HomeMy WebLinkAbout20061457.tiff RESOLUTION
RE: APPROVE INTERGOVERNMENTAL CONTRACT FOR NONRESIDENTIAL INMATE
INTENSIVE SUPERVISION PROGRAM SERVICES AND AUTHORIZE CHAIR TO SIGN
WHEREAS, the Board of County Commissioners of Weld County, Colorado, pursuant to
Colorado statute and the Weld County Home Rule Charter, is vested with the authority of
administering the affairs of Weld County, Colorado, and
WHEREAS, the Board has been presented with an Intergovernmental Contract for
Nonresidential Inmate Intensive Supervision Program Services between the County of Weld, State
of Colorado, by and through the Board of County Commissioners of Weld County, on behalf of the
19th Judicial District Weld County Community Corrections Board, and the Colorado Department
of Corrections, commencing July 1, 2006, and ending June 30, 2011, with further terms and
conditions being as stated in said contract, and
WHEREAS, after review, the Board deems it advisable to approve said contract, a copy of
which is attached hereto and incorporated herein by reference.
NOW, THEREFORE, BE IT RESOLVED by the Board of County Commissioners of Weld
County, Colorado, that the Intergovernmental Contract for Nonresidential Inmate Intensive
Supervision Program Services between the County of Weld, State of Colorado, by and through the
Board of County Commissioners of Weld County, on behalf of the 19th Judicial District Weld
County Community Corrections Board,and the Colorado Department of Corrections be,and hereby
is, approved.
BE IT FURTHER RESOLVED by the Board that the Chair be, and hereby is, authorized to
sign said contract.
The above and foregoing Resolution was, on motion duly made and seconded, adopted by
the following vote on the 31st day of May, A.D., 2006.
BOARD OF COUNTYCOMMISSIONERS
A �j �I "a\ ELD COU Y, COLORADO
ATTEST: �G�,,t"�,/,,�' � it f ' to 7I��.:
"' . J �ile,Jair
Weld County Clerk to the '��:fy‘ fi�._�
Cy04) � ���sr a David E. Long,Pro-Tem
BY: Dr o the Board �+ PA,
W' iam H. Jerke
RO D AST A k Y V t`�Y—
Robert D. Ma den
my Attorney
(4 91 i 3)/v/ Glenn Vaa
Date of signature: I
2006-1457
DA0002
STATE OF COLORADO
Department of Corrections tor
Division of Adult Parole and „�
Division of Community Corrections •* 4•4 i r
$I6'
12157 W.Cedar Drive
Lakewood,Colorado 80228
Phone:(303)763-2420 Bill Owens
Fax:(303)763-2445 Governor
Web:www.doc.siate.co.us
Joe Ortiz
Executive Director
May 10, 2006
Weld County Community Corrections Board
c/o Jan Alison Zubber
P.O. Box 758
Greeley, CO 80632
Dear Ms. Zubber,
The Department of Corrections, Divisions of Adult Parole and Community Corrections would
like to contract with you for community ISP services. As you will notice in the contract, this is a
combined contract for both parolees and community corrections offenders. The services are
menu driven and they are referred individually by the Community Parole Officer (CPO). After
this contract is signed by both parties and approved by the State Controller, the existing
Community Corrections and Parole contracts will be terminated.
The starting date of this contract is from July 1, 2006 through June 30, 2011.
Based upon our initial estimates, your contract will be $130,000 for both Community Corrections
and parolees for a fiscal year with the option to change this amount during the fiscal year.
Please get the signatures on these contracts from your County Commissioner and return to
John Vidor by June 1, 2006 at:
Division of Community Corrections
12157 W. Cedar Drive
Lakewood, CO 80228
When signed and approved by all parties, an original Contract will be sent for your records.
Sincerely,
John Vidor, Contract Administration
Division of Community Corrections, Adult Parole and YOS
Colorado Department of Corrections
2006-1457
07CAA00042
INTERGOVERNMENTAL CONTRACT
This Contract, made April 20, 2006 by and between the State of Colorado for the use and benefit
of the Colorado Department of Corrections, 2862 South Circle Drive, Suite 400, Colorado
Springs, Colorado 80906-4122, hereinafter referred to as the State or DOC and the Board of
Commissioners of Weld County, acting on behalf of the Weld County Community Corrections
Board, P.O. Box 758, Greeley, CO 80632, hereinafter referred to as the Contractor or the
County.
RECITALS:
Authority exists in the Law and Funds have been budgeted, appropriated by the Colorado
General Assembly, and otherwise made available and a sufficient uncommitted balance hereof
remains available for encumbering and subsequent payment of this Contract, and
Required approval, clearance and coordination have been accomplished from and with
appropriate agencies; and
Contracts between the State and its political subdivisions are exempt from the
procurement process, pursuant to Colorado Revised Statutes ("C.R.S.") 24-101-105(1); and
Weld County has been deemed capable of providing the services herein described; and
This Contract replaces the contracts issued under routing numbers 03CAA00154 and
04CAA00032 for and by signing below, the parties terminate contract numbers 03CAA00154
and 04CAA00032 on the date and time this Contract is approved by the State Controller; and
The State is authorized by C.R.S. 17-27.5-101(1) (C), to administer and execute
Contracts with units of local government, corrections boards, or non-governmental agencies for
the provision of community corrections and parole intensive supervision services for offenders
and parolees as used in this Contract as offenders.
NOW THEREFORE, the parties hereby agree:
Term of Contract and Effective Dates.
The period of this Contract shall be from July 1, 2006 (or upon the date of the State Controller's
approval, whichever is later), through June 30, 2011.
In the event that the Department of Corrections desires to continue the community corrections
intensive supervision and parole services and a replacement contract has not been fully executed
by the ending term date of this Contract, this Contract may be extended unilaterally by the State
for a period of up to two months upon written notice to the Contractor under the same terms and
conditions of the original contract including, by not limited to prices, rates, and service delivery
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C<i /
requirements. However, this extension terminates when the replacement contract becomes
effective when signed by the State Controller or an authorized delegate.
This Contract does not constitute a multiple fiscal year direct or indirect debt or other financial
obligation of the State, or obligate the State to make any payments beyond those appropriated
for any fiscal year in which the Contract is in effect.
The State may choose to terminate its obligations under this Contract on an annual basis.
1. THE STATE SHALL:
A. Price/Payment/Offset:
Payment pursuant to this Contract shall be made as earned, in whole or in part, from
available State funds encumbered in an amount not to exceed $130.000 for each fiscal
year ending June 30, 2011.
