RFP #2025-2000-0128 Attachments.pdf

Attachment 1

PROPOSAL CHECKIST

Medication Assisted Treatment Specialist

RFP #2025-2000-0128

Offerors are encouraged to use this checklist in preparation of proposals. This checklist may not be all inclusive of the items required to be submitted in the proposal. In case of a conflict between this checklist and the RFP, the requirements of the RFP will prevail.

NOTE:

Offerors who do not respond to each item as specified below may be considered "non-responsive" and the proposal may not be accepted for evaluation.

Description

Sealed original proposal submitted by 2:00 PM on January 7, 2024.

Conflict of Interest Statement

Offeror Information & Assurance Form – (signed & notarized)

Understanding of Project

Methodology

Management Plan for the Project

Experience and Qualifications – (Provide Resume/s and Certificates)

Cost Proposal Form - Hourly Rate Required. (Sealed separately)

Certification of Entitlement to the Alaska Bidder Preference and other preferences (if applicable)

Evidence of Alaska Business License (if applying for Alaska Bidder Preference)

Attachment 2

COST PROPOSAL FORM

RFP #2024-2000-0128

Offerors must use this form to enter data that will be utilized for evaluation purposes and to convert the cost to points.

The rate per hour proposed shall include all direct and indirect costs associated with performance of the services required herein. (Direct cost of the individual’s time providing the direct service that includes, but is not limited to, personnel costs and fringe benefits. Indirect costs associated with the performance of this contract include but may not be limited to insurance, supplies, overhead, local travel, etc.)

Costs on this form are for 12 months or one year of service. Partial fiscal year service periods will be pro-rated accordingly (if applicable). The purpose is to submit costs in a manner DOC can evaluate and score, and then use to establish billing rates for the resultant contract.

Medication Assisted Treatment

Specialist

Description Hourly

Rate

Total Number

Hours

Total Cost

Direct and Indirect Costs

2,000 $

Total Proposed Cost (for evaluation purposes) $

Proposals must be submitted under the name as it appears on the person’s current Alaska business license in order to be considered responsive. Do not enter additional information on this form. If necessary, use separate page and attach to cost proposal.

Print Name:

Signature:

Date:

Organization:

Attachment 3

Proposal Evaluation Form

All proposals will be reviewed for responsiveness and then evaluated using the criteria set out herein.

Offeror Name:

Evaluator Name:

Date of Review:

RFP Number:

THE TOTAL NUMBER OF POINTS USED TO SCORE THIS PROPOSAL IS 1000

Proposals will be evaluated against the questions set out below:

SEC. 5.04 EXPERIENCE AND QUALIFICATIONS (10%)

1) Questions regarding the personnel designated to work on the project:

a) Do the individuals assigned to the project have experience on similar projects?

b) Are resumes complete and do they demonstrate backgrounds that would be desirable for individuals engaged in the work the project requires?

c) How extensive is the applicable education and experience of the personnel designated to work on the project?

2) Questions regarding the firm:

a) How well has the firm demonstrated experience in completing similar projects on time and within budget?

b) How successful is the general history of the firm regarding timely and successful completion of projects?

c) Has the firm provided a customer reference list?

TOTAL POINTS FOR EXPERIENCE AND QUALIFICATIONS: out of 200 points.

SEC. 5.05 UNDERSTANDING THE PROJECT (20%)

a) How well has the offeror demonstrated a thorough understanding of the purpose and scope of the project?

b) How well has the offeror identified pertinent issues and potential problems related to the project?

c) To what degree has the offeror demonstrated an understanding of the deliverables the state expects it to provide?

d) Has the offeror demonstrated an understanding of the state's time schedule and can meet it?

e) Has the offeror indicated any additional items that may apply to the project?

TOTAL POINTS FOR UNDERSTANDING THE PROJECT: out of 100 points.

SEC. 5.06 METHODOLOGY USED FOR THE PROJECT (10%)

a) How comprehensive is the methodology and does it depict a logical approach to fulfilling the requirements of the RFP?

b) How well does the methodology match and achieve the objectives set out in the RFP?

c) Does the methodology interface with the time schedule in the RFP?

TOTAL POINTS FOR METHODOLOGY USED FOR THE PROJECT: out of 100 points.

SEC. 5.07 MANAGEMENT PLAN FOR THE PROJECT (10%)

a) How well does the management plan support all of the project requirements and logically lead to the deliverables required in the RFP?

b) How well is accountability completely and clearly defined?

c) Is the organization of the project team clear?

d) How well does the management plan illustrate the lines of authority and communication?

e) To what extent does the offeror already have the hardware, software, equipment, and licenses necessary to perform the contract?

f) Does it appear that the offeror can meet the schedule set out in the RFP?

g) Has the offeror gone beyond the minimum tasks necessary to meet the objectives of the RFP?

h) To what degree is the proposal practical and feasible?

i) To what extent has the offeror identified potential problems?

TOTAL POINTS FOR MANAGEMENT PLAN FOR THE PROJECT: out of 100 points.

EVALUATOR'S COMBINED TOTAL POINTS: out of 500 points.

“END OF EVALUATORS QUESTIONS”

SEC. 5.08 CONTRACT COST (40%)

Maximum Point Value for this Section — 400 Points

1000 Points x 40 Percent = 400 Points

Overall, a minimum of 40 percent of the total evaluation points will be assigned to cost. The cost amount used for evaluation may be affected by one or more of the preferences referenced under SEC. 6.11 APPLICATION

OF PREFERNCES.

