RFP 532-2530-2027 DOC OMS.pdf

Title of the RFP: DOC Offender Management System RFP Number: RFP-532-2530-2027

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REQUEST FOR PROPOSAL (RFP) COVER SHEET

DISCLAIMER: If you have trouble reading this document and require an accessible version optimized for a screen reader, please contact Steve Dawson at (515) 805-7902 or via email at steven.dawson@dom.iowa.gov to obtain one.

RFP Name: DOC Offender Management System

RFP Number: RFP-532-2530-2027

Agency: Iowa Department of Management on behalf of Iowa Department of Corrections

The State of Iowa seeks to purchase: An offender management system (OMS) to track individuals through the offender life cycle.

Issuing Officer

Name: Steve Dawson Ph: 515-805-7902 Email: steven.dawson@dom.iowa.gov

Main Address:

Iowa Department of Management Attn: Steve Dawson 200 E. Grand Ave.

Des Moines, IA 50309

Notice Address:

Iowa Department of Management Attn: Office of General Counsel 1007 E. Grand Ave G13 Des Moines, IA 50319

Links:

IMPACS eProcurement website:

https://bids.sciquest.com/apps/Router/PublicEvent?CustomerOrg=DASI owa All documents for this Solicitation will be posted in IMPACS

Agreement Terms and Conditions: Attachment 6 – Sample Contract mailto:steven.dawson@dom.iowa.gov mailto:steven.dawson@dom.iowa.gov https://bids.sciquest.com/apps/Router/PublicEvent?CustomerOrg=DASIowa%20 https://bids.sciquest.com/apps/Router/PublicEvent?CustomerOrg=DASIowa%20

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TIMETABLE

There are no exceptions to any deadlines for Vendors.

However, the Agency reserves the right to change dates and times at its sole discretion.

Event or Action: Date / Time – Central Time

Targeted Small Business (TSB) website posting: September 3, 2026 State issues Solicitation: September 8, 2026

Round 1 Questions: Vendor’s written questions, requests for clarification, and suggested changes are due:

September 24, 2026, 3:00p Central Time

Round 1 Response: Written response to questions, requests for clarification, and suggested changes are due: October 1, 2026

Proposals Due: November 5, 2026 3:00p Central Time

Presentations (if applicable, anticipated date) December 7-11, 2026

Anticipated Date to issue Notice of Intent to Award: January 15, 2027

Anticipated Date to Execute Contract: April 30, 2027

Firm Proposal Terms. The minimum number of days post-submission deadline that the Vendor guarantees all proposal terms, including price, will remain firm is:

180 days

Agreement Information

Potential initial term of the agreement: Five (5) years

Potential number of annual renewals: Five (5)

Anticipated start date: May 1, 2027

Anticipated end date: April 30, 2032 Available to other entities authorized to purchase under the resulting agreement(s)? Yes

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Table of Contents

Section Page Number

Section 1 – Introduction Page 1

Section 2 – Project Background Page 4

Section 3 – Scope of Work Page 17

Section 4 – Administrative Information Page 44

Section 5 – Form and Content of Proposals Page 50

Section 6 – Technical Proposal Contents Page 52

Section 7 – Evaluation and Selection Page 54

Section 8 – Contract Terms and Conditions and Contract Administration Page 57

Section 9 – Technical Proposal and Presentation Points Page 63

Appendix #1: Required Proposal Forms Separate file

Appendix #2: Functional and Technical Requirements Separate file

Appendix #3: Cost Proposal Template Separate file

Attachment #1: Vendor Information Separate file

Attachment #2: Subcontractor Disclosure Form Separate file

Attachment #3: Resource Usage Separate file

Attachment #4: Interfaces Separate file

Attachment #5: Service Level Agreement Separate file

Attachment #6: Sample Contract Separate file

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Section 1. Introduction

1.1 Purpose

The Agency seeks proposals from Vendors to provide the goods and/or services identified on the solicitation cover sheet and as further described below. This solicitation is designed to provide Vendors with the information necessary for the preparation of competitive proposals. The solicitation process is for the Agency’s benefit and is intended to provide the Agency with competitive information to assist in the selection process. Each Vendor is responsible for determining all factors necessary for the submission of a comprehensive proposal.

The solicitation is posted in the Iowa Management of Procurement and Contracts System (IMPACS).

https://bids.sciquest.com/apps/Router/PublicEvent?CustomerOrg=DASIowa. Vendors must create an account within IMPACS in order to engage in the solicitation process. Instructions are provided at the top of the webpage above.

The Agency is procuring software, hosting, and consulting services to implement and provide ongoing maintenance and support for a new comprehensive solution to address the Agency’s needs related to an Offender Management System (OMS). The solution will comply with all applicable laws, leverage modern technology, and support the Agency’s mission to enhance operational efficiency and advance best practices in offender management.

