RFP 113J-27-09 BPA District Wide Polygraph FY27.pdf

BPA-Solicitation Number: 113J-27-09 Page A- 1 of 1

✎AO 367

(Rev. 3/24)

SECTION A SOLICITATION / OFFER / ACCEPTANCE

1. Solicitation No. 2. Date Issued 3. Award No.

113J-27-09 06/15/2026

4. Issued By: 5. E-mail Address Offer To (if other than Item 4):

Tony Graham, Chief U.S. Probation Officer Cassandra Nichols-Barrett P.O. Box 8165 Savannah, GA 31401 treatment_services@gas.uscourts.gov treatment_services@gas.uscourts.gov

SOLICITATION

6. Proposals for furnishing the required services listed in Section B will be received electronically via the e-mail address(es) specified in Item 4 or 5 until 04:00 PM local time 07/15/2026 (hour) (date)

7. For Information call:

a. Name Cassandra Nichols-Barrett b. Telephone (912) 650-4161

TABLE OF CONTENTS

(X) SEC. DESCRIPTION PAGE(S) (X) SEC. DESCRIPTION PAGE(S)

PART I – THE SCHEDULE PART II – AGREEMENT CLAUSES

X A SOLICITATION/OFFER/ACCEPTANCE 1 X I REQUIRED CLAUSES 13

X B SUPPLIES OR SERVICES AND PRICES/COSTS 2 PART III – LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

X C DESCRIPTION/SPECS./WORK STATEMENT 22 X J LIST OF ATTACHMENTS «A_FP_SecJ»

X D PACKAGING AND MARKING 1 PART IV – REPRESENTATIONS AND INSTRUCTIONS

X E INSPECTION AND ACCEPTANCE 1

X K

REPRESENTATIONS, CERTIFICATIONS AND

OTHER STATEMENTS OR OFFERORS 2

X F DELIVERIES OR PERFORMANCE 1

X G AGREEMENT ADMINISTRATION DATA 3 X L INSTRS., CONDS., AND NOTICES TO OFFERORS 15

X H SPECIAL AGREEMENT REQUIREMENTS 4 X M EVALUATION CRITERIA 6

OFFER

8. In compliance with the above, the undersigned agrees, if this offer is accepted within _____________calendar days (365 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point(s), within the time specified in the schedule.

9. DISCOUNT FOR PROMPT PAYMENT 10 CALENDAR DAYS 20 CALENDAR DAYS 30 CALENDAR DAYS CALENDAR DAYS (See Section I, Clause No. 52-232-8) % % % %

10. ACKNOWLEDGEMENT OF AMENDMENTS

(The offeror acknowledges receipt of amend-ments to the SOLICITATION for offerors and related documents numbered and dated:

AMENDMENT NO. DATE AMENDMENT NO. DATE

11. NAME 16. AWARD

AND

ADDRESS Your offer on Solicitation Number , including the OF additions or changes made by you which additions or changes are set forth in full above, is hereby accepted as to the items listed above and on any continuation sheets.OFFEROR

12. Telephone No. (Include area code)

13. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER 17A. NAME OF CONTRACTING OFFICER (Type or print)

17B. UNITED STATES OF AMERICA 17C. DATE SIGNED

14. Signature 15. Offer Date BY (Signature Of Contracting Officer)

BPA-Solicitation Number: 113J-27-09 Page B- 1 of 2

Revised FY 2027

SECTION B - SUPPLIES OR SERVICES AND OFFEROR'S PRICES

The United States District Court for the Southern District of Georgia is soliciting a vendor to provide substance use, mental health, and/or sex offender treatment services. A vendor must be capable of providing services within a geographic area encompassing all Counties within the Southern District of Georgia.

As a result of this solicitation the Government intends to enter into a Blanket Purchase Agreement (BPA). For this BPA, approximately 1 to 2 vendors are needed to provide the required services. The Government reserves the right to award to a single vendor. If the Government awards to more than one vendor, each vendor placed on the BPA will receive a share of the total quantity of Estimated Monthly Quantities stated.

A Blanket Purchase Agreement is a “charge account” arrangement, between a buyer and a seller for recurring purchases of services. BPAs are not contracts and do not obligate government funds in any way. A contract occurs upon the placement of a call or referral from the Probation/Pretrial Services Office and the vendor’s acceptance of the referral. In the event the Government has awarded to more than one vendor on a BPA, referrals will be rotated among all the vendors on the BPA. BPAs are valid for a specific period of time, not to extend beyond the current fiscal year. The total duration of this BPA, including the exercise of four 12-month options, shall not exceed 60 months. BPAs will be issued to those vendors determined to be technically acceptable and offering the lowest cost to the Government, using the Evaluation Criteria established in Section M of the Request for Proposal.

Section B is generic and used nationwide to procure the particular needs of each U. S. Probation/Pretrial Services Office. An asterisk * indicates a requirement line item which has been modified under “Local Services.” Offerors shall submit pricing and proposal information related to only the required services. Services proposed, but not required, will not be evaluated or included under any resultant agreement. Offerors failing to provide pricing on all identified project codes (with the exception of actual cost or administrative fees), will be considered technically unacceptable.

