NERO SOW June 2010 No Masters Required- Revised March 2011.pdf

Federal Bureau of Prisons

Community Transitional Drug Abuse Treatment and Mental Health Treatment Services

Statement of Work

(June 2010 No Master s Required)

Revised March 2011

Northeast Region Philadelphia, Pennsylvania

TABLE OF CONTENTS

Listed by Section Number

Purpose and Scope

The Bureau s Commitment

Cognitive Behavioral Therapy

Target Population

Clinical Services Counseling Services Treatment Authorization

Initial Meeting

Assessments/Psychiatric Evaluations

Clinical Treatment Plan & Case Notes

Monthly Progress Reports

Clinical Interventions

Termination Report

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

Withholding and Reimbursements

Attachments

List of Attachments ...........................Will be forwarded upon award

Transitional Drug Abuse Treatment Statement of Work Page 4

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 transitional drug abuse treatment (TDAT) and mental health services to federal inmates, in the custody of the Bureau of Prisons

(Bureau), residing in a residential re-entry center (RRC) and/or placed on home detention/confinement.

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

Drug Abuse Treatment Coordinator (T-DATC) 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 TDAT 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 (EO); 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 EO.

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 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 facility at any time and by any reasonable method to assess contract compliance. The Bureau may investigate any incident pertaining to the performance of this contract. The contractor must comply and cooperate with the Bureau on all investigations, monitoring visits, inspections, and inquiries.

The contractor will submit any request for contract changes through the T-DATC to the Contracting Officer (CO) for approval.

(Note: The terms contractor and treatment provider are considered

Transitional Drug Abuse Treatment Statement of Work Page 5 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 designed on the most recent research and evidence-based practices, ensuring effective treatment programs.

These evidence-based treatment practices are believed to lead to:

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 standardized community transition/aftercare treatment programs. Transition 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.

Therefore, 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, Cognitive Mapping, etc.).

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

Transitional Drug Abuse Treatment Statement of Work Page 6 beliefs, the model anticipates they may become more successful in achieving pro-social goals.

CBT combines different treatment targets and 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. By using

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/or group therapy, therefore, the contractor must have a treatment philosophy and techniques that directly work in conjunction with the identified Bureau program philosophy; and have documented experience working with an inmate population and must understand the criminal justice system.

4. TARGET POPULATION. Inmates participating in institution psychology treatment programs:

Drug Abuse Participants. The Bureau operates a structured drug abuse treatment program to identify inmates in need of substance abuse treatment upon entry and throughout their incarceration. This multi-pronged treatment delivery

Transitional Drug Abuse Treatment Statement of Work Page 7 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), Follow-up Treatment in general population and Community Transitional Drug Abuse Treatment

(TDAT).

Those inmates who complete the in-prison 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 mentally ill inmates. Specifically, the programs are designed to reduce psychological symptoms, improve functioning, facilitate institutional adjustment, and reduce incidents of misconduct. An inmate must meet one of the following criteria to be admitted into community-based mental health treatment:

the inmate must have a major mental illness to include psychotic disorders, mood disorders, anxiety disorders, personality disorders, or significant cognitive impairment based on the

DSM,

the inmate s functioning is significantly reduced by mental illness or significant cognitive impairment.

REQUIREMENTS CONTRACTOR MUST ADHERE TO:

Clinical Services

5. COUNSELING SERVICES. Counseling sessions shall target the inmates

Transitional Drug Abuse Treatment Statement of Work Page 8 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 initial meeting has been completed. Assessment and Report (project code 2011), if authorized includes the total amount of time to complete the assessment is and billed as one unit. The Assessment charges should not appear on the invoice until the assessment has been forwarded to the TDAT office and are only reimbursed if the report is received. The treatment regimen for the following services must not exceed a combined total of four hours (eight 30-minute units) of:

individual (project code 2010), group (project code 2020), family counseling (project code 2030), group family counseling (project code 2040), intensive outpatient counseling (project code 2080), therapeutic community treatment (project code 1001), short-term residential treatment (project code 2001), mental health intake assessment and report (project code 5011), mental health counseling/Individual Counseling (project code 6010), mental health counseling/Group Counseling (6020), medication monitoring (project code 6051), Psychological evaluation and report (5010), psychological testing and report (5020), psychiatric evaluation and report (5030), and any combination thereof, per week with prior approval of the Bureau.