The maximum amount that the Contractor may charge for services per month is $165 per
offender.
B. Limitation of Payments and Liabilities: The State will assume no liability for any
deficiency that the Contractor may incur in the operation for its program nor for any debts
or expenditures incurred by the Contractor for ensuing fiscal years when funds for that
purpose have not been appropriated or budgeted.
C. Option Letter: The State may unilaterally increase/decrease the maximum amount
payable under this Contract based upon the unit prices established in the Contract and the
schedule of services required, as set by the State. The State may exercise the option by
providing a fully executed option letter to the Contractor, in a form substantially
equivalent to Exhibit B, immediately upon signature of the State Controller or his
delegate. Performance of the service shall continue at the same rate and under the same
terms as established in the Contract. The State may increase the quantity of services
indicated in paragraph 2.13. at the unit prices established in paragraph 1.A. of the
Contract. The State may exercise to option by written notice to the Contractor within 30
days before the option begins in a form substantially equivalent to Exhibit B.
Delivery/performance of the goods/service shall continue at the same rate and under the
same terms as established in the paragraph 1.A. of the Contract.
D. Payment for Travel: The State will reimburse the Contractor if their contractors provide
transport services for offenders for the State at the rate allowed for state employees by
State Fiscal Rule Chapter 5. The Contractor agrees that any and all travel to DOC
correctional facilities shall be coordinated by DOC prior to the Contractor being
reimbursed. The Contractor shall provide the State with travel reports setting forth the
date of travel, mileage, destination, and offenders transported.
E. Remedies. in addition to any other remedies provided for in this Contract, and without
limiting its remedies otherwise available at law, the State may exercise the following
remedial action if the Contractor over spends the contract allocation amount assigned to
this Contract for the respective fiscal year. The Contractor must give written notice to the
State per paragraph 3.G when it is at risk of exhausting the total contract amount stated in
paragraph l.A. in any given Fiscal Year. If all the options are exhausted to increase the
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amount of this Contract for the respective fiscal year because of lack of additional
finding, the State will decline the payment resulting from over spending this Contract.
F. Severability: To the extend that this Contract may be executed and performance of the
obligations of the parties may be accomplished within the intent of this Contract, the
terms of this Contract are severable, and should any term or provision hereof be declared
invalid or become inoperative for any reason, such invalidity or failure shall not affect the
validity of any other term or provision hereof.
2. THE CONTRACTOR SHALL:
A. Statement of Work. The Contractor shall provide the following services to Parole
and Community Correction's to adult offender population. These services are menu
driven, are individualized to the offender, and shall only be provided or administered
when authorized in advance by the supervising Community Parole Officer (CPO)
pursuant to CRS 17-27-105.5.
1. Monthly Summary Report shall be provided by the Contractor's Case Manager once a month
to the supervising CPU at the end of the month via mail. This report describes the type of
service each individual offender has received during the respective month, including testing
dates and results, type of treatment and dates attended, and compliance with program. This
service is required for both community corrections offenders and parolees ("offender").
Fee: $15 per report per offender.
2. Antabuse Service. The offender brings in to the Contractor's Day Reporting Center the
prescribed medication and under supervision of the Day Reporting staff has to ingest/consume
the prescribed medication by a doctor, referred by the Contractor.
3. Breath Alcohol Testing. Measuring offender's blood alcohol content through/via breath by
qualified staff member using a proper device.
4. Case Management Meeting. Face to face meeting between the case manager and offender on
a weekly basis. During these visits the offender will be required to provide employment proof
(check stubs) and proof of participating in scheduled treatment. This service shall be mandatory
for community corrections offenders, but administered on an as-needed basis to parolees.
The Contractor may charge $10 per meeting, up to a maximum of$40 per month, per offender.
5. Incident Report. The Contractor's day reporting staff shall provide this report to the CPO
within a 24 hour period from when the offender misses services required by this section, or acts
inappropriately. The Contractor may charge up to $10 per month per offender for this report. If
the offender appears to be a threat to himself or others, notification to the CPO should be
immediate.
6. Urinalysis WA). The testing for controlled substances through urinalysis. Must be visually
observed by the Contractor's staff. The frequency of the UA testing is up to five (5) a month for
community offenders and parolees.
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7. Drug Patches. Application of patches administered on skin for detection of substance abuse.
The Contractor's staff who administers the patches shall monitor for tampering and for whether
the results are positive or negative.
8. Oral Swabs. This testing consists of taking a saliva sample via a testing swab of the inside of
the mouth of the offender to detect the use of controlled substances or alcohol.
9. If the offender is on Daily Breath alcohol tests then the Antabuse Services are not needed.
When tests are being administered for Controlled Substance use (urinalysis, swab, patches), only
one type of testing is needed (no combinations of UA's, swab or patches). The State will pay up
to $100 for Antabuse Service or Breath alcohol testing and Urinalysis (UA) per month per
offender.
B. The Contractor will accept up to 35 Community Corrections offenders and 30
parolees to provide such services as specified in Paragraph 2.A. of this Contract.
C. Approval: Provide community corrections inmate intensive supervision services
through programs approved by the local community corrections board in their
jurisdiction and operate pursuant to Articles 27 and 27.5, Title 17, C.R.S., as
amended and the "Colorado Community Corrections Standards", attached, marked as
Exhibit C and incorporated herein by reference, and pursuant to the description of
services currently under the State's obligation. Noncompliance with standards may
result in reduction of compensation rates as specified in paragraph 1.A., cessation of
offender placements in the program, implementation of a competitive bid process,
coordinated with the local community corrections board, to consider alternate
program providers, or cancellation of the Contract.
D. Client Files: Maintain individual files as required by DOC for each offender
participating in the Contractor's program. While in the possession of the Contractor,
the individual files shall be maintained in a secure area, in a locked file cabinet or
safe. Such files and criminal history records shall be maintained and disseminated
pursuant to Section 24-72-202-204, C.R.S., and Section 24-72-301-308. C.R.S.; and
in compliance with Title 28 of the Code of Federal Regulations.
E. Health Insurance Portability & Accountability Act of 1999 ("HTPAA"). Federal law
and regulations governing the privacy of certain health information requires a
"Business Associate Contract" between the State and the Contractor and/or
Subcontractor. 45 C.F.R. Section 164.504(e). Attached and incorporated herein by
reference and agreed to by the parties is a HIPAA Business Associate Addendum
(Exhibit D)for HIPAA compliance. Terms of the Addendum shall be considered
binding upon execution of this contract and shall remain in effect during the term of
the contract including any extensions.