Note: the fiscal year for the federal Government begins on October 1 of one calendar year through September 30 of the next. Pricing shall include the base fiscal year, as well as pricing for each fiscal option year.

Note: Estimated Monthly Quantities (EMQs) represent the estimated total monthly quantities to be ordered per project code. However, EMQ’s are estimates only and do not bind the government to meet these estimates.

BPA-Solicitation Number: 113J-27-09 Page B- 2 of 2

PHYSIOLOGICAL MEASUREMENTS:

PROJECT CODE REQUIRED SERVICES ESTIMATED MONTHLY QUANTITY UNIT PRICE

X * 5022 Clinical Polygraph Examination and Report Base Year

Option Year 1

Option Year 2

Option Year 3

Option Year 4

Unit: per examination and report

PROJECT CODE REQUIRED SERVICES ESTIMATED MONTHLY QUANTITY UNIT PRICE

X * 5023 Maintenance Examination Base Year

Option Year 1

Option Year 2

Option Year 3

Option Year 4

Unit: per examination and report

REIMBURSEMENT/COPAYMENT:

PROJECT CODE REQUIRED SERVICES ESTIMATED MONTHLY QUANTITY UNIT PRICE

X 1501 Administrative Fee Base Year

Option Year 1

Option Year 2

Option Year 3

Option Year 4

Unknown

Unknown

Unknown

Unknown

Unknown

Unit: unknown

5% of fees collected by vendor

BPA-Solicitation Number: 113J-27-09 Page C- 1 of 22

SECTION C. DESCRIPTION/STATEMENT OF WORK

PROVISION OF SERVICES

The United States Probation and Pretrial Services Office (hereafter USPO/USPSO) shall provide a Probation Form 45 for each defendant/person under supervision that authorizes the provision of services. The vendor shall provide services strictly in accordance with the Probation Form 45 for each defendant/person under supervision. The Judiciary shall not be liable for any services provided by the vendor that have not been authorized for that defendant/person under supervision on the Probation Form 45. During treatment, the United States Probation or Pretrial Services Officer may issue amended Probation Form 45’s to reflect any changes in the service requirements. The USPO/USPSO will notify the vendor in writing via Probation Form 45 when services are to be terminated. The Judiciary shall not be liable for any services provided by the vendor subsequent to the written notification.

INTRODUCTION

A. Pursuant to the authority contained in 18 U.S.C. §§ 3154 and 3672, contracts or Blanket Purchase Agreements may be awarded to provide services for defendants/persons under supervision who are drug-dependent, alcohol-dependent, and/or suffering from a psychiatric disorder. Such services may be provided to federal defendants/persons under supervision supervised by the USPO/USPSO, under the terms of this agreement. The vendor shall submit separate invoices for services provided to the referring agency (USPO or

USPSO).

Note regarding pretrial services defendants: The vendor shall not ask questions pertaining to the instant offense (pending charges) or ask questions or administer tests that compel the defendant to make incriminating statements or provide information that could be used in the issue of guilt or innocence. If such information is divulged as part of an evaluation or treatment, it shall not be included in the written report.

B. The services to be performed are specified in Sections B and C of this agreement.

The vendor shall comply with all requirements and performance standards of this agreement to ensure the effective and efficient delivery of services. The vendor is responsible for their knowledge of the agreement and shall adhere to these standards to maintain the quality and integrity of the authorized services.

C. The judiciary will refer defendants/persons under supervision on an “as needed basis.” The judiciary does not guarantee referrals for a specific quantity of services or a specific number of persons.

BPA-Solicitation Number: 113J-27-09 Page C- 2 of 22

DEFINITIONS

A. “Judiciary” means United States Government.

B. “Authorized representative” means any person, persons, or board (other than the contracting officer and Chief Probation Officer/Chief Pretrial Services Officer) authorized to act for the head of the agency.

C. “Contracting Officer” (i.e. CO) means the duly authorized representative to execute this Agreement on the behalf of the Judiciary, and any other successor Contracting Officer who has responsibility for this agreement. The term includes, except as otherwise provided in this Agreement, the authorized representative of a Contracting Officer acting within the limits of their written authority.

D. “Defendant/Person Under Supervision” means any pretrial releasee, probationer, parolee, mandatory releasee, mandatory parolee, or supervised releasee receiving drug/alcohol testing and/or substance use assessment/treatment, mental health assessment/evaluation/treatment, and or sex offense specific evaluation/treatment/testing while under the supervision of the Federal Probation or Pretrial Services Office. Hereinafter, the term defendant applies to those on pretrial supervision, whereas person under supervision applies to those on post-conviction supervision.

E. “U.S. Probation Officer” (i.e., USPO) and “U.S. Pretrial Services Officer” (i.e., USPSO) means an individual appointed by the United States District Court to provide pretrial, presentence and supervision (pre and post sentence) services for the court. USPO and USPSO refers to the individual responsible for the direct supervision of a defendant/person under supervision receiving drug/alcohol testing and/or substance use assessment/treatment, mental health assessment/evaluation/treatment, sex offense specific evaluation/treatment/testing, and/or specialized treatment for pretrial defendants charged with a sex offense.

F. “Designee” means the person selected by the Chief Probation Officer or the Chief Pretrial Services Officer to act in their behalf in drug, alcohol, and mental health treatment matters.

