1_-_SOW_April_2016_-_No_Masters.pdf

Federal Bureau of Prisons

Community Treatment Services Drug Abuse Treatment and Mental Health

Treatment Services

Statement of Work

(April, 2016 – No Master’s Required)

TABLE OF CONTENTS

Purpose and Scope

The Bureau’s Commitment

Cognitive Behavioral Therapy

Target Population

Clinical Services

Treatment Authorization

Intake Screening

Treatment Services

Treatment Documentation

Clinical Treatment Plan

Monthly Progress Reports

Termination Reports

Clinical Interventions

File Maintenance

Communication

Accountability

Sign-In/Out Log

Partnerships

Administration

Facility Requirements

Agency or Facility Licensure/Certification

Staffing

Contractor Licensure

Background Information

Contractor’s Employee Standards of Conduct

Sexual Abuse Information

Drug Free Workplace

Training

Billing

Bureau Administration of Contract

Bureau Inspection of Services (Monitorings)

Contractor Evaluation

Deductions and Reimbursements

Community Treatment Services Statement of Work Page 3

1. PURPOSE AND SCOPE. The purpose of this Statement of Work (SOW) is to outline the Government's technical requirements for contractors who provide therapeutic services for Community Treatment Services (CTS) for substance use and mental health services to Federal inmates in the custody of the Bureau of

Prisons (Bureau), residing in a Residential Reentry Center (RRC) or placed on

Home Detention.

On occasion, the U.S. Probation Office may seek to use the same services for inmates under U.S. Probation Office supervision. The Supervisory Community

Treatment Coordinator (SCTC) must approve these placements. The contract requirements set forth in this document prevail and Bureau personnel remain the primary contract administrators.

The scope includes community substance use and mental health services for

Federal inmates nationwide. All services and programs must comply with this

SOW; the U.S. Constitution; all applicable Federal, state, and local laws and regulations; applicable Presidential Executive Orders (EOs); all applicable case laws, consent decrees, and court orders. When a conflict exists and a decision cannot be made regarding which standard is more stringent, the Bureau will determine which is appropriate. The contractor must comply with and carry out any applicable changes to Bureau policy, Department of Justice regulations, Congressional mandates, Federal law, or EOs.

Should the Government invoke such changes, the contractor retains its rights and remedies under the terms and conditions of the contract.

The Bureau reserves the right to enter into negotiations with the contractor to change the conditions or procedures in this SOW and the contract.

The Bureau reserves the right to have various staff monitor contract performance. The Bureau reserves the right to conduct announced and unannounced inspections of any part of the contractor’s operation at any time and by any reasonable method to assess contract compliance. The Bureau, or other appropriate agency, may investigate any incident pertaining to the performance of this contract. The contractor must comply and cooperate with the Bureau, or other appropriate agency, on all investigations, monitoring visits, inspections, and inquiries.

The contractor will submit any request for contract changes through the Federal

Acquisition Certification Contracting Officer’s Representative (FAC COR) for approval.

(Note: The terms “contractor” and “treatment provider” are considered synonymous and are used interchangeably throughout the document.)

2. THE BUREAU’S COMMITMENT. The Bureau is committed to providing quality, evidence-based psychological treatment to all inmates in transition to the community in need of these services. Bureau Psychology Treatment Programs are based on the most recent research and evidence-based practices, ensuring effective treatment programs. These evidence-based treatment practices are believed to lead to:

Community Treatment Services Statement of Work Page 4 the reduction of inmate misconduct;

the reduction of inmate misuse of mental health and medical resources;

the reduction of substance abuse, relapse, and recidivism;

the reduction of criminal activity;

an increase in the level of functioning for inmates with mental illness and behavioral disorders;

an increase in the level of the inmate’s stake in societal norms;

and an increase in participation in standardized community transition/aftercare treatment programs.

Community treatment increases the likelihood of treatment success and increases the public’s health and safety.

3. COGNITIVE BEHAVIORAL THERAPY (CBT). The Bureau’s Psychology Treatment

Programs are unified clinical services and activities organized to treat complex psychological and behavioral problems. The Bureau has chosen CBT as its theoretical model. CBT is a proven-effective treatment model with inmate populations. The Bureau seeks community-based treatment providers that adhere to CBT or use a theoretical model compatible with CBT (e.g., Motivational

Interviewing, Rational Emotive Behavior Therapy, and Dialectical Behavior

Therapy).

According to the CBT model, a person’s feelings and behaviors are influenced by his or her perceptions and core beliefs. By assisting inmates to perceive events objectively and modify their irrational beliefs, the model anticipates a person may become more successful in achieving pro-social goals.

CBT combines different treatment targets and pro-social specific conforming behaviors, focusing on an inmate’s:

core beliefs, intermediate beliefs, current situation, automatic thoughts, and the effect these thoughts and beliefs have on an emotional, behavioral and psychological level.