The contractor will provide clinical services that accommodate varying work schedules. Ordinarily, this includes morning and evening groups/individual counseling.

NOTE: This contract may not authorize the contractor to provide all Counseling

Services listed above. The only services permitted by this contract are the contract line items provided in the Pricing Schedule (see Standard Form 1449, Block 20). Additional services not provided in the Pricing Schedule may be authorized by the Contracting Officer only.

Transitional Drug Abuse Treatment Statement of Work Page 9

Therapeutic community treatment is for a period not to exceed 180 days.

Short-term residential treatment is for a period not to exceed 90 days. Each service requires the same monthly progress report reviews by the contractor.

Medication monitoring is used to evaluate the efficacy of the medication, laboratory testing, monitoring laboratory test results and making changes to the treatment regimen.

The treatment provider may recommend changes in the authorized services and/or frequency of treatment. The Bureau must authorize any changes to the treatment regimen in advance, including stopping treatment. The government will not reimburse the contractor for services that were not authorized in advance of the services being provided.

6. TREATMENT AUTHORIZATION. The treatment provider will receive a copy of the Treatment Authorization from the T-DATC for each inmate containing information regarding the inmate's placement in the RRC and clinical material from the inmate s in-prison experience that is available at the time of referral.

The Treatment Authorization will also provide guidelines for the number of counseling hours and types of services the inmate should receive from the treatment provider.

7. INITIAL MEETING. Within 10 working 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. The purpose of the meeting is to acquire the inmate's signature on all appropriate paperwork, conduct an assessment/intake, if authorized, and begin to develop a treatment plan.

The inmate will be held accountable for contacting the treatment provider within three working days after receiving the referral form. However, if the inmate does not contact the treatment provider, the treatment provider must contact the RRC and TDAT office. The contractor and RRC staff also have an obligation to ensure contact is made with the inmate. The treatment provider must notify the

TDAT staff via fax using the initial contact form (Attachment), within one working day of the initial meeting to verify that contact was made. At the initial meeting the following should occur:

Transitional Drug Abuse Treatment Statement of Work Page 10

Bureau Authorization to Release Confidential Information Form. At the initial meeting, and prior to the beginning of any interview or counseling, all inmates must complete a Bureau Authorization to Release Confidential

Information Form. The treatment provider will ensure a copy, with all required signatures, is placed in the inmate's treatment file with a copy forwarded to TDAT staff, along with the initial interview/contact form.

Informed Consent. At the initial meeting, and prior to the beginning of any interview or counseling, all inmates must complete an Informed

Consent Form. The treatment provider is to evaluate the inmate s competency to give his or her informed consent prior to 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 that 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 treatment provider will ensure a copy with all required signatures, is placed in the inmate s treatment file with a copy forwarded to TDAT staff along with the other initial contact forms.

If the inmate refuses to sign the forms the treatment provider is responsible for stopping the session immediately and notifying TDAT staff. Treatment staff must direct the inmate to return to the RRC. They should also immediately notify the RRC staff that the session was stopped and the inmate was sent back to the RRC. This ensures accountability of the inmate.

Inmates should be informed of the limits of confidentiality during the initial contact. The inmates should be aware that information will be disclosed to U.S. Probation and others with a need to know, Residential Reentry Center staff, for example. Records forwarded to the treatment provider and those developed during the course of treatment are the property of the Bureau of Prisons and are developed at the behest of an institution. The Privacy Act and the Freedom of Information Act

Transitional Drug Abuse Treatment Statement of Work Page 11

(FOIA) will govern release of the records that inmates may obtain through the Bureau of Prisons

FOIA procedures. Treatment agencies will not release treatment documents to inmates unless authorized by Bureau staff to do so.