F. Absence Due to Arrest: Notify DOC immediately if they know an offender has been
arrested, and/or is in the custody of federal, state, or local authorities. If the
Contractor has requested and received prior written permission from DOC, the State
shall compensate the Contractor at full rate for the day the offender is arrested, and at
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50% of the regular per diem rate for up to seven (7) days for maintaining the
availability of a position during the offender's absence.
G. Reimbursement by Offenders: Charge offenders in nonresidential placement an
amount that averages $3 per day, based on SB03-258, effective July 1, 2003. Any
charges to offenders in excess of this limit must be approved in advance by the State
and the local community corrections board
H. Inspections: Allow DOC and /or other State agency employees to inspect. with or
without notice, the facilities, records, and services provided by the Contractor to
determine compliance with this Contract.
Audits and meetings with the State. Contractor shall meet no less than annually
with designated representatives of the State to discuss Contract goals, objectives,
and performance issues. Unless otherwise provided, the Contractor shall permit the
State to monitor all activities conducted by the Contractor pursuant to the terms of
this Contract. Contractor shall produce all documents and records for the DOC's
review and as necessary for such audits within the State of Colorado.
J. Insurance: As a "public entity" within the meaning of the Colorado Governmental
Immunity Act, C.R.S. §§ 24-10-101, et seq., as amended (the "Act"), Contractor
shall at all times during the term of this Contract maintain such liability insurance, by
commercial or self-insurance, as is necessary to meet its liabilities under the Act.
Upon the request of the State, the Contractor shall show proof of such insurance.
K. Record Retention: Retain all books, records, and other documents of any party
pertaining to this Contract for five (5) years after final payment, and allow any
person duly authorized in writing by the State to have full access to and a right to
examine and copy any of the above materials during such period.
L. Confidentiality of Records: Comply with all laws regarding confidentiality of
offenders' records. Any request for information, including but not limited to
offenders' records, shall be referred by the Contractor to DOC.
M. Fiscal Accounting of Offenders: Maintain an accurate fiscal accounting of the
earnings of all offenders assigned to their program or facility including, but not
limited to: gross earning, net earning, federal, state and local taxes paid, amount of
restitution agreed to and paid, savings account, subsistence charged and collected,
and any other outstanding financial obligations.
N. Information Provided: Provide information upon request to the appropriate DOC
staff and the CPO's regarding the activities and adjustment of offenders assigned to
their program. Collect, maintain and make available to DOC staff and the CPO
ongoing data regarding employment, alcohol abuse, drug abuse, psychological
problems and treatment, vocational or educational needs and services, re arrest or
other criminal activity, and restitution.
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O. Subcontracts: Contractor may subcontract for intensive supervision services
with any private agency or unit of local government for the purpose of
rendering services to parolees/offenders providing, however, that any subcontracts
shall comply with the terms and provisions of this Contract and all applicable
sections of Articles 27 and 27.5, Title 17, C.R.S., as amended. Copies of any
subcontracts shall be provided to the State by October 1 each year, or within thirty
(30) days following the addition or replacement of a new subcontractor. No
payment shall be authorized unless the appropriate subcontract has been
executed and the services specified in the approved subcontract have actually
been provided. Any reference in this agreement to Contractor shall also apply
to its subcontractors providing services pursuant to Articles 27 and 27.5, Title
17, C.R.S., as amended.
P. The community corrections board, or the unit of local government that established
the board, may invoice the State up to two percent (2%) on the actual amounts
billed as an administrative fee. This fee is in addition to the maximum service
rate of$165. This amount is included in the encumbered amount in paragraph
I.A. of this Contract for administrative purposes. The board or unit of local
government will administer Contracts with approved service providers and
administer payments to subcontractors for two percent (2%) of the funds. Boards
shall keep financial records documenting the receipt and expenditures for all
administrative funds. Such records shall be maintained for a period of five (5)
years following the Contract period.
3. MUTUAL PROVISIONS:
A. Method of Payment:
a. The Contractor shall assume responsibility for any travel, materials, or other costs
in the execution of this Contract. Billings shall be submitted on the Monthly
Expenditure Summary available at the Division of Community Corrections; a
Sample form is attached, marked as Exhibits A and A-1, and incorporated herein
by reference. In order for the billing to be accepted by the State, the signatures of
the appropriate Community Parole Officer confirming the accuracy of the billing
and the Community Parole Supervisor approving the billing for payment is
required.
Summary billings shall be submitted to the Division of Adult Parole and
Community Corrections Headquarters, 12157 W. Cedar Drive, Lakewood, CO
80228 within thirty (30) days following the end of each month, with all
subcontractor billings attached. The Contractor shall report the total costs of its
program to the State within five (5) business days after the end of the State's
fiscal year (which is June 30°i). The State may require the Contractor to provide
an estimate of final year-end expenditures anytime within sixty (60) days prior to
the end of the State's fiscal year.
b. To be considered for payment, billings for reimbursement pursuant to this
Contract must be received within 60 days after the period for which
reimbursement is being requested and final billings on the Contract must be
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received by the State within 60 days after the end of the Contract term.
c. Payments pursuant to this Contract shall be made as earned, in whole or in part,
from available State funds encumbered for the purchase of the described services.
The liability of the State, at any time, for such payments shall be limited to the
unspent amount remaining of such encumbered funds.
d. It is the State of Colorado's policy to promptly pay vendors and contractors for
goods and services provided the State. State law and regulations provide that
vendors and contractors will be paid within forty five (45) days after receipt of
goods or services and a correct notice of amount due. Unless agreed to by
contract or special conditions of a purchase order, a State liability not paid within
forty five (45) days shall be considered delinquent and interest on the unpaid
balance shall be paid beginning the forty sixth day at the rate of one percent per
month on the unpaid balance until paid in full. A liability shall not arise if a good
faith dispute exists as to the State's obligation to pay all or a portion of the
liability.
e. In the event this Contract is terminated, final payment to the Contractor may be
withheld at the discretion of the State until completion of final audit. The State
reserves the right to audit the Contractor's books and records for a period of three
years after contract expiration or termination in order to validate the allowability
of costs paid under this contract, and any costs not allowable under the State
Procurement Rules shall be reimbursed by the Contractor, or offset against current
obligations due by the State to the Contractor, at the State's election.