1.2 Definitions

In addition to any terms specifically defined elsewhere herein, for the purposes of this RFP and any resulting Contract, are described in Table 1 below:

Table 1: Table of Terms and Abbreviations

Term/Abbreviation Description

ADA Americans with Disabilities Act

Agency

The Agency identified on the RFP cover sheet that is issuing the RFP and, as used and to the extent used in the Contract, any other agency (-ies), or governmental entity(-ies) of the State that purchases from the Contract once executed.

Business Hours 7 a.m. to 5 p.m. CST/CDT, Monday through Friday.

CBC Community-Based Corrections

CIR Critical Incident Report

CJIS Criminal Justice Information Services

CTA Corrections Technology Association

Configuration

Configuration refers to the process of defining, setting up, and managing the options, parameters, and components that determine how a software system operates. It involves adjusting the system using built-in tools and settings—without writing new code—to ensure the software aligns with a state’s business rules, workflows, security requirements, and operating environment.

COTS Commercial Off-the-Shelf https://bids.sciquest.com/apps/Router/PublicEvent?CustomerOrg=DASIowa

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Term/Abbreviation Description

Critical Hours 5 a.m. to 11 p.m. CDT.

Customization Customization refers to modifying or creating new code within the software system to deliver functionality that does not exist in the proposed standard product.

Contract The Contract(s) entered into with the Vendor(s) as identified on the RFP Cover Sheet and more fully described in Section 8 (Contract Terms & Conditions and Contract Administration).

Contractor or Vendor

The successful Vendor to this RFP that ultimately enters into a Contract as a result of this RFP.

CTA Corrections Technology Association

Deliverables

All of the services, goods, products, software, data (including data collected on behalf of the Agency), work, work product, items, materials, and property to be created, developed, produced, delivered, performed, or provided by or on behalf of, or otherwise made available through the Contractor, directly or indirectly, in connection with any Contract resulting from this solicitation.

DOC Iowa Department of Corrections

DOM Iowa Department of Management

EHR Electronic Health Record

Enhancement

Modifications which change the functions of information technology services, software, and hardware beyond their original purposes, not just to correct errors or deficiencies which may have been present in the software or hardware, or to improve the operational performance of the software or hardware.

ICON Iowa Corrections Offender Network, the identified name of the OMS system

ICIW Iowa Correctional Institution for Women

IIJ Iowa Department of Public Safety and Iowa Department of Management standard interface bus

IJIS

A nonprofit collaboration network that brings together innovative thinkers from the public and private sectors, national practice associations, and academic / research organizations working together to solve public sector mission, information sharing, policy, and technology challenges.

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IMCC Iowa Medical and Classification Center

IMPACS

The Iowa Management of Procurement and Contracts System - an eProcurement software program. Website:

https://bids.sciquest.com/apps/Router/PublicEvent?CustomerOrg=DASI owa&tab=PHX_NAV_Sou rcingOpenForBid&tmstmp=1723221346672

IPI Iowa Prison Industries

MFA Multi-Factor Authentication

M&O Maintenance and Operations

Non-Critical Hours 11 p.m. to 4 a.m. CDT

OCM Organizational Change Management

OMS Offender Management System

PII Personally Identifiable Information

PM Project Manager

PREA Prison Rape Elimination Act

Proposal The Vendor’s proposal submitted in response to the RFP.

PSI Pre-Sentence Investigation

RFP This Request for Proposal as amended, as well as any attachments, exhibits, schedules, or addenda hereto.

RTM Requirements Traceability Matrix

SLA Service Level Agreements

SOW Statement of Work

SSP System Security Plan

State

The State of Iowa, including the Agency identified on the Solicitation Cover Sheet and/or the Contract Declarations & Execution Page(s), and all State agencies, boards, and commissions, and any political subdivisions making purchases from the Contract as permitted by this

RFP.

STG Security Threat Groups (Gangs)

UAT User Acceptance Testing https://bids.sciquest.com/apps/Router/PublicEvent?CustomerOrg=DASIowa&tab=PHX_NAV_SourcingOpenForBid&tmstmp=1723221346672 https://bids.sciquest.com/apps/Router/PublicEvent?CustomerOrg=DASIowa&tab=PHX_NAV_SourcingOpenForBid&tmstmp=1723221346672 https://bids.sciquest.com/apps/Router/PublicEvent?CustomerOrg=DASIowa&tab=PHX_NAV_SourcingOpenForBid&tmstmp=1723221346672

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Vendor A potential Vendor submitting a Proposal in response to this RFP.

Section 2. Project Background

2.1 DOC and System Background

The Iowa Department of Corrections (DOC) operates nine secure institutions throughout the State, collectively housing approximately 9,000 incarcerated individuals at various security levels. The most recent long-term forecast available projects a 10% increase in institution populations by the year 2035.