Treatment Documentation

8. ASSESSMENTS/PSYCHIATRIC EVALUATIONS. The Bureau determines if an assessment is needed based on the available clinical information concerning the inmate s drug abuse treatment and/or mental health history. If an intake assessment is required by the state s licensing board, the Bureau shall authorize an intake assessment. The assessment reports should be forwarded to the TDAT office, as soon as possible, but must be forwarded to TDAT prior to appearing on the invoice. An assessment and/or psychological evaluation must be in narrative form and contain, at a minimum:

the DSM diagnosis, the specific test administered during the evaluation, the significant background issues pertaining to family, relationships, health, mental health, education, medication, social issues and employment, the inmate s criminal history, statements documenting any disparity between the inmate s self report and supporting documentation, a summary of the inmate's prior treatment experiences, and the specific diagnostic impressions and recommendations for treatment.

However, if treatment for the inmate is, or is not indicated, the assessor is to document his or her analysis leading to the decision. In addition, when treatment is indicated all recommended interventions are to be detailed.

Substance Abuse assessments require this additional information:

the inmate s involvement with drugs and/or alcohol, and indicate if the inmate s use was 12 months prior to the inmate s arrest on his or her current offense.

Psychiatric Evaluations or mental health assessments, if authorized will be completed no later than five days of the inmate s arrival at the RRC or receipt of the referral form and require this additional information:

the inmate s current mental health functioning and status, and

Transitional Drug Abuse Treatment Statement of Work Page 12 an assessment of medication compliance, if applicable.

The contractor shall send the evaluations with the monthly bill; however, the Bureau may direct the contractor to fax the information upon completion.

Ordinarily, evaluations shall be faxed no later than three days after seeing an inmate.

9. CLINICAL TREATMENT PLAN. The clinical treatment plan must be based on the CBT theory. A clinical treatment plan must include goals and activities beyond abiding by RRC rules, employment and treatment attendance. The treatment plan should include goals to eliminate criminality, identify specific criminal thinking errors/patterns and necessary re-entry goals such as enhance family relationships, finances, education, etc. A treatment plan must:

have a specific statement of the inmate s problem that will be addressed, identify criminal thinking errors the inmate engages in

(Attachment) contain measurable, time-bound goals, have specific action and activity steps to achieve those goals, be individualized, signed by the inmate, and dated, and be reviewed and updated as needed as clinical issues surface throughout the course of treatment.

Inmates should be given a homework assignment prior to the treatment planning session to encourage the inmate to take a proactive role in the development of their individualized treatment plan. The clinical treatment plan must be based on a formal, documented assessment or intake interview, and clinical information provided by the TDAT staff. It should also be consistent with the inmate s diagnosis. The clinical treatment plan should be sent to the Bureau with the monthly bill no later than the second bill on which the inmate s name appears.

Case notes should be written for each inmate contact. The case notes should allow someone reading the note to be able to clearly understand what occurred during the session. The case notes should have a date of service

Transitional Drug Abuse Treatment Statement of Work Page 13 and the time the session began and ended. Case notes should define and discuss why the client is in the treatment session and answer what problem is the treatment session addressing? The note should state what clinical interventions that were used to address the problem. The case notes should include clinical information including discussion of the inmate s presentation and the clinician s impressions. Treatment plan problems should be addressed in the case notes. Group case notes should also include a topic, reflect the number of members in the group, contain specific information about the individual participant’s presentation and progress or regress toward the inmate’s treatment plan goals. Case note information should be reflected in the Monthly Progress Reports.

10. MONTHLY PROGRESS REPORTS (MPRs). The treatment provider must submit information on the progress of all inmates receiving treatment with the monthly bill. Inmates should be given a written, monthly homework assignment prior to the clinician completing the Monthly Progress Report, which will portray the client s perception of his or her progress toward goals/objectives and assist the clinician in completing a detailed

MPR. The homework assignment must clearly identify that the inmate is reporting on progress or regress toward the established treatment plan goals and be attached to the inmate s MPR.

Additionally, the agency case notes must reflect that the counselor reviewed the homework assignment and addressed clinical issues with the inmate, criminal thinking errors, etc. At a minimum, the MPRs should contain:

the inmate s progress on each individual goal outlined in the treatment plan, each pertinent issue affecting transition into the community, e.g., problems with family integration, spending time with former associates, medication compliance, reasons for missed appointments, whether excused or un-excused, and instances of inappropriate behavior and any corrective action taken.

Transitional Drug Abuse Treatment Statement of Work Page 14

The MPR may be the contractor's progress notes or similar material, if they address all areas listed above and specifically note progress on all treatment goals.