B. Termination:
(1) Either party may terminate this Contract by giving the other party thirty (30)
days prior written notice. No cause is required to exercise this right.
(2) Notwithstanding anything herein to the contrary, the parties understand and
agree that all terms and conditions of this Contract and any exhibits and attachments
hereto which may require continued performance or compliance beyond the
termination date of the Contract shall survive such termination date and shall be
enforceable by the State as provided herein in the event of such failure to perform or
comply by the Contractor.
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C. Order of Precedence: In the event of conflicts or inconsistencies between this
Contract and its exhibits or attachments, such conflicts or inconsistencies shall be
resolved by reference to the documents in the following order of priority:
A. Colorado Special Provisions, pages 10 to 11.
B. Contract, pages 1 to 9.
C. Exhibits A and A-1 — Inmate Intensive Supervision Program (ISP) Services
Monthly Expenditures Summary.
D. Exhibit B—Option Letter
E. Exhibit C - Colorado Community Corrections Standards (CCCS) revised July
1, 2002.
F. Exhibit D—HIPPA Business Associate Addendum
D. Integration: This Contract is intended as the complete integration of all
understanding between the parties. No prior or contemporaneous addition,
deletion, or other amendment hereto have any force or effect whatsoever, unless
embodied herein in writing. No subsequent novation, renewal, addition, deletion or
other amendment hereto shall have any force or effect unless embodied in a written
document executed and approved pursuant to the State of Colorado fiscal rules.
E. Noncompliance: The State will withhold funds when the State determines that the
programs or facilities of the Contractor are not in compliance with this Contract
Overpayments made by the State, in the event of noncompliance, shall be
recoverable by the State from the Contractor including through deductions from
future payments or request for reimbursement of the amount of overpayment.
F. Federal Funds: If this Contract involves the expenditure of federal funds, this
Contract is contingent upon continued availability of federal funds for payment
pursuant to the terms of this Contract. Contractor also agrees to fulfill the
requirements of all applicable Office of Management and Budget (OMB) Circulars
A-87 and A-102 or A-110. The Contract may also be subject to the
Single Audit Act of 1984 and to OMB Circular A-133, as applicable.
G. Breach: A breach of this Contract shall not be deemed to be a waiver of any
subsequent breach or default of the Contract.
H. Third-Party Beneficiary: The enforcement of the terms and conditions of this
Contract, and all rights of action relating to such enforcement, shall be strictly
reserved to the State and the Contractor, and nothing contained in this Contract shall
give or allow any claim or right of action whatsoever by any other or third person,
otherwise, it is the express intent of the parties to this Contract that any person
receiving services or benefits under this Contract shall be deemed an incidental
beneficiary only.
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Notice: All notices required to be given by the parties hereunder shall be hand
delivered or sent by certified or registered mail to the individuals at the addresses set
forth below. Either party may from time to time designate in writing substitute
addresses or persons to whom such notices shall be sent.
For the Contractor: For the State:
Jan Alison Zubber Roberta Monchak
Community Corrections Department of Corrections
P.O. Box 758 12157 W. Cedar Drive
Greeley, CO 80632 Lakewood, CO 80228
J. Exclusive Venue: Mandatory venue for any legal action arising from this Contract
shall be in the City and County of Denver.
K. Force Majeure: Neither the Contractor nor the State shall be liable to the other for
any delay in, or failure of performance of, any covenant or promise contained in this
Contract, nor shall any delay or failure constitute default or give rise to any liability
for damages if, and only to the extent that, such delay or failure is caused by "force
majeure". As used in this Contract"force majeure" means acts of God; acts of the
public enemy; acts of any other governmental entity in its sovereign or contractual
capacity; fires; floods; epidemics; quarantine restrictions; strikes or other labor
disputes; freight embargoes; or unusually severe weather.
L. Governmental Immunity: Notwithstanding any other provision of this
Contract to the contrary, no term or condition of this Contract shall be construed or
interpreted as a waiver, express or implied, of any of the immunities, rights, benefits,
protection, or other provisions of the Colorado Governmental Immunity Act, Section
24-10-101, et.seq., CRS, as now or hereafter amended, nor of the State's immunity
under the Eleventh Amendment of the Constitution of the United States, of state
employee's Qualified Immunity under federal law. The liability of the State of
Colorado, its departments, institutions, agencies, boards, officials and employees is
controlled and limited by the provisions of Section 24-10-101. et. seq., CRS, as now
or hereafter amended and the risk management statutes, Section 24-30-1501,et. seq.,
CRS, as now or hereafter amended.
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SPECIAL PROVISIONS
(For Use Only with Inter-Governmental Contracts)
I.CONTROLLER'S APPROVAL.CRS 24-30-202(I)
This contract shall not be deemed valid until it has been approved by the Controller of the State of Colorado or such
assistant as he may designate.
2. FUND AVAILABILITY.CRS 24-30-202(5.5)
Financial obligations of the State of Colorado payable after the current fiscal year are contingent upon funds for that
purpose being appropriated,budgeted,and otherwise made available.
3.INDEMNIFICATION.
To the extent authorized by law,the Contractor shall indemnify,save,and hold harmless the State against any and
all claims.damages, liability and court awards including costs,expenses,and attorney fees incurred as a result of
any act or omission by the Contractor.or its employees,agents,subcontractors,or assignees pursuant to the terms of
this contract.
No term or condition of this contract shall be construed or interpreted as a waiver,express or implied,of any of the
immunities,rights,benefits,protection,or other provisions for the parties,of the Colorado Governmental Immunity
Act.CRS 24-10-101 et seq.or the Federal Tort Claims Act,28 U.S.C.2671 el seq. as applicable,as now or hereafter
amended.