Community-Based Corrections (CBC) is organized into eight districts, each responsible for a range of offender supervision activities. Field services staff supervise around 39,000 individuals on probation, parole, special sentences, and pre-trial release, while residential services oversee about 2,000 offenders in work release, special programs, probation, and special sentences.

According to the latest long-term forecast, institution populations are expected to grow by 10% by 2035.

While there is no comparable data available for CBC, it is likely that similar growth trends will occur.

In recent years, the DOC has unified the management of secure institutions, residential facilities, and CBC offenders under a single director. Previously, community supervision and residential facilities operated independently across multiple districts. Although some processes, such as disciplinary actions and grievances, require consistent protocols, secure institutions and CBC implement these procedures differently. The DOC now aims to standardize operations across all areas to improve efficiency and facilitate better information sharing.

The DOC’s current OMS is a statewide platform that tracks individuals across institutional operations, offender services, and CBC. It manages the offender life cycle—from intake and classification to supervision, treatment, and reentry—supports risk- and needs-based management, enables coordination among staff, and provides essential information for operations, reporting, and oversight. The system also tracks offender status, supervision conditions, programming, and movement, supporting consistent operations throughout the Agency.

To meet operational needs beyond the current OMS capabilities, the DOC relies on several supplementary databases. Despite system customization, not all operational requirements are met. Manual, repetitive data entry and challenges extracting information result in significant time burdens for staff. Additionally, poor integration between OMS modules and related databases leads to redundant entry and inefficient workflows.

Current System Challenges

• Data fragmentation and reliance on manual or spreadsheet-based processes limit real-time visibility and slow decision-making.

• Population pressure and capacity constraints create operational strain across institutions, facilities, and community supervision.

• Staff capacity and workload challenges reduce time available for supervision, treatment coordination, and analytics.

• Growing complexity of the CBC workload requires greater coordination across probation, parole, and treatment.

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• Limited integration across institutions, offender services, treatment, and reentry functions hinders risk-based management statewide.

• Difficulty sustaining consistent evidence-based practices across facilities and districts.

The DOC is embarking on a major initiative to replace its nearly 25-year-old, custom-developed, on-premises OMS with a comprehensive, scalable, and functional platform. Despite the current system’s customization to departmental requirements, it faces considerable constraints in functionality, interoperability, and adaptability, posing challenges for migration. As part of its effort to modernize digital infrastructure, the DOC is emphasizing alignment with evolving Federal Criminal Justice Information Systems (CJIS) frameworks to enhance data security and strengthen connectivity with justice partners to eliminate data silos and enable seamless workflows. The expansion of reporting tools will facilitate trend visualization and support data-driven decision-making. At present, limited integration and reporting capabilities impede compliance, hinder trend analysis, and restrict effective decision-making.

While the current system includes the DOC’s EHR system, the new OMS system will require integration with a new, separate EHR platform.

2.2 Future Goals

The new OMS needs to support essential functions—many outlined by the Corrections Technology Association (CTA) and Integrated Justice Information System (IJIS)—such as efficient data transfer, regulatory compliance, and comprehensive reporting and analytics. These features will help improve care for individuals under correctional supervision. The project prioritizes data integrity, safeguards sensitive CJIS information, and ensures a smooth migration process. Ultimately, modernization will simplify workflows, offer an intuitive interface for staff, and encourage a more effective, data-driven approach to offender management.

The new OMS must address current system gaps and support the DOC’s operational and compliance objectives.

A New / Modernized Offender Management System must include:

2.2.1 Commercial Off-The-Shelf Platform

2.2.1.1 A commercial off-the-shelf, turnkey platform that is configurable—enabling faster deployment, predictable costs, Vendor-supported upgrades, and long-term sustainability.

2.2.2 Cloud-Based Solution

2.2.2.1 A cloud-based solution to ensure scalability, flexibility, and reduced dependency on legacy systems and hardware.

2.2.3 Enhancing Data Security and Compliance:

2.2.3.1 Ensure full compliance with federal CJIS security requirements.

2.2.3.2 Safeguard sensitive inmate information through secure storage, access controls, and auditing.

2.2.3.3 Align with industry best practices (i.e., CTA and IJIS).

2.2.4 Streamlining Data Integration:

2.2.4.1 A fully integrated, statewide OMS connecting institutional and CBC functions.

2.2.4.2 Seamless integration with partner systems to improve information sharing and reduce data silos.

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2.2.5 Strengthening Reporting and Analytics:

2.2.5.1 Offer flexible reports that can be tailored to track patterns, evaluate compliance, and aid in making decisions based on data.

2.2.5.2 Deliver real-time access to information, analytics, and dashboards to support informed classification, supervision, and release choices.

