State of Wisconsin Wis. Statutes s.16.75 DOA-3070 (R08/2003) BIDS MUST BE SEALED AND ADDRESSED TO: AGENCY ADDRESS: DEPARTMENT OF CORRECTIONS SCOTT BUTCHER / PURCHASING SERVICES SECTION 3099 E WASHINGTON AVENUE P.O. BOX 7991 MADISON, WI 53707-7991 REQUEST FOR BID Bids MUST be in this office no later than THIS IS NOT AN ORDER BIDDER (Name and Address) August 24, 2011 3:00 PM CT ______________________________________________ ______________________________________________ ______________________________________________ ______________________________________________ Item No. Quantity and Unit Remove from bidder list for this commodity/service. (Return this page only.) Bid envelope must be sealed and plainly marked in lower corner with due date and Request for Bid #SAB-3063. Late bids will be rejected. Bids MUST be date and time stamped by the soliciting purchasing office on or before the date and time that the bid is due. Bids dated and time stamped in another office will be rejected. Receipt of a bid by the mail system does not constitute receipt of a bid by the purchasing office. Any bid which is inadvertently opened as a result of not being properly and clearly marked is subject to rejection. Bids must be submitted separately, i.e., not included with sample packages or other bids. Bid 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. Bidder should contact person named below for an appointment to view the bid record. Bids shall be firm for acceptance for sixty (60) days from date of bid opening, unless otherwise noted. The attached terms and conditions apply to any subsequent award. Name (Contact for further information) Scott Butcher Phone 608-240-5450 August 4, 2011 Quote Price and Delivery FOB Destination Fax bids are not accepted Price Per Group Extended Total Description The Department of Corrections, Div. of Community Corrections is requesting bids for Anger Management with Impulse Control Group Services in Peshtigo, WI, per attached terms, conditions and specifications. 1 48 Groups Anger Management with Impulse Control Groups ( 1 group/week x 12 week/cycle x 4 cycles= 48 groups) $ $ Before submitting this RFB, be sure to include items listed in Section 2.4 and 9. Payment Terms Net 30 Delivery Time: per specifications 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. Bidder must be certified by the Wisconsin Department of Commerce. If you have questions concerning the certification process, contact the Wisconsin Department of Commerce, 5th Floor, 201 W. Washington Ave., Madison, Wisconsin 53702, (608) 267-9550. 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 bid 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 bid; that this bid has been independently arrived at without collusion with any other bidder, competitor or potential competitor; that this bid has not been knowingly disclosed prior to the opening of bids to any other bidder 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 Bid and all terms of our bid. Name of Authorized Company Representative (Type or Print) Title Signature of Above Date Phone ( Fax ( Federal Employer Identification No. ) ) Social Security No. if Sole Proprietor (Voluntary) This form can be made available in accessible formats upon request to qualified individuals with disabilities. RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 2 of 49 STATE OF WISCONSIN REQUEST FOR BID (RFB) #SAB-3063 FOR: Anger Management with Impulse Control Group Services in Peshtigo, WI TABLE OF CONTENTS DEFINITIONS 1.0 INTRODUCTION, PURPOSE, AND SCOPE 2.0 BID PROCEDURE AND INSTRUCTIONS 3.0 BID ACCEPTANCE, EVALUATION AND AWARD 4.0 TECHNICAL REQUIREMENTS 5.0 PERFORMANCE REQUIREMENTS 6.0 SUPPORT REQUIREMENTS 7.0 COST INFORMATION 8.0 STANDARD AND SUPPLEMENTAL TERMS AND CONDITIONS 9.0 REQUIRED FORMS AND ATTACHMENTS ATTACHMENTS EXHIBIT 1 ……………………………………. DCC Administrative Directive 01-10 EXHIBIT 2 ……………………………………. Referral for Services (DOC-1336) EXHIBIT 3 ……………………………………. Offender Report - Monthly (DOC-1088) EXHIBIT 4 ……….…………………………… Unit Service Monthly Report (DOC-1026) EXHIBIT 5 ……….…………………………… Correctional Program Checklist (CPC) EXHIBIT 6 ……….…………………………… Program Guidelines RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 3 of 49 DEFINITIONS: DEFINITIONS: The following definitions are used throughout the bid: Bidder: Firm submitting a bid in response to this Request for Bid 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 two 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 MBE: Minority Business Enterprise Offender: Person under the custody or supervision of the Wisconsin Department of Corrections P-Card: Procurement Card (State credit card) Purchasing: Department of Corrections’ Purchasing Services Section RFB: Request for Bid State: State of Wisconsin Vendor: Firm submitting a bid in response to this Request for Bid Must: Requirement is mandatory Shall: Requirement is mandatory Should: Desirable but not mandatory 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 Affirmative Action requirements; development, implementation, and monitoring of policies/practices for information and technology, space, staff/offender health, safety and security. Alternative to Revocation (ATR) is a written and signed agreement between DOC and the offender. Cognitive Interventions: A program which teaches specific strategies or techniques to enable offenders to (1) identify for themselves the specific thoughts that support their criminal behavior (self-observation); (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, modeling, role-playing and social skills). Correctional Client includes city, county, state or federal clients served in a correctional setting. The DOC will make sole determination of who meets these criteria. Criminogenic Risk Factors: Those features that research has demonstrated are related to criminal behavior. At least two types are recognized. Static risk factors are offender characteristics that cannot change but are predictive of an offender’s propensity for future criminal activity, for example, the offender’s age at the time of first offense. Dynamic risk factors are offender characteristics that may be altered by effective intervention. Examples of dynamic risk factors are substance abuse; identification with criminal companions; low tolerance for frustration; impulsivity; conflicts with authority; poor use of leisure time; conning and manipulation; thrill seeking; egocentrism; blaming others; dissatisfaction with conventional, mainstream activities; poor skills in identifying alternative choices; etc. RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 4 of 49 Culturally Diverse Programming: Programming which accommodates the learning styles of African American, Hispanic, American Indian, Caucasian and other ethnic backgrounds. This is accomplished through diverse staff and program materials. 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. 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. This methodology tends to increase feelings of self-efficacy and empowerment in participants by encouraging them to adopt an internal focus of evaluation. Impulse Control: This means programming that will address behavior modification as it concerns the inability to resist impulses that result in a harmful action to one's self or others. Program Evaluation: The identification of quantifiable behavioral indicators of response to the planned intervention used to determine program efficacy. Program Participant or Participant: This refers to the offender referred by the DCC and receiving services through the program is defined as a program participant. 