Attachment 4 DOC Rider.docx

DOC Rider Supplemental Standard Terms and Conditions

The Department of Corrections (DOC) Executive Directives (ED) referenced within the applicable sections of this DOC Rider are available upon request through the Procurement Manager of the solicitation.

READ ALL INSTRUCTIONS IN RED, THEN DELETE

The following sections are supplemental standard terms and conditions specific to DOC.

I. BACKGROUND CHECKS OF CONTRACTOR’S STAFF AND APPLICANTS

A. The Contractor shall not employ a person who is on active probation, parole, extended supervision, lifetime supervision or an inmate/offender who is supervised by Intensive Sanctions for any position where the primary duties and responsibilities involve contact or work with inmates/offenders or involves access to inmates’/offender’ records or funds.

Contractor shall implement policies and procedures to ensure that job applicants and its staff shall be dealt with as follows:

1. 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

2. For a staff member who has a pending criminal charge: Where the circumstances of said criminal charge substantially relate to the circumstances of the current job or required licensure, the staff member will not be retained in that particular job; and

3. For a job applicant who is convicted of a criminal offense or other offense: Where the circumstances of said conviction of a criminal or other offense that substantially relate to the circumstances of a particular job or required licensure, the applicant will not be hired for that job;

4. For a staff member who is convicted of a criminal offense: Where the circumstances of said conviction of a criminal or other offense that substantially relate to the circumstances of the current job or licensed activity, the staff member will not be retained in that particular job; and

5. For a job applicant who is required to use an Ignition Interlock Device (IID): Where the circumstances of a court ordered requirement substantially relate to the circumstances of a particular job or licensed activity, a job applicant will not be hired for that job;

6. For a staff member who is required to use an Ignition Interlock Device (IID): Where the circumstances of a court ordered requirement substantially relate to the circumstances of a particular job or required licensure, the staff member will not be retained in that particular job.

B. 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 criminal 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 the factors related to the position, the offense, and the individual.

Nothing in this section prohibits the Contractor from reassigning the staff member or reassigning job duties from this contract, or making other hiring and retention decisions.

Contractor bears the sole responsibility of requesting, receiving, and reviewing current and prospective staff members’ criminal histories/background checks from the Wisconsin Department of Justice. Contractor shall have policies and procedures in place as to the frequency of background checks for existing staff and shall obtain and review criminal histories on all prospective staff. The Contractor’s policies shall be akin to applicable sections of DOC Executive Directive (ED) 42. Contractor shall provide the Contract Administrator with a copy of their policies. A copy of ED 42 may be obtained from the Contract Administrator. No DOC staff, agent, or other person shall, on behalf of the Department of Corrections, offer any legal advice or any advice as to the interpretation of criminal history information received by the Contractor.

To make determinations on substantial relationships to the circumstances of the job, Contractor must have a written policy on how to review the applicant for employment and the existing staff member. Contractor shall submit a copy of this policy to the Contract Administrator.

Contractor shall have a written policy on current staff’s reporting requirements, which details what a staff member must report (e.g. pertaining to a citation, arrest, charge, conviction), the timeframe in which s/he must do so, and the criteria used to determine how substantially the offense relates to the staff member’s job. The Contractor’s policy shall be akin to applicable sections of DOC Executive Directive 42. Contractor shall submit a copy of this policy to the Contract Administrator.

Contractor shall immediately notify the Contract Administrator via email upon discovery of any criminal charge pending or criminal conviction against the Contractor or the Contractor’s current staff, and the DOC retains the right to bar that person’s entry into its facilities and/or access to DOC records. DOC reserves the right to request reassignment of any existing staff/employee of the Contractor meeting any of the above qualifications so that they are not providing direct services to DOC offenders and or having direct access to DOC records.

C. Contractor shall verify compliance with this entire section and paragraphs above by filing a “Contractor Compliance Agreement” form (DOC-2818) with the DOC every 12 months within 30 days of each contract year or date previously determined if already on file with DOC Purchasing Services.

II. FINGERPRINTING

Contractors shall ensure that its staff submit to the fingerprinting guidelines set forth by the DOC, including that the Contractor and its staff who will be on DOC premises must undergo fingerprinting prior to when the Contractor or its staff will report to the worksite. Upon fingerprint review, the Contractor or its staff may be cleared or not cleared to report to the worksite. If the Contractor or its staff is not cleared, then that individual will not be permitted to report to the worksite. The DOC will regularly require fingerprinting, and may require fingerprinting be retaken at different time intervals as determined by the DOC.