2.2.6 Increasing Operational Efficiency:

2.2.6.1 Leverage industry best practices to improve, streamline, or enhance DOC business processes and operational effectiveness.

2.2.7 Project Cost

The Agency is committed to funding the one-time and recurring annual costs for the acquisition of the software. The Agency has established a budget for this project but also intends to use the proposals received through this process to inform the budget development process. The Agency has performed initial, high-level estimations, for the software solution including professional services and recurring maintenance/subscription costs. A final budget will be programmed based on the results of this RFP and final contract negotiations.

The Agency is sensitive to the total costs and has listed cost as one of the several evaluation criteria in the RFP; however, this is not an opportunity to identify the lowest priced solution. This RFP opportunity is being presented as a best value solicitation, and not a lowest priced bid, opportunity.

2.3 Governance

This section describes the Agency’s governance model for projects. This model provides a structured framework for decision-making, accountability, and risk management while ensuring projects align with organizational goals and are completed effectively. Figure 1, below, shows the governance structure used to facilitate decision-making throughout the duration of the project. The Vendor is expected to adapt to the Agency’s approach to governance and working with all parties for successful execution of the project.

Governance is subject to change based on Contract negotiations and/or project implementation methodology.

Figure 1: Governance Organization

2.3.1 Executive Sponsors

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Executive Sponsor duties involve staying updated on project statuses, receiving crucial information regarding issues, proposed options, and recommendations from Project Directors and other governing bodies like the Executive Steering Committee. This enables them to maintain awareness of the project's overall progress and significant developments, providing high-level oversight and support to ensure alignment with broader organizational objectives.

2.3.2 Steering Committee

Steering Committee duties involve making final decisions on key project aspects, being consulted before actions are made, and receiving updates on project statuses, issues, options, and recommendations, particularly for review and escalation. This enables them to provide strategic direction and ensure the project remains aligned with organizational goals.

2.3.3 Independent Verification and Validation (IV&V)

Engaging a third party to provide independent verification and validation (IV&V) services for large and complex projects is a strategy to increase the likelihood of successful implementation.

IV&V deliverables, such as monthly risk reports, provide Agency with an independent perspective on overall project health and assist with early identification of risks and proactive recommendations.

The IV&V Vendor will assess risk and project health through a combination of deliverable reviews, observing meetings, and conducting interviews. The Contractor should plan to have ongoing and recurring interactions with the IV&V service provider for the duration of the engagement, such as inviting IV&V to project meetings, providing access to project documentation and deliverables, and participating in IV&V interviews.

2.3.4 Project Director

Project Director duties involve close collaboration with the project team to understand the project's tactical details, but their primary focus is on strategic oversight. They are responsible for communicating project status, issues, and recommendations to the Executive Steering Committee.

They serve as a crucial bridge between the project team and senior leadership, advocating for necessary resources, managing expectations, and presenting strategic options for review and escalation.

2.3.5 Functional Governance Board

The Functional Governance Board is consulted before key decisions related to functional aspects of the new OMS are made, ensuring their expertise on how the system will impact units like Prison Operations, Community Corrections, and Records and Administration is considered, and they are also kept informed after actions are completed by receiving updates on project status, issues, options, and recommendations, thereby maintaining awareness of the project's progress and developments affecting their functional areas, ultimately serving as a vital link between the project team and operational functional units to ensure functional alignment and user acceptance of the new system.

2.3.6 Project Team

The expectation is that the majority of project-related decisions will be addressed at the Project Team level. The Project Team decision-makers consist of project leadership and Subject Matter Experts (SMEs). Decisions that are unable to reach consensus at this level will follow escalation via this governance model with the facilitation of the Project Management Team.

2.3.7 Advisory Groups

Formal advisory bodies, including a steering committee, might be established at a later date to support governance, decision‑making, and strategic alignment throughout the lifecycle of the initiative. Other groups may be identified and consulted as needed, based on project phase and the

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2.4 State and Federal Compliance

The Agency is actively engaged with federal partners (e.g. FBI) to ensure that it remains in compliance with all federal rules and regulations. The Agency is also committed to ensuring that the system is capable of meeting regulatory requirements set forth by the State and federal government, including the CJIS Security Policy v.6.0. The System must be regularly updated to remain compliant with evolving State and federal laws and regulations.

2.5 Number of Users

The following user counts by module contained in the table below are estimates and are provided for planning purposes only. The number of users represents the anticipated future number of users of a new system.

2.5.1 Departmental (Core/Power) Users: This category of users includes those Agency staff that will interact with the system modules on a regular basis and conduct core business processes within the system as power users.

2.5.2 Customer Department Users: This category of users includes those Agency staff that will interact with the system modules as internal customers by consuming information.