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, length of contact, and comments (i.e., adjustment, responsiveness, need for change in medication, etc.).

There must be a collaborative effort to ensure a comprehensive plan is developed to effectively provide services to the dual diagnosed inmate.

11. Clinical Interventions. An inmate may be removed from treatment for disruptive behavior or unsatisfactory progress in treatment. The following behaviors require the treatment provider to document and notify the RRC and the TDAT Staff immediately but not more than 24 hours after an incident, via telephone, of the following:

actions which disrupt the treatment process of the inmate or other participants, ongoing failure to participate, e.g., sleeping, a lack of motivation, failure to complete group work or homework, continued resistance to the therapeutic process, non compliance 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 un-excused absences from treatment appointments (e.g., canceled, rescheduled, tardiness or broken appointments).

Inmate Behavior. Showing up for treatment sessions is required. Inmates must demonstrate that they are making satisfactory progress in and

Transitional Drug Abuse Treatment Statement of Work Page 15 benefitting from treatment. Making satisfactory progress and benefitting from treatment will be demonstrated by:

accepting and acknowledging his or her diagnosis;

is making a commitment to positive change as evidenced by observation of positive behavior in his or her daily interactions;

expressing him or herself in group, demonstrating the ability to give and receive appropriate feedback from staff and inmates; and is learning or continuing to incorporate treatment concepts

When inmates are failing to make satisfactory progress toward time bound, measurable treatment goals or are disruptive, clinical staff will provide interventions. Those interventions will include:

meeting with the inmate to discuss his or her behavior and/or lack of progress in treatment assigning treatment interventions to reduce or eliminate the behavior and improve treatment progress warning the inmate of the consequences of failure to alter his/her behavior requiring the inmate to discuss his or her lack of progress, all RRC incident reports (formal and informal) and warning letters from TDAT in group sessions and accept feedback from his peers documenting the meeting, intervention and updating the treatment plan

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 themselves or to public safety. In response to negative behavior the Bureau may request the treatment provider to deliver an intervention or the Bureau may provide an intervention.

The Bureau has a full range of disciplinary procedures developed for inmates in federal custody. A copy of the Bureau s Program Statement, Inmate Discipline

& Special Housing Unit can be obtained by accessing the Bureau website at www.bop.gov.

Transitional Drug Abuse Treatment Statement of Work Page 16

12. 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. Regardless of how an inmate departs treatment the community-based treatment provider must complete a termination report for all participants. The treatment provider must submit a termination report which is narrative in form and addresses the following:

diagnosis, date(s) of service, type of service (individual, group, etc.), presenting problems, overall progress on treatment plan, modalities of treatment provided, response to treatment, medication compliance, if applicable, reentry plan (where does the inmate plan to work, live, etc.)

reason for failure or removal, if applicable, prognosis, and specific recommendations for continued treatment or state that no further treatment is necessary. For example, if monthly individual counseling and weekly group treatment is recommended, the clinician will include clinical impressions and statements as to why there are recommendations for continued treatment and summarize ongoing issues.

If there is no recommendation for continued treatment, the clinician will clearly state the rationale for terminating services, beyond the fact that the inmate is releasing from Bureau of Prisons custody.

The termination report must be completed and forwarded to the TDAT office and the receiving U.S. Probation Office, ordinarily 15 working days prior to the inmate's release date. TDAT staff will provide the name and address of the U.S. Probation Officer contact. For inmates removed for disciplinary and/or administrative reasons, the termination report must also be sent within 10 working days of the inmate's removal from treatment.

Transitional Drug Abuse Treatment Statement of Work Page 17

The termination report must be completed and forwarded to the TDAT office and the receiving U.S. Probation Office, ordinarily 15 working days prior to the inmate's release date. TDAT staff will provide the name and address of the

U.S. Probation Officer contact. For inmates removed for disciplinary and/or administrative reasons, the termination report must be sent within 10 working days of the inmate's removal from treatment.