As an example, inmates’ ongoing criminal behavior is conceived, supported, and perpetrated by a set of habitual thinking errors: criminal thinking errors and cognitive thinking errors. Through CBT, the Bureau is able to treat inmates by replacing those thinking errors with pro-social thinking. Such thinking supports those behaviors that are consistent with the norms of a law-abiding community.

The Bureau has found these objectives mesh well with the traditional individual and group therapy, therefore, the contractor must have:

Community Treatment Services Statement of Work Page 5 a treatment philosophy and techniques that directly work in conjunction with the identified Bureau program philosophy;

documented experience working with an inmate population and an understanding of the criminal justice system;

other treatment protocols may be used in addition to the specified program protocols. These program additions must be CBT-based or compatible with CBT, and meet the goals of the treatment program (e.g., Motivational Interviewing, Rational Emotive Behavior

Therapy, and Dialectical Behavior Therapy). Additions must be approved by the FAC COR.

4. TARGET POPULATION. Inmates participating in institution Psychology

Treatment Programs:

Drug Abuse Participants. The Bureau operates a structured, multi-component drug abuse treatment protocol to identify inmates in need of substance abuse treatment upon entry and throughout their incarceration. This multi-pronged treatment delivery system accommodates the entire spectrum of inmates in need of substance abuse programs through the Drug Abuse Education Course, the Non-residential

Treatment Program, Residential Drug Abuse Programs (RDAP), and Follow-up

Treatment in general population and Community Treatment Services (CTS).

Those inmates who complete the in-prison element of RDAP are required to participate in community-based treatment to complete the program. These inmates will ordinarily be referred with clinical documentation, which is a summary of their in-prison treatment experiences, including an American

Psychiatric Association’s Diagnostic and Statistical Manual of Mental

Disorders (DSM) diagnosis, and recommendations from the prison-based clinician.

Mental Health Treatment. The Bureau has Psychology Treatment Programs designed to effectively manage and treat inmates with mental illness.

Specifically, the programs are designed to reduce psychological symptoms, improve functioning, facilitate institutional adjustment, and reduce incidents of misconduct. An inmate must have a serious mental illness as described in the DSM. Typically, the inmate’s functioning is significantly reduced by the mental illness or significant cognitive impairment.

The contractor must adhere to the requirements detailed below.

CLINICAL SERVICES

5. TREATMENT AUTHORIZATION. The treatment provider will receive a copy of the Treatment Authorization from the CTS Office for each inmate. The Treatment

Authorization will provide guidelines for the types of services and the number

Community Treatment Services Statement of Work Page 6 of counseling hours (e.g., frequency and duration) the inmate should receive from the treatment provider.

The treatment provider is expected to provide all Bureau authorized services as outlined on the Treatment Referral and Authorization Form. The treatment provider may recommend changes in the authorized services and frequency of treatment. The Bureau must authorize any changes to the treatment regimen in advance, including stopping treatment. The treatment provider will accept all referrals made by the Bureau for treatment services. If the contractor determines they cannot provide treatment for a particular type of inmate or condition, they must provide documentation, in writing, to the Bureau

(preferably at the time they provide a quote). Examples of the justification would be if placement in treatment would be a violation of local or state laws or ordinances.

The government will not reimburse the contractor for services that were not authorized in advance of the services being provided. Additionally, the contractor will only accept Bureau referrals from CTS staff.

6. INTAKE SCREENING. Within 10 calendar days or less of an inmate's arrival in the community, or receipt of the Treatment Authorization if received after the inmate's arrival in the community, the treatment provider must meet individually with each inmate.

substance use intake (project code 2000) mental health intake (project code 5000)

The treatment provider and RRC staff has an obligation to ensure contact is made with the inmate.

The purpose of the intake screening is to review required state, local, and agency policies and regulations with the inmate and to acquire the inmate's signature on all appropriate paperwork including the Transitional Drug Abuse

Treatment Authorization of Release of Information and the Agreement to

Participate in Community Transition Program (Informed Consent).

Inmates should be informed of the limits of confidentiality during the intake screening. Inmates should be aware that information will be disclosed to U.S.

Probation and others with a need to know.

Within 24 hours after the completion of the intake screening, the treatment provider must forward the Bureau via secure email or fax the following:

Initial Contact Report. At the intake screening the therapist will complete this form verifying that face to face contact was made with the inmate.

Authorization for Release of Information Form. Prior to the beginning of any interview or counseling, all inmates must complete this Bureau form.

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Agreement to Participate in Community Transition Program (Informed

Consent). Prior to the beginning of any interview or counseling, all inmates must complete the form. The therapist evaluates the inmate’s competency to give his or her informed consent prior to offering treatment or to prescribing medication. Competence to give informed consent means the inmate has a basic understanding of his or her diagnosis or condition and that the treatment being offered is for that condition. It also means the inmate has a basic understanding of the potential benefits, risks and side effects, and the inmate understands what to do in the event of any side effects. The inmate must understand he or she has the option not to participate in treatment. The inmate must also understand the consequences of his or her failure to participate, such as incentives lost or return to the institution if he or she chooses not to volunteer for treatment while in the community.