Table 2: Number of Users

Functional Area Departmental (Core/Power) Users

Customer Department Users

Central Office Operations

• Information Technology

• Sentence Calculation

• Executive Decision-Making

• Parole Board

10 75

Secure Facility Staff

• Trust Accounting and Commissary

• Housing and Bed Management Operations

• Food Services

20 2000

Community-Based Corrections Staff

• Supervision Fee Collections

• Probation and Parole Officers

20 900

2.6 DOC Functional Areas

Essential elements of the OMS for the Iowa DOC must include comprehensive modules that support a wide range of services. The following descriptions provide a background of the functional areas included in this RFP.

2.6.1 Reception and Commitment

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The reception and initial commitment of an offender into the system is an essential phase that verifies and gathers accurate demographic information and establishes the foundation for the offender's treatment plan while under DOC custody or supervision.

Secure Institutions: All offenders enter secure DOC facilities through either the Iowa Correctional Institution for Women (ICIW) or the Iowa Medical and Classification Center (IMCC) and must present a court order or judgment outlining their sentence. ICIW serves as the only female institution in Iowa and is the receiving center for all female offenders, while IMCC is responsible for intake of all male offenders.

Upon arrival at a DOC receiving facility, staff verify the offender’s identity, review the court order, jail credit information, and other sentencing documents. All criminal and personal history is collected and verified, and any funds are deposited into the offender’s account. If an offender is not already in the system, they are assigned a system-generated ID number, fingerprinted, given a photo ID, searched, showered, provided with institutional clothing, and housed in the receiving area until intake and orientation are complete.

Every offender undergoes health, dental, and mental health screenings, as well as a variety of assessments, including initial custody classification. These assessments guide housing and case manager assignments. All offenders participate in an orientation process to familiarize them with institutional procedures and expectations.

The intake team processes three-to-five individuals per hour and typically operates Monday through Friday, with occasional weekends as needed. The reception area is also responsible for generating daily transfer request reports and entering all transfer notes manually, as these tasks are not automated.

CBC provides supervision for clients on probation, parole, in residential facilities, and those under pre-trial supervision. CBC receives clients via the courts, interstate transfer, or institutional release. Once assigned, the Probation and Parole Officer (PPO) reviews the client’s file and schedules an initial meeting to complete intake paperwork and necessary agreements. Some districts use paper documentation for this process, while others enter data directly into ICON.

Retention of these documents varies by district. Currently, there is no mobile ICON option for CBC new client enrollment.

During the CBC reception process, clients must complete various assessments, even if they have previously completed them at an institution. The results help determine the client’s supervision level in CBC. PPOs often use Caseload Assistant and spreadsheets to track due dates, referrals, tasks, programming, and interventions for their clients.

Residential Facilities are a part of CBC but include a restricted housing model. Intake at residential facilities requires clients to review house policies upon arrival. After this review, staff conduct assessments to determine housing, clients are assigned to a room and briefed on available community services. At these facilities, clients generally retain their property and can wear personal clothing.

2.6.2 Sentence and Time Accounting (Time Computation)

The purpose of this business function is to ensure offenders are incarcerated for the exact amount of time as prescribed by law. The function of sentence and time accounting encompasses the initial calculation of an offender's required length of incarceration using applicable statutes and case law and applying statutory awarded good time. An iteration of recalculating the projected release date continues during the incarceration period applying earned time credits

Iowa Department of Corrections Offender Management System Page | 10 awarded and revoked, amendments to the original sentences, or other actions that can reduce the length of incarceration.

2.6.3 Classification

The dynamics of the offender classification system require that it be a key component of any correctional environment. It is essential to ensure that all offender assignments are based on risk, security, and programmatic needs. There is not always consensus among the three in combination, and so the requisite for public safety demands that security and risk have primary consideration. Many systems have objective-based classification systems to score internal and external custody. Internal custody levels correspond to the assignment to housing, work, and programs. External classification corresponds to the level of perimeter security a particular facility provides. This requires that the same set of factors or objectives are applied to all offenders during their initial inception into prison or jail and at frequent intervals, or as required by policy. From this assessment, custody levels are identified that helps sort the offenders to specific facilities, housing, and assignments within the system.

These custody levels can also limit access to certain privileges, specific programs, or business functions (i.e., commissary, visitation). The foundation for prudent correctional management is supported through a classification system that has been validated on how well the risk level of each offender is determined regarding their threat to the public, other offenders, staff, and visitors. Sorting high-risk offenders into low security can result in serious incidents of escape, assault, and other similar security breaches.

When the scored custody level is determined to be inappropriate for any justified reason, then a variance to this level can be requested to raise or lower the custody level. This process is referred to as an override and is supported by reasons that are determined to be either mandatory or discretionary. Mandatory overrides can be supported by policy or law that requires certain category offenders not be assigned to specific custody levels or that they are assigned only to specific prisons. Discretionary overrides are those that are justified by staff request that are supported by sound correctional analysis. Discretionary overrides help assess the overall system validity. A classification system with high override rates is not providing an accurate assessment of the offender’s risk levels and may need to be revised to ensure that the proper factors are being applied to accurately determine the risk and threat levels.