13. FILE MAINTENANCE. The treatment provider shall maintain a treatment file for each inmate. All treatment documentation will be typed. That includes assessments, mental health and psychiatric evaluations, treatment plans, case notes, MPRs and termination reports. Bureau treatment files 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 (HIPPA) is binding on treatment providers and allows federal clients to obtain copies of their existing treatment records with the following exclusions: 1) information that could be a third party at risk, 2) psychotherapy notes, and 3) information that a third party provides on a confidential basis. If any federal client requests information from their file, please contact Bureau staff for permission prior to having the inmate complete a HIPPA Release Form specifying documents they would like copies of, and completing their request. The treatment file should include at a minimum the:

Treatment Authorization, Bureau Authorization to Release Confidential Information Form, Informed Consent Form, Treatment Provider s Treatment Contract (if applicable), Sign-in/Sign-out Log, Assessment, Treatment Plan, Clinical notes, Monthly Progress Reports, In-Prison Clinical Material(if provided), Transitional Drug Abuse Treatment Statement of Work Page 18

Termination Report, and

Chronological Contact Sheet. The chronological contact sheet will document all collateral contacts including contacts with U.S.

Probation Officers, RRC staff, TDAT staff and ancillary agencies contacted for inmate services. The chronological sheet will also be used as agency documentation for the dates required paperwork is forwarded to the TDAT Office.

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.

Inmates should sign into the facility and document the actual time they arrive and depart the building. The vendor/contractor must submit a weekly treatment schedule that includes the appointment dates and times for each inmate, to the

RRC and TDAT office no later than Thursday of the week prior to treatment.

15. SIGN-IN/SIGN-OUT LOG. The contractor must maintain a sign-in/out log sheet for each federal inmate. The log sheets will document the actual time spent in treatment. The log sheets must be maintained in each inmate s file and must contain:

the inmate s full name (printed or typed), the inmate s register number, the session date, the starting and ending time of the session, the type of treatment, (i.e., assessment(A), individual(I), etc.), and the inmate s signature after each session.

These documents will be forwarded with the monthly invoice and reviewed during the monitoring of the contract.

Transitional Drug Abuse Treatment Statement of Work Page 19

16. PARTNERSHIPS. Strong partnerships between treatment providers, Bureau facility staff, RRC staff, Community Corrections Management Office staff, U.S.

Probation Officers, and TDAT staff will create an effective support system for inmates and will enhance public safety.

b. Bureau Facility Staff and Community Corrections Management Office

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 TDAT staff.

In addition, treatment providers in the local area of a Federal Institution are encouraged to build a relationship with those institutions. The primary contact should be the institution s Drug Abuse Treatment Coordinator, with permission from TDAT staff.

c. RRC Staff. Communication between the treatment provider and RRC staff ensures that continuous inmate accountability and public safety are maintained. As previously stated in 13. Accountability, a weekly treatment schedule must be forwarded to the RRC. A review of each inmate s progress toward reentry must be held with RRC staff. It is incumbent upon the clinical staff to discuss the inmate s progress toward complying with

RRC rules, including but not limited to the following: barriers to the inmate securing employment;

paying subsistence and being fiscal responsible; release planning (does the inmate have a residence?); how the inmate is using pass time; if the inmate received any incident reports; how the inmate interacts with RRC staff, medication compliance, etc. Regular contact (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 contact, or treatment providers may request to be a member of the RRC s community relations board. RRC staff observe the inmate s daily behavior and can reinforce the importance of the treatment provider s role.

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. The U.S. Probation Officer often has contact with the inmate s family and has other pertinent information which may assist the clinician to better serve the inmate. Additionally, the U.S. Probation Officer has a vested interest in the inmate since most inmates are released to a Term

Transitional Drug Abuse Treatment Statement of Work Page 20 of Supervised Release. Many U.S. Probation Officers have contact with the inmate while they are in the RRC at 90 - 120 days prior to the inmate s release.

d. Contractor s Community Network. The contractor should have or demonstrate the ability to establish a community referral network (e.g., housing, medical, educational/vocational, etc.), that supports/compliments 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 mentally ill or suicidal inmates, when the need arises and the inmate cannot be evaluated by the agency s mental health provider.

Administration

17. FACILITY REQUIREMENTS. The facility shall maintain an acceptable level of fire safety by complying with the most current edition of applicable fire safety codes, standards and regulations required for the facility. The contractor will provide documentation, ordinarily a Fire Inspection Report, indicating they are in compliance with the most recent version of the National

Fire Protection Association codes and standards or from the appropriate authority for the state.

