SOW-2009.PDF

Federal Bureau of Prisons

Community Transitional Drug Abuse Treatment and Mental Health Treatment Services

Statement of Work (March 2009)

TABLE OF CONTENTS

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

Monthly Progress Reports

Clinical Intervention

Termination Report

File Maintenance

Communication

Accountability

Partnerships

Administration

Facility Requirements

Agency or Facility Licensor/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 Inspections (Monitorings)

Contractor Evaluation Form

Withholding and Reimbursement

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 to provide therapeutic services for drug abuse treatment 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.

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 drug abuse treatment 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 conclusion 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 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: 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 designed on the most recent research and evidence-based practices, ensuring effective treatment programs. These evidence-based treatment practice lead to:

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!the reduction of inmate misconduct;

!the reduction of inmate mental illness and behavioral disorders;

!the reduction of substance abuse and recidivism;

!the reduction of criminal activity;

!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 Bureaus’ psychology treatment programs are unified clinical services and activities organized to treat complex psychological and behavioral problems.

Therefore, the Bureau has chosen cognitive behavioral therapy (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 beliefs, 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 within the norms of a law-abiding community.

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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 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 a 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.

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REQUIREMENTS CONTRACTOR MUST ADHERE TO:

Clinical Services

5. COUNSELING SERVICES. Counseling sessions should target the inmates’ criminogenic needs, such as antisocial attitudes beliefs to reduce the likelihood of misconduct and recidivism.

Counseling sessions should begin as soon as possible after the initial meeting has been completed. The treatment regimen must not exceed a combined total of four hours (8, 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 ! psychotropic medication (6040), or, ! any combination thereof, per week without prior approval of the

Bureau.

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.

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.

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6. TREATMENT AUTHORIZATION. The treatment provider will receive a copy of the Treatment Authorization for each inmate containing information regarding the inmate's placement in the RRC and clinical material from the inmate’s in-prison experience. 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 meeting with the treatment provider within 10 working days; however, the treatment provider and RRC staff also have an obligation to ensure contact is made with the inmate. The treatment provider must notify the Bureau via telephone or fax, within two working days of the initial meeting to verify that contact was made. At the initial meeting the following should occur:

! 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 the Bureau.

! 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 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 the Bureau.

If the inmate refuses to sign the forms the treatment provider is responsible for stopping the session immediately and notifying Bureau staff. They should also notify both the RRC staff immediately that the session was stopped and send the inmate back to the RRC. This ensures

Transitional Drug Abuse Treatment Statement of Work Page 9 accountability of the inmate.

Treatment Documentation

8. ASSESSMENTS/PSYCHIATRIC EVALUATIONS. The Bureau determine if an assessment is needed based on the available clinical information concerning the inmate’s drug abuse treatment and/or mental health history. 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, social issues and employment, ! the inmate’s criminal history, ! 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 assessment requires this additional information:

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

Mental Health assessments require this additional information:

! the inmate’s current mental health functioning and status, and

! an assessment of medication compliance, if applicable.

If an assessment is not authorized, an individual session may be authorized to complete an intake screening. The contractor should send the evaluations with the monthly bill; however, the Bureau may direct the contractor to fax the information upon completion Evaluations should be faxed no later than three days after seeing an inmate.

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9. CLINICAL TREATMENT PLAN. The clinical treatment plan must be based on the CBT theory. A clinical treatment plan must:

! have a specific statement of the inmate’s problem that will be addressed, ! 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.

The clinical treatment plan must be based on a formal, documented assessment or intake interview, and clinical information provided by the Bureau. 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.

10. MONTHLY PROGRESS REPORTS (MPRs). The treatment provider must submit information 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, ! each pertinent issues 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 unexcused, and ! instances of inappropriate behavior and any corrective action taken.

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.)

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, Transitional Drug Abuse Treatment Statement of Work Page 11

! 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 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, rescheduled, or broken 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 themselves or to public safety. In response to negative behavior the Bureau may request the treatment provider to deliver an intervention of 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.

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. 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, ! reason for failure or removal, if applicable, ! prognosis, and ! recommendations for continued treatment needs and ongoing issues.

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The termination report must be completed and forwarded to the designated Bureau staff and U.S. Probation Office, ordinarily 15 working days prior to the inmate's release date. The Bureau 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 ten working days of the inmate's removal from treatment.