4. INDEPENDENT CONTRACTOR.4 CCR 801-2
THE.CONTRACTOR SI TAM_PERFORM ITS DUTIES HEREUNDER AS AN INDEPENDENT CONTRACTOR AND NOT AS AN
EMPLOYEE.NEITIIER TIIE CONTRACTOR NOR ANY AGENT OR EMPLOYEE OF THE CONTRACtOR SHALL BE OR SHALT.BE
DEEMED TO BE AN AGENT OR EMPLOYEE OE'TI ILL STATE.CONTRACTOR SIIALL PAY WHEN DUE AI.I.REQUIRED
EMPLOYMENT TAXES AND INCOME TAX AND LOCAL.HEAD TAX ON ANY MONIES PAID BY TI IE STATE PURSUANT TO TI I IS
CONTRACT. CONTRACTOR ACKNOWLEDGES THAT THE CONTRACTOR AND ITS EMPLOYEES ARE NOT ENTITLED TO
UNEMPLOYMENT INSURANCE BENEFITS UNLESS TI IE CONTRACTOR OR TT IIRD PARTY PROVIDES SUCH COVERAGE AND THAT
TILE STATE DOES NOT PAY FOR OR OTHERWISE PROVIDE SIICII COVERAGE. CONTRACTOR SHALL IIAVI!NO
All'I'I IORIZATION,EXPRESS OR IMPLIED,TO BIND Toff ST A I E 10 ANY AGREEMENTS,LIABILITY,OR UNDERSTANDING
EXCEPT AS EXPRESSLY SET FORTE HEREIN. CONTRACTOR SI TALI.PROVIDE AND KEEP IN FORCE WORKERS'
COMPENSATION(AND PROVIDE PROOF OF SUCH INSURANCE WHEN REQUESTED BY THE STATE)AND UNEMPLOYMENT
COMPENSATION INSURANCE IN THE AMOUNTS REQUIRED BY LAW,AND SIIALL BE SOLELY RESPONSIBLE I OR TILE ACTS OF
'DIE CONTRACTOR, ITS LMPI OYELS AND AGENTS.
5.NON-DISCRIMINATION.
The Contractor agrees to comply with the letter and the spirit of all applicable state and federal laws respecting
discrimination and unfair employment practices.
6.CHOICE OF LAW.
The laws of the State of Colorado and rules and regulations issued pursuant thereto shall be applied in the
interpretation,execution,and enforcement of this contract.Any provision of this contract,whether or not
incorporated herein by reference,which provides for arbitration by any extra-judicial body or person or which is
otherwise in conflict with said laws. rules,and regulations shall be considered null and void.Nothing contained in
any provision incorporated herein by reference which purports to negate this or any other special provision in whole
or in part shall be valid or enforceable or available in any action at law whether by way of complaint,defense,or
otherwise. Any provision rendered null and void by the operation of this provision will not invalidate the remainder
of this contract to the extent that the contract is capable of execution.
At all times during the performance of this contract,the Contractor shall strictly adhere to all applicable federal and
state laws,rules,and regulations that have been or may hereafter he established.
7.SOFTWARE PIRACY PROHIBITION.Governor's Executive Order D 002 00
No State or other public funds payable under this Contract shall be used for the acquisition,operation or
maintenance of computer software in violation of United States copyright laws or applicable licensing restrictions.
The Contractor hereby certifies that,for the term of this contract and any extensions,the Contractor has in place
appropriate systems and controls to prevent such improper use of public funds. If the State determines that the
Contractor is in violation of this paragraph,the State may exercise any remedy available at law or equity or under
this contract, including,without limitation, immediate termination of the contract and any remedy consistent with
United States copyright laws or applicable licensing restrictions.
8. EMPLOYEE FINANCIAL INTEREST.CRS 24-18-201 &CRS 24-50-507
The signatories aver that to their knowledge,no employee of the State of Colorado has any personal or beneficial
interest whatsoever in the service or property described herein.
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AS wutw urrttt Fax:7192264720 un 2 JO6 12:43 P. 13
w .
COP PAROLE 43 Fex;3037632445 Jun 23 2006 15:06 P, 13
I
ornoiv t+Laren ! 0706441111414
Diets:June 23,2006 • Skate Fiscal Year. 35112, Option Letter No.6,
SUBJECT:
5- Level of service chanr in conjunction with renewal for additional%WMn
Tn accordance with Paragraph 1.6. of contract routing number 04CAA00032
between the State of Colorado, Department of CoyTct ions and the Board of Commissioners of Weld County, the state hereby etercises the option for an
additional term of 2 months, starting July 1, 2006 I through August 31, 2006 at a
cost/price specified in Paragraph 1.A.1).
The amount of the contract value is decreased by 622,000 to a new contract value
of 68,000 to satisfy service/goods ordered under the contract for the first two
months of the fiscal year 2007. The first sentence In Paragraph 1.A.2) is hereby
modified accorangly. •
The total contract value, including all previous amendments, option letters, etc. is
6171,000.
•
APPROVALS:
i
State of redo, Bill Owens, Governor:
I
6y; -7
Executive Director Gatorade De Date:
-72 of Corrections,
AU COIa77JAFni nit IN APPROVED IX at=COCIAgL LER
C.R.S. § 24.30-202 requires!that the State Controlle approve ail state contracts.
This contract Option Letter l;not valid until the Controller, or such assistant
as he may delegate, has signed It. The contractor is at authorized to performance until the connate is signed and dated below. If erfo begin
egins
prior to the date below, the State of coloredo may n be obligated to ca for
goods and/or service provided.
Ipay far
I
State Controller I
ie M Shenefelt'
dYr ate: SS6 .
Ufa/e A
fo ,� /wee
C/ergs aloft .` 7fl�sc ��ges were self ,d / /(1)as Orr/ /4
„A,e s;g/0/i re
P f�e e t or Qn/Asre is J yyi/aeed b cob _3y7
COMM PHRCLE HO Fax:3037632445 Oct 24 2006 9:` P 03
07/07/2006 06:36 7102694204 JANET MAPCMIANI PAGE 20/28
km_ Loma us-Pitt �. Fax-.
7192260720 Jun 27"106 12:37 P.18
Wei PRIME 10 Fa:c:3037632Ed5 Jun 22 '4,2 16:08 P.18
O►lTOf LETTER O1CAA000l3
date: June aa,200` SEete Fiscal Year aspik Option Letter No.Z.
sUIIJICCr:
5- Level of service change in conjunction with ekenewal for additional berm
in accordance with Paragraph 1.0.1, at contract routing number 03CAA00154
between the State of Colorado, Department of corrections and the Board of
Commissioners of Weld County, the state hereby exercises the option for an
additional term of 2 months,1 starting July 1 1006 through August 31, 2006 at a
cost/prier speci$ed in Paragraph
The amount of the contract value is decreased by$215,000 to a new contract value
or$17.000 to satisfy services/goods ordered under the contract for the first two
months of fiscal year 2007. The first sentence M,Paragraph i.a.2) is hereby
modified
accordingly.
The total contract value, including all previous amendments, option letters, etc. is
$311,000.
APPROVALS:
Siete of Colorado •
0W Owens, Gieverrwrr
By; .4i A 4.4xecutive Director, Colorado Department of Corrections_ Date: Z7
Au,16oJ hell marls APPROVER Ix nig wag gnnma
C.R.s. § 24-30-202 requires that the State Controller approve all state contracts.