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. Punishers: Involves the application of a stimulus to decrease behavior. Reactive or Affective Aggression: Aggression that is caused by unpleasant affects (anxiety, anger, frustration, etc) triggered by a situational stimulus. Aggressor perceives that victim provoked violence. Often violence is impulsive with very little planning by aggressor. Harm to victim is the primary goal. Reinforcers: Involves the application of a stimulus to increase behavior. Responsivity: Refers to the learning style and characteristics of the offender which can effect their engagement in treatment. RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 5 of 49 Screening: The process which identifies whether an offender has an AODA problem (in this case) and if so, a 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: A program that is free of religious components (Exhibit 1). Social Skills Training (SST): Social skills training (SST) is a form of behavior therapy used by therapists and trainers to help persons who have difficulties relating to other people. A major goal of SST is teaching persons who may have emotional problems about the verbal as well as nonverbal behaviors involved in social interactions. There are people who have never been taught such interpersonal skills as making "small talk" in social settings, or the importance of good eye contact during a conversation. In addition, many people have not learned to "read" the many subtle cues contained in social interactions, such as how to tell when someone wants to change the topic of conversation or shift to another activity. SST helps people learn to interpret these and other social signals, so that they can determine how to act appropriately in the company of other people in a variety of different situations. SST proceeds on the assumption that when people improve their social skills or change selected behaviors, they will raise their self-esteem and increase the likelihood that others will respond favorably to them. People learn to change their social behavior patterns by practicing selected behaviors in individual or group therapy sessions. Another goal of SST is improving a person's ability to function in everyday social situations. 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. RFB #SAB-3063 Anger Management Services in Peshtigo, WI 1.0 Due Date: August 24, 2011 Page 6 of 49 INTRODUCTION AND PURPOSE 1.1 PURPOSE OF THIS REQUEST FOR BID The Department of Corrections, hereinafter referred to as the "DOC", through its Purchasing Services Section, hereinafter referred to as "Purchasing," on behalf of the Division of Community Corrections hereinafter referred to as "DCC", requests bids for the purchase of secular, non-residential Anger Management with Impulse Control Group Services in Peshtigo, Wisconsin. The program must provide services to offenders convicted in adult court and under the supervision of the Wisconsin Department of Corrections (DOC) with specified program needs. Other State agencies may use the resulting contract, if agreeable to both the DOC and the vendor, to obtain the benefits of volume purchases and/or reduction in administrative expenses. Risk reduction strategies are designed to reduce an offender’s propensity to re-offend by helping the offender change their criminal behavior patterns. The DCC is compelled to evaluate these programs to support the financial resources spent on rehabilitation programs which are under increasing scrutiny by legislators, policy makers and the public. Anecdotal evidence of program effectiveness is no longer satisfactory. Even though there is strong widespread public support for offender rehabilitation programs, the public and policy makers want clear and definitive answers to the questions, “Does it Work?” and “Is it cost effective?” To that end, the contractor awarded this bid will provide the DCC with documentation to answer these questions in coordination with details noted in section 18.104.22.168 Program Evaluation of this bid. 1.1.1 PROGRAM SCOPE The DCC supervises individuals who have a history of criminal and/or physically/verbally abusive behavior. The National Institution of Correction’s curriculum Offender Risk Reduction: Evidence Based Practice was used as a reference in the development of these Anger Management Program Standards. Several factors are noted to be essential to program success as measured by the difference in recidivism between treatment and control groups (see also Exhibit 6). 1.1.2 PROGRAM GOALS Consistent with these characteristics, the goals of the Anger Management with Impulse Control intervention / treatment program are: o To provide group intervention to assist offenders in increasing their ability to deal with anger appropriately in order to reduce the number of repeated contacts with the criminal justice system for this reason. o To provide a community based alternative to the incarceration of offenders who are in need of Anger Management and Impulse Control intervention services. o To provide group counseling for offenders that focuses on offender responsibility for violent behavior, and development of skills and techniques for the prevention of violence o To provide timely, close communication with DCC staff on participation, progress and problems. o Provide participants with educational information regarding Anger Management and Impulse Control. 1.1.3 TARGET POPULATION The program would serve male and female offenders referred by the Department of Corrections who have a documented pattern of verbal or physical aggression that is considered to be reactive rather than instrumental. Referrals may include those defined in special populations. Priority shall be given to offenders with highest risk to re-offend based upon a DOC-502 or Northpointe Compass classification. 1.2 CONTRACT TERM The contract term will be for one (1) year that will start upon receipt of formal contract and/or State of Wisconsin purchase order by the awarded bidder. The Calendar of Events (Section 2.3) provides the approximate contract start date. RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 7 of 49 Options to renew the contract are available for two additional one-year terms. Renewal(s) beyond the initial contract term is contingent upon the performance of the contractor during the contract period and upon availability of funds. These are not automatic renewals. Contracts will be reviewed by the DOC before a decision is made. Any renewal(s) must be authorized by mutual written agreement of the vendor and the state. 1.3 EXECUTED CONTRACT TO CONSTITUTE ENTIRE AGREEMENT In the event of contract award, the contents of this RFB (including all attachments), RFB addenda and revisions, and the bid of the successful bidder, and additional terms agreed to, in writing, by DOC and the contractor shall become part of the contract. Failure of the successful bidder 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 Bidder’s written bid document State of Wisconsin Request for Bid, including any amendments; Other exhibits/attachments Successful bidder(s) should retain a copy of this DOC Request for Bid document and their own response to the RFB solicitation, as it becomes part of the awarded contract. 1.4 CANCELLATION AND TERMINATION This Contract may be terminated for the following conditions: 1.4.1 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. 1.4.2 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. 1.4.3 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. 1.4.4 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. 1.4.5 If at any time a petition in bankruptcy shall be filed against the Contractor and such petition is not dismissed within 90 calendar days, or if a receiver or trustee of Contractor's property is appointed and such appointment is not vacated within 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 10 calendar days notice in writing of such termination. RFB #SAB-3063 Anger Management Services in Peshtigo, WI 1.4.6 1.5 Due Date: August 24, 2011 Page 8 of 49 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. VENDORNET REGISTRATION Only Vendors registered with the State of Wisconsin VendorNet will receive future official notice of this service. The State of Wisconsin’s purchasing information and vendor notification service 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 $25,000. Organizations without Internet access receive paper copies in the mail. Increasingly, state agencies also are using VendorNet to post simplified bids valued at $25,000 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 or call the VendorNet Information Center (1-800-482-7813). In the Madison area, call 608-264-7898. Make sure to select all the appropriate NIGP (Commodity) 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 BID PROCEDURES AND INSTRUCTIONS 