2.6.4 Assessments, Caseload Management, Programs

Assessments play a critical role throughout the correctional process by evaluating offenders’ needs, risks, and strengths. Standardized tools are used to measure factors such as likelihood of reoffending, criminogenic needs, educational levels, mental health status, and social supports.

These assessments inform key decisions regarding treatment planning, security classification, program assignment, and eligibility for early release or parole. Ongoing reassessment allows for adjustments in programming and resources to reflect changes in an offender’s risk profile or progress.

Offender caseload management helps corrections services assess risk, assign programs, and monitor offenders' progress toward reintegration. The process includes assigning counselors, setting treatment goals based on assessed needs and release dates, and documenting events during incarceration. Administrators use the system to track demand for programs, balance counselor workloads, and reallocate resources efficiently. Regular assessments allow staff and offenders to set benchmarks, while flexibility is needed in individual cases. Performance metrics are used to evaluate how many offenders achieve their program goals.

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Programs support offenders in developing skills and behaviors for community reintegration and reducing recidivism, as well as serving as tools for staff to encourage compliance. Offenders may be assigned to programs based on education, offense history, and assessed needs, within the constraints of security and program requirements. Progress is tracked using defined performance measures, with data collected on attendance, achievements, and outcomes. Program effectiveness is evaluated by analyzing completion rates, outcomes, and their impact on recidivism and rule violations. Resources are reallocated to the most effective programs.

2.6.5 Security

Security describes the functions that are necessary for establishing and maintaining the security of a correctional agency. These functions include the custody and control of offenders during their incarceration period, by enforcement of a defined secured perimeter, accountability of offenders by conducting regularly scheduled and unscheduled counts, and processing offenders into and out of facility control. Key control, searches, tool control, communications, and other operational functions are regulated within the security program for each facility. Emergency planning is an integral part of this process, which includes escapes, hostage incidents, disturbances, fires, natural disasters, external breeches, employee, and inmate strikes.

2.6.6 Discipline

The system of discipline within corrections serves to regulate the conduct of offenders and officially document incidents that lead to individual disciplinary actions. The system requires formal procedures that are followed for discipline levels ranging from informal infractions to major (formal) incidents. The system also implies a potentially safer quality of life for those that wish to conform and abide by the established rules. This entire process is an administrative action concerning many incidents and actions that could also be considered criminal. Furthermore, the process of administering the discipline system and its procedures are set aside from the legal process, wherein the same incident may travel through the judicial system as it completes a separate discipline route. Therefore, the appropriate documentation and tracking of all incidents that occur within each institution are important for legal and administrative purposes. Statistical tracking assists administrators in determining high risk concerns and problem offenders. The information also identifies trends and security gaps.

2.6.7 Incidents

An incident reporting system documents events, integrate with disciplinary and investigative roles, and provide role-based security. The system is designed to be configurable, supporting the reporting of incidents or occurrences across multiple severity levels and categories, including, but not limited, to basic occurrences, standard incidents, critical incidents (CIR), and use of force events. Essential information including involved offenders, staff, narrative accounts, witness statements, tangible evidence, photographs, sketches, and confiscated property are documented, with a chain of custody feature ensuring the secure management of evidence. Integration between incident reports and the discipline module allows the initiation of disciplinary actions when warranted by an incident. Staff document all events related to an incident—such as restricted or necessary movements and lockdown orders—and send appropriate notifications as needed.

Incident and occurrence information integrates with investigations based on defined security permissions, and automated referral workflows will enable smooth transitions between investigations and other departments. Digital media of any size and type may be attached to incident or occurrence reports and allows links to external evidence repositories. Additionally, the system supports the entry and attachment of both witness and offender statements, as well as the uploading of other document attachments.

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2.6.8 PREA

The Prison Rape Elimination Act (PREA) is composed of multiple components to protect offenders from the threat of sexual abuse and manage those identified as potential predators. These components include the interview at initial intake processing, initial and ongoing risk assessment, housing placement, assignment to work and programs, transfer to other facilities, recording of threats, investigation, and healthcare follow-up, and reporting.

During the initial intake, an offender is interviewed and scored on the PREA Assessment Instrument to assess the risk of being a victim or a predator. To mitigate any assessed risk, this information then becomes an additional classification consideration for facility placement, housing assignment, and work or program assignment. For those offenders assessed as being potential victims, the goal is to mitigate the risk of sexual abuse from other offenders by placement in the most appropriate facility, to housing in a unit, wing, or floor that would provide additional protection, and to the assignment to work or programs where risks from predatory offenders are minimized.