This contact Option Letter is'not valid until the State Controller, or such assistant
as he may delegate, has signed it. The contractor is not authorized to begin
Derebrmahce until the contract is signed and dated below. 11 performance begins
prior to the date below, the State of Colorado may not be obligated to pay for
goods and/or services provided.
State Controller
al . Shertefelt :
Ntrt Inter .2/06
SIGNATURE PAGE
IRE PARTIES HERETO HAVE EXECUTED THIS CONTRACT
CONTRACTOR: STATE OF COLORADO:
Bill Owens,GOVERNOR
The Board of Commissioners
of Weld County
Weld County, Colorado By
Legal Name of Contracting Entity Executive Director
Department of Corrections
84-6000813
Social Security Number or FEIN
LEGAL REVIEW:
uthonzed Officer MAY 3 1 2006 John Suthers,ATTORNEY GENERAL
M. J. Guile, Chair By
Print Name&Title of Authorized Officer
CORPORATIONS:
(A corporate seal or attestation is required) 0;
We l �,.�J_ _
ATTEST: W` ( i'1",'r�r
Attest(Seal)By S 'LU r ► ' __ 1?
.v. 3•.&4:e� i'i'i'F.•,,. ,o. . '.� r,. . cr.,,..--.r`,o r.r: ..s
r puty Clerk to the Board
ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS 24-30-202 requires that the State Controller approve all state contracts. This contract is not valid until
the State Controller,or such assistant as he may delegate,has signed it. The contractor is not authorized to
begin performance until the contract is signed and dated below. If performance begins prior to the date
below,the State of Colorado may not be obligated to pay for the goods and/or services provided.
STATE CONTROLLER:
Leslie M.Shenefelt
By
Date
Effective Date:August 1,2005
11
door -,Vs'7
EXHIBIT A
CONTRACT NUMBER
DEPT. OF CORRECTIONS
PAROLE AND COMMUNITY ISP SERVICES
Monthly Expenditures Summary
Contractor
Month
Year
Contract/P.O. Amount: ($ ) Program Expense:
Billed to Date: Paid to Date: Provider: Amount:
July
Aug
Sept
Oct
Nov
Dec
Jan
Feb
Mar
Apr
May
June
YTD Balance Total Program Expense
Plus 2%Admin.
TOTAL TO BE PAID
This monthly expenditure summary form shall be submitted within thirty days(30)following the end of the month
with all subcontractor billings attached(Exhibit A-I).
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EXHIBIT B OPTION LETTER 07CAA00
Date: Mav 9. 2006 State Fiscal Year: 200 Option Letter No. 1
SUBJECT: Change in the amount of services within current term
Option to renew for an additional term
In accordance with Paragraph 1.C. of contract routing number 07CAA00
between the State of Colorado, Department of Corrections and XXXX, covering the
period of July 1, 2006 through June 30, 2011, the State hereby exercises the option
for increase in the amount of services at the same rates as specified in the
Contract.
The amount of the current Fiscal Year contract value is increased by $ to a new
contract value of $ to satisfy services ordered under the contract for the current
fiscal year (200). The first sentence in Paragraph 1.A. is hereby modified
accordingly.
The total contract value, including all previous amendments, option letters, etc. is
$•
APPROVALS:
State of Colorado, Bill Owens, Governor:
By: Date:
Executive Director, Colorado Department of Corrections.
ALL CONTRACTS MUST BE APPROVED f THE STATE CONTROLLER
C.R.S. § 24-30-202 requires that the State Controller approve all state contracts.
This contract Option Letter is not valid until the State Controller, or such assistant
as he may delegate, has signed it. The contractor is not authorized to begin
performance until the contract is signed and dated below. If performance begins
prior to the date below, the State of Colorado may not be obligated to pay for
goods and/or services provided.
State Controller
Leslie M. Shenefelt
By: Date:
•
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t .
M1
of C Division Criminal
S1 Justice
T. Slaughter.Director
700 0 pat.
Suite 1000
Denver.CO 80215-5865
COLORADO (303)239-4442
DEPARTMENT FAX(303)239-4491
OF PUBLIC SAFETY •
DATE: June 7, 2002
TO: Governor's Community Corrections Advisory Council
Community Corrections Boards
Community Correction Programs
C—
FROM: Edward J. Camp, fficeo Community Corrections
RE: Community Corrections Standards
The Division of Criminal Justice and the Governor's Community Corrections Advisory
Council Standards Subcommittee are pleased to present the revised community
corrections standards.
The residential and non-residential standards have been combined. Unless specifically
noted in the standard, all standards apply to residential and non-residential programs.
The revised standards will go into effect July 1,2002. Programs will have until October
1,2002 to make the changes necessaryto achieve compliance with the revised standards.
Program audits conducted after October 1,2002 will be based upon the revised standards.
Bill Owens
GOVERNOR There are some significant changes that should be noted:
C. Suzanne Mencer
CCUINE DIRECTOR
Division of 3-080 Supervision of Sex Offenders &Domestic Violence Offenders
Cnrnnal Justice
Camdo Stale (Standards are available at http://dcj.state.co.us/oclvsom)
P"" 3-090 Victim Notification
Colorado Bureau
of Investigation 3-100 DNA Testing
Divnion Fire Safe of
Safely 4-160 Random Off-Site Monitoring
4-240 Security Staff Staffing Pattern
All waivers that have been granted prior to July 1, 2002 must be resubmitted for
approval. Specific instructions for the waiver process are listed in the Appendix.
(J If you have any questions or concerns, I can be reached at 303.239.4448.