2.1 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 accommodations at a bid opening/vendor conference are needed, contact Scott Butcher via telephone at 608-240-5450 or email at [email protected] 2.2 BID SUBMITTAL Bidders must submit an original bid response (marked as such), one (1) additional paper copy of bid response, a CD-ROM of the bid response that is an exact duplicate of the above two paper copies Bidders should see Sections 2.4 and 9 for information on what should be included in their bid response. Bidders need to take the time to make sure that both paper copies and the CD-ROM of the bid response all match each other. Receipt of a bid by the State mail system does not constitute receipt of a bid by the Purchasing Services Section, for purposes of this RFB. Use one of the options below for return of the bid. RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 9 of 49 The Bid(s) must be received at the Purchasing Services Section, at the office listed below, no later than August 24, 2011 3:00 PM. Any bids received after that time and date will be rejected. USPS ADDRESS SCOTT BUTCHER/PURCHASING SERVICES SECTION DEPARTMENT OF CORRECTIONS PO BOX 7991 MADISON, WI 53707-7991 COMMON CARRIER ADDRESS SCOTT BUTCHER/PURCHASING SERVICES SECTION DEPARTMENT OF CORRECTIONS 3099 EAST WASHINGTON AVE. MADISON, WI 53704-4338 FAXING: Faxed bids are NOT accepted. E-MAILING: Emailed bids are NOT accepted. All bids must be packaged, sealed, and show the following information on the outside of the package: Vendor’s Name and Address Request for Bid Title Request for Bid Number Bid Due Date 2.3 CALENDAR OF EVENTS Listed below are important dates and times by which actions related to this Request for Bid (RFB) must be completed. In the event that the State finds it necessary to change any of these dates and times it will do so by issuing an amendment to this RFB to be posted on VendorNet, unless the event is listed as estimated or approximate. DATE August 4, 2011 August 11, 2011 August 17, 2011 August 24, 2011 September 12, 2011 October 3, 2011 2.4 EVENT RFB posting date Last day for submitting written questions Answers to questions posted on VendorNet (estimated) Bids due from vendors Estimated award date Approximate Contract Start date FORMAT OF BID Responses to this RFB must comply with the following format requirements (reference Section 9). 2.4.1 SIGNED REQUEST FOR BID FORM DOA-3070 – Cover sheet of this RFB Include here the signed Request for Bid form included with the bid and those certifications required for submittal of a bid. Bids submitted in response to this RFB must be signed by the person in the vendor's organization who is responsible for the decision as to the prices being offered in the bid or by a person who has been authorized in writing to act as agent for the person responsible for the decision on prices. 2.4.2 COST SUBMITTAL INFORMATION Bidders must submit cost on the Request for Bid form (DOA-3070), complete and sign, including a price per unit for each item and an extended total. Cost must include labor, travel and insurance. All costs to furnish the service(s) included in the bid, in accordance with the terms and conditions of this RFB, must be included. 2.4.3 VENDOR INFORMATION DOA-3477 Provide Vendor Company contact information as requested on the form. RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 10 of 49 2.4.4 DESIGNATION OF CONFIDENTIAL AND PROPRIETARY INFORMATION DOA-3027 Information submitted as part of the bid 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. 2.4.5 WISCONSIN’S COOPERATIVE PURCHASING SERVICE DOA-3333 Vendors 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. 2.4.6 VENDOR REFERENCE DOA-3478 Complete the Vendor Reference form with four vendors that your company has done business with providing services. Include the company name, address, contact person and telephone number along with a brief description of the service. 2.4.7 Italics note all required documentation in the Request for Bid. Bids that do not include all items listed on this checklist may be rejected. STATE OF WISCONSIN TERMS AND CONDITIONS The standard (DOA-3054) and supplemental (DOA-3681) terms and conditions shall govern this RFB and subsequent award. Vendor must accept these terms and conditions or submit point –by-point exceptions along with proposed alternative or additional language for each point, including any vendor contracts. Submission of any standard vendor contracts as a substitute for language in the terms and conditions is not a sufficient response to this requirement and may result in rejection of the vendor’s proposal. The state reserves the right to negotiate contractual terms and conditions other than those in the State of Wisconsin Contract when it is in the best interest of the State to do so. 2.5 MULTIPLE BIDS Multiple bids from a vendor will be permissible; however each bid must conform fully to the requirements for bid submission. Each such bid must be separately submitted and labeled as Bid #1, Bid #2, etc. on each page included in the response. Alternate acquisition plans do not constitute multiple bids. 2.6 INCURRING COSTS The State of Wisconsin is not liable for any cost incurred by a vendor in the process of responding to this RFB. 2.7 QUESTIONS, CLARIFICATIONS AND/OR REVISIONS THROUGH DESIGNATED CONTACT All communications and/or questions regarding this request must be written and submitted via FAX, email, USPS mail or hand delivery to the Purchasing Services Section. If a Bidder discovers any significant ambiguity, error, conflict, discrepancy, omission, or other deficiency in this RFB, they have five (5) business days after the bid posting date to notify, in writing, the Purchasing Agent at the address shown below of such error and request clarification of the RFB document. All written questions will be responded to in writing and provided to all bidders. SCOTT BUTCHER / PURCHASING SERVICES SECTION DEPARTMENT OF CORRECTIONS PO BOX 7991 MADISON, WI 53707-7991 [email protected] FAX: 608-240-3342 RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 11 of 49 From the date of release of this RFB through the entire RFB process, all contacts with the DOC regarding this RFB shall be made through the Purchasing Services Section. Violation of this condition may be considered sufficient cause for rejection of a bid, irrespective of any other considerations. In the event that it becomes necessary to provide additional clarifying data or information, or to revise any part of this RFB, amendment(s) will be posted on VendorNet. Each bid shall stipulate that it is predicated upon the terms and conditions of this RFB and any amendment(s) thereof. 3.0 BID ACCEPTANCE, EVALUATION AND AWARD 3.1 BID OPENING Bids will be opened on the date and time indicated on the Request for Bid Form (DOA-3070) at 3099 East Washington Ave. Madison, WI 53704 Purchasing Services Section room. Names of the bidders shall be read aloud at that time. 3.2 BID ACCEPTANCE Bids which do not comply with instructions or are unable to comply with specifications contained in this RFB may be rejected by the State. The State retains the right to accept or reject any or all bids, or accept or reject any part of a bid deemed to be in the best interest of the State. The State shall be the sole judge as to compliance with the instructions contained in this RFB. 3.3 BID EVALUATION Bids will be evaluated by the DOC's purchasing agent and program manager to verify that they will meet all specified requirements in this RFB. This verification may include requesting reports on the vendor's financial stability, conducting demonstrations of the vendor's proposed service(s) and reviewing results of past awards to the vendor by the State of Wisconsin. FAILURE TO MEET A MANDATORY REQUIREMENT SHALL DISQUALIFY THE BID. However, if no bidder is able to comply with a given specification, condition of bid or provide a specific item, Purchasing Services reserves the right to delete that specification, condition of bid or item. 3.4 METHOD OF AWARD Award(s) shall be made on the basis of the lowest net unit price and extended total from a responsive, responsible bidder meeting bid specifications and requirements, which is judged to be in the best interest of the DOC. The DOC reserves the right to accept or reject any and all bids in whole or in part. Bids that state the DOC shall guarantee a specific quantity or dollar amount will be disqualified. In the event of bidder error in calculation, unit price shall prevail in award. If a responsive, responsible State qualified work center meets the fair market price and other work center program criteria, the award will be made to the work center (Wisconsin State Statute 16.752). 