPC) is a tool developed to assess the extent to which correctional treatment programs adhere to the known principles of effective intervention. It is designed to evaluate the integrity of a program, not outcomes. The CPC is based on the results of over 500 program assessments and three large outcome studies. The CPC is divided into two basic areas: Capacity and Content. The Capacity area is designed to measure whether a correctional program has the capability to deliver evidence-based interventions and services for offenders. There are three domains in the capacity area: CAPACITY 1. Quality Assurance 2. Staff Characteristics • Program monitoring activities • Education of the staff • Reassessment of offenders • Experience of the staff • Evaluation • Assessment & training of the staff 3. Leadership & Development • Involvement and qualifications of program director • Implementation and design of the program • Support for the program The Content area has two domains and focuses on the substantive domains of Offender Assessment and Treatment Characteristics, and the extent to which the program meets the principles of risk, need, responsivity, and treatment. CONTENT 4. Offender Assessment • Selection of offenders • Assessment of offenders 5. Treatment Characteristics • Targeting of criminogenic needs • Type of interventions used • How treatment is delivered • Provision of aftercare Information is gathered through structured interviews with selected program staff and program participants and observation of groups and staff. Other sources of information include policy manuals, program curriculum, schedules review of case files, surveys, & other selected program materials There are several advantages to the CPC: 1. All of the indicators included in the CPC have been found to be correlated with reductions in recidivism. 2. The process provides a measure of program integrity and quality; it provides insight into the “black box” of a program, something that an outcome study alone does not provide. 3. The results can be obtained relatively quickly; usually the process takes a day or two and a report is generated within a few weeks. 4. It identifies both the strengths and weaknesses of a program and provides recommendations designed to improve the integrity of the program and to increase effectiveness. APPENDIX 8 Evidence-Based Correctional Program Checklist Evaluation Steps 1. Schedule site visit with program and program evaluators. 2. Day of site visit: Interview program/treatment director Interview staff Interview program participants Review case files Review program manuals and curricula Review assessment instruments Observe treatment group(s) 3. Day after the site visits the evaluation team meets to determine the final scores for the program evaluation. 4. Within one or two weeks after the site visit a draft report detailing evaluation results and recommendations is sent to the program. 5. Program is given 30 days to respond to the draft report in writing, noting any information that is incorrect or that was missed. 6. Evaluation team takes program’s response into consideration, then compiles a final report and sends it to program and anyone else who needs to see it. 7. Within 30 days, the program submits to the Department a “corrective action plan” detailing the steps it will take to address areas needing improvement based on evaluation recommendations. 8. A follow-up evaluation is done within one year if the program scores below the “effective” category, within three years if it scores in the “effective” category, and within five years if it scores in the “highly effective” category. Dept. of Corrections Division of Community Corrections APPENDIX 9 PROGRAM GUIDELINES: Programs using evidence-based curriculum for groups and training the staff in the delivery of that curriculum will increase program fidelity. Several factors are noted to be essential to program success as measured by the difference in recidivism between treatment and control groups. The National Institution of Correction’s curriculum Offender Risk Reduction: Evidence-based Practice and Cognitive Behavioral Interventions Standard Operating Procedures (Dec 2001) were used as a reference in the development of these guidelines. Characteristics consistently associated with program efficacy: 1. Sound Conceptual Model. Programs based on a cognitive-behavioral theoretical model were the most beneficial when applied in appropriate dosage according to offender risk and need measurements. 2. Multifaceted Programming. Multifaceted programs, which incorporated a variety of techniques in their intervention strategy, were more beneficial than those correctional programs that relied on a single method. 3. Targeting “criminogenic risk factors.” In successful programs, program targets were factors linked with recidivism such as social cognitions or antisocial attitudes. 4. Responsivity Principle. Program efficacy was dependent on matching styles and modes of service to the learning styles, characteristics and abilities of offenders based upon identified risks and needs. 