G. “Telehealth” includes providing health care delivery, assessment, diagnosis, consultation, and treatment and the transfer of medical data through interactive audio, video, or electronic/data communications.

H. “Clarifications” are limited exchanges, between the Judiciary and offerors that may occur when award without discussions is contemplated. If award will be made without conducting discussions, offerors may be given the opportunity to clarify certain aspects of proposals or to resolve minor or clerical errors.

I. “AOUSC” refers to the Administrative Office of the U.S. Courts.

J. “Probation Form 45" is the referring document submitted by the USPO/USPSO per defendant/person under supervision that outlines only those services the vendor is authorized to provide and invoice to the Judiciary. It should be noted the Probation Form 45 only requires the signature of the referral agent.

K. “Monthly Sign-In Log” is a document the vendor will use for each defendant/person under supervision to verify services are being offered/provided per Probation Form 45 requirements. The Monthly Sign In Log includes a place for defendant/person under supervision to sign for services based on project code, with a time in/out, vendor initials, co-payment received, and comments (to

BPA-Solicitation Number: 113J-27-09 Page C- 3 of 22 include a comment if the defendant/person under supervision failed to report, if no services were provided/received within the month, and if telehealth was provided including the means in which the session was provided (teleconference, video conference, internet). This document accompanies the monthly invoice.

L. “Case Staffing Conference” is a collaborative meeting involving the officer, the vendor, and when possible, the defendant/person under supervision, to exchange information, identify issues, and ensure the purpose of services is focused on targeting the identified risk and needs of the individual.

M. “DSM” is the Diagnostic and Statistical Manual of Mental Disorders and “ICD” is the International Classification of Diseases.

N. “Co-payment” is any payment from defendant/person under supervision.

O. “AMO” is the Acquisition Management Office at the Administrative Office of the U.S. Courts.

P. “PCRA” means the Post-Conviction Risk Assessment, which is an assessment administered by the USPO with the person under supervision used to determine risk level, identify dynamic risk factors (criminogenic needs) and criminal thinking styles. A copy of the PCRA interpretation report with the identified risk level should be provided to the treatment vendor with the referral for services.

Q. “Criminogenic Risk” includes factors in a person under supervision’s life that are directly related to recidivism. The most significant are Cognitions, Alcohol and Drugs, Employment/Education, Social Networks and Criminal History.

R. “PTRA” means the Pretrial Risk Assessment, which is an assessment administered by the USPSO with the defendant used to determine failure to appear and new criminal arrests or revocations due to technical violations.

MANDATORY REQUIREMENTS

For Project Codes in Section B, the corresponding paragraphs in this statement of work shall be considered mandatory requirements, as well as the sections listed below:

A. Defendant/Person under supervision Reimbursement and Co-payment B. General Requirements C. Notifying USPO/USPSO of Defendant/Person under Supervision

Behavior D. Staff Requirements and Restrictions E. Facility Requirements F. Local Services (if applicable)

1. PHYSIOLOGICAL MEASUREMENTS

For identification, treatment, and management of persons convicted of a sex offense, the vendor shall provide the following services:

a. Clinical Polygraph Examination and Report (5022) shall be employed to assist in the treatment and supervision of persons under supervision by verifying the truth of their statements. The two types of polygraph examinations that shall be administered to

BPA-Solicitation Number: 113J-27-09 Page C- 4 of 22 persons under supervision under this code are:

(1) Sexual History Examination: examines a person under supervision’s history of involvement in unknown or unreported sexual offenses and sexual behaviors that may be indicators of sexual compulsivity, sexual pre-occupation, or sexual deviancy and it may be included as a part of sex offense evaluation.

a. The examiner shall use the Model Sexual History Disclosure Polygraph Questionnaire, August 26, 2023, developed and endorsed by the American Polygraph Association (included in Section J attachments).

b. The examiner shall include unreported sexual offenses and paraphilias in a separate series within the examination.

(2) Instant Offense Examinations: examines additional or unreported offense behaviors in context of the instant offense.

b. Maintenance Examination (5023) for pretrial cases, the maintenance examination shall only be employed to investigate the defendant’s compliance with conditions of supervision only.

For post-conviction cases, the maintenance examination is employed to periodically investigate the person under supervision’s compliance with conditions of supervision, honesty with community supervision and/or treatment. Maintenance polygraph examinations may cover a wide variety of behaviors, including but not limited to, sexual behaviors, grooming behaviors, deviancy activities or high-risk behaviors. Maintenance polygraph examinations shall monitor the person under supervision's involvement in any noncompliance, high-risk, and deviancy behaviors that may change over time and would signal an escalating risk level prior to re-offending.

The vendor shall ensure that polygraph examiners meet the following minimum standards (5022 and 5023) and that polygraph examinations are conducted in accordance with the following:

(1) Education. Polygraph examiners shall be graduates of a basic polygraph school accredited by the American Polygraph Association (APA). Examiners shall possess a baccalaureate or higher degree from a regionally accredited university/college or have at least five years’ experience as a full-time commissioned federal, state, or municipal law enforcement officer.

Polygraph examiners shall complete and receive certification for a minimum of 40 hours of Post-Conviction Sex Offender Testing

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(PCSOT) specialized instruction, beyond the basic polygraph examiner training.