3.5 MINORITY BUSINESS ENTERPRISE Bids from certified Minority Business Enterprises may be provided up to a five percent (5%) bid preference in accordance with Wis. Stats. s. 16.75(3m). 3.6 NOTIFICATION OF INTENT TO AWARD Any vendors who respond to this RFB, with a bid, will be notified in writing of the State’s intent to award the contract(s) as a result of this RFB. RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 12 of 49 After notification of the intent to award is made, under the supervision of Department of Corrections, copies of bids will be available for public inspection 8:30 a.m. to 3:30 p.m. at 3099 East Washington Ave., Madison WI. Vendors shall schedule reviews with purchasing agent to ensure that space is available for the review. 4.0 TECHNICAL REQUIREMENTS The following requirements are the minimum specifications of the service(s) required. Failure by a bidder to respond to any specific requirement or question shall be the basis for elimination from consideration. However, if no bidder is able to comply with a given specification, condition of bid or provide a specific item, Purchasing Services reserves the right to delete that specification, condition of bid or item. The Department reserves the right to adjust the number of units of service, to add or move locations, and/or add locations outside the designated area if in its best interest. The numbers of service units listed are for bidding purposes only. Revisions to this bid, if any, will be made in the form of an official amendment(s) issued by the Department of Corrections, Purchasing Services Section. 4.1 FACILITY REQUIREMENTS Services are required to be located in Peshtigo, WI. The facility shall have an appropriate physical space use plan to reasonably accommodate group programming and space to conduct offender interviews, intake and staffings. The Department of Corrections will make sole determination of an appropriate physical space use plan. The facility in which services are provided must meet all applicable federal, state and local codes, regulations and requirements. The DCC office conference rooms located in Peshtigo, WI, may be used as the site for groups. This room along with the furniture therein will be provided at no cost to the contractor, however this does not include access to photocopier, fax, office supplies or use of any other areas. Awarded contractor will ensure that minimal disruption of other office staff occurs before, during and after groups. 4.2 Bidder shall submit a description of the physical spaces, which details the space plans, if applicable. BIDDER AGENCY EXPERIENCE The bidder agency shall have a minimum of two (2) years experience providing Anger Management with Impulse Control programming to correctional clients. The bidder should also have experience working with involuntary and culturally diverse clients. Bidder shall provide a list of past contracts, DOC and others, preferably within the last three (3) years that are of a similar service to this bid. Include service description, location of service, number of clients served, outcome evaluation, and contact person with a phone number. DOC reserves the right to contact any or all persons listed. Past contract quality may impact this award. 4.3 The bidder shall provide documentation demonstrating that their organization meets the experience requirements, including past contract information. Include service description, location of service, number of clients served, outcome evaluation, and contact person with a phone number. STAFF QUALIFICATIONS, EXPERIENCE, AND TRAINING All groups shall have adequate staff with the required skills to ensure the quality and effectiveness of program services. All staff facilitating groups will have completed required training prior to providing specified services. Programs shall also ensure that the staff is receiving appropriate training and education to maintain quality services. 4.3.1 ADMINISTRATIVE AND FISCAL STAFF Organization staff shall have at least one (1) year of Administrative and Fiscal services experience. Administrative staff shall have at least one (1) year experience in the administration or supervision of a correctional or human services program. RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 13 of 49 The bidder shall provide a list of staff names providing administrative and fiscal services with documentation of staff training and experience The format for this documentation shall include names of staff, dates, location of experience, and names and phone numbers of persons who can verify experience. 4.3.2 STAFF SUPERVISION: Person(s) providing supervision of direct-service staff under this contract shall have a minimum of two (2) years providing supervision to staff in a correctional or human services program and two (2) years experience facilitating groups. 4.3.3 DIRECT SERVICE STAFF Bidder shall provide supervision for all treatment components of the program. 22.214.171.124 Facilitator - Provider staff facilitating groups shall, at a minimum, possess a license or certification in one of the following professions: 1) Social Worker, 2) Advanced Practice Social Worker, 3) Independent Social Worker, 4) Clinical Social Worker, 5) Psychologist, 6) Marriage and Family Therapist, or 7) Professional Counselor. 126.96.36.199 License - All noted licensing and certification must be current. License must be free of restrictions or limitations. Any placement of restrictions/limitations after DOC staff approval will be reported to the Contract Administrator within 5 business days of the restriction being placed. 188.8.131.52 Training – Provider staff facilitating groups shall have successfully completed the formalized Anger Management training program developed for the curriculum in the Bidder’s response to this Request For Bid. Formal training and updates shall have occurred within the past five (5) years. 184.108.40.206 Staff Experience – 220.127.116.11.1 Group facilitator, including all back-up facilitator(s), shall have knowledge and experience with all of the following: o Social Skill training, and o Cognitive Intervention techniques, and o Evidence-Based Practices 18.104.22.168.2 4.4 Group facilitator, including back-up facilitator(s), shall have at lease one (1) year of experience in all of the following: A. Facilitating cognitive based programming, and B. Facilitating Anger Management Intervention Groups to offenders from various racial, religious, and ethnic backgrounds, as well as individuals with a disability and other diverse populations The bidder shall provide staff resumes that identify dates, company (including address and phone number), position description and job responsibilities to verify all staff meet the bid qualification including all training and experience requirements in delivering services as described in this section. The format for this documentation also requires copies of current certification, licensing, insurance and/or training including supervision plan, if applicable. If staff positions are pending hire, submit recruitment plan and job description of those pending positions. NOTE: Any staff listed as pending hire will be required to be on staff within 4 weeks from date of award unless otherwise authorized. Bids that do not include all items listed on this checklist may be rejected. PROGRAM DESCRIPTION The ultimate goal of Anger Management with Impulse Control groups is to protect the community from criminal behavior by reducing the offender’s risk of re-offense. The following provisions are required for all services: RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 14 of 49 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 appear at revocation and court hearings if required. 