Converting Cost to Points

The lowest cost proposal will receive the maximum number of points allocated to cost. The point allocations for cost on the other proposals will be determined through the method set out in SEC. 5.03 SCORING METHOD

AND CALCULATION.

TOTAL POINTS AWARDED FOR COST ________ out of 400 points.

SEC. 5.09 ALASKA OFFEROR PREFERENCE (10%)

If an offeror qualifies for the Alaska Bidder Preference, the offeror will receive an Alaska Offeror Preference. The preference will be 10 percent of the total available points. This amount will be added to the overall evaluation score of each Alaskan offeror.

TOTAL POINTS FOR OFFEROR PREFERENCE ______ (0 or 100 Points).

TOTAL POINTS FROM ALL SECTIONS ABOVE __________

Attachment 4

CONFLICT OF INTEREST

The Prospective Proposer, including all Entities in the Prospective Proposer’s organization, shall voluntarily disclose to the Contracting Agency, in writing, any factors that may provide it with an unfair competitive advantage and/or potential or actual conflict of interest. Requests for clarification on this issue shall be made in writing to the Contracting Agency more than 10 days prior to the submittal deadline for proposals.

Name

Department/Agency

Date

RFP Number

Attachment 5

OFFEROR INFORMATION AND ASSURANCE FORM

A. Offeror’s (Agency or Individual) Name:

B. Offeror’s Address:

Telephone Number: Fax: E-Mail:

C. Status: For Profit: Non-Profit: Other:

D. Alaska Business License Number:

E. Internal Revenue or Social Security Number:

F. Professional Registration Number (if applicable):

G. Recipient Contact Person:

H. Authorized Representative:

I. TERMS AND CONDITIONS: By signature on this page, the Offeror certifies that it is complying with all terms and conditions set out in this RFP.

J. The Offeror(s), by execution of the Offeror Information & Assurance Form, agrees to be bound by the terms of the RFP and proposal for a period of not less than ninety (90) days after the proposal due date.

K. By signature of this page the offeror(s) certifies that it meets the Minimum Requirements per RFP section 1.04 Prior Experience and Qualifications.

Offeror’s Authorized Signature and Title* Date (Month, Day and Year)

(must be sworn before a notary public)

Sworn to and subscribed before me this day of , 20 .

NOTARY PUBLIC

My commission expires:

* Proposals must be signed by an individual authorized to bind the offeror to its provisions.

Attachment 6

ALASKA BIDDER PREFERENCE CERTIFICATION

AS 36.30.321(A) / AS 36.30.990(2)

BUSINESS NAME:

Alaska Bidder Preference?

Preference: Do you believe that your firm qualifies for the Alaska Bidder □ Yes □ No

Alaska Veteran Preference: Do you believe that your firm qualifies for the Alaska Veteran Preference?

□ Yes □ No

Please list any additional Alaska Preferences below that you believe your firm qualifies for.

1. 2. 3. 4. 5. 6.

To qualify for and claim the Alaska Bidder Preference you must answer YES to all questions below in the Alaska Bidder Preference Questions section. To qualify for and claim the Alaska Veteran Preference, you must answer YES to these questions as well as answer YES to all the questions in the Alaska Veteran Preference section. A signed copy of this form must be included with your bid or proposal no later than the deadline set for receipt of bids or proposals.

If you are submitting a bid or proposal as a JOINT VENTURE, all members of the joint venture must complete and submit this form before the deadline set for receipt of bids or proposals. AS 36.30.990(2)(E)

If the procuring agency is unable to verify a response, the preference may not be applied. Knowingly or intentionally making false or misleading statements on this form, whether it succeeds in deceiving or misleading, constitutes misrepresentation per AS 36.30.687 and may result in criminal penalties.

Alaska Bidder Preference Questions:

☐ YES ☐ NO

If YES, enter your current Alaska business license number:

If YES, please complete the following information:

1) Does your business hold a current Alaska business license per AS 36.30.990(2)(A)?

2) Is your business submitting a bid or proposal under the name appearing on the Alaska business license noted in Question 1 per AS 36.30.990(2)(B)?

3) Has your business maintained a place of business within the state staffed by the bidder or offeror or an employee of the bidder or offeror for a period of six months immediately preceding the date of the bid or proposal per AS 36.30.990(2)(C)?

http://www.akleg.gov/basis/statutes.asp#36.30.321 http://www.akleg.gov/basis/statutes.asp#36.30.990 http://www.akleg.gov/basis/statutes.asp#36.30.990 http://www.akleg.gov/basis/statutes.asp#36.30.687 http://www.akleg.gov/basis/statutes.asp#36.30.990 http://www.akleg.gov/basis/statutes.asp#36.30.990 http://www.akleg.gov/basis/statutes.asp#36.30.990

A. Place of Business

Street Address:

City:

ZIP:

“Place of business” is defined as a location at which normal business activities are conducted, services are rendered, or goods are made, stored, or processed; a post office box, mail drop, telephone, or answering service does not, by itself, constitute a place of business per 2 AAC 12.990(b)(3).

Do you certify that the Place of Business described in Question 3A meets this definition?

B. The bidder or offeror, or at least one employee of the bidder or offeror, must be a resident of the state under AS 16.05.415(a) per 2 AAC 12.990(b)(7).