The therapist providing services is responsible for completing all documents in their entirety. If the inmate refuses to sign the above forms, the therapist must terminate the intake screening immediately and notify RRC and

CTS staff. They will immediately notify the RRC staff the intake was terminated and the inmate was sent back to the RRC. This ensures accountability of the inmate.

7. TREATMENT SERVICES.

All treatment services are face to face, in-person clinical interactions between an inmate and an appropriately licensed therapist. The interactions are deliberate and based on a cognitive-behavioral approach that has been demonstrated to effectively change behavior.

When a clinical assessment is authorized by the Bureau, it shall normally be completed and forwarded to the CTS Office within 14 calendar days of the intake screening. The Bureau reserves the right to require providers complete assessments in a shorter time frame.

substance use assessment and report (project code 2011) psychological evaluation and report (project code 5010) mental health assessment and report (project code 5011) psychological testing and report (project code 5020) psychiatric evaluation and report (project code 5030) crisis intervention (e.g., Prison Rape Elimination Act (PREA) evaluation and report, suicide risk assessments) (project code 6000) medication monitoring (project code 6051)

Counseling interventions target inmates’ criminogenic needs, such as antisocial attitudes and beliefs, to reduce the likelihood of misconduct and recidivism. Counseling sessions shall begin as soon as possible after the intake screening has been completed. The treatment regimen must not exceed a combined total of four hours (eight 30-minute units) per week, unless prior authorization is received from CTS staff. Unless otherwise authorized by the

Community Treatment Services Statement of Work Page 8

Bureau, the contractor shall not provide breaks during the course of individual or group therapy.

The types of treatment services which may be authorized include the following:

individual counseling(project code 2010), group counseling (project code 2020), family counseling (project code 2030), group family counseling (project code 2040), individual mental health counseling

(project code 6010), mental health group counseling (project code 6020), intensive outpatient counseling (project code 2080), therapeutic community treatment (project code 1001), short-term residential treatment (project code 2001).

The contractor will provide clinical services which accommodate varying inmate work schedules. Ordinarily, this includes morning and evening appointments.

The contractor is not authorized to use videotapes, DVDs, or any type of audiovisual media during the course of treatment.

NOTE: The contractor may not be authorized to provide all the Counseling

Services listed above. Refer to the contract for a list of authorized services.

8. TREATMENT DOCUMENTATION.

All treatment documentation must be signed by the therapist who provided the service. All treatment documentation must be individualized and contain specific examples of what the inmate is doing, saying and working on during the course of treatment. Generic content, templates, and general clinical themes do not constitute acceptable documentation of an inmate’s progress in treatment.

Clinical Assessment Reports must be in typed narrative form and contain, at a minimum:

the DSM diagnosis (including past diagnoses);

the specific test(s) administered during the assessment;

the significant background issues pertaining to family, relationships, health, mental health, substance use, education, medication, social issues and employment;

the inmate’s criminal history, to include statements documenting any disparity between the inmate’s self-report and supporting documentation;

a summary of the inmate's prior treatment experiences;

Community Treatment Services Statement of Work Page 9 specific recommendations for treatment; and the inmate’s involvement with drugs and/or alcohol, and indicate if the inmate’s use was 12 months before the inmate’s arrest on his or her current offense.

If treatment for the inmate is not clinically indicated, the assessor is to document their analysis leading to this decision and address any identified disparities between prior and current diagnoses. When treatment is indicated, all recommended interventions are to be detailed.

Mental health assessments require this additional information:

the inmate’s current mental health functioning and status, and an assessment of medication compliance, if applicable.

Crisis Intervention Assessments (e.g., PREA-related services, suicide risk assessment) at a minimum will include:

reason for and source of referral, narrative of event (for PREA-related cases only) risk and protective factors assessed, risk assessment findings, diagnosis, and follow-up recommendations.

The crisis intervention assessment will be completed within 24 hours of the request being made by CTS staff. The contractor will take appropriate action

(e.g., ensuring the inmate is transported to an emergency room, and immediately

(no later than the next business day) update the CTS office. The contractor will provide the assessment upon completion (not later than 24 hours after the assessment is completed).

Prison Rape Elimination Action (PREA) Intervention Guidelines. Following a

PREA-related allegation, CTS will contact the community treatment provider to authorize appropriate follow up mental health services. The inmate will be seen by the community treatment provider and offered any appropriate follow-up mental health services. The community treatment provider will evaluate the inmate’s current mental health adjustment, including assessing for possible suicidal thought or plan.

a. The inmate will be seen by a community treatment provider for the purpose of crisis intervention and the assessment of any immediate and subsequent treatment needs.