DCJ
Rome Page: waw.slate.cous/gov_dir/cdpsldcj him
E-Mail:raymond.slaughter@cdos.slateco us
TABLE OF CONTENTS
MESSAGE FROM THE DIRECTOR iv
PREFACE v
1-000 ADMINISTRATION 1
1-010 Legal Entity 2
1-020 Mission Statement 2
1-030 Organizational Chart 2
1-040 Fiscal Operations 2
1-050 Independent Fiscal Audit 3
1-060 Insurance 3
1-070 Annual Report 3
2-000 PERSONNEL 4
2-010 Personnel Policies 5
2-020 Job Descriptions 5
2-030 Equal Employment 5
2-040 Background Check 5
2-050 Personnel File 5
2-060 Performance Appraisals 6
2-070 Ethical Relationships 6
2-080 Notification of Criminal Conduct 6
2-090 Drug Free Work Place 6
2-100 Staff Orientation Training 7
2-110 Staff Annual Training 7
2-120 Ancillary and Administrative Training 7
2-130 Training Events 7
2-140 Case Manager Education 8
2-150 Program Administrator Education 8
2-160 Volunteers 8
3-000 MANAGEMENT CONTROLS 9
3-010 Policy and Procedure Manual 10
3-020 Monthly Staff Meetings 10
3-030 Acceptance Criteria 10
3-040 Written Response To Referral Agencies 11
3-050 Screening Criteria re: Discrimination 11
3-060 Program Compliance 11
3-070 Receiving Offenders 11
3-080 Supervision of Sex Offenders 11
3-090 Victim Notification 12
3-100 DNA Testing 12
Rev. 7/02
•
3-110 Family/Community Activities 12
3-120 Disciplinary Hearings 12
3-130 Grievance/Appeals Procedure 12
3-140 On/Off Grounds Count 12
3-150 Referral Agency Reports 13
3-160 Offender Time Credits 13
3-170 Incident Notification 13
3-180 Systematic File Review 13
3-190 Self-Audits of Operations and Programming 14
3-200 Organized Information Collection 14
3-210 Documentation 14
3-220 Non-Residential Level of Supervision 15
3-230 Administrative Review 15
4-000 SECURITY 16
4-010 Offender Advisement 17
4-020 Intake Interview 17
4-030 Health Inventory 17
4-040 Medication 17
4-050 Staff Response To Medical Emergencies 18
4-060 First Aid/CPR Certification 18
4-070 Offender Property 18
4-080 Substance Abuse Testing 18
4-090 Confirming Positive Test Results 19
4-100 Entry Urine Samples 19
4-110 Interim Urine Samples 20
4-120 Exit Urine Samples 20
4-130 BA's and UA's For Alcohol 20
4-140 Record Keeping For Substance Abuse Testing 21
4-150 Isolation/Observation Of Offenders 21
4-160 Random Off-Site Monitoring 21
4-170 Passes and Furloughs 21
4-180 Surveillance Of Offenders 22
4-190 Use of Physical Force 22
4-200 Random Headcounts 22
4-210 Recording Authorized Absences 22
4-220 Contraband 23
4-230 Work Stoppages 23
4-240 Security Staff Staffing Pattern 23
4-250 Transportation of Offenders by Staff 24
4-260 Escape 24
5-000 FACILITIES 25
5-010 Building/Zoning Codes 26
5-020 Compliance with Fire Authority 26
Rev. 7/02 ii
5-030 Flame Retardant Mattress and Pillow 26
5-040 Automatic Sprinkler System 26
5-050 Fire Alarm and Detection System 26
5.060 Storage of Hazardous Materials 26
5-070 Conducting Fire Drills 27
5-080 First Aid Manual and Medical Supplies 27
5-090 Minimum Floor Space 27
5-100 Separate Space 27
5-110 Visitation Space 27
5-120 Toilets, Basins, Showers 27
5-130 Health and Sanitation Codes 28
5-140 Access to Nutritional Meals. 28
5-150 Property and Safety 28
5-160 Housecleaning Assignments 28
5-170 Offender Bedding 28
6-000 CASE MANAGEMENT 29
6-010 Case Record 30
6-020 Separate Medical Files 30
6-030 Confidentiality of Case Records 30
6-040 Release of Information 30
6-050 Storage of Case Records 31
6-060 Assignment of Case Manager 31
6-070 Weekly Meetings 31
6-080 Chronological or Progress Notes 32
6-090 Assessments 32
6-100 Supervision Plan 33
6-110 Review of Offender Progress 33
6-120 Movement of Offenders 34
6-130 Employment Services 34
6-140 Educational Review 34
6-150 Offender Treatment 34
6-160 Referrals to Qualified Treatment Providers 35
6-170 Termination/Transfer Summary 35
6-180 Offender Budget 35
6-190 Financial Transactions 35
6-200 Restitution 36
6-210 Contract Approval 36
6-220 Driving Privileges 36
GLOSSARY 37
APPENDIX 42
Rev. 7/02 iii
•
C •
Division Criminal Justice
U J' Raymond T. slaughter,Director
700 Ki Sl
Suite 1000
COLORADO Denver.303B�44 5865
DEPARTMENT FAX(303)239-4411
OF PUBLIC SAFETY
MESSAGE FROM THE DIRECTOR
Over the past two years, the Standards Sub-Committee of the Fifth Governor's
Advisory Council has been working on this revision of the Community Corrections
Standards. The members of this sub-committee have many years of experience in
community corrections in Colorado. Membership included representatives from the
Governor's Advisory Council, the Colorado Community Corrections Board
Association, the Community Corrections Coalition, the Department of Corrections,
and the Division of Criminal Justice, Office of Community Corrections.
The Community Corrections Standards were last revised in 1992 and there were
separate standards for residential and non-residential programs. Early in the most
recent revision process, the sub-committee decided to incorporate the residential
and non-residential standards into one set of standards. The sub-committee met
monthly to discuss the wording changes to make the Standards more
comprehensive and easier to use. This version of the standards includes a glossary
of common terms and definitions and an appendix that gives basic details on audits,
audit appeals, and waivers.
Any program seeking exception to a standard must first submit the written request
to the local board for approval. The Division of Criminal Justice will review waiver
requests and provide written approval or denial of the request. Waiver approvals
will be granted for a one-year period unless the Division of Criminal Justice has
issued a time limited or event-specific waiver. Local community corrections boards
6u Owens also have the statutory authority to exceed these standards if they choose.
GOVERNOR
C.Susanne Mencer
EXECUTIVE DIRECTOR On behalf of the Colorado Department of Public Safety, Division of Criminal Justice,
Demon of I thank those who have participated in the development of this set of standards and
Cannel Justice
Colorado State those who will assist in their implementation. The state of Colorado continues to
Patrol be a leader in the community corrections field because of the dedicated people who
Colorado Bureau
or lnvesllgahon work at all levels in our criminal justice system.
Censer,al
Fre Safety
ncerely,
Raym T. Slaughter
rJ Director
DCJ
iv
Hone Page.new stale co usfgnv_dvfcdpsfdq htn
E.Maf:reyrnond slaughter®Nps.stoleco us
PREFACE
Community Corrections began in Colorado with the enactment of the first "Community
Corrections Act" in 1974 under the leadership of Senator Ralph Cole.