4. For evaluation purposes, the contract staff shall be willing to have group treatment videotaped and/or observed and evaluated by a DOC representative. 5. All groups shall follow the characteristics consistent with program efficacy per Exhibit 6. As part of program participation each offender will be screened with a researched screening tool which is preapproved by DCC staff. Examples of screening tools are; Anger Management Profile (AMP) and/or State-Trait Anger Expression Inventory-2 (STAXI-2). 6. Contractor is responsible to develop strategies to address gender responsivity. 7. 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 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. 8. Groups will NOT be co-facilitated with a staff person from DOC. 9. Group size shall not be less than four (4) and no more than ten (10) participants. Exceptions to the minimum group size requirement will require prior approval from DOC staff. When attendance is below 6 offenders, contract staff shall contact the DOC Program Analyst within 24 hours to discuss options for increasing group size at predetermined entry points based upon the intent of the researched curriculum. 10. The program shall be open-ended to provide the ability to enroll offenders at various points throughout the treatment group cycle. 11. Group services may be offered during non-traditional business hours and on Saturday. Actual group starting time shall be negotiated with the DOC liaison but changes in class dates and starting times shall not be implemented sooner than 30 days from written approval of DOC to avoid offender scheduling conflicts. 12. 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. 13. Groups shall be comprised of only offenders supervised by DOC. 14. All referrals will be individually screened by the referring agent. 15. 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 1. RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 15 of 49 16. The contractor shall prepare and provide all necessary program materials/equipment to include, but not limited to, the following: o TV/DVD/VCR o Flipchart stand, paper and other office supplies o Chalkboard or whiteboard with markers o Lesson plans o Copy machine and other office equipment as needed o Computer and software to include Internet access 17. When program groups 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. 4.4.1 ANGER MANAGEMENT WITH IMPULSE CONTROL GROUP INTERVENTION SERVICES Approved programs will provide a PROGRAM STATEMENT which: A. B. C. D. E. F. Will identify the researched methodologies they are using to guide the program’s interventions and the theoretical model that serves as a guide to the facilitators’ interactions with participants. Will identify a well-articulated theory of change that supports the methodologies and program philosophy employed. Will be based on a four-state process - (1) Consciousness raising & motivation building, (2) Cognitive restructuring, (3) Skills training, and (4) Individual application of program tools and concepts. Will have five major course objectives (1) Knowledge of the human anger experience, (2) Self-awareness of personal anger experience and its dysfunctional aspects, (3) Cognitive interventions to control dysfunctional anger, (4) Behavioral interventions to control dysfunctional anger, and (5) Relapse prevention planning. Shall clearly communicate specific points of program entry for offenders based upon the intent of the researched curriculum. Will clearly identify the research and proposed implementation plan for offender screenings, pre-testing and post- testing as required in this Bid. At a minimum, the treatment components shall address the following areas: Personal Responsibility Recognizing the bodily signals and behaviors of anger Identifying levels of anger Learning to use an anger journal to identify signals and behaviors Communication Skills (Convincing, Negotiating, Asking for help, Making a complaint, Giving and receiving positive/negative feedback, Handling criticism and provocation) Using time out as a tool for controlling inappropriate anger responses Alternatives to Violence Conflict Resolution Skills Dealing with the effects of alcohol and other drugs upon anger Identifying feelings and learning to communicate about them Becoming assertive instead of being non-assertive or aggressive Identifying and reducing the stress in your life Based on offender need, some cycles will be offered exclusively for female offenders and some cycles exclusively for male offenders. The contractor will be notified ahead of time of the expected gender make up of the group. RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 16 of 49 Twenty four (24) total program hours shall be considered completion standard for each cycle of Anger Management Groups conducted. The contractor selected under this solicitation shall conduct one (1) session each week for twelve (12) weeks, each session will be one hundred twenty (120) minutes in length. Four (4) cycles x 12 groups/cycle = Forty-Eight (48) total groups conducted annually. 4.5 INTAKE/TREATMENT/DISCHARGE PROCEDURES 4.5.1 INTAKE PROCEDURES The contractor staff shall develop referral/intake procedures in cooperation with DCC staff. If the contractor rejects an offender after completion of a screening tool as pre-approved by DCC, this shall be discussed with DCC staff to determine if the program can be modified to address the specific offender needs. The contractor staff shall send copies of the pre-test results to the referring DCC staff person within 10 working days of intake interview. 4.5.2 PROGRAM RULES Contractor shall have each offender complete necessary release of information forms and shall give each offender a copy of the program rules and expectations. Using the DOC-1923 Limits of Confidentiality Regarding Information Rendered to Treatment Staff, the contractor shall notify each offender in writing that all information obtained while an offender participates in program services shall be shared with DOC staff. The completed DOC-1923 form signed by the offender shall be submitted to the referring agent/liaison within 5 days of the offender’s admission to the program. 4.6 ANGER MANAGEMENT WITH IMPULSE CONTROL GROUP It is anticipated that offenders will participate in no less than 24 program hours. Participation for any longer or shorter period of time may be negotiated with DOC staff based on treatment goals as related to specific criminogenic factors. NUMBER OF SERVICE UNITS Under any agreement resulting from this solicitation, units of service are defined as follows: 4.7.1 4.8 The bidder shall provide a copy of written program rules. LENGTH OF PROGRAM PARTICIPATION 4.6.1 4.7 The Bidder shall submit a curriculum outlining the treatment/intervention components or modules designed to achieve the goals of this program. This shall include examples of PreTesting, Post-Testing and proposed screening tools. ANGER MANAGEMENT WITH IMPULSE CONTROL GROUP One one-hundred twenty minute (120) group session of direct service provided to offenders participating in activities as defined in 4.4.1. REPORTING AND EVALUATION REQUIREMENTS 4.8.1 PREPARATION, RECORD KEEPING, AND REPORTING 22.214.171.124 Agent of Record, program liaison, and/or other designees must be included in distribution of written reports. 126.96.36.199 Cooperate fully in DOC efforts to evaluate and improve programming (See Program Evaluation Requirements, 188.8.131.52). 184.108.40.206 Contractor shall provide a weekly written, legible copy or e-mail listing of the attendance for each group within 24 hours of the start of each group. 220.127.116.11 The contractor shall document attendance, compliance with co-payment, and progress of the offender in the group. 18.104.22.168 Electronic documentation of offender’s progress shall be submitted within 24 hours of the completed group to the referring DOC staff person after each weekly session. RFB #SAB-3063 Anger Management Services in Peshtigo, WI 4.8.2 Due Date: August 24, 2011 Page 17 of 49 REPORTING ON INDIVIDUAL OFFENDERS 22.214.171.124 PROGRESS REPORTS The contractor shall provide a written progress report after eight weeks of programming for each participating offender. At a minimum, the report shall include the documentation based on the following: (1) Demonstration of skills based self-report (e.g. Anger logs) and/or in-group role plays, (2) Knowledge of Anger Management concepts based on homework and/or testing, (3) Other reports by staff, (4) Attendance, (5) Class Participation, and (6) Status of Co-pay Obligations. The bidder shall provide a copy of the format to be used for the progress reports. 