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b. The findings of this initial crisis evaluation session shall be summarized in a crisis intervention assessment and a copy provided to the CTS office.

c. Additional treatment services will be authorized as needed.

d. All treatment and evaluation sessions shall be properly documented to ensure continuity of care within, between and outside of Bureau facilities.

e. Should the inmate be released from custody during the course of treatment, they will be advised of other appropriate community mental health resources in the area.

9. CLINICAL TREATMENT PLAN. The individualized clinical treatment plan must be based on CBT practices and interventions. A clinical treatment plan must include goals and activities beyond abiding by RRC rules, obtaining employment and attending. The treatment plan should include goals to eliminate criminality, identify specific criminal thinking errors/patterns and necessary reentry goals such as to enhance family relationships, finances, education, etc.

A treatment plan must:

have a specific statement of the inmate’s problem(s) that will be addressed, contain measurable, time-bound goals, have specific action and activity steps to achieve those goals, have been signed and dated by the inmate and the therapist, and have been reviewed and updated as needed.

The clinical treatment plan must be based on a clinical interview, an ongoing assessment of the inmate’s treatment issues as observed in counseling sessions and include clinical information provided by CTS staff. It should also be consistent with the inmate’s diagnosis. The clinical treatment plan should be completed no later than the second monthly bill on which the inmate’s name appears.

10. MONTHLY PROGRESS REPORTS (MPRs). The treatment provider must submit an individualized summary on the progress of all inmates receiving treatment with the monthly bill. At a minimum, the MPRs should contain:

the inmate’s progress on each individual goal outlined in the treatment plan, A description of the inmate’s engagement in treatment sessions, attitude towards treatment, clinical impressions, interventions

Community Treatment Services Statement of Work Page 11 utilized, and any emerging treatment issues.

each pertinent issue affecting transition into the community, (e.g., problems with family integration or interpersonal interactions, spending time with former associates), medication compliance, reasons for missed appointments, whether excused or un-excused, and instances of inappropriate behavior and any intervention taken to address the behavior.

If the inmate is receiving medication monitoring from the contractor, the monthly progress report must include the name of the authorized practitioner who provided the medication monitoring, the date, and relevant comments (e.g., adjustment, responsiveness, need for change in medication).

The MPR must specify the name(s) of the clinicians providing group therapy, individual therapy, psychiatric evaluation, medication monitoring, or assessment. This would include a summary of all interventions and progress the inmate is making with all treatment staff contracted or subcontracted by the provider.

11. TERMINATION REPORT. There are several ways an inmate may be terminated from treatment. These include successful completion of treatment; being removed from treatment due to lack of progress; violation of rules of treatment or community placement; or withdrawal or refusal to participate in treatment.

Regardless of how an inmate departs treatment, the community-based treatment provider must complete an individualized termination report for all participants. The treatment provider must submit the Termination Report provided by the Bureau.

The Termination Report must be completed and forwarded to the CTS office and the receiving U.S. Probation Office, ordinarily 14 calendar days prior to the inmate's release date. For inmates removed for disciplinary or administrative reasons, the termination report must be sent within 14 calendar days of the inmate's removal from treatment. If necessary, CTS staff can provide the name and address of the U.S. Probation Officer contact. Termination reports completed by the community-based treatment provider are invaluable to U.S.

Probation staff in determining the inmate’s risk factors, need for continued treatment and release planning issues.

12. CLINICAL INTERVENTIONS. The following behaviors require the treatment provider to notify the RRC and the CTS Staff. Immediately, (i.e., at a minimum within 24 hours after an incident occurs) notify via telephone and document utilizing the Bureau Incident Report Form of the following:

actions which disrupt the treatment process of the inmate or other participants, Community Treatment Services Statement of Work Page 12 ongoing failure to participate, e.g., sleeping, a lack of motivation, failure to complete group work or homework, continued resistance to the therapeutic process, noncompliance with medication, mental health crisis or any significant incidents indicating the inmate is in distress, illegal behavior, including illicit drug use, use of alcohol, demonstration of violent behavior(s), including threatening statements, contact with victims, and unexcused absences from treatment appointments (e.g., canceled or rescheduled appointments, tardiness, or missed appointments).

In addition, the treatment provider is obligated to report other relevant negative information which comes to their attention regarding an inmate’s treatment or an inmate’s behavior which may be a threat to them or to public safety. In response to negative behavior the Bureau may request the treatment provider deliver an intervention or the Bureau may provide an intervention.

Upon consultation with CTS staff, an inmate may be removed from treatment for disruptive behavior or unsatisfactory progress in treatment. The Bureau has a full range of disciplinary procedures developed for inmates in Federal custody.

A copy of the Bureau’s Program Statement, 5270.09, Inmate Discipline Program, can be obtained by accessing the Bureau website at www.bop.gov.