Examiners shall have passed a final examination approved by the

APA.

(2) Examiners shall have an active regular membership in the APA. In accordance with the APA, the examiner shall comply with continuing education requirements to include regular training on research and case management of sex offenders.

(3) Experience. Polygraph examiners shall have a minimum of two years of polygraph experience in criminal cases. Examiners are required to have specialized training or experience in the examination of sex offenders. Examiners that do not have the prescribed experience are not permitted to work under the supervision of an examiner that does meet the requirements.

(4) Ethics and Standards. Polygraph examiners shall adhere to the established ethics, standards and practices of the American Polygraph Association (APA). In addition, the examiner shall demonstrate competency according to APA professional standards and conduct all polygraph examinations in a manner that is consistent with the accepted standards of practice.

(5) Licensure: Examiners shall be licensed by the State’s regulatory Board (if applicable).

(6) All polygraph examinations are audio or video taped in their entirety (videotaping is preferred).

(7) When deception is indicated after the initial screening, the examiner shall interview the defendant/person under supervision to explore the reason for the deceptive result. If information is discovered through an interview, the examiner shall continue testing in an attempt to resolve the deceptive issues.

Upon an inconclusive examination result, the examiner shall interview the defendant/person under supervision probing the relevant issues. Upon a thorough review of the questions, the examiner should conduct another examination in attempt to obtain conclusive results.

If after testing is complete, a deceptive or inconclusive result still

BPA-Solicitation Number: 113J-27-09 Page C- 6 of 22 stands, the examiner should consult with the USPO/USPSO to determine the need for further testing on another date.

(8) Polygraph examiners provide a typed report within 10 business days to the USPO/USPSO outlining findings and include the following information (if necessary to explain findings in any hearing or case evaluation conference): type of instrument used;

date and time of examination; beginning and ending times of examination; reason for examination; referring Officer; name of defendant/person under supervision; informed consent; case background (instant offense and conviction); any pertinent information obtained outside the exam (collateral information if available); statement attesting to the defendant/person under supervision's suitability for polygraph testing (medical, psychiatric, developmental); list of defendant/person under supervision’s medications; date of last post-conviction examination (if known);

summary of pretest and post-test interviews, including all disclosures or any other relevant information provided by the person under supervision; examination questions and answers;

polygraph techniques used; number of charts used; examination results; reasons for inability to complete examinations (if applicable); and any additional information deemed relevant by the polygraph examiner (e.g., behavioral observations or verbal statements).

(9) Consent forms specific to the polygraph procedures shall be read, signed, and dated by the defendant/person under supervision. If the defendant/person under supervision refuses to sign the form(s) or submit to testing, the examiner shall follow notification protocols outlined in this Statement of Work under Notifying USPO/USPSO of Defendant/Person Under Supervision Behavior. In such a case, testing will be discontinued until further instructions are received from the USPO/USPSO.

(10) Polygraph examinations are subject to quality control.

Polygraphers shall submit their complete records for independent quality review upon request of the CO.

(11) Files shall include at a minimum, the name, date, examination location, copy of consent forms, pretest worksheet, copy of test questions, all case briefing materials, copy of charts, an examiner hand score sheet, the audio or video tape, and the polygraph results.

Copies of all the material are to be forwarded to the USPO/USPSO at the expiration of the contract, to be kept in the USPO/USPSO

BPA-Solicitation Number: 113J-27-09 Page C- 7 of 22 file.

(12) Examiners shall follow notification protocols outlined in this Statement of Work under Notifying USPO/USPSO of Defendant/Person Under Supervision Behavior. Any factors that may increase risk of further sex offenses, or identified third-party risk issues arise shall be immediately communicated to the

USPO/USPSO.

(13) If the defendant/person under supervision refuses to submit to polygraph testing, based on a fifth amendment concern, testing shall be discontinued immediately and guidance sought from the

USPO/USPSO.

2. REIMBURSEMENT/CO-PAYMENT

The vendor shall:

a. Collect any co-payment authorized on the Probation Form 45 and deduct any collected co-payment from the next invoice to be submitted to the judiciary.

Ensure the co-payment does not exceed the cost of the service provided; however, the vendor can collect co-payment in arrears based on the rate established on the Probation Form 45. Proper documentation of the collected co-payment must be included on the invoice and supporting documentation.

b. Accept more than one co-payment type (e.g. check, credit card, cash, cashier’s check, web-based transactions, etc.).

c. Provide bills and receipts for co-payments to defendants/persons under supervision at the time of payment collection. The vendor shall keep an individualized record of co-payment collection and have systems in place to both follow-up on collection of outstanding amounts and to resolve any discrepancies in the amount owed.

d. Document within the Monthly Sign-In Log any co-payment received or whether the expected co-payment was not provided.

e. In conjunction with submission of invoices, provide an outstanding co-payment due report itemizing the total amount outstanding per defendant/person under supervision. The vendor is responsible for ensuring that all records are accurate, up-to-date, and readily accessible. This includes maintaining detailed logs of all transactions and communications related to co-payment collections, providing timely updates on outstanding balances, and addressing promptly and effectively any issues or disputes that may arise. The vendor must also ensure compliance

BPA-Solicitation Number: 113J-27-09 Page C- 8 of 22 will all relevant regulations and guidelines pertaining to financial transactions, billing insurance, Medicaid, and Medicare, as well as record-keeping. Adherence to these regulations is crucial for maintaining the integrity and legality of the billing process.

f. Reimburse the Judiciary as directed in Section G.