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 approval of the Bureau s Contracting Officer.

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, methadone clinic, etc. The treatment provider shall ensure the counseling room allows for confidentiality, and is clean, well lit, free from extraneous noise, furnished with comfortable chairs, and accessible to the disabled or accommodations are made to provide services to inmates with disabilities. The intent of this requirement is to

Transitional Drug Abuse Treatment Statement of Work Page 21 ensure the facility has an area conducive to individual and group counseling.

The treatment provider shall ensure the facility has a fax machine and Internet is strongly encouraged. If the treatment provider has e-mail capabilities, they will not use the Internet to transmit or receive sensitive data or inappropriate information and shall adhere to the following guidelines:

Information subject to the Privacy Act of 1974, (i.e., social security number, home addresses and phone numbers, marital status, race, religion, staff performance evaluations, and other personal information recorded in the Official Personnel File of staff or inmate files).

Information that could be manipulated for personal profit or to hide the unauthorized use of money, equipment, or privileges.

Investigative data.

Proprietary data, (e.g., industry programming code or encryption algorithms, information compiled or developed for in-house use only, selected budgetary data, procurement bids, etc.).

Information to which access is restricted to authorized personnel by law or directive.

Information critical to the Bureau's operation and mission, (i.e., WITSEC information, lock and key data, gang or organized crime intelligence, and emergency plans).

Information subject to the Tax Reform Act of 1976, (i.e., personal income tax returns or information extracted from them).

Grand jury information subject to the Federal Rules of Criminal

Procedure, Rule 6(e), Grand Jury Secrecy of Proceedings and

Disclosure.

Information used by automated decision-making systems that have a high potential for financial loss.

Information that is exempt from the Freedom of Information Act

(FOIA), 5 U.S.C. 552a.

Software or hardware manuals that provide information for system security features.

Information specifically designated as "Limited Official Use."

Other information that, if released, might cause harm to any person, adversely affects a federal program, or whose release is prohibited by law or regulation.

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18. AGENCY OR FACILITY LICENSURE/CERTIFICATION. The agency/facility where services will be provided shall be licensed/certified to provide all services agreed upon in the contract. The agency/facility shall be licensed/certified in the state where the services will be provided. All services for this contract shall be conducted at said licensed/certified agency/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. At no time will an alternate location be approved by the Bureau.

The agency/facility license shall be sanctioned by the state authority. Primary contractors in a relationship with a subcontractor shall have a valid state license in the state where the services will be provided for all services outlined in the contract. The contractor has the responsibility to ensure proper management and oversight of their program. 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 for the length of the contract. 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 for effective treatment. The RRC shall also be licensed by their state to have all services specified in the contract, if required.

Any rental/lease contract required by the RRC for use of their facility, fax machine, telephone, computer or any property/equipment owned by the RRC, is solely between the contractor and the RRC s authorized negotiator. When said contract and/or agreement is made, the contractor shall maintain the overall responsibility of this SOW. Absentee ownership will not mitigate program integrity, responsiveness and/or responsibility.

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.

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The Bureau must approve changes of key personnel before they are 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 vacates a position permanently and indicate when an equivalent replacement will be made. The replacement staff must be equivalent in credentials and experience. The notification will occur within

5 working days of the vacancy.

The contractor s program shall establish limits on caseload size and group size to ensure effective treatment. Group sessions shall not exceed 12 offenders unless Bureau staff have 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 appropriately credentialed bilingual staff for non-English speaking inmates. The bilingual services shall be available to non-English speaking inmates as long as there is a need for bilingual services.

20. CONTRACTOR LICENSURE. The contractor shall ensure all personnel providing direct clinical services to Bureau inmates are, at a minimum, clinicians with appropriate licensure/certification to provide services listed as required by the state authority where the services are being provided. All licenses must be current. Contractors shall forward documentation within 90 days of an expired license showing a renewed expiration date or restrict such personnel from providing clinical services to Bureau inmates. The Bureau reserves the right to exclude any clinician with pending allegations of misconduct or previous disciplinary actions.