13. FILE MAINTENANCE. The treatment provider shall maintain a treatment file for each inmate. Treatment files for Bureau inmates shall be maintained separately from non-Bureau files. The files should be maintained on-site, in a locked file cabinet or secure area. File material will be organized chronologically. The treatment provider should ensure complete confidentiality of all Bureau treatment records.

Health Insurance and Portability and Accountability Act (HIPAA) is binding on treatment providers and allows Federal clients to obtain copies of their existing treatment records with the following exclusions:

information that could place a third party at risk, psychotherapy notes, and information that a third party provides on a confidential basis.

Inmate requests for documentation regarding their treatment should be addressed in a timely manner and communicated to the CTS office.

The treatment file should include at a minimum the:

Treatment Authorization

Agreement to Participate in Community Transition Program (Informed

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Consent)

Authorization for Release of Information Form

Treatment Provider’s Treatment Contract (if applicable)

Sign-in/Sign-out Log

Assessment/Evaluation (if applicable)

Clinical Treatment Plan

Clinical notes

Monthly Progress Reports

In-Prison Clinical Material(if provided)

Termination Report

Chronological Contact Sheet

All clinical documentation must be signed by the therapist (e.g., physician, counselor, social worker) who actually provided the service.

Similar file structure is expected if electronic database systems are utilized by the treatment provider. The Bureau must be provided complete access, upon request, to all clinical records for Federal inmates. In the case a provider utilizes electronic files, this filing system must meet the Bureau’s electronic security requirements.

COMMUNICATION

14. ACCOUNTABILITY. Accountability is part of the treatment process and inmates are to be held responsible for the choices they make. The treatment provider must have a comprehensive inmate accountability program that ensures every inmate is accounted for while at the treatment provider’s facility.

The contractor must identify an RRC staff member or staff position to whom they will submit a weekly treatment schedule, that includes the appointment dates and times for each inmate. This schedule will be submitted to the RRC and to the

CTS office no later than 9 p.m., local time, Thursday of the week prior to treatment.

15. SIGN-IN/SIGN-OUT LOG. Inmates must sign in documenting the actual time of arrival to the facility and sign out documenting the actual departure time from the facility. The inmate and provider must additionally sign the Bureau provided

Sign-In/Sign-Out Log indicating the beginning and end of each service. The contractor must maintain a sign in/out log sheet for each Federal inmate. The log sheets must accurately reflect the type, duration, and time services are rendered (i.e., actual time in treatment). The inmate should sign in and out of various sessions while in treatment independently (i.e., if an inmate is in the facility for individual and group session consecutively they are expected to sign into and out of each session separately). The treating clinician must

Community Treatment Services Statement of Work Page 14 also sign the log sheet each time a clinical service is provided. Electronic signatures are not acceptable. Copies of the log sheets must be maintained in each inmate’s file and must be made available to Bureau staff upon request for review. The provider will utilize the Sign-In/Sign-Out Log sheet provided by the Bureau.

These documents will be reviewed during the monitoring of the contract, with the monthly invoices, and at any time requested by the Bureau staff.

CTS staff requires the original Sign-In/Sign-Out Logs with each monthly bill.

16. PARTNERSHIPS. Strong partnerships between treatment providers, Bureau facilities, Bureau offices, RRC, Residential Reentry Management Branch staff, U.S. Probation Officers, and CTS staff will create an effective support system for inmates and will enhance public safety.

a. Bureau facilities, Bureau Offices and Residential Reentry Management Staff.

Bureau staff are a valuable resource for the treatment providers when dealing with resistance in the treatment process. Treatment providers are encouraged to use these resources as needed, with permission from CTS staff. In addition, treatment providers in the local area of a Federal institution are encouraged to build a relationship with those institutions.

b. RRC Staff. Communication between the treatment provider and RRC staff is essential and ensures that continuous inmate accountability and public safety are maintained. Regular contact (i.e., at least monthly) with RRC staff and other involved staff is essential. This may be accomplished through on-site visits to the RRC, RRC staff making on-site visits to the treatment provider, telephone contacts. Treatment providers may also request to be a member of the

RRCs community relations board. RRC staff observes the inmate’s daily behavior and can reinforce the importance of the treatment provider’s role. The contractor shall document contacts with the RRC and make the documentation available for CTS staff to review during monitorings.

c. U.S. Probation Office. The treatment provider is strongly encouraged to establish a relationship with the U.S. Probation Office in the district they service. U.S. Probation Officers often have contact with inmates’ families and have other pertinent information which may assist the clinician to better serve the inmates. Additionally, U.S. Probation Officers have a vested interest in inmates since most inmates are released to a term of Supervised Release.

d. Contractor’s Community Referral Network. The contractor should have or demonstrate the ability to establish a community referral network (e.g., housing, medical, educational/vocational), that supports and complements the inmate’s life circumstance, treatment, and transition to the community. Through this community referral network, the contractor will have crisis intervention procedures in place for emergency referral and evaluation of inmates, if the need arises and the inmate cannot be evaluated by the agency’s mental health provider.