5. Role Playing/Modeling. In successful programs, correctional worker/agents modeled anti-criminal attitudes and behavior. Modeling and role-playing techniques were used to train offenders in empathy, interpersonal problem solving and social skills, which enabled them to cope pro-socially with adverse or criminogenic environmental experiences. 6. Social Cognitive Skills Training. Including program techniques that could have an impact on the offender’s thinking was of critical importance. Characteristics that make cognitive behavioral programs effective: A. Group/Class Setup 1. The facilitator is present; with the necessary materials adequately organized, and prepared to greet arriving participants several minutes ahead of the scheduled group time. 2. Attendance and tardiness are accurately and efficiently documented. 3. Homework (as required by specific programs) is reviewed, checked, and appropriately reinforced. 4. Each lesson is introduced so participants have an overview of the session. 5. The introduction of each lesson should include reasons why content or process should be valued by the participants and should be tailored to address each participant’s perspective. B. Specific Skill Development 1. The facilitator should define the skill or concept being introduced. 2. The facilitator should explain why the skill or concept is important and how it is related to other material previously covered. 3. The facilitator should present the thinking and actions that make up the specific skill. 4. The facilitator should model the skill correctly. 5. The facilitator should ask questions and make sure all participants understand the specific skill before moving on to a new skill. 6. The facilitator should use examples and scenarios that are simple and easy to follow and directly relevant to the criminogenic (crime-producing behavior) needs of participants. 7. The facilitator should allow participants to practice skills as much as possible and devote a significant portion (at least two-thirds) of a session to practice and exercises. 8. The facilitator should provide feedback to participants with at least 80% being positive and reaffirming. 9. During the summary session, the facilitator should include a review of what the group is learning, why the information is important to participants, and in what specific situations the skills can be used. 10. The facilitator should always follow the lesson plan and assign homework as directed by the curriculum. Dept. of Corrections Division of Community Corrections APPENDIX 9 C. Classroom Management 1. The facilitator should start the session precisely on time. 2. The facilitator should identify and address (but not judge) any pro-criminal responses and behaviors (allowing these responses and behaviors to go on without addressing them undermines the intent of the curriculum). 3. The facilitator should maintain a clearly defined set of group participation rules with simple, specific consequences for violation. 4. The facilitator should enforce class rules and boundaries. 5. The facilitator should acknowledge the need for and expect a different level of performance based on the individual skills and abilities of the participants. 6. The facilitator should take the necessary steps (both structural and situational) to ensure each participant is involved in each session. 7. The facilitator should use humor appropriately throughout each session. 8. The facilitator should use the necessary equipment and materials (i.e., flipcharts, chalkboards, overheads, TV/VCR, workbook, stapler, paper clips, pens, pencils, and paper) appropriately throughout each session in addition to having access to a copy machine in preparation for sessions. 9. The program participants should have a workbook or folder to hold loose workbook pages or additional information, additional paper for note taking, and each participant should be provided with a pen or pencil. D. Participant Involvement 1. Participants should be actively and voluntarily engaged and paying attention throughout each session. 2. Participants should be able to demonstrate their understanding of the content and processes used throughout each session. 3. Participants should provide positive and innovative input to the session. 4. Participants should adequately complete class activities and homework assignments. 5. Participants should demonstrate some understanding of their individual risk factors. E. Documentation and Accountability The facilitator should have a clear and effective system to document the following items: __ Intake interview process (in addition to pre-testing instrument) __ Attendance __ Tardiness __ Homework (as required by specific programs) __ Session participation levels __ Ongoing motivation, skill and participation issues __ Exit interview process (in addition to post-testing instrument) F. Standards 1. The specific cognitive based curriculum must be followed exactly within the guidelines of that individual program. a. There will be no addition or deletion of content materials. b. The program time frame will be adhered to: e.g., number of sessions suggested completing the program, and time frame regarding the specific amount of time to complete each session. If the program suggests twenty-two sessions at 1 1/2 to 2 hours per session, then it shall be delivered in that manner.
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