The contractor shall provide clinicians for substance abuse and mental health treatment services for Bureau inmates with appropriate licensure/certification to provide services listed as required by the state authority where the services are being provided. The Bureau reserves the right to consider minimum licensing requirements in areas where there are no technically acceptable offers. At no time will the 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. At no time will offers that do

Transitional Drug Abuse Treatment Statement of Work Page 24 not meet the minimum state requirements be considered.

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 with a licensed staff member when providing direct 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 that are 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 supercedes 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. Ordinarily, clinicians providing substance abuse treatment must have at least one year of experience providing substance abuse treatment to adult, substance abusing offenders.

The contractor must provide regularly scheduled clinical supervision to staff counseling Bureau inmates. Supervision must be conducted and documented by trained supervisory staff (e.g., clinical psychologists, certified treatment counselors, or certified master’s level social worker). This individual must be licensed/certified to provide the services as the state guidelines direct.

The contractor must provide regularly scheduled clinical supervision, at least monthly, to staff counseling Bureau inmates. In the case of a subcontractor providing treatment services, the primary contractor must provide a minimum of quarterly on-site supervision visits. Supervision must be conducted and documented by trained supervisory staff that meet the state where the services are provided requirements to provide supervision (e.g., clinical psychologists, certified treatment

Transitional Drug Abuse Treatment Statement of Work Page 25 counselors, or certified master s level social worker). The clinical supervision must focus on developing of the clinician as an interpersonally effective clinician. Supervision will include, but is not limited to instruction, supervisor modeling, direct observation of individual and group treatment sessions and intervention by the supervisor in the actual process and feedback. The supervision also includes supervision of the quality of clinical documentation and file maintenance and compliance with

Statement of Work requirements. Occasionally, the supervision may be in the form of a group setting, treatment team meetings, for example. Documentation of these sessions must be maintained by the contractor and must be made available for review by Bureau personnel.

The contractor must have a qualified practitioner (i.e., Physician Assistant, Advanced Practice Registered Nurse Practitioner/Specialist) with prescriptive authority who meet 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. The contractor must have a Medical

Doctor (MD) or Doctor of Osteopathic (DO) to conduct psychiatric evaluations and reports.

21. BACKGROUND INFORMATION. Contract employees must be approved by the

Contracting Officer s Technical Representative (COTR) before they may work with federal offenders.

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

COTR for a background check only after the contractor has determined that this person is appropriate for employment and that this person will work with federal offenders. The contractor shall secure from a person a signed consent form using Attachment A, REQUEST FOR CONTRACT STAFF BACKGROUND INVESTIGATION. The contractor shall require this person to provide complete details of any arrest record, conviction record or current charges for any violation of law. Failure to disclose the information regarding arrest, conviction or current charges will result in disqualification from working with federal offenders. The intent is to screen applicants to determine their acceptability to work with federal offenders. The information shall include full name, all aliases used, date of birth, state of birth, sex, race, social security number, and previous cities and state(s) of residence. The contractor shall notify this person that a

Transitional Drug Abuse Treatment Statement of Work Page 26

National Crime Information Center/National Law Enforcement Telecommunication

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

The contractor shall then submit to the COTR the relevant information, including the signed consent form. This begins the background checks.

This person shall not begin working with federal offenders before clearance is obtained from the COTR. The COTR may grant the person clearance to work with federal offenders 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 fingerprints from the proposed employee. The COTR may authorize the contractor to obtain fingerprints of their employee and forward the cards to the Bureau.

In this instance, the final approval or disapproval by the COTR will follow the COTR's receipt of the finger print and/or other background checks.

The contractor shall understand that the granting of final approval shall not occur until after the COTR receives a response(s) from the fingerprint or other background checks and these checks prove to be appropriate.

This action does not prevent, preclude, or bar the withdrawal or termination of any prior clearance or approval by the COTR at any time during the term of the contract.

The contractor shall verify training and experience of all staff. This includes credentials for all professional staff. The contractor shall document the verification in the personnel file and make it available 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.

There may be occasions when an individual is prohibited to work with Federal inmates by the Bureau but the contractor still wants to request the individual be allowed to work with Federal inmates. The contractor may appeal the decision by submitting, to the T-DATC, written justification

Transitional Drug Abuse Treatment Statement of Work Page 27 why an individual should be approved to work with federal inmates. The

T-DATC will review the appeal and make a determination to grant or deny the appeal.

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,…