13. FILE MAINTENANCE. The treatment provider must maintain a treatment file for each inmate. Bureau treatment files must 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, ! Monthly Progress Reports, ! In-Prison Clinical Material(if provided), ! Termination Report, and ! Chronological Contact Sheet.

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.

15. SIGN-IN/SIGN-OUT LOG. The contractor must maintain a sign-in/sign-out log sheet for each federal inmate. The log sheets must be maintained in each inmate’s file and must contain:

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! the inmates full name (printed or typed), ! the inmates 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 reviewed during the monitoring of the contract.

However, the Bureau may request copies of these with the monthly bill.

16. PARTNERSHIPS. Strong partnerships between treatment providers, Bureau facilities, Regional Offices, RRC, community corrections staff, U.S.

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

a. Bureau facilities, Regional Offices and Community Corrections Staff. Bureau staff are a valuable resource for the treatment providers when dealing with resistence in the treatment process. Treatment Providers are encouraged to use these resources as needed with permission from Bureau staff. In addition, treatment providers in the local area of a Federal Institution are encouraged to build a relationship with those institution.

The primary contact should be the institution’s Drug Abuse Treatment Coordinator.

b. RRC Staff. Communication between the treatment provider and RRC staff ensures that continuous inmate accountability and public safety are maintained. 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 providers 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 of Supervised 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/complements the inmate’s life circumstance, treatment, and transition to the community.

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Administration

17. FACILITY REQUIREMENTS. The facility will meet all local zoning and fire codes. The contractor will 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 will meet the filing requirements necessary to maintain its legal authority to operate.

The contractor’s proposed site for services must not change without the approval of the Bureau, specifically, the Contracting Officer.

The treatment provider must ensure the counseling location meets the space requirements for the treatment population. The treatment provider will ensure the counseling room allows for confidentiality, are clean, are well-lit, are free from extraneous noise, are furnished with comfortable chairs, and is accessible to the disabled. The intent of this requirement is to ensure the facility has an area conducive to individual or group counseling.

The treatment provider must 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 must adhere to the following guidelines:

! Information subject to the Privacy Act of 1974, (i.e., social security numbers, 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.

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! 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.

18. AGENCY OR FACILITY LICENSURE/CERTIFICATION. All agency/facility providing services must be licensed/certified to provide all services agreed upon in the contract, in the state where the services will be provided. The agency/facility license must be sanctioned by the state authority. Primary contractors in a relationship with a subcontractor must have a valid state license in the state where the services will be provided for all services outlined in the contract.

If treatment services will be conducted at the RRC, then the contractor must have a letter from the RRC’s authorized negotiator stating they have permission to use the facility for the length of the contract. Permission must be granted for the entire length of the contract. The space provided by the RRC must be reserved for outpatient drug treatment or mental health services and provide a setting conducive for effective treatment. The RRC must also be licensed by their state to have all services specified in the contract, if required.

19. STAFFING. All new counselors that will be providing services to Bureau inmates must be approved by the Bureau prior to providing services. The contractor should hire adequate staff to meet the requirements set forth in the SOW. The contractor’s program must establish limits on caseload size and group size to ensure effective treatment. Group sessions should not exceed twelve 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.

20. CONTRACTOR LICENSURE. The contractor will ensure that all personnel providing direct clinical services to Bureau inmates are appropriately licensed/certified to provide services listed as required by the state authority where the services are being provided. All licenses must be current. Contractors must 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 who has pending allegations of misconduct or previous disciplinary actions.

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If interns or trainees are utilized to provide direct clinical services to Bureau inmates, then they must adhere to all state requirements to conduct such services (i.e., education, experience, and clinical supervision).

Interns or trainees must also be working 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. 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.

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 masters’ level social worker).

This individual must be licensed/certified to provide the services as the state guidelines direct. 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 board certified or board-eligible by the American Board of Psychiatry or the American Osteopathic Board of Neurology and Psychiatry, and/or meets the standards of practice (i.e., academic training, a resident, etc.) established by his/her state’s professional regulatory board. The contractor may have other 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.