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ADMINISTRATION

17. FACILITY REQUIREMENTS. Treatment must be provided in the performance site specified in the contract unless otherwise authorized by Bureau staff. The contractor shall provide, and have on-site, documentation indicating necessary legal measures are taken to provide for continuity of service in the event of bankruptcy or incapacitation. The contractor shall meet the filing requirements necessary to maintain the legal authority to operate.

The contractor’s proposed site for services shall not change without the prior approval of the Bureau’s Contracting Officer through a request to the FAC COR including all applicable performance site information.

The treatment provider shall ensure the counseling location meets the space requirements for the treatment population and not share space with a group/organization which could be construed as a conflict of interest or exposes the inmates to prohibited groups, e.g., children. The treatment provider shall ensure the counseling rooms are private with no through traffic and allow for confidentiality. The counseling rooms should also be clean, well lit, free from extraneous noise, furnished with comfortable chairs, and Americans with

Disabilities Act (ADA) compliant. The intent of this requirement is to ensure the facility has an area conducive to counseling. Treatment providers are prohibited from utilizing audio/video monitoring or the electronic recording of treatment sessions without approval from CTS staff.

The treatment provider shall ensure the facility has a fax machine and Internet access. The only instance in which the contractor may email information is through Bureau approved servers or procedures via encryption software. This shall be approved by CTS Staff prior to utilization on the contractor’s part.

18. CONTRACTOR LICENSURE/CERTIFICATION. The facility where services will be provided shall be appropriately licensed and certified to provide all services agreed upon in the contract as required by the state authority where the services are being provided. The facility license shall be sanctioned by the state authority in the site in which services are being provided. All services for this contract shall be conducted at said licensed, certified facility. At no time will services be conducted at alternate locations, e.g., personal homes, public areas, or any location not previously approved by the Bureau. The prime contractor must be appropriately licensed and certified by the state and local authority as required to provide treatment services in the state where the services are being provided. The prime contractor has the responsibility to ensure proper management and oversight of their program and any subcontractors.

Absentee ownership will not mitigate program integrity, responsiveness or responsibility.

If treatment services are conducted at the RRC, the contractor shall have a letter from the RRC’s authorized negotiator granting permission to use the facility.

Permission shall be granted for the entire length of the contract. The space provided by the RRC shall be reserved for outpatient drug treatment or mental health services and provide a setting conducive to effective treatment as

Community Treatment Services Statement of Work Page 16 outlined in the “Facility Requirements” section of this SOW. If required, the

RRC shall also be licensed by their state to have all services specified in the contract.

Any rental or lease contract required by the RRC for use of their facility, and any fax machine, telephone, computer or property or equipment owned by the RRC, is solely between the contractor and the RRC’s authorized negotiator. When said contract or agreement is made, the contractor shall continue to maintain the overall responsibility of this SOW.

19. STAFFING. All new counselors providing direct clinical services to Bureau inmates shall be approved by the Bureau prior to providing services. The contractor shall hire key personnel determined by the contractor and approved by the Bureau to meet the requirements set forth in the SOW. The number of staff shall be adequate to perform the tasks associated with the SOW. The contractor will identify the key personnel by name, position, and responsibility. The

Bureau must approve changes to key personnel before the staff member is employed in a key personnel position. The contractor will staff all key personnel positions throughout the performance of the contract. The contractor will notify the Bureau in writing if any key personnel vacate a position permanently and indicate when an equivalent replacement will be made. The replacement staff must be equivalent in credentials and experience. The notification to CTS will occur within three calendar days of the vacancy. It is the Bureau’s expectation services will be provided during staff absences (e.g., vacation, sick leave).

The contractor is responsible for providing services with staff that are equally credentialed to key personnel during these instances.

The contractor’s program shall establish limits on caseload size and group size to ensure effective treatment. Group sessions shall not exceed 12 inmates unless

Bureau staff has given their permission to increase the size of the group. The contractor must justify the caseload size based on the number of inmates to be served, program design, characteristics and needs of the population served to include gender concerns, and any other factors.

The contractor shall provide or have access to bilingual treatments services for non-English speaking inmates (i.e. Spanish, ALS, French, etc.). Bilingual services shall be available to non-English speaking inmates, as long as there is a need for these services.

20. CONTRACTOR LICENSURE. The contractor shall ensure all personnel providing direct clinical services to Bureau inmates maintain, at a minimum, the appropriate license/certification to independently (i.e., without direct supervision) provide clinical services, as required by the state authority, where the services are being provided. All licenses must be current. Contractors shall forward documentation no later than 60 days after the license expiration date showing a renewed or current license. The Bureau reserves the right to exclude any clinician who has pending allegations of misconduct, previous disciplinary actions, or who is currently being investigated by the Bureau’s

Office of Internal Affairs, the Department of Justice Inspector General’s Office, or the applicable state or national licensing board(s). The contractor is

Community Treatment Services Statement of Work Page 17 responsible for reporting to the Bureau any pending investigations or sanctions involving staff providing services under the contract.