126.96.36.199 DISCHARGE/TERMINATION The contractor shall inform the referring DOC staff of the intent to “unsuccessfully” terminate an offender from treatment prior to termination The contractor shall provide the referring DOC staff person with a discharge summary and post-test results within ten (10) days of offenders successful and within five (5) days of offender’s unsuccessful (no post-test required) discharge from the program. PROGRAM DISCHARGE SUMMARY REPORT FORMAT a. Discharge status b. Program entry and discharge dates to include pre and post test scores c. Brief description of program d. Offender’s alcohol/drug use patterns, negative impact on life and prior treatment history e. Identification of offender’s assets/strengths f. Account of offender’s effort and progress toward goals g. Identification of significant problem areas not addressed in program h. Identification of any continuing treatment needs and recommendations to address them i. Relapse Prevention Plan including Aftercare/Continuing Care recommendations j. Copy of personal relapse prevention plan for referring agent k. Prognosis/Risk for further use and criminality as a result of offender participation 4.8.3 The bidder shall provide a copy of the format to be used for the discharge summary. OTHER REPORTS 188.8.131.52 LAW VIOLATIONS: The contractor shall notify the referring DOC staff or other available DOC staff if a participant is in violation of the law. This notification shall take place as soon as possible, and no later than 24 hours, subsequent to receiving information concerning the law violation. 184.108.40.206 SERIOUS PROGRAM VIOLATIONS: Serious program rule violations, including failure to attend, shall be reported to the referring DOC staff or other available DOC staff within one working day. 220.127.116.11 AD HOC REPORTS: Upon request the contractor shall provide, to DOC staff, reports on offenders served in the program when these reports are required by the court, for revocation procedures, and/or for other Departmental processes. 4.8.4 PROGRAM REPORTING 18.104.22.168 Referral for Services (DOC 1336): The contractor shall submit a completed Referral for Services form for each offender referred by DOC for service. These forms shall be submitted with the first DOC-1088 Offender Report Monthly following offender’s rejection or acceptance into the program. A copy of the form is attached as Exhibit 2. RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 18 of 49 22.214.171.124 Offender Report Monthly (DOC 1088): The contractor shall submit a completed Offender Report Monthly to report data on offenders served each month. This report shall be submitted within 15 days of the last day of the month during which service was provided. A copy of this form is attached as Exhibit 3. 126.96.36.199 Unit Service Monthly Report (DOC 1026): The contractor shall submit a completed Unit Service Monthly Report to provide data on the number of units of service provided each month. This report shall be submitted within 15 days of the last day of the month during which service was provided. A copy of this form is attached as Exhibit 4. 188.8.131.52 Program Evaluation: 184.108.40.206.1 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 Exhibit 5. 220.127.116.11.2 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 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 Program overview including outcome goals and relationship to reducing recidivism. Number of offenders screened for the program. Number of offenders accepted and rejected and the reason for rejection. Number of offenders completed, terminated, dropped out and participated – 65-85% completion (standard). For those offenders who do not complete the program, explain why. Number of offenders returning to the program including the period of time after leaving the program. Plan for program improvement Identify the problem Describe the problem Identify plan for intervention or needed change Date the change/intervention took effect Interval checks of the intervention/change effectiveness Is this a continuing problem or is it resolved? If problem persists, identify why interventions were not effective, redefine plan of intervention and continue checks for effectiveness 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. Feedback surveys are expected to examine (at minimum) on: 1. Targeted behaviors 2. Dynamic risk factors 3. Using validated instruments RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 19 of 49 4. Utilizing the information to drive programming and add information to dynamic case plans. A written summary specifically addressing these requirements shall be sent to the Department within ten (10) days of the implemented offender survey. 5.0 PERFORMANCE MEASURES 5.1 6.0 If your organization has an existing system for documenting and managing client-level information, please provide an overview of the system and whether it is in electronic or paper format. Provide the name of your staff person who will be the contact person responsible for coordinating with DOC and evaluation staff. STAFF PERFORMANCE The contractor shall utilize, on this contract, only workers that are skilled in the tasks to which they are assigned. During the contract period, Provider agrees to submit updates on staff changes and staffing patterns to the Contract Administrator. 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 contracted program. SUPPORT REQUIREMENTS 6.1 COLLECTION OF OFFENDER FEES The Contractor shall collect fees from program participants or via third party payments outside of contracted group start and end times. All offenders shall be screened by the Contractor for 3rd party payment methods. Offenders with availability of 3rd party payment methods shall cooperate with Contractor to implement this priority payment process. The fee rate shall be set at $3.00 co-pay per group per offender. The amount of all fees collected will be reported on the Unit Service Monthly Report (DOC-1026) for the month in which the fees were collected and deducted from the amount reimbursable to the Contractor by DCC. 6.2 INVOICING / 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 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 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 and two copies 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. RFB #SAB-3063 Anger Management Services in Peshtigo, WI 7.0 8.0 Due Date: August 24, 2011 Page 20 of 49 COST INFORMATION 7.1 PRICES Prices must remain firm for the initial contract term. 7.2 PRICE INCREASES Price increase requests proposed after the initial Contract term must be received by Purchasing in writing 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. 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 publication. Price increases must be labeled with the contract number and be submitted in the same format as the original Request for Bid. Any price increase requested that is not submitted in the proper format may be rejected. 7.3 Bidders must provide their unit price per group and extended total price representing annual groups on the Request for Bid form (DOA-3070). STANDARD AND SUPPLEMENTAL TERMS AND CONDITIONS The Standard Terms and Conditions (DOA-3054, R10/2005)) and Supplemental Standard Terms and Conditions for Procurements for Services (DOA-3681, R01/2001) are made part of this RFB. The State of Wisconsin reserves the right to incorporate standard State contract provisions into any contract negotiated with any bid submitted responding to this RFB (Standard Terms and Conditions, DOA-3054). Failure of the successful bidder to accept these obligations in a contractual agreement may result in cancellation of the award. As applicable, all AODA staff must also comply with the Department of Regulation and Licensing Emergency Rule 167 to have professional liability insurance in the amount of at least $1,000,000 for each occurrence and $3,000,000 for all occurrences in one year. SPECIAL TERMS AND CONDITIONS 8.1 SUBCONTRACTING Any Contract resulting from this bid 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. 