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

Transitional Drug Abuse Treatment Statement of Work Page 17 consent form using Attachment A, REQUEST FOR CONTRACT STAFF BACKGROUND INVESTIGATION. The contractor shall require this person to provide complete details of any conviction record or current charges for any violation of law. 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 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 fingerprint 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 Transitional Drug Abuse Treatment Coordinator (T-DATC), written justification why an individual should be approved to work with federal inmates. The T- DATC will review the appeal may a determination to grant the appeal or deny the appeal.

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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, ethics 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 indicate that 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.

Attorneys may not be present or involved in administrative investigations. Attorney involvement includes, but is not limited to;

presence during interviews, review of employee affidavits, and receipt of investigative summaries or documents from the investigative authority. If at any time an investigation uncovers evidence of criminal behavior, the investigation process will immediately stop 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, Office of Personnel Management, U.S. General Accounting Office), or any other agent or agency the COTR authorizes or directs to conduct an investigation.

a. At a minimum, the Contractor’s Standards of Employee 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

Transitional Drug Abuse Treatment Statement of Work Page 19 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 contractors’ 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 offenders, former offenders, or the families of offenders or former offenders. Chaplains, psychologists, and psychiatrists may continue a previously established therapeutic relationship with a former offender in accordance with their respective codes of professional conduct and responsibility.

The contractor shall prohibit its employees from engaging in, or allowing another person to engage in, sexual behavior with an offender. 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 offenders. The contractor shall prohibit its employees from offering or giving an offender or a former offender or any member of an offender’s family, or to any person known to be associated with an offender or former offender, 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 offender or former offender or from anyone known to be associated with or related to an offender or former offender. The contractor’s Standards of Employee Conduct, will clearly state that this staff prohibition includes any involvement with an offender’s family members or any known associates of an offender. The contractor shall prohibit its employees from showing favoritism or give preferential treatment to one offender, or a group of offenders, over another offender.

The contractor shall prohibit its employees from using profane, obscene, or otherwise abusive language when communicating with offenders, fellow employees, or others. The contractor shall require its employees to conduct themselves in a manner that is not demeaning to offenders, 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 offender, ex-offender, offender's family or close associates, for a

Transitional Drug Abuse Treatment Statement of Work Page 20 period of one year from the last day of the offender's sentence or supervision, whichever is later, except those activities that are an approved, integral part of the program and a part of the its employee's job description.

The contractor shall prohibit its employees from engaging in any conduct that is criminal in nature or which would bring discredit upon the Bureau, DOJ or U.S. Government. The contractor shall require its employees to conduct themselves in a manner that is above reproach. The contractor shall require its employees to obey, not only the letter of the law, but also the spirit of the law while engaged in personal or official activities. The contractor shall require its employees charged with, arrested for, or convicted of any felony or misdemeanor, to immediately inform and provide a written report to the facility director. The facility director shall immediately report the incident to the COTR. Traffic violations resulting are exempt from this reporting requirement.

The contractor shall prohibit its employees from using brutality, physical violence, or intimidation toward offenders, or use any unauthorized or inappropriate force.

The contractor shall prohibit its employees from engaging in inappropriate supervisor/subordinate relationships, to include but not limited to, emotional, sexual, financial or physical.

The contractor shall prohibit its employees from possessing lethal weapons or weapons which may inflict personal injury, to include pepper spray or other self-defense type of chemical agents, in the facility or while on duty. The contractor shall also prohibit contractor’s employees from storing lethal weapons or weapons which may inflict personal injury, to include pepper spray or other self-defense type of chemical agents, in vehicles under their control parked on or adjacent to the facility.

Offenders shall not possess or use any of these items at any time.

The contractor shall prohibit any of its employees who are suspected of violating the contractor’s Employee Standard of Conduct from contact with federal offenders until a disposition is made by the COTR.

b. The contractor shall not conduct an investigation of any misconduct allegation without the COTR’s approval. This includes questioning the subject of a misconduct allegation. The contractor shall advise all employees that they are subject to Government investigation if an allegation is made concerning any matter affecting the interests of the Government.

c. The contractor shall report any allegation, violation or attempted violation of the contractor’s Employee Standards of Conduct immediately by telephone to the COTR. The contractor shall subsequently report in writing to the COTR, within one calendar day (or next business day) after becoming aware of the incident. The contractor shall not restrict any contractor’s employee or offender from reporting misconduct directly to the Bureau. The contractor shall not retaliate against any contractor’s employee or offender

Transitional Drug Abuse Treatment Statement of Work Page 21 who reports misconduct.