1) Do you certify that the bidder or offeror OR at least one employee of the bidder or offeror is physically present in the state with the intent to remain in Alaska indefinitely and to make a home in the state per AS 16.05.415(a)(1)?

☐ YES ☐ NO

2) Do you certify that that the resident(s) used to meet this requirement has maintained their domicile in Alaska for the 12 consecutive months immediately preceding the deadline set for receipt of bids or proposals per AS 16.05.415(a)(2)?

☐ YES ☐ NO

3) Do you certify that the resident(s) used to meet this requirement is claiming residency ONLY in the state of Alaska per AS 16.05.415(a)(3)?

☐ YES ☐ NO

4) Do you certify that the resident(s) used to meet this requirement is NOT obtaining benefits under a claim of residency in another state, territory, or country per AS 16.05.415(a)(4)?

A. Incorporated or qualified to do business under the laws of the state?

If YES, enter your current Alaska corporate entity number:

B. A sole proprietorship AND the proprietor is a resident of the state?

☐ YES ☐ NO

C. A limited liability company organized under AS 10.50 AND all members are residents of the state?

☐ YES ☐ NO

Please identify each member by name:

D. A partnership under former AS 32.05, AS 32.06, or AS 32.11 AND all partners are residents of the state?

Please identify each partner by name:

4) Per AS 36.30.990(2)(D), is your business (CHOOSE ONE):

Alaska Veteran Preference Questions:

http://www.akleg.gov/basis/aac.asp#2.12.990 http://www.akleg.gov/basis/statutes.asp#16.05.415 http://www.akleg.gov/basis/aac.asp#2.12.990 http://www.akleg.gov/basis/statutes.asp#16.05.415 http://www.akleg.gov/basis/statutes.asp#16.05.415 http://www.akleg.gov/basis/statutes.asp#16.05.415 http://www.akleg.gov/basis/statutes.asp#16.05.415 http://www.akleg.gov/basis/statutes.asp#36.30.321

1) Per AS 36.30.321(F), is your business (CHOOSE ONE):

A. A sole proprietorship owned by an Alaska veteran?

B. A partnership under AS 32.06 or AS 32.11 AND a majority of the partners are Alaska veterans?

☐ YES ☐ NO

C. A limited liability company organized under AS 10.50 AND a majority of the members are Alaska veterans?

☐ YES ☐ NO

D. A corporation that is wholly owned by individuals, AND a majority of the individuals are Alaska veterans?

Per AS 36.30.321(F)(3) “Alaska veteran” is defined as an individual who:

(A) Served in the

(i) Armed forces of the United States, including a reserve unity of the United States armed forces; or

(ii) Alaska Territorial Guard, the Alaska Army National Guard, the Alaska Air Nations Guard, or the Alaska Naval Militia; and

(B) Was separated from service under a condition that was not dishonorable.

Do you certify that the individual(s) indicated in Question 1A, 1B, 1C, or 1D meet this definition and can provide documentation of their service and discharge if necessary?

SIGNATURE

By signature below, I certify under penalty of law that I am an authorized representative of and all information on this form is true and correct to the best of my knowledge.

Printed Name

Title

Date

Signature http://www.akleg.gov/basis/statutes.asp#36.30.321

Attachment 7 State of Alaska

Department of Corrections

REQUEST FOR CLEARANCE

for

Contractor/Contract Staff Background Checks

Date: _

Applicant Name: _

Mailing Address: _

Purpose of this check: _

Date of Birth: _ Social Security #:

Alaska driver’s license #: _

Other states applicant has resided in and the dates:

Prior criminal history (including the state the offense occurred in) _

Is applicant currently on probation or parole? If yes, where?

Does applicant have any relatives or acquaintances presently incarcerated in Alaska or under the Dept. of Corrections supervision? If yes, state the person’s name/location:

Clearance requested by (Contractor):

Address: _ Phone:

The information that I have provided is true and accurate to the best of my knowledge. I authorize the Department of Corrections to perform a background investigation for any and all prior convictions or current warrants.

Signature of applicant: _ Date: _

Contractor’s signature: Date: _

Department Use Only

APSIN/WANTS: Clear:

NCIC/WANTS: Clear:

Wants:

Wants:

See Attached: _ See Attached: _

Criminal History Check (Alaska) No record found:

Criminal History Check (other states) No record found:

See Attached: _ See Attached: _

Approved by:

Contract Oversight Officer/Superintendent, Division of Institutions

Date:

Request Granted: Request Denied:

Reason for denial: _

DOC Staff Signature/Title: Date: _

PREA Employment Disclosure

**Pursuant to the Prison Rape Elimination Act of 2003 (PREA)**

Rev 10/7/2016

Attachment 8

Name PCN # Date

It is necessary that all Department of Corrections employees, contract staff, and volunteers be carefully screened prior to employment. This includes a review of all prior employment/service with employers that house or provide services to offenders, youths, vulnerable persons, or others in a correctional facility, juvenile facility, residential treatment center, nursing home, personal care program, group home, etc.

Have you ever been employed by or otherwise provided services on a contract or volunteer basis in a prison, jail, lockup, community confinement facility, juvenile facility, or other facilities in which you provided care or treatment for the mentally ill, disabled or mentally challenged, chronically ill, or handicapped, residential care or treatment facilities for juveniles; facility that provided skilled nursing, short or long-term care or custodial or residential care?