Note: The vendor may charge an Administrative Fee (1501) of five (5) percent of the monthly fees, which is a reasonable monthly fee, to administer the collection of fees from defendants/persons under supervision.

3. GENERAL REQUIREMENTS

a. Defendant/Person under supervision Records and Conferences

(1) File Maintenance

Treatment records shall be the property of the vendors, who are responsible for maintenance, disclosure, and retention. The vendor shall:

(a) Maintain a secure filing system for all information related to defendants/persons under supervision who receive services under this agreement. If information is stored electronically, the vendor shall ensure that it is accessible for review in the format specified by the CO, e.g.

paper copy, flash drive, electronic access. The vendor shall timely provide access upon request of the CO.

(b) If maintaining paper files, separate defendant/person under supervision files from other vendor records. This will facilitate monitoring and promote defendant/person under supervision confidentiality.

(c) Create a separate file when a defendant on pretrial services supervision is sentenced to probation supervision but continued in treatment with the vendor. The vendor may copy any information relevant from the pretrial services file and transfer it into the probation file, except for information covered under the Pretrial Services Confidentiality Regulations.

(d) Identify any records that disclose the identity of a defendant/person under supervision as CONFIDENTIAL.

(e) Maintain all records for defendants/persons under supervision for three years after receiving final payment, making them available for Judiciary inspection and review. In the event of litigation or settlement of claims arising out of the performance of this agreement, retain these records until final disposition of such appeals, litigation, or claims. This requirement is in addition to, and not a substitute for, other local/state/federal record retention requirements.

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(f) At the written request of the USPO/USPSO, at the expiration of the performance period of this agreement, the vendor shall provide the USPO/USPSO or CO a copy of all defendant/person under supervision records that have not been previously furnished.

(g) The vendor shall comply with the Health Insurance Portability and Accountability Act (HIPAA) privacy rule Security Standards for the Protection of Electronic Protected Health Information set forth at 45 C.F.R. § 164.302 to 318 with regard to electronic information. This includes implementing necessary administrative, physical, and technical safeguards to ensure the confidentiality, integrity, and availability of all electronic protected health information (ePHI) that the vendor creates, receives, maintains, or transmits.

b. Vendor Obligations for Disclosure of Information

The vendor shall:

(1) Be responsible for ensuring compliance with all applicable federal, state and local laws and regulations regarding the confidentiality and safeguarding of protected information. As a covered entity this includes adherence to HIPAA.

(2) Protect CONFIDENTIAL records from disclosure except in accordance with item number b. (3), (4), (5), (6), (7), and (8) below.

(3) Using an agency specific release of information form, obtain defendant’s/person under supervision’s written informed consent to disclose confidential health information to the USPO/USPSO, except where permitted or required by law. The vendor, as the covered entity, shall be responsible for determining the appropriateness of personal health information disclosure. If the vendor is unable to obtain this disclosure, the vendor shall notify the USPO/USPSO immediately.

(4) Disclose defendant/person under supervision records upon request of the USPO/USPSO or designee to the USPO/USPSO or designee.

(5) Make its staff available to the USPO/USPSO to discuss treatment of a defendant/person under supervision.

(6) Disclose defendant/person under supervision records only in accordance with 42 C.F.R. Part 2, and 45 C.F.R. § 160.201 to 205 and Part 164, even if the vendor is not otherwise subject to these regulations. Note that the Judiciary is not a covered entity under these regulations. Should the vendor disclose records to someone other than the person receiving services, the vendor shall promptly notify the USPO/USPSO of the request and disclosure. Additionally, the vendor must inform the USPO/USPSO of any exceptions to the disclosure of, or an individual’s right of access to, treatment or protected health information that might apply.

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(7) Not disclose “pretrial services information” concerning pretrial services defendants. “Pretrial services information,” as defined by the “Pretrial Services Confidentiality Regulations,” is “any information, whether recorded or not, that is obtained or developed by a pretrial services officer (or a probation officer performing pretrial services duties) in the course of performing pretrial services.” Pretrial Services Confidentiality Regulations, §2.A. Generally, any information developed by an officer performing pretrial services that is shared with the vendor will be confidential pretrial services information. Only a judicial officer or a Chief USPO/USPSO may authorize disclosure of pretrial services information to a third party pursuant to the Pretrial Services Confidentiality Regulations. Any doubts about whether a potential disclosure concerns pretrial services information must be resolved by consultation with the USPO/USPSO.

(8) The vendor and its subcontractors are authorized to access criminal history information available in pretrial services or probation records that have been provided by the USPO/USPSO. This information is provided solely for the purpose of providing services under this contract. Any unauthorized re-disclosure of this information may result in termination of this contract and the imposition of civil penalties. The vendor must ensure that all personnel accessing this information understand the confidentiality requirements and strictly adhere to them to avoid any breaches.

(9) Ensure that all persons having access to or custody of defendant/person under supervision records follow the disclosure and confidentiality requirements of this agreement and federal law.