III. CONTRACTOR 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). Required reports shall be forwarded to the Contract Administrator according to the schedule agreed upon by the parties.

IV. FRATERNIZATION

The Contractor agrees to have a written policy on fraternization which includes the following:

1. Prohibiting certain relationships and conduct between Contractor's employees, adult and juvenile offenders, and their relatives. This must also be substantially equivalent to DOC's policy as expressed in Executive Directive 16, August 2004 -Revised January 2019. A copy of Executive Directive 16 may be obtained from the DOC Contract Administrator.

1. The policy shall provide for the following definitions

0. Employee- definition must be consistent with DOC’s definition of employee

0. Relationship

0. Offender

0. Social Media

0. Sexual Contact

0. Sexual Intercourse

0. Sexual Misconduct.

1. A statement detailing prohibited relationships.

1. A statement detailing prohibited sexual conduct.

1. The duty of an employee to inform Contractor of unplanned contacts with offenders.

1. A statement that Contractor-directed contacts or those which are part of the employee's job requirements are exempt from the policy.

1. An exception procedure/policy and approval process to be carried out by Contractor.

1. A provision requiring a signed standard employee statement is kept in the personnel file for every Contractor employee. The statement attests that the employee has read and received a copy of the Contractor's policy on fraternization.

1. DOC may request copies of or to inspect the original signed employee statements of a Contractor upon request.

V. CONTRACTOR STAFF IDENTIFICATION

All Contractor staff, 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 staff members of the Contractor. Badges must be available but will not be required to be worn when protective clothing and respiratory protection is required.

VI. CONFIDENTIALITY

The confidentiality of inmate/offender health information is protected by the federal Health Insurance Portability and Accountability Act (HIPAA) regulations (45 CFR, parts 160 & 164), federal Alcohol and other Substance Use Disorder Treatment Records regulations (42 CFR part 2), and by various Wisconsin laws governing the confidentiality of medical, mental health, developmental disability, and alcohol and drug information. As it relates to confidential offender health information, the Contractor shall adhere to HIPAA, 42 CFR part 2, Wisconsin laws, and other applicable federal laws. In addition, the department considers all personally identifiable information relating to DOC staff or offenders to be confidential, and such data is not to be released unless Contractor receives written approval from DOC unless it is permitted by law.

VII. OUTSIDE INQUIRIES AND PUBLIC RECORDS REQUESTS

A. The Contractor agrees to immediately inform the Contract Administrator of any inquiry from outside entities or third parties regarding this Contract.

B. The Contractor must report all public requests immediately to the Contract Administrator. The Contractor agrees to comply and assist DOC with a coordinated response to public records including adhering to the timeline determined by DOC.

C. Contractor agrees to comply with all public records laws and procedures.

VIII. RECORDS

A. Contractor shall maintain such records as are required by State and Federal laws and shall comply with all applicable confidentiality laws and requirements. In addition to that, if required by the DOC, Contractor shall impose appropriate administrative and technical safeguards to maintain confidential information in a secure manner and shall also destroy or return the confidential information as directed by the DOC.

B. Contractor shall comply with the requirement to retain all documents applicable to the Contract for a period of not less than six (6) years after the final Contract payment is made. This provision shall survive the termination, cancellation, or expiration of this Contract.

C. To ensure confidentiality of records and safeguard access to these records, Contractor must maintain locked storage space for current and closed offender records.

D. Contractor agrees to have a policy on confidential destruction of case records. The policy must adhere to federal and state laws governing the disposal of personal and confidential information. DOC may request a copy of the policy.

IX. CARRYING A CONCEALED WEAPON

Contractor is prohibited under Executive Directive 80, signed October 31, 2011 from possession of any weapon by Contractor's employees while providing services for DOC.

X. DRUG FREE WORKPLACE

Contractor, agents, employees, or subcontractors under this Contract shall follow the guidelines established by the Drug Free Workplace Act of 1988.

XI. SOCIAL MEDIA

When it is applicable and if services are provided, the Contractor must comply with Executive Directive 87, signed July 28, 2020 in its conduct both in and outside of the workplace if it is of a nature that it could affect the work environment, impair the DOC’s ability to carry out its mission, impair relationships with DOC partners, or impair the public trust. This policy is not meant to infringe upon an individual’s right to engage in personal interaction or commentary online or upon any right protected by federal or state law.