Yes – Specify all

No

Facility Name

Position Title Location (City, State) Start End date (00/0000) Facility contact phone

☐ Verification complete Date completed:

PREA Employment Disclosure

Acknowledgment and Release

I understand that a background check will be conducted including, but not limited to, prior employment and contract/volunteer service. I understand that, if hired, untruthful or misleading answers or deliberate omissions may be cause for rejection of my application and removal of my name for consideration for employment with the Department of Corrections. By signing this form, I am acknowledging that the information provided above is accurate and complete and giving my authorization to the release of my information.

Print Name PCN #

Signature Date

Institutional Employment / Service Disclosure

It is necessary that all Department of Corrections employees, contract staff, and volunteers be carefully screened prior to employment. This includes a review of all prior employment/service with employers that house or provide services to offenders, youths, vulnerable persons, or others in a correctional facility, juvenile facility, residential treatment center, nursing home, personal care program, group home, etc.

Applicant Name: PCN #:

Verification completed by: Date: _

Question 1: Are you aware of whether or not this person engaged in sexual abuse of an offender, detainee, or resident while employed at your facility? If yes, please elaborate (e.g., outcomes, determinations, description of allegation) Yes

Comments:

Question 2: Are you aware of whether or not this person has ever been the subject of an investigation for engaging, or attempting to engage in sexual activity in the community facilitated by force, overt or implied threats of force, or coercion, or if the victim did not consent or was unable to consent or refuse?

Yes

Question 3: Are you aware of whether or not this person has ever been civilly or administratively adjudicated to have engaged in the activity described in the prior questions above related to sexual abuse or sexual activity?

Yes

No

FACILITY: CONTACT PERSON:

Institutional Employment / Service Disclosure

Name PCN # Date

Question 4: Are you aware of whether or not this person resigned from your facility while under investigation of an allegation of sexual abuse of an offender, detainee, or resident?

Yes

Employer Attempts Method Date Comments

1st Attempt

2nd Attempt

3rd Attempt

Department of Corrections – Background Information

Applicant Name: PCN #:

Date: Completed by: ☐ Employee

☐ Hiring Manger

Question 1: Please select each state or territory in which you have ever lived:

I have never lived in the United

States or one of its territories Alabama

Alaska

Arizona

Arkansas

California

Colorado

Delaware

Florida

Georgia Hawaii

Idaho

Illinois

Indiana

Iowa

Kansas

Kentucky

Louisiana

Maine

Maryland

Massachusetts Michigan

Minnesota

Mississippi

Missouri

Montana

Nebraska

Nevada

New Hampshire

New Jersey

New Mexico

New York

North Carolina

North Dakota

Ohio

Oklahoma

Oregon

Pennsylvania Rhode Island

South Carolina

South Dakota Tennessee

Texas

Utah

Vermont

Virginia

Washington

West Virginia

Wisconsin

Wyoming

District of Columbia

American Samoa

Guam

Puerto Rico

U.S. Virgin Islands ddd

Attachment 9

State of Alaska

Department of Corrections Policies and Procedures

Index #: 202.01 Page 1 of 2

Effective: 10/17/14 Reviewed:

Distribution: Public Due for Rev: 10/2018

Chapter: Personnel

Subject: Code of Ethical Professional Conduct

I. Authority In accordance with 22 AAC 05.155, the Department will maintain a manual composed of policies and procedures established by the Commissioner to interpret and implement relevant sections of the Alaska Statutes and 22 AAC.

II. References Alaska Statutes

AS 18.80.200, AS 39.52.010-.960, AS 39.90.010-.150

Alaska Administrative Code

13 AAC 85.230

III. Purpose

To establish uniform procedures within the Department for ethical and professional conduct of staff, contractors, and volunteers.

IV. Application All staff, contractors, and volunteers

V. Definitions

A. Ethical: Conforming to a standard of what is right and good.

B. Professional: Behavior and conduct befitting a person employed in a position of public trust.

VI. Policy Every employee, volunteer and contractor shall abide by the Alaska Police Standards Council Code of Ethics for Correctional, Probation, and Parole Officers.

VII. Procedures A. All employees and contractors shall review and sign the Code of Ethical

Professional Conduct for Employees (Form 202.01A). Failure to do so may result in disciplinary action.

B. A copy of the signed form shall be maintained in the employee’s permanent personnel file, or for a contractor, in a file maintained by the Division of Administrative Services for this purpose.

C. If employees, supervisors, or managers do not understand any portion of the Code, it is their responsibility to request clarification from their supervisors prior to signing the form.

D. Employees, including supervisors and managers, who violate the Code of Ethical Professional Conduct are subject to corrective or disciplinary action.

E. All volunteers shall review and sign the Code of Ethical Professional Conduct for Volunteers (Form 202.01B). A copy of the signed form will be retained by the Institutional Volunteer Supervisor.

Subject: Code of Ethical Professional Conduct Index #: 202.01 Page: 2 of 2

VIII. Implementation This policy and procedure is effective as of the date signed by the Commissioner. Each manager shall incorporate the contents of this document into local policy and procedure within fourteen (14) days of the effective date. All local policies and procedures must conform to the contents of this document.