(10) Notify the CO immediately upon receipt of a subpoena requiring disclosure of defendant/person under supervision records maintained in accordance with this agreement.

(11) As a covered entity, the vendor is responsible for adhering to HIPAA requirements and providing and updating any necessary consent forms that federal, state or local law requires.

c. File Content

The vendor’s file on each defendant/person under supervision shall contain the following records:

(1) Chronological Notes that:

(a) Timely document all significant contacts with the defendant/person under supervision, including those with the USPO/USPSO and others, whether in person, by telephone, or through any other form of protected electronic communication. These records shall clearly document all notifications of

BPA-Solicitation Number: 113J-27-09 Page C- 11 of 22 absences and any apparent conduct violating programmatic rules and/or seen or unforeseen risk to the individual and/or the public.

(b) Are in accordance with the professional standards of the individual disciplines and with the respective state law on health care records.

(c) Include a signed disclosure and permission form from the defendant/person under supervision if Artificial Intelligence (AI) will be used for documentation. The consent form shall include a clear explanation of the purpose of AI, how AI works in the delivery of treatment services, the security measures in place, and the defendant’s/person under supervision’s right to withdraw consent for the use of AI at any time. AI technology shall be HIPAA compliant, secure, and confidential.

(d) Ensure a thorough and accurate record of the defendant’s/person under supervision’s treatment and progress and should include the following information: sessions attended; topics covered during each session; the defendant’s/person under supervision’s level of participation and motivation; clinical goals of treatment; methodologies and types of therapy applied any changes made to the treatment plan; the defendant’s/person under supervision’s observed progress, or lack thereof, toward reaching the goals; specific achievements; instances of failure to attend sessions without prior notice and approval; any failed assignments; programmatic rule violations; and consequences for noted violations.

(e) Are created in English, current and available for review by the USPO/USPSO or CO and by the Probation and Pretrial Services Office (PPSO) at the Administrative Office.

(f) Chronological notes shall be legible, dated and signed/electronically certified by the practitioner, to include the practitioner’s licensure/credentials.

(2) Probation Form 45 and Amended Probation Form 45 that:

(a) The USPO/USPSO prepares which identifies the vendor services to be provided to the defendant/person under supervision, as well as any required co-payments. These services are billed to the Judiciary under the terms of agreement. The Judiciary is not obligated to reimburse for any services that were not authorized on the Probation Form 45, nor for any services provided in excess of services authorized. Discretion for payments rests with the CO.

(b) The USPO/USPSO shall amend the Probation Form 45 when there are changes to the services the vendor shall perform, their frequency, or other administrative changes (e.g., co-payment amounts). Additionally, the

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USPO/USPSO will terminate the Probation Form 45 upon termination of services. This ensures the vendor obligations and authorizations are current and accurately documented, reflecting any modifications to the original Probation Form 45.

(3) Authorization to Release Confidential Information that:

(a) The defendant/person under supervision and USPO/USPSO and/or other witness sign prior to the defendant’s/person under supervision’s first appointment with the vendor. This Judiciary-based release of confidential information form is generally submitted with the initial referral packet.

(b) The vendor is responsible for ensuring HIPAA compliant informed consent is obtained and maintained in all files. This includes documenting informed consent in accordance with HIPAA regulations;

ensuring all necessary defendant/person under supervision information is securely stored and accessible only to authorized personnel. The vendor shall obtain a signed release of information before releasing any information regarding the defendant/person under supervision or the defendant’s/person under supervision’s treatment and progress to the

USPO/USPSO.

(c) The vendor must regularly review and update consent forms and procedures to remain compliant with current HIPAA guidelines.

(4) Monthly Sign-In Log

(a) Submitted with the monthly invoice for the corresponding month with one Monthly Sign-In Log per defendant/person under supervision.

(b) Includes all defendant’s/person under supervision’s scheduled contacts for the month (per project code) and includes vendor comments indicating failure to report on scheduled dates, or noting if a service was provided via telehealth.

(c) Defendant/person under supervision shall sign-in upon arrival to include the time in and time out of service with the vendor initialing to verify accuracy of time in/time out.

(d) Documents any co-payment collected, and

(e) Used by the USPO/USPSO or designee to certify the monthly invoice.

(f) For residential placements, only required to obtain defendant/person under supervision signature on first and last day of placement.

NOTE: Allowing anyone undergoing treatment to see the names or signatures of other defendants/person under supervision violates federal confidentiality regulations regarding treatment records.

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(5) Urinalysis Testing Log (if applicable) that:

(a) Along with the monthly invoice, is submitted for the month for which the vendor is invoicing.

(b) Shall record all collected urinalysis specimens and has all applicable sections completed:

1. Defendant’s/person under supervision’s name and PACTS number

2. Vendor name and agreement #

3. Month/Year

4. Collection Date

5. Defendant’s/person under supervision’s signature

6. Collector’s initials

7. Bar Code number (if applicable)

8. Special tests requested (if applicable)

9. Drugs or medication taken

10. Test Results (if applicable)

11. Co-pay collected (if applicable)

(c) The vendor shall submit for CO approval if vendor Urinalysis Testing Log form differs from the sample form.