8.1.1 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. 8.1.2 Contractor must assure subcontractors abide by all terms and conditions under this Contract. 8.1.3 If subcontractors are to be used, the Contractor must clearly explain their participation. 8.2 PRIME CONTRACTOR AND MINORITY 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 Statutes. The contracting agency is committed to the promotion of minority business in the state's purchasing program. RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 21 of 49 The State of Wisconsin policy provides that minority-owned business enterprises certified by the Wisconsin Department of Commerce, Bureau of Minority 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 Department of Commerce and their contract amount. Quarterly reports shall be due fifteen (15) calendar days after the end of the quarter, 9/31, 12/31, 3/31 and 6/30. The form for submitting this information is available from the VendorNet on the Contract’s Home Page. http://www.doa.state.wi.us/mbe/minority_search.asp 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, Office of the Minority Business Program, 608/267-7806. The listing is published on the Internet at: http://www.doa.state.wi.us/deo/mbe/minority_search.asp 8.3 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 8.4 EMPLOYEE IDENTIFICATION All contractors’ employees, while working on DOC property, must wear a clearly displayed photo identification badge (provided by the Contractor at the Contractor’s cost) showing they are employees of the contractor. Badges must be available but will not be required to be worn when protective clothing and respiratory protection is required. 8.5 CONFIDENTIALITY 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. RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 22 of 49 8.6 LIQUIDATED DAMAGES This shall be surety for fulfillment of the contract(s) including quality, performance and delivery under the terms of this Request for Bid. Liquidated damages shall consist of the cost per program group for failure to deliver according to the requirements of this bid. Liquidated damages will be deducted from 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. 8.7 EMPLOYMENT OF CURRENT OFFENDERS AND EMPLOYMENT AND RETENTION OF INDIVIDUALS ARRESTED, CHARGED OR CONVICTED OF CRIMINAL OFFENSE 8.7.1 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. 8.7.2 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 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. 8.7.3 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. RFB #SAB-3063 Anger Management Services in Peshtigo, WI 8.7.4 Due Date: August 24, 2011 Page 23 of 49 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. 8.8 FRATERNIZATION 8.8.1 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 Department of Corrections' 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. 8.8.2 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 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. 8.8.3 Contractor shall also agree to have a written policy which prohibits Contractor’s employees from engaging in any sexual contact or sexual intercourse with offenders under the custody and control of the Department of Corrections. The policy must be substantially equivalent to the Department of Corrections’ policy as expressed in Executive Directive 16-A, August 2006. A copy of Executive Directive 16-A may also be obtained from the Contractor Administrator. 8.8.4 Contractor shall maintain a copy of the signed employee statement on fraternization and sexual contact in each employee's personnel file. 8.9 CONTRACTOR AUDIT REQUIREMENT 8.9.1 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 30 days from issuance of the report, but no later than one year after the end of the audit period. 8.9.2 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. 8.9.3 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. 8.9.4 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. 8.9.5 DOC 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 DOC's audit guidelines. DOC 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, DOC shall rely upon the acceptable portion of the audit and any additional audit work shall build upon the work already done. RFB #SAB-3063 Anger Management Services in Peshtigo, WI 8.10 Due Date: August 24, 2011 Page 24 of 49 8.9.6 DOC 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, DOC's costs for completing an audit will be charged back to Contractor. 8.9.7 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 A128 that pertain to sub-recipient audits. FAITH-BASED AND CHARITABLE ORGANIZATIONS 8.10.1 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 or religious beliefs. Except as otherwise provided by state or federal law, Purchaser shall not interpret this Contract to require a charitable or faith-based organization to alter its form of internal governance or remove religious art, icons, scriptures, or other symbols. 8.10.2 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. 8.10.3 Neither Purchaser’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 Purchaser’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 apprise all assisted inmates of the same: Neither the State of Wisconsin’s selection of a Charitable or faith-based Contractor of services or the expenditure of funds under any contract with said Contractor is an endorsement of that Contractor’s charitable or 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. 8.10.4 To ensure an inmate is informed of the foregoing, a faith-based or charitable Contractor shall require that each inmate 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 Purchaser. Finally, Purchaser will require that each inmate sign the Purchaser’s “Voluntary Choice and Waiver” form, which will be provided by Purchaser, 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 inmate until it receives a copy of a fully executed Voluntary Choice and Waiver form from Purchaser for that respective offender. 8.11 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 101-336, 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. RFB #SAB-3063 Anger Management Services in Peshtigo, WI 8.12 Due Date: August 24, 2011 Page 25 of 49 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. 8.12.1 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. 8.12.2 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. 8.12.3 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 RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 26 of 49 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. 8.12.4 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. 8.12.5 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. 8.12.6 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. RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 27 of 49 8.12.7 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. 8.12.8 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 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. 8.12.9 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. RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 28 of 49 8.12.10 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. 8.12.11 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. 8.12.12 Statutory 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. 8.12.13 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. 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: RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 29 of 49 (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. 8.12.14 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. 8.12.15 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. RFB #SAB-3063 Anger Management Services in Peshtigo, WI Due Date: August 24, 2011 Page 30 of 49 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. 