10.17.2014 SIGNATURE ON FILE

Date Joseph D. Schmidt, Commissioner Department of Corrections

Applicable Forms to this Policy:

202.01A (Code of Ethical Professional Conduct for Employees) 202.01B (Code of Ethical Professional Conduct for Volunteers)

Original: 1/21/1985 (Code of Ethics and Standards of Conduct) Revised 4/17/1985 Revised: 4/2/1990 Revised: 7/25/1991 Revised: 4/15/2000 (Code of Ethical Professional Conduct) Revised: 11/22/2002 Revised 12/3/2007

DEPARTMENT OF CORRECTIONS

EMPLOYEES

CODE OF ETHICAL PROFESSIONAL CONDUCT

As an employee of the Department of Corrections, whether a Correctional, Probation, or Parole Officer, or in another capacity, my fundamental duty is to respect the dignity and individuality of all people, to provide professional and compassionate service, and to be unfailingly honest. I will not discriminate against any person on the basis of race, religion, color, national origin, sex, age, physical or mental disability, marital status, changes in marital status, pregnancy, parenthood, or any other class protected by law, and will respect and protect the civil and legal rights of all inmates, probationers, and parolees.

I will respect the right of the public to be safeguarded from criminal activity and will be diligent in recording and making available for review all case information that could contribute to sound decisions affecting the public safety, or an inmate, probationer, or parolee. I will maintain the integrity of private information and will neither seek personal data beyond that needed to perform my duties, nor reveal case information to anyone not having a proper professional use for the information. In making public statements, I will clearly distinguish between those that are my personal views and those that are made on behalf of the agency. I will not use my official position to secure privileges or advantages for myself and will not accept any gift or favor that implies an obligation inconsistent with the objective exercise of my professional duties.

I will not act in my official capacity in any matter in which I have a personal interest that could in the least degree impair my objectivity. I will not engage in undue familiarity with inmates, probationers, or parolees. I will report any corrupt or unethical behavior of a fellow correctional, probation, or parole officer that could affect either an inmate, probationer, or parolee, or the integrity of the agency, but will not make statements critical of colleagues or other criminal justice agencies unless the underlying facts are verifiable. I will respect the importance of, and cooperate with, all elements of the criminal justice system, and will develop relationships with colleagues to promote mutual respect for the profession and improvement of the quality of service provided.

I have read the Code of Ethical Professional Conduct and have sought and obtained clarification of portions which I did not understand. I recognize that failure to abide by the Code may result in corrective, disciplinary, or other appropriate action, up to and including dismissal.

Printed Name Signature

Department of Corrections Form 202.01A

Rev. 10/2014

STATE OF ALASKA

DEPARTMENT OF CORRECTIONS

POLICIES & PROCEDURES

SECTION:

Administration

PAGE:

CHAPTER:

NUMBER:

202.15

P&PTYPE:

Public

TITLE:

Standards of Conduct

DATE:

02/15/17

ATTACHMENTS I FORMS:

(A.) Standards of Conduct Certificate of Review and

Compliance.

AUTHORITY I REFERENCES:

22 AAC 05.045 AS 33.30.011

22 AAC 05.060 AS 33.30.021

22 AAC 05.095 AS 39.28

22 AAC 05.155 AS 39.52

22 AAC 05.196 AS 39.90.010-150

AS 12.62.120 AS 44.09.015

AS 12.62.900 AS 44.28.030

AS 18.80.200 DOC P&P 202.01

AS 33.05.010 FBI CJIS Security Policy.

AS 33.16.180

State of Alaska Constitution, Art. I, Sec. 3, Civil

Rights.

HIPAA, Pub. L. 104-191.

ADA, 42 u.s.c. 12101 et seq.

POLICY:

It is the policy of the Department of Corrections (DOC) that in the daily performance of their duties, employees will demonstrate honesty, integrity, and respect for the worth and individuality of all persons. Department employees shall also demonstrate a strong commitment to professional and ethical correctional service.

APPLICATION:

This policy and procedure will apply to all Department employees.

DEFINITIONS:

As used in this policy, the following definitions shall apply:

Business Relationships:

A relationship between individuals or companies entered in to for commercial purposes and usually some kind of financial gain. Such relationships are sometimes formalized with legal contracts or agreements.

Conflict of Interest:

A situation that has the potential to undermine the impartiality of a person because of the possibility of a clash between the person's self-interest and a competing professional or public interest.

SUPERCEDES POLICY DATED: 01/09/08

THIS POLICY NEXT DUE FOR REVIEW ON: 02/15/22

SUPERCEDES POLICY DATED:

THIS POLICY NEXT DUE FOR REVIEW ON:

01/09/08

02/15/22

Administration

PAGE:

CHAPTER:

I NUMBER:

202.15

P&P TYPE:

Public

Egregious Misconduct:

Misconduct that is extraordinary in some bad way, and includes but is not limited to, the definition of egregious misconduct found in applicable collective bargaining agreement.

Illegal Behavior:

Behavior that falls outside the law.

Investi2ations:

The formal or systematic examination or research of an event or person based on the study of factual information. There are various types of investigations including:

• Official Investigations:

Investigations that are conducted with the intent of being formally recorded. Such investigations usually follow a set format and would have an outcome that is documented in some official manner.

• Internal Investigations:

Investigations undertaken by the Department of Corrections and kept within the Department. Such investigations may not involve outside agencies and the outcome of the investigations would typically not be released outside of the Department.