(d) The vendor shall ensure that a defendant/person under supervision signing or initialing an entry Urinalysis Log cannot see the names or signatures of other defendants/person under supervision.

NOTE: Allowing participants to see the names or signatures of other defendants/person under supervision violates federal confidentiality regulations regarding treatment records.

d. Telehealth

Telehealth may be authorized on a case-by-case basis to provide services outlined within this Statement of Work. The use of telehealth is authorized only after the vendor and the USPO/USPSO review the individual defendant’s/person under supervision’s case, determine they are appropriate for treatment via telehealth, identify which specific services are suitable for telehealth, and obtain approval from the district’s contracting officer or designee. The vendor shall ensure the quality and availability of services remain consistent, whether provided via telehealth or in-person, adhering to all guidelines, and maintaining the highest standards of care.

NOTE: The use of telehealth is intended for the benefit of the Judiciary, not the convenience of the vendor. Telehealth services do not replace the vendor’s ability to provide services in-person when appropriate. This requirement does not

BPA-Solicitation Number: 113J-27-09 Page C- 14 of 22 override the provisions that mandate the vendor (and any proposed subcontractor) to maintain an acceptable facility located within the defined catchment area.

(1) The vendor is authorized to provide specified services via telehealth, which includes providing health care delivery, assessment, diagnosis, consultation, and treatment and the transfer of medical data through interactive audio, video, or electronic/data communications. The vendor must adhere to and meet the same legal, ethical, and confidentiality standards when providing telehealth.

The vendor shall also obtain consent of the defendant/person under supervision before the delivery of telehealth services and shall include documentation of the same in the individual’s treatment record.

(2) When participants attend sessions, each must confirm their sole presence ensuring no one other than group participants are listening. Each participant will also enter into a confidentiality agreement before being allowed to participate in treatment.

(3) To verify that services were performed, the vendor shall complete the Monthly Sign- In Log with all necessary information; however, the vendor shall print the defendant’s/person under supervision’s name within the signature field, and the comment section shall reflect the means in which the session was conducted (i.e. teleconference, video conference, internet).

(4) For de-escalation, if an emotionally charged topic was discussed or the defendant/person under supervision appears emotionally agitated, the vendor shall follow up with additional contact later in the day to ensure that the defendant/person under supervision has successfully de-escalated. The vendor shall also remind the defendant/person under supervision to reach out to their social support system at any time.

e. Case Staffing Conference

The vendor shall participate in case staffing conferences and document the chronological notes regarding the content of the conference:

(1) Case staffing with the USPO/USPSO can be conducted in person, by telephone, or any other form of protected electronic communication. When applicable, the case staffing may include the vendor, the defendant/person under supervision, and the officer to clearly define expectations and clinical treatment goals. Communication with the officer should be driven by risk, needs, and responsivity specific to the defendant/person under supervision.

Additionally, case staffing shall occur:

a) A minimum of every 30 days for PCRA high and moderate risk

BPA-Solicitation Number: 113J-27-09 Page C- 15 of 22 referrals;

b) A minimum of every 30 days, regardless of risk level, for residential treatment placements;

c) A minimum of every 90 days for all other clinical services referrals; and

d) As requested by the USPO/USPSO.

(2) Case staffing should include, but is not limited to, the following:

a) The defendant’s/person under supervision’s motivation for treatment.

b) Appropriate type and frequency of treatment.

c) Treatment related goals that are specific, measurable, achievable, relevant and time-bound (SMART goals).

d) PCRA dynamic risk factors and elevated thinking styles (for

USPO referrals).

e) Responsivity, cultural considerations for service delivery.

f) Non-compliance with supervision and/or treatment.

g) Community observation, collateral supports, officer delivered interventions.

NOTE: The price of case staffing conferences and consultations are included in the prices in Section B.

f. Vendor Reports (Substance Use, Mental Health, and Sex Offense Treatment Reports)

The vendor shall submit to the USPO/USPSO, and maintain in the defendant’s/person under supervision’s file, the following:

(1) A typed Treatment Plan, created with the defendant/person under supervision, is submitted at least every 90 days that outlines the following:

a) Treatment related goals that are specific, measurable, achievable, relevant and time-bound (SMART) goals,

b) Action steps for the defendant/person under supervision to accomplish the identified treatment goals, to include appropriate type and frequency of treatment,

c) The defendant’s/person under supervision’s supportive social networks (e.g. family, friends, peer support, co-workers, etc.),

d) Medication management plan (when applicable),

e) Collaboration and coordination for community-based services

(when applicable),

f) Skills to assist in managing known risk and symptoms,

g) Adaptable skills for self-management,

h) Recommendation/justification for continued treatment services, BPA-Solicitation Number: 113J-27-09 Page C- 16 of 22 and

i) Signed and dated by the vendor and defendant/person under supervision.