8.13 CONTRACTOR MAJOR STRUCTURAL CHANGE The Contractor is required to provide the Department with a minimum of 90 days written advance notice of any planned or potential structural change (merger, buyout, acquisition, consolidation, etc.). Contract may not be automatically assigned to the new entity (since the underlying procurement may be affected). RFB #SAB-3063 Anger Management Services in Peshtigo, WI 9.0 Due Date: August 24, 2011 Page 31 of 49 REQUIRED FORMS AND ATTACHMENTS The following forms must be completed and submitted with the bid response. FORMS: Request for Bid Form (DOA-3070) - cover sheet, first page of this RFB Vendor Information Form (DOA-3477 1/08) Designation of Confidential and Proprietary Information Form (DOA-3027), if applicable. Wisconsin’s Cooperative Purchasing Service Form (DOA-3333) Vendor Reference Form (DOA-3478) ADDITIONAL REQUIRED INFORMATION: Documentation of facility location(s) with physical use space plan(s) as specified in 4.1 Documentation of organization experience requirements with past contracts and references as specified in 4.2. Documentation of staff qualifications and experience requirements and references as specified in 4.3. If staff positions are pending hire, submit recruitment plan and job description of those pending positions. A detailed description of the Anger Management with Impulse Control Group curriculum to be delivered by the bidder in accordance with specifications described in 4.4.1. Be sure to include copies of proposed initial screening and pre/post test instruments. Copy of written program rules as described in 4.5.2. Copy of format used for Progress Report in 18.104.22.168 Copy of format used for Discharge Summary in 22.214.171.124 Copy of current Program Evaluation format and staff person responsible for managing this task as noted in 126.96.36.199. 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 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. 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. 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. 4.0 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 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). 7.0 UNFAIR SALES ACT: Prices quoted to the State of Wisconsin are not governed by the Unfair Sales Act. 8.0 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. 9.0 METHOD OF AWARD: Award shall be made to the lowest responsible, responsive bidder unless otherwise specified. 10.0 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. 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 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 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. 14.0 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 contract and/or order with referenced parts and attach- DOA-3054 Page 2of 3 ments 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 17.0 18.0 19.0 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. 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. 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. 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 sets forth the provisions of the State of Wisconsin's nondiscrimination law. 19.3 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. 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 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 3of 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. 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 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 be 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 (DOA-3027). 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. 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 2.2 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; 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 DEPARTMENT OF ADMINISTRATION DIVISION OF ENTERPRISE OPERATIONS BUREAU OF PROCUREMENT S. 16.765, WIS. STATS. DOA-3477 (R01/08) SAB-3063 Bid / Proposal # Anger Management Groups Commodity / Service in Peshtigo, WI 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 $25,000 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. State Zip + 4 CEO / President Name This document can be made available in accessible formats to qualified individuals with disabilities. STATE OF WISCONSIN DOA-3027 (R01/98) DESIGNATION OF CONFIDENTIAL AND PROPRIETARY INFORMATION The attached material submitted in response to Bid/Proposal # SAB-3063 Anger Management Groups in Peshtigo, WI 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 ___________________________________________ Date ___________________________________________ Type or Print This document can be made available in accessible formats to qualified individuals with disabilities. Division of State Agency Services State Bureau of Procurement State of Wisconsin Department of Administration DOA-3333 (R03/2004) 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) Commodity/Service Anger Management Groups in Peshtigo, WI City State ) ZIP + 4 Request for Bid/Proposal Number SAB-3063 This form can be made available in accessible formats upon request to qualified individuals with disabilities. STATE OF WISCONSIN Bid / Proposal # SAB-3063 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) used for four (4) or more installations 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 This document can be made available in accessible formats to qualified individuals with disabilities. EXHIBIT 1 EFFECTIVE DATE WISCONSIN DEPARTMENT OF CORRECTIONS Division of Community Corrections July DOC-1356 (Rev. 05/96) PAGE 1 OF 2001 188.8.131.52.1.1.1 New ORIGINATED BY Administrative Directive 01-10 Replaces 99-15 1.2 SUBJECT: DISSEMINATION X 1 MANUAL REFERENCE x Revision William J. Grosshans, Administrator Kerr v. Farrey 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 Division of Community Corrections' 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 EXHIBIT 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 AODA Group Services PAROLE/ES CONDITION OTHER - SPECIFY: Domestic Violence Services Education Services Transitional Living Program 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 Widow/Widower Extended Supervision 980 Case NGI SUPERVISION DISCHARGE DATE Misdemeanor Habitual Reentry from Jail Separated Deferred Prosecution Reentry from Prison 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) Divorced EXHIBIT 2 Yes No Yes Alcohol Problems Drug Problems (Specify) Health Problems (Specify) Pregnant Developmental or Learning Disabilities Financial Management Problems IS OFFENDER TAKING MEDICATION? Yes No - If Yes , List Reason: EDUCATIONAL ACHIEVEMENT Highest Grade Level Achieved THIS REFERRAL MUST INCLUDE THE FOLLOWING INFORMATION: No History of Violence, attach description. History of Committing Sexual Assaults Mental Health Problems (Specify) Relationship Problems OTHER (Specify) Prescription 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 EXHIBIT 3 DEPARTMENT OF CORRECTIONS Division of Community Corrections DOC-1088 (Rev. 4/2010) 184.108.40.206 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 EXHIBIT 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. EXHIBIT 4 DEPARTMENT OF CORRECTIONS Division of Community Corrections DOC-1026 (Rev. 2/97) 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 is reimbursed for units of service provided to eligible Correctional offenders. UNIT OF SERVICE(S) PROVIDED UNIT DESCRIPTION NUMBER OF UNITS COST PER UNIT Less Billing to Other Agencies Less Offender Fees Collected NET REIMBURSABLE TOTAL = 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 Department of Corrections. PROVIDER AGENCY CONTACT SIGNATURE DISTRIBUTION: Submit original and 2 copies to Grant/Contract Administrator DATE SIGNED EXHIBIT 5 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. Prepared by the WI Department of Corrections Office of Research & Project Management EXHIBIT 5 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. Prepared by the WI Department of Corrections Office of Research & Project Management EXHIBIT 6 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. EXHIBIT 6 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 going 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 insure 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 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.