2.6.9 Housing and Bed Management

Offender Movement within a correctional setting has several levels and variations. One variation is intra-facility movement, which takes place within one facility or complex. The other type of movement is inter-facility, which occurs when a distinct or permanent move is made between facilities. This common business function describes the process of moving offenders between facilities that have separate administrators but are within the same agency.

The offender movement process is required to facilitate the placement of offenders into appropriate facilities. The system is able to provide a snapshot of current bed availability, maintain bed/unit security level information, and a housing/bed waitlist.

Housing placements are based on several factors including, but not limited to, classification or risk assessment, program needs, medical needs, and institutional bed space needs. In addition to the actual offender move, the process tracks, records, and monitors the location of all individuals under the legal custody of the corrections agency. This information is able to be used to verify the location of any inmate in real-time. Hence, inmate accountability to official counts, housing assignments, program/work participation, visitation, food service, recreation, and external movement can be verified.

2.6.10 Grievances

Offenders in institutions and under DOC supervision are afforded an appropriate means for communicating their problems, with an expectation their problems will be heard and resolved. The resolution may be in many forms, from an action to correct the problem to an explanation of circumstances with no action at all. The process necessitates prompt responses, thorough documentation of all actions taken, and the capacity to effectively manage emergencies or unique circumstances. Additionally, it ensures the offender is granted the opportunity to appeal and request a review of the resolution if desired.

2.6.11 Scheduling

Scheduling encompasses the functions that facilitate offender and activity scheduling within a correctional facility. Staff members responsible for scheduling will follow all applicable policies and regulations regarding offender activity assignments within the correctional facility. Offender needs and the needs of the facility to perform day-to-day operations are also considered when

Iowa Department of Corrections Offender Management System Page | 13 performing activity assignments. A schedule coordinator at each facility will review facility needs and create and schedule activities to achieve the mission of the correctional agency.

2.6.12 STG (Gang Management)

The processes of identifying, validating, and collecting information about offender affiliation and participation with known social groups commonly referred to as gangs or security threat groups (STG), has been accepted as a vital tool in corrections. The assignment of staff to perform these tasks is indicative of the importance this information plays in the secure management of offenders.

STG staff are responsible for two primary functions that include the collection of valid information and the reporting of the information to appropriate entities.

The process begins during the reception process and continues with a periodic review by STG staff. The information that is collected is secured with restricted access to detailed information.

Line staff are able to view status indicators or flags that indicate offender gang affiliation(s). STG staff complete the screening process and validate offenders with an affiliation. The STG staff collect relevant information and maintain the records of offender affiliations and activities. The STG staff disseminates this information to affect security management objectives. The STG Steering Committee oversees the activities of the STG staff.

2.6.13 Trust Accounting (Offender Banking)

Offenders incarcerated under the jurisdiction of the correctional agency are considered wards of the governing entity. The governing entity acts as trustee of monies received from offenders upon transfer of custody, during their incarceration period, until the offender’s eventual release from custody. The offender trust accounting system provides a means for offenders to conduct their financial transactions both internally and externally. The system also provides the Agency the ability to maintain control of the medium of exchange for goods and services during the incarceration period, which is an essential element to facility security and offender custody and control. Offender account information is used by correctional staff to process withdrawals for various programs and services; outside agencies, dependents, and legal representatives use this information to determine the offender’s financial status with regard to making payments for financial obligations. The offender trust accounting module is part of the main OMS, not a sub-contracted third-party solution.

2.6.14 Property

Property describes all functions related to tracking offender property. Functions include receiving, transferring, storing, maintaining, releasing, and disposing of offender personal property and items brought during arrival, issued by the corrections agency, or received from approved sources like commissary.

2.6.15 Visitation

The offender visitation program is intended to promote family and supportive relationships that are important to offender stability during and after an incarceration period. This privilege requires that the Agency develop a process with a high degree of consistency and uniformity while maintaining the security of the facility.

The program considers the application and approval process for civilians to visit offenders and the routine processing of civilians through various secure points within the facility. This mandates the need to identify each individual visitor appropriately and accurately, and to confirm his or her relationship to the offender. A variety of security and legal restraints concerning the status of each visitor are also collected and recorded to prevent those under legal supervision or minors from

Iowa Department of Corrections Offender Management System Page | 14 unauthorized contact with offenders. The Agency may also restrict visitors from visiting more than one offender in the system without special approval. Another component of this program are visits by legal representatives, clergy, or other officially designated visits. Those involved in these visits are reviewed to ensure their official capacity.

Actual visits will be categorized as contact, non-contact, and legal visits. Contact visits are those under supervision in an open area, enabling some movement and restricted physical contact between visitor and offender. Non-contact visits are those conducted in an area designated with a special barrier to prevent physical contact between the visitor and offender or via video. Legal visits are business-related visits where specific rules protect the confidentiality of the visit yet ensure the security needs are adhered to during the visit.