(2) A typed Transitional Care Plan, created with the defendant/person under supervision, when possible, that is submitted at the conclusion of contract treatment services, but no later than 15 business days after treatment is terminated.

a. The community is best served when the person under supervision remains drug free, employed, and invested in healthy relationships beyond the period of supervision. Transitioning is defined as the process of moving a person under supervision from contract treatment services to a community-based aftercare program that is managed by the person under supervision. Transitioning from treatment occurs throughout the treatment process to ensure that the person under supervision possesses the tools and community resources necessary to function under decreasing levels of supervision which is monitored by the officer.

b. The typed transitional care plan shall outline the following:

1) the reason for concluding contract treatment services, to include unsuccessful discharge and the reasons why unsuccessful,

2) the defendant’s/person under supervision’s supportive social networks (e.g. family, friends, peer support, co-workers, etc.),

3) medication management plan (when applicable),

4) collaboration and coordination for community-based services (when applicable),

5) acquired skills to assist in managing known risk and symptoms,

6) adaptable skills for self-management,

7) diagnosis and prognosis, and

8) signed and dated by the vendor, and the defendant/person under supervision when possible.

g. Vendor Testimony

The vendor, its staff, employees, and/or subcontractors shall:

1) Appear or testify in legal proceedings convened by the federal court or Parole Commission only upon order of the federal court with jurisdiction, and

a. a request by the United States Probation and/or Pretrial Services

BPA-Solicitation Number: 113J-27-09 Page C- 17 of 22

Offices, United States Attorney’s Offices, or United States Parole Commission, or

b. in response to a subpoena.

2) Provide testimony including but not limited to a defendant’s/person under supervision’s: attendance record; drug test results; general adjustment to program rules; type and dosage of medication; response to treatment; test results; and treatment programs.

3) Receive reimbursement for subpoenaed testimony through the Department of Justice based on its witness fee and expense schedule.

4) Obtain the necessary consent/release forms required under federal, state or local law.

5) Not create, prepare, offer, or provide any opinions or reports related to legal proceedings of the federal court or Parole Commission, whether written or verbal that are not required by the treatment services statement of work or approved in writing by the Chief U.S. Probation Officer or Chief U.S.

Pretrial Services Officer in the respective office where the information is requested.

h. Emergency Services and Contact Procedures

At the onset of services, the vendor shall establish and make available to all defendants/persons under supervision, emergency contact procedures that are accessible 24 hours a day, 7 days a week. This includes provisions for crisis intervention, schedule changes, local hotlines, and/or situations requiring immediate attention. Furthermore, the vendor shall ensure the availability of emergency services, such as after-hours staff phone numbers and local hotlines, for times when practitioners are not readily available.

i. Monitoring

The vendor shall participate in scheduled or unannounced monitoring which shall include:

1. Site inspection which includes the physical inspection of the vendor’s facility where services are provided to defendants/persons under supervision to ensure it meets the required regulations and state determined standards.

2. Review of paper or electronic files for content, HIPAA compliant release of information forms, emergency services, case staffing conferences, reports, non-compliance notification, interactions with defendants/persons under supervision, etc.

3. Interviews with vendor/staff providing services under the agreement.

4. Interviews with defendants/persons under supervision receiving services.

5. Interviews with USPO/USPSO referring defendants/persons under supervision for services.

BPA-Solicitation Number: 113J-27-09 Page C- 18 of 22

6. Observation of group counseling or other services under agreement which allows judiciary employees to gather feedback from direct observation to identify areas for improvement in service delivery, enhance understanding of information provided to defendants/persons under supervision, and make informed decisions about the vendor’s adherence to the requirements of the agreement. Prior to the group observation, the vendor is responsible for obtaining appropriate, HIPAA- compliant informed consent from all non-federal group participants. The consent should be documented. The vendor is encouraged to have the group observer review and sign a vendor created privacy and confidentiality waiver to ensure the confidentiality and privacy of the participants' during and after the group observation; and

7. Review of invoices submitted under the agreement.

Within 180 days of awarding the agreement, or within 180 days of exercising an option to extend the agreement, the vendor shall receive a typed monitoring report from the CO. The monitoring report (see Section J attachments for monitoring report template) will contain a rating of Satisfactory (during the monitoring period, the vendor meets the requirements of the Statement of Work and operated within the terms and conditions of the agreement or there are few deficiencies with the vendor’s performance) or Unsatisfactory (during the monitoring period, there are patterns of deficiencies with the performance of the vendor as to the requirements of the Statement of Work that must be corrected.

In the event of an Unsatisfactory rating, the vendor will be provided a timeframe in which they must complete their Corrective Action Plan. Within five (5) business days of receipt of the monitoring report, the vendor must submit a Corrective Action Plan outlining in detail how the vendor intends to correct the deficiencies within the time frame provided. Upon expiration of the Corrective Action time frame, the CO will complete a memo or letter documenting the vendor’s compliance or noncompliance with the required corrective action plan. It should be noted the vendor must be performing at a Satisfactory rating (or a memo of compliance with Corrective Action Plan), in order to exercise an option to renew the agreement. Unsatisfactory performance can result in discontinued use of a vendor.

4. NOTIFYING USPO/USPSO OF DEFENDANT/PERSON UNDER SUPERVISION

BEHAVIOR

The vendor shall notify the USPO/USPSO, or follow other notification protocol outlined by the CO, within 24 hours or as specified in writing by the CO of defendant/person under supervision behavior including but not limited to:

1) Positive drug or alcohol test results.

BPA-Solicitation Number: 113J-27-09 Page C- 19 of 22

2) Attempts to adulterate a urine specimen and/or compromise any drug detection…