At no time will direct clinical services be provided to Bureau inmates by personnel not authorized to conduct such services by the licensing authorities in the state where the services are provided. At no time will providers that do not meet the minimum state requirements be considered to provide direct clinical services to Bureau inmates.

If interns or trainees are utilized to provide direct clinical services to Bureau inmates, they shall adhere to all state requirements to conduct such services

(i.e., education, experience, and clinical supervision). Interns or trainees must also work directly (i.e., in the same room) with a licensed staff member when providing direct clinical services. At no time should direct clinical services be provided to Bureau inmates by personnel not authorized to conduct such services by the state licensing authorities where the services are provided.

A provisional license is not acceptable as a license. National or regional certification boards that issue credentials not specifically granted authority to license treatment practitioners in a given state cannot be utilized to satisfy the licensing requirement. State license reciprocity agreements are acceptable if the appropriate documentation has been submitted and approved by the state authority (i.e., International Certification and Reciprocity Consortium).

Note: If a state requires a practitioner to obtain a specific license/certification to provide substance abuse treatment services, then this supersedes any other certifications or credentials. A substance abuse specific license/certification is not required if the state where services are provided allows psychologists, licensed social workers, licensed professional counselors, etc. to conduct such services. Clinicians providing substance abuse treatment should have experience providing substance abuse treatment.

The contractor must ensure fully licensed staff provides services in accord with all state licensing requirements.

Practitioners performing assessments or psychiatric evaluations:

are licensed to conduct psychological or psychiatric evaluations in the state where services are being rendered, and;

meet the standards of practice established by their state’s professional regulatory board.

The contractor must have a qualified practitioner (i.e., Physician, Physician

Assistant, Advanced Practice Registered Nurse Practitioner/Specialist) with prescriptive authority who meets the standards of practice established by his/her state’s professional regulatory board to provide medication monitoring. The individual’s license must be in the state in which service is provided and the license must be submitted with the quote.

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21. BACKGROUND INFORMATION. All contract employees must be approved by the

Contracting Officer’s Representative (FAC COR) before they work with Federal inmates. This includes all employees, subcontractors, volunteers, and interns who have access to inmates’ personally identifiable information, treatment records, contract documentation, billing invoices, or other relevant inmate information.

The contractor shall submit a person's name and relevant information to the FAC

COR for a background check only after the contractor has determined that this person is appropriate for employment or volunteer work with Federal inmates. The contractor shall secure from all individuals the contractor has determined are appropriate for employment and any person who will work with Federal inmates, (i.e., volunteers, interns, trainees, subcontractors) a signed consent form using, Request For Contract Staff Background Investigation. The intent is to screen applicants to determine their acceptability to work with Federal inmates.

The information shall include full name, all aliases used, date of birth, place of birth, sex, race, and, social security number. The contractor shall notify this person that a National Crime Information Center/National Law Enforcement

Telecommunication System (NCIC/NLETS), fingerprint (if applicable), criminal records and other appropriate background checks will be processed by the Bureau to verify this information.

The contractor shall then submit to the FAC COR the relevant information, including the signed NCIC Check form. This begins the background check process.

Treatment provider staff shall not begin working with Federal inmates prior to obtaining clearance from the FAC COR. The FAC COR may grant the person clearance to work with Federal inmates after the NCIC/NLETS check is conducted if the results of the check are appropriate.

If the NCIC/NLETS check results in a negative finding, an additional background check may be initiated, to include a request for the fingerprints from the proposed employee. The FAC COR may authorize the contractor to obtain fingerprints of their employee and forward the fingerprint cards to the Bureau.

In this instance, the final approval or disapproval by the FAC COR will follow the FAC COR's receipt of the fingerprints or other background checks.

The contractor shall understand that the granting of final approval shall not occur until after the FAC COR receives a response(s) from the background checks and these checks yield acceptable results. This action does not prevent, preclude, or bar the withdrawal or termination of any prior clearance or approval by the FAC COR at any time during the term of the contract.

The contractor shall verify the training and experience of all staff. This verification includes credentials for all professional staff. The contractor shall document verification in the personnel file and make it available to CTS staff during inspections. The contractor shall voucher potential employees through reference and employment checks. The contractor shall document information regarding reference and employment checks in the employee's personnel file.

Community Treatment Services Statement of Work Page 19

There may be occasions when an individual is prohibited from working with

Federal inmates by the Bureau, but the contractor still wants to appeal the decision. That is, the contractor wants to request the individual be allowed to work with Federal inmates. The contractor may appeal the decision by submitting, to the SCTC, a written justification as to why an individual should be approved to work with Federal inmates. The SCTC will review the appeal and make a determination to grant or deny the appeal.