2.6.16 Release and Discharge

Release of offenders to CBC can include a variety of assignments from community residential programs to various levels of home detention and reporting requirements. The status levels are those under institution supervision, probation supervision, parole supervision, and pre-trial supervision. Incarcerated supervision targets offenders in pre-release environments, with an imminent parole consideration or release date. In most cases, they must be referred for consideration and require the approval of both corrections and community officials. Parole supervision requires that the offender has received approval by the paroling authority to be released into the community under certain terms and conditions, and within several ranges of residential living to include their own residence.

Offenders may discharge directly from an institution, from a community placement while still on inmate status, from probation, or from parole. Once discharged the offender is no longer under the custody of DOC. However, discharged offenders may still be under legal obligation to report for registration based on statutory requirements.

At the various stages of release, parole, probation, and discharge the agency may be obligated to notify registered victims of the upcoming events.

2.6.17 Community-Based Corrections and Residential Supervision CBC takes many forms; the four most common business functions are a sentence to probation supervision, a release to parole supervision, pre-sentence supervision, or a pre-trial release assignment. Probation sentences are imposed by the courts, parole status is granted by an administrative board or by statute, and pre-trial/pre-sentence release statuses are assigned by the courts in conjunction with CBC districts.

CBC staff who are responsible for overseeing the supervised person in the community develop a case plan, optimally, the plan is developed with input from the person being supervised. The case plan protocols outlining rewards designed to incentivize success and sanctions designed to redirect behavior contrary to success. A roadmap for identifying housing, treatment, and employment needs and how services are established in the community to address those needs is also included in the plan.

The supervision process typically results in two main outcomes: Individuals either complete their supervision requirements and are released, or they do not meet the objectives set in their case plan, leading to a violation hearing that could result in incarceration.

2.6.18 Mobile and Remote Access

One of the most valuable aspects of an OMS is the data that can be easily accessed by staff.

Through multiple functions of an OMS, staff track, assess, visualize, and manage all the

Iowa Department of Corrections Offender Management System Page | 15 information needed to manage offenders successfully. and are able to complete critical tasks such as offender counts and searches at institutions.

The Agency currently accesses OMS information via laptops and personal digital assistants. The PDAs are used to record counts, document rounds, searches, and various other tasks. The laptops are able to access some areas of the OMS to perform tasks away from the office.

2.6.19 Board of Parole

The Board of Parole (BOP) is responsible for managing critical decision-making processes related to parole, executive clemency, commutation, and offender hearings, ensuring that all activities are conducted securely, efficiently, and in compliance with statutory guidelines.

The OMS is used to assist BOP staff to facilitate business processes for BOP reviews, parole revocation, appeals, and to accommodate unique BOP processes such as executive clemency and commutation. The system is also used for hearing scheduling, victim documentation and interactions, and tracking parole hearing outcomes.

2.6.20 Pre-Trial and Pre-Sentence Investigations

The DOC is responsible for completing pre-trial and pre-sentence investigations and when approved by the court, providing supervision to those assigned those statuses. In addition to case management activities as described in the CBC section, the process includes receiving PSI and pre-trial investigation requests, officer assignments, completing various questionnaires and documents, and electronically filing the investigation outcome and related documents with the court.

2.6.21 IPI and Commissary

Iowa Prison Industries (IPI) is a division of the DOC and operates two primary functions within correctional institutions: commissary services and manufacturing operations. The commissary allows offenders to purchase personal items and snacks, with orders processed via kiosks or paper forms. Funds are encumbered upon ordering, and items are packaged and delivered weekly.

Inventory is managed using their current commissary Vendor and OMS system, though manual tracking is also required to account for discrepancies and special orders. The process includes monthly inventory reporting and quarterly profit distribution to institutions.

IPI's manufacturing unit produces various goods such as textiles, signage, license plates, housekeeping supplies, and welding projects. All manufacturing activities, including work and purchase orders and payroll tracking, are managed in an Enterprise Resource Planning (ERP) system. The payroll system is complex, accounting for multiple pay rates and job-related hours as offenders move between projects.

2.6.22 Food Service

DOC’s current food service module is located in the Agency’s OMS and assists with supply ordering, kitchen inventory management, and meal tracking across various institutions.

2.6.23 Victim Services

DOC’s Victim Service Unit provides a range of support to victims after an offender’s conviction.

Its responsibilities include communicating essential information, managing notifications, overseeing victim contact issues, collecting victim impact statements, and running specialized programs such as the Victim-Offender Dialogue and Victim Wrap Around Programs. The unit is also responsible for victim registration and notifications but currently relies on external tools and manual processes outside of the OMS.