• Administrative Investigations:

Investigations based on the possibility that the event or conduct of the person in question may have involved some form of misadministration (such as the breach of a policy), with the aim of corrective action or discipline when warranted.

• Criminal Investigations:

Investigations to determine whether the event or conduct of the person in question may have been criminal in nature.

Medical Information:

Any written, verbal, or electronic information about a person's health status (past or present) or the provision of health care.

Professional Conduct:

Behavior befitting a person employed in a position of public trust.

Unethical Behavior:

Behavior that falls outside of what is considered morally right or proper for a person, profession, or an industry, including behavior which conflicts with the Alaska Executive Branch Ethics Act (AS 39.52) or the Department's

Code of Ethical and Professional Conduct (DOC P&P 202.01).

PROCEDURES:

The following rules and standards express in general terms the conduct expected of DOC employees. Violations

PAGE:

CHAPTER:

I NUMBER:

202.15

P&P TYPE:

Public of these principles may result in corrective or disciplinary action, up to and including dismissal. Instances of egregious misconduct may result in immediate dismissal. The following list is not all-inclusive. In addition to generally accepted principles of employment (e.g., employees may not steal from their employers), the State of

Alaska and each DOC office or institution has site specific policies and procedures, the violation of which may result in corrective or disciplinary action.

I. General Provisions:

A. Employees shall comply with and obey all federal, state, and municipal laws.

B. Employees shall comply with and obey all DOC regulations, policies and procedures, operational memoranda, orders, and instruction. Employees shall not aid, abet, or incite another employee to violate these guidelines.

C. Employees shall promptly obey directives given by supervisors. If a directive is in conflict with a previous directive, the employee shall inform the supervisor of the conflict. If the supervisor does not retract or alter the directive, it shall stand; however, employees shall not be compelled to obey any directive that would require them to commit or abet an unlawful act.

D. Failure to obey an order lawfully issued by a supervisor or the use of abusive language toward a supervisor shall be deemed an act of insubordination.

E. Unlawful discrimination, workplace harassment, or creating a disrespectful workplace will not be tolerated. Employees, offenders, and their families shall be treated professionally at all times regardless of their race, religion, color, creed, national origin, physical or mental disability, sex, marital status, changes in marital status, pregnancy, parenthood, or age.

F. The DOC complies with the State's Equal Employment Opportunity (EEO) Act (AS 39.28) that prohibit retaliation against an employee in any aspect of employment including promotion, job assignment, or any other terms or conditions of employment because that employee filed a charge of discrimination, complained about illegal discrimination, or because they participated in an employment discrimination proceeding such as an investigation.

G. When dealing with the public, offenders, and each other, employees shall be courteous and respectful.

Employees shall not use violent, profane, or abusive language or gestures.

H. Employees shall be truthful and forthright in their statements and communications regarding other employees or offenders.

I. Employees will avoid any conduct, on or off duty, which compromises their integrity and betrays the trust, faith, and public confidence in the DOC.

J. Employees are obligated to be accountable and efficient in the use of state resources. Employees shall not use or allow the use of state time, supplies, or state-owned or leased property and equipment for their

PAGE:

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Ethics Act (AS 39.52). Loss, misuse, misplacement, theft, or destruction of state property must be reported to the appropriate supervisor immediately. Employees shall not appropriate any lost, found, evidential, or DOC property for their own use.

K. Employees shall report fit for their duty assignment, punctually at the time and place directed. Employees are prohibited from engaging in unprofessional conduct which prohibits immediate response in case of emergency.

L. Employees are required to remain alert and attentive during duty hours. Sleeping, or being distracted by non-job-related activity that in itself constitutes an unprofessional use of state time is strictly forbidden.

Examples of unprofessional use of state time include playing games, extended and recreational reading of newspapers, books and magazines; extended periods of non-work-related internet use, including web surfing; engaging in lengthy personal phone calls and any other action which results in a failure to be attentive of the security and safety of the institution/ office. This list is not all inclusive, and there are other activities that are non-job related which may also constitute an unprofessional use of state time warranting discipline, up to and including dismissal.

M. Employees shall not knowingly falsify any document nor willfully depart from the truth in giving testimony or in connection with any official duty or investigation.

N. Employees shall not interfere with any action or investigation assigned to another employee or interfere with DOC operations.

0. Any level of intoxication or the use or possession of any kind of alcoholic beverage, legal intoxicant or illegal or non-prescribed controlled substance, or drug paraphernalia on the job or on DOC property is prohibited. Employees on duty are not to smell of or to be under the influence of alcohol or marijuana.

Employees smelling of or appearing to be under the influence of alcohol or marijuana may be requested to be the subject of an alcohol / drug test. Nor may employees report for duty under the influence of any over the counter or prescription-controlled substance if that substance adversely impacts the employee's ability to perform their duties.

II. Conflicts of Interest:

A. Employees shall avoid situations that give rise to a financial or personal conflict of interest and shall abide by the provisions of the Alaska Executive Branch Ethics Act (AS 39.52).

B. Employees shall refuse to accept any gifts, presents, subscriptions, favors, gratuities, scholarships, or promises that could be interpreted as being offered to the employee in order to cause a DOC employee to refrain from performing his or her official duties, or to provide special favor or status to offenders or contractors providing services to the DOC.