Contractors must adhere to the Residency Requirement Clause. The clause applies to all employees, volunteers, interns, and subcontractors working with Federal inmates as follows:

“52.27-103-72 DOJ CONTRACTOR RESIDENCY REQUIREMENT BUREAU OF PRISONS (JUNE

2004)

For three (3) of the five (5) years immediately prior to submission of an offer/bid/quote, or prior to performance under a contract or commitment, individuals or contractor employees providing services must have:

1. Legally resided in the United States (U.S.);

2. worked for the U.S. overseas in a Federal or military capacity; or

3. been a dependent of a Federal or military employee serving overseas.

If the individual is not a U.S. citizen, they must be from a country allied with the U.S. The following website provides current information regarding allied countries: http://www.state.gov/s/l/treaty/collectivedefense/”

22. CONTRACTOR’S EMPLOYEE STANDARDS OF CONDUCT. The contractor shall develop and use written policy, procedures and practice, herein called Contractor’s

Employee Standards of Conduct, for employee conduct, ethical behavior, and responsibility. The contractor shall notify its employees of the Contractor’s

Employee Standards of Conduct.

The contractor shall require all employees to sign an acknowledgment that they have received and understand the Contractor’s Employee Standards of Conduct.

The acknowledgment shall also indicate the contractor will require all employees to cooperate fully by providing all pertinent information which they may have to any investigative authority. Full cooperation includes truthfully responding to all questions and providing a signed affidavit, if requested.

The contractor shall retain a signed copy of this acknowledgment in each of its employees’ personnel files. If at any time an investigation uncovers evidence of criminal behavior, the investigation process will immediately terminate and appropriate law enforcement officials will be notified.

Investigative authorities include, but are not limited to, investigations conducted by the Department of Justice, (e.g., the Federal Bureau of

Investigation, U.S. Marshals Service, Office of the Inspector General, Office of Professional Responsibility, Bureau Office of Internal Affairs, Bureau

Special Investigative Agent, Bureau Special Investigative Supervisor, Equal

Employment Opportunity Investigator) and others (e.g., Department of Labor, Community Treatment Services Statement of Work Page 20

Office of Personnel Management, U.S. General Accounting Office), or any other agent or agency the FAC COR authorizes or directs to conduct an investigation.

a. At a minimum, the Contractor’s Employee Standards of Conduct shall require employees to conduct themselves in accordance with the following standards:

The contractor shall require its employees to conduct themselves professionally and in a manner that creates and maintains respect for the

RRC, Bureau, the Department of Justice (DOJ), and the U.S. Government.

The contractor shall require its employees to avoid any action that might result in, or create the appearance of, adversely affecting the confidence of the public in the integrity of the RRC, Bureau, DOJ and U.S. Government.

The contractor shall require its employees to uphold all ethical rules governing their professions, including complying with applicable licensing authority rules, unless they conflict with legal laws.

The contractor shall prohibit its employees from using or possessing illegal drugs or narcotics. The contractor shall prohibit its employees from abusing any drugs or narcotics. The contractor shall prohibit its employees from using alcoholic beverages and being under the influence of alcohol while on duty, present in the facility, or immediately before reporting for duty. The contractor shall indicate to contractor’s employees that when a contractor’s employee’s blood alcohol content level is 0.02 percent or greater he or she will be considered to be under the influence of alcohol.

The contractor shall prohibit its employees from showing partiality toward, or become emotionally, physically, sexually, or financially involved with inmates, former inmates, or the families of inmates or former inmates.

The contractor shall prohibit its employees from engaging in, or allowing another person to engage in, sexual behavior with an inmate. The contractor shall indicate to its employees that regardless of whether force is used or threatened, there can be no “consensual sex” between contractor’s employees and inmates. In accordance with the Prison Rape

Elimination Act of 2003 (PREA), contractors must adopt a zero-tolerance standard for the incidence of inmate sexual assault and rape.

The contractor shall prohibit its employees from offering or giving an inmate or a former inmate, or any member of an inmate’s family, or to any person known to be associated with an inmate or former inmate, any article, favor, or service, which is not authorized in the performance of the contractor’s employee's duties. The contractor shall prohibit its employees from accepting any gift, personal service, or favor from an inmate or former inmate or from anyone known to be associated with or related to an inmate or former inmate. The Contractor’s Standards of

Employee Conduct, will clearly state that this staff prohibition includes any involvement with an inmate’s family members or any known associates

Community Treatment Services Statement of Work Page 21 of an inmate. The contractor shall prohibit its employees from showing favoritism or give preferential treatment to one inmate, or a group of inmates, over another inmate.

The contractor shall prohibit its employees from using profane, obscene, or otherwise abusive language when communicating with inmates, fellow employees, or others. The contractor shall require its employees to conduct themselves in a manner that is not demeaning to inmates, fellow employees, or others.

The contractor shall require its employees to remain fully alert and attentive during duty hours.

The contractor shall prohibit its employees from having any outside contact with an inmate, former inmate, inmate's family or close…