Following the investigation(s) and if allegations are sustained, the contractor shall indicate, in writing, to the COTR the contractor’s proposed plan of corrective action for the COTR’s approval. The COTR has the right to determine if the contractor’s employee may continue to work with federal offenders.

Following the investigation(s), a summary of the investigative findings may be disclosed by the Bureau to the contractor’s authorized negotiator.

Failure to report a violation of the contractor’s Employee Standards of Conduct or to take appropriate action against a contractor’s employee may subject the contractor to appropriate action, up to and including termination of the contract.

d. The contractor shall not employ any individual who is under the supervision or jurisdiction of any parole, probation or correctional authority. Persons with previous criminal convictions who are not under supervision may be considered for employment. However, the COTR reserves the right of approval in such cases. Consideration will be given to such factors as criminal history, time elapsed since conviction(s), and subsequent adjustment in the community.

e. The contractor shall have a written policy to prevent conflicts of interest that specifically states that no contractor’s employee may use his or her official position working with federal offenders to secure privileges or advantages in the facility or in the community.

f. The contractor shall operate a facility which provides the highest degree of safety for offenders and contractor’s employees. The contractor shall specifically define when contractor’s employees may use force against offenders. The contractor shall prohibit contractor’s employees from using excessive force to control a situation. The contractor shall immediately report any instance of the use of force to the COTR, by the most expeditious means available, e.g., telephone. The contractor shall submit in writing, within one calendar day after the incident, a written report to the COTR.

g. The contractor is prohibited from authoring letters for offenders for for various reasons, including licensing, Family Court, Drug Court, Sex Offender Tiering, etc. This is not permissible without the Bureau’s permission or a court order and will be considered a breach of contract.

23. SEXUAL ABUSE INFORMATION. The contractor has the responsibility to provide a working environment that is free from sexual harassment and intimidation in accordance with Title VII of the Civil Rights Act of 1964, as amended. Sexual abuse/assault/misconduct is verbal or physical conduct of a sexual nature directed toward an offender or employee by another offender, employee, or volunteer of the facility.

The contractor shall ensure that policy prohibits sexual abuse/assault/misconduct by employees against federal offenders or other

Transitional Drug Abuse Treatment Statement of Work Page 22 employees. Sexual misconduct is illegal and a violation of federal law.

The contractor shall develop and implement a comprehensive staff training program addressing the facility's sexual abuse/assault/misconduct prevention and intervention program. Written policy, procedure, and practice shall provide that all staff receive such training during employee orientation and on an annual basis as part of the facility's in-service training plan.

24. DRUG FREE WORKPLACE. The contractor will implement and follow Bureau Program Statement 3735.04, Drug Free Workplace. This program provides a mechanism for employee assistance and employee education regarding the dangers of drug abuse.

25. TRAINING. The contractor should become familiar with RDAP and its curriculum. The facilitator guide can be obtained free from the National Institute of Corrections Information Center, 1-800-877-1461. The inmate journals may be purchased from The Change Companies, 1-888-889-8866.

a. Staff Traing. Within three weeks of award of the contract, the authorized negotiator or the contractor must provide on-site training to all staff providing services to Bureau inmates. This should not be delegated to a subordinate without permission from the Bureau. Topics that must be included are a discussion of sexual abuse/assault prevention and intervention, Employee “Standards of Conduct,” and accountability. The Bureau may provide a list of topics to be covered by the contractor in the training session. The contractor should contact the Bureau to notify them of the date the training will occur and obtain any additional topics that the Bureau believes are relevant. The contractor shall document all training topics, dates, time and participants. The Bureau reserves the right to be present during these training sessions.

Subsequent to the initial training, the authorized negotiator or the contractor must provide on-site training to all new staff within a week of their providing service to Bureau inmates. Yearly, the contractor should provide a refresher training session for its employees.

If there are significant issues (deficiencies during monitorings, recurring correspondences to the contractor on a specific issue, etc.) the contractor must make an on-site visit to provide additional training, develop a plan of action to prevent a recurrence of the problem and document this in writing to the Bureau.

b. Psychology Treatment Program. With the approval and assistance of the Bureau, the treatment provider should schedule a visit to a nearby Bureau…