C. Employees shall not accept private or special advantage from their official status as employees of the

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D. Employees shall not engage in any other employment during scheduled work hours, nor shall any State resources be used in furtherance of off-duty employment (paid or unpaid), volunteer, or business activities. Time off for volunteer activities (emergency search and rescue, volunteer fire service, etc.) is subject to the normal leave provisions. This restriction shall not apply to employees involved in legitimate military service, such as the AK State Defense Force or Army National Guard.

E. Employees shall accept no position, paid or unpaid, that conflicts with their duty to report wrongdoing by offenders, volunteers, staff, or members of the public.

III. Relationships Between Supervisors and Subordinates and Relationships Between Peers:

A. Dating, romantic, sexual relations, or engaging in joint business relationships between supervisors and subordinates when the subordinates are within the direct supervisory chain of command of the supervisor is prohibited. If such a relationship exists or develops, the employees involved shall report it to the office or institution manager to discuss the arrangements that must be made (e.g., shift or supervisory reassignments) to comply with this policy. Exceptions to the policy require written approval by the

Commissioner. It is understood that a transfer of one party may be the result of such a relationship and that such an action shall not be considered an act of discipline.

B. Dating, romantic, sexual relations, or engaging in joint business relationships between employees and a supervisor in their chain-of-command at any level is also prohibited. If such a relationship exists or develops, the employees involved shall report it to the appropriate Division Director and duty reassignments may be made to comply with this policy.

C. Dating, romancing, sexual relations, engaging in joint business or the ending of such relationships with a coworker shall not interfere with the performance of the employee's duties nor create a hostile workplace for co-workers.

D. Supervisors shall not give, accept, or solicit gifts, money, or favors to or from peers or employees under their supervision. Gifts of minor monetary value (e.g., Christmas, birthday, and retirement presents) or collections for flowers or gifts on occasions of grief or celebration are not considered contrary to the spirit of this policy. At no time shall such gifts be purchased with State funds.

E. Supervisors shall not use abusive or obscene language toward a subordinate nor shall subordinates use abusive or obscene language toward a supervisor.

F. At no time shall a supervisor show undue favoritism to a subordinate. Undue favoritism is a conflict of interest with an employee's obligation to exercise fairness and professional judgment in the conduct of

State business. Employees shall avoid participation in situations that may create undue favoritism.

IV. Relationships with Offenders and Family Members of Offenders:

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A. Brutality, physical violence, or verbal abuse of offenders by employees will not be permitted.

Employees are authorized to use only that level of force necessary to control an offender or to enforce legitimate and legal commands as provided in the Department's use of force policy.

B. Employees will not exchange special treatment or favors or make threats to obtain information from offenders.

C. Except as set out in D. below, employees may not knowingly maintain social, sexual, business, or financial associations with offenders that are under the supervision of the DOC, or a member of the offender's immediate family. This prohibition applies to any state or federal offender under the supervision of the

DOC, whether the offender is actively detained or incarcerated at a DOC institution, or whether the offender is not incarcerated but is on probation, parole, or furlough supervised by the DOC. This includes, but is not limited to, telephone calls, letters, notes, social media communications or other communications outside the normal scope of employment. Business relationships do not include the purchase of merchandise or groceries from a legitimate retail outlet or the purchase of services from a legal business.

Exceptions to this rule include pretrial defendants released on bail unless the defendant is under the supervision of a probation office and those employees who are actively involved in common pro-social activities with offenders such as work, school, treatment programs, sports leagues, and supportive re-entry efforts.

D. Employees shall not directly or indirectly give to or accept from any offender or member of the offender's family anything in the nature of a gift or promise of a gift.

E. Employees shall not engage in any unauthorized game, contest, sport, or betting with any offender.

Exceptions to this rule include pro-social, organized sports activities.

F. During the performance of their duties or while acting as representatives of the DOC, employees may not sign any petition, letter, or recommendation to the courts or to representatives of the courts regarding leniency, pardon, probation, parole, or any other form of criminal case disposition on behalf of an offender unless:

1. To do so is a requirement of his or her position; or

2. The employee has received authorization from the institution or office manager.

G. Regardless of where the employee works in the DOC, in cases where a close personal relationship with an offender or offender's family member existed prior to the offender coming under the supervision of the DOC, the employee shall notify their chain-of-command in writing immediately. The institution or office manager shall determine the appropriate parameters of the employee's conduct toward the offender or offender's family. It is understood that a transfer of one party may be the appropriate reaction to such circumstance and will not be considered disciplinary.

H. Employees shall not discuss their personal life or another employee's personal life with offenders.

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I. Employees shall not bring into or carry out of any DOC institution any items for offenders. All items received or purchased from offenders or given to offenders will be through official sanctioned channels and will have prior approval of the office or institution manager. The introduction of any items of contraband onto the grounds of any secure institution is prohibited.

V. Illegal or Unethical Behavior:

A. Employees are expected to obey all federal, state, and local laws. Neither the absence of a criminal complaint or conviction, nor the dismissal of or acquittal on a criminal charge, shall preclude internal administrative investigation and discipline regarding allegations of illegal or unethical conduct, on or off duty.

B. DOC employees have an affirmative obligation to report immediately in writing to their office or institution manager any knowledge of criminal activity or unethical action on the part of other employees while on duty or on DOC premises.

C. When an employee is the subject of an external criminal investigation, has been arrested for, charged with, or convicted of any felony or misdemeanor (except minor traffic violations), or is required to appear as a defendant in any criminal court, that employee shall immediately inform and provide a written report to the employee's chain-of-command. The officer or institution manager shall inform the Director of the division in which the employee is a member and the appropriate Human Resource Manager.

D. While off duty, employees shall not associate or deal with persons who are known to be involved in illegal activities.

VI. Reports and Investigations:

A. Reports and logs submitted by employees shall be truthful and complete. No employee shall knowingly enter or cause to be entered any inaccurate, false, or improper information, nor shall they fail to include pertinent information known to them regarding the matter at issue.

B. Employees shall not convert to their own use, conceal, falsify, destroy, remove, tamper with, or withhold any property or evidence.

C. During the course of an official investigation an employee can be ordered to cooperate in an internal / administrative investigation and must truthfully answer questions that are specifically, directly, and narrowly related to the employee's official conduct, to include providing a signed statement or affidavit if requested. Statements made pursuant to an order to cooperate in an internal/ administrative investigation and evidence that is derived from the statements cannot be used against the employee in any criminal proceeding.

An employee will not be compelled in any criminal investigation to be a witness against themselves.

Employees interviewed in conjunction with a criminal investigation will be afforded all rights under

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Miranda v. Arizona (1966) and the Fifth Amendment of the US Constitution.

VII. Medical Information:

A. Employees are reminded that medical information that the DOC gathers and maintains is protected by federal and state laws and regulations, such as the Health Insurance Portability and Accountability Act

(HIPAA).

B. All medical information (including mental health and substance abuse information) is considered confidential, and employees may not disseminate or release any medical information without first ensuring that:

1. The release is authorized by law or the person whose information it is; and

2. The person (or entity) requesting the information is authorized to receive it.

C. Employees are expected to handle medical information in a way that preserves its confidentiality at all times. This means restricting access to stored medical information, not leaving medical information accessible when it is not being used and transmitting medical information in a secure manner so that it may not be viewed or intercepted by those not authorized to view or receive it.

D. Employees who come in to contact with medical information indirectly, such as officers escorting offenders to medical appointments or clerical staff working in clinics, are also expected to keep the information confidential. Any medical information that employees may see or hear as part of their normal duties should be handled appropriately and kept confidential.

E. If an employee is witness to any misuse or mishandling of medical information, they shall immediately report it to their supervisor. Reports of misuse or mishandling of medical information will be taken seriously and will be investigated. Employees found to have misused or mishandled medical information may face discipline.

VIII. Criminal Justice Information:

A. Employees are reminded that criminal justice information that the DOC gathers and maintains (whether handwritten or electronic) is protected by federal and state laws and regulations, such as the Federal

Bureau of Investigation (FBI) Criminal Justice Information Services (CJIS) Security Policy and Alaska

Statute 12.62.160.

B. According to the FBI (CJIS Security Policy, Appendix A) and Alaska Statute (AS 12.62.900) criminal justice information may include:

1. Biometric data;

2. Identity history;

3. Person data;

4. Organization data;

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5. Property (when accompanied by any personally identifiable information) data;

6. Case/ incident history data;

7. Non-conviction information;

8. Correctional treatment information; and

9. Information relating to a person to be located, whether or not that person is wanted in connection with the commission of a crime.

C. The DOC makes use of several different repositories for criminal justice information including the Alaska

Public Safety Information Network (APSIN) operated by the Department of Public Safety and the DOC's own Alaska Corrections Offender Management System (ACOMS). This policy shall apply to any additional criminal justice information systems that are either created or adopted in the future for DOC use.

D. Access to these databases is restricted and employees shall only access information in these databases when a legitimate business need exists. No employee shall access these databases for personal use.

E. DOC employees are also prohibited from altering or deleting any documentation or criminal justice information entered into a criminal justice information system (such as the DOC offender management system) by another person, without first securing the approval of their Superintendent, Chief Probation

Officer or equivalent supervisor or their designee. Before granting approval for an employee to alter or delete documentation or criminal justice information entered by another person, the supervisor or designee shall be satisfied that the alteration / deletion is legitimate and necessary for business needs.

F. All criminal justice information is considered confidential, and employees may not disseminate or release any criminal justice information without first ensuring that:

1. The release is authorized by law or the person whose information it is; and

2. The person (or entity) requesting the information is authorized to receive it.

G. Employees are expected to handle criminal justice information in a way that preserves its confidentiality at all times. This means restricting access to stored criminal justice information, not leaving criminal justice information accessible when it is not being used and transmitting criminal justice information in a secure manner so that it may not be viewed or intercepted by those not authorized to view or receive it.

H. If an employee is witness to any misuse or mishandling of criminal justice information, they shall immediately report it to their supervisor. Reports of misuse or mishandling of criminal justice information will be taken seriously and will be investigated. Employees found to have misused or mishandled criminal justice information may face discipline, as well as legal action.

IX. Public Statements and Disclosure of Information:

A. All official statements for public release concerning the affairs of the DOC must be authorized by the

Commissioner, a Deputy Commissioner, a Division Director, or designee.

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B. In any public statement, employees will clearly distinguish between those that are positions of the DOC and those that are personal views. Employees are responsible for the accuracy of their statements.

C. Employees shall not disclose confidential information (ranging from personal data concerning employees and offenders to information that would breach security or endanger any person) unless authorized in policy or having been directed to do so by the employee's Director or designee.

Employees who receive such a request…