The strength of Colorado Community Corrections is its emphasis on community control. Most
offenders eventually return to the communities where their families are located. Community
corrections is a viable alternative to incarceration which makes our communities safer places
to live by providing appropriate supervision to offenders. Offenders who are gradually
reintegrated into Colorado communities in a supervised setting that incorporates appropriate
treatment pose far less risk to the community than those returning without supervision.
The administration of the Community Corrections program was consolidated under the Division
of Criminal Justice in the Colorado Department of Public Safety in 1986. The first Governor's
Community Corrections Advisory Council was formed by Executive Order to assist the Division
in evaluating the program and recommend improvements. One recommendation of the Council
was to develop program standards to define minimum requirements for providers and establish
measures of program accountability.
The first set of standards for residential community corrections programs was issued in 1988,
with standards for non-residential services following in 1991 . The standards for residential
services were revised in 1992.
This 2002 revision adds new standards to meet the demands of an expanding and changing
system of community corrections. Residential and non-residential standards have been revised
and combined into one set of standards.
The Standards Sub-committee would like to thank the members of the Fifth Governors
Community Corrections Advisory Council,the Colorado Association of Community Corrections
Boards, the Colorado Community Corrections Coalition, the Colorado Department of
Corrections, Division of Adult Parole and Community Corrections and the Colorado Department
of Public Safety, Division of Criminal Justice, Office of Community Corrections, who assisted
in the development of these standards.
The Standards Sub-Committee of the Governor's Community Corrections Advisory Council:
Mr. Mike Holland, Sub-committee chair, Advisory Council
The Honorable James J. Peters, Advisory Council
Ms. Janette Kaufman, Colorado Association of Community Corrections Boards
Ms. Darla Hofineir, Colorado Association of Community Corrections Boards
Ms. Sharon Detter, Colorado Community Corrections Coalition
Mr. David Cutler, Colorado Community Corrections Coalition
Ms. Mary Niswonger, Colorado Department of Corrections
Rev. 7/02 v
The Division of Criminal Justice, Office of Community Corrections
Mr. Edward J. Camp
Ms. Mindy Miklos
Ms. Jill Nore
Ms. Stephanie Piechowski
Mr. Glenn Tapia
Also contributing to this endeavor were former Division of Criminal Justice staff members Mr.
Rick Lebel and Mr. Spiro Koinis.
Rev. 7/02 vi
1-000 ADMINISTRATION
The standards in this section address the broad organizational purpose and structure of the
community corrections program. By meeting these standards, the program assists local
communities, local and state government, and other criminal justice agencies to understand
its philosophy, values, legal structure, resource allocation, fiscal policy and controls, and
achievements in serving community corrections clients.
Rev. 7/02 1
1-000 ADMINISTRATION
1-010: The public or private agency operating a community corrections program shall
be a legal entity or part of a legal entity. The administrators shall maintain a file
at the local headquarters of the agency that includes current documentation as
follows:
a. Public Agencies
1. The executive or legislative order of the unit of local government
designating the agency as a community corrections program.
2. An organizational chart indicating the agency's position within
the local government and a listing of the administrative officer(s)
authorized to act as the legal agent(s) of the agency.
b. Private Agencies
1. Certificate and articles of incorporation
2. List of the Board of Directors
3. Corporate bylaws and names of officers authorized to sign
contracts or authorize expenditures.
4. All documentation pertaining to the standards
1-020: The administrators shall maintain a mission statement that describes the general
purpose, goals, and organizational values guiding the operation of the program.
The mission statement shall be reviewed at least annually and updated as
needed.
1-030: The administrators shall maintain a current internal organizational chart at each
program location that accurately lists all positions involved in the community
corrections program and demonstrates the lines of authority and agency
structure. The organizational chart shall be reviewed annually and updated as
needed.
1-040: The administrators shall manage the program's fiscal affairs with:
a. An annual budget, prepared at the beginning of the contract period or
organization's fiscal year, that anticipates revenue from individual
sources and outlines projected expenditures by operational categories
Rev. 7/02 2
and line items. The budget shall be reviewed and updated throughout
the year as required by the governing authority of the program.
b. Written policies and procedures that employ recognized accounting
procedures to control and record the receipt, maintenance and dispersal
of funds associated with operation of the program.
c. A system to regularly compare the actual revenues and expenditures
associated with the operation of the program and the categories and line
items of the annual budget.
1-050: The administrators shall provide to the DCJ an independent financial audit
report(s) covering the agency's fiscal year(s) relevant to the contract period.
Discussion/Definitions: The DCJ may waive the requirement for an annual
audit and accept a financial review by an independent auditor if the DCJ and the
local community corrections board concur that the service of the program has
been satisfactory and that a full independent audit has been completed within
the past three years. If the community corrections program is operated as a
unit of government or by a larger corporate entity, a segment audit or review
may be required by the DCJ and/or local community corrections board.
A compilation of internally prepared financial statements will not be considered
to be in compliance with this standard.
1-060: The administrators shall maintain proof of insurance coverage at levels required
in state contracts at the program or agency headquarters. Such policies shall
cover all buildings, equipment, and personal injury and property loss to staff,
residents, and third parties.
1-070: The administrators shall prepare an annual report for the DCJ, the program's
governing authority, the local community corrections board, and referral
agencies. The report shall contain statistical summaries of activities and
accomplishments during the year, with reference to the stated mission and
goals of the program.
Discussion/Definitions: Annual reports provide important information to both
the organization itself and to key external groups and individuals. Information
such as the number and types of offenders served, success rates, average
length of placement, restitution paid to victims, and a listing of services
provided to offenders supply the organization with information for self-
assessment and planning. The information demonstrates program accountability
for the community. Individual program statistics are available for facility
administrators from the Division of Criminal Justice, along with composite
statewide statistics.
Rev. 7/02 3
2.000 PERSONNEL
The standards in this section emphasize the value of program staff who are involved daily with
monitoring, supervision, treatment, and service delivery essential to effective management of
offenders within Colorado communities. People are the key elements of any organization, and
community corrections programs are expected to place high priority on the support and
management of program personnel. Selection and hiring practices must be fair and thorough.
Once hired, employees must be adequately trained, supported and supervised. Job roles and
responsibilities must be well defined and carefully communicated, and program staff must
clearly understand how to maintain professional relationships with offenders assigned to
community corrections programs.
Rev. 7/02 4
2-000 PERSONNEL
2-010: The program shall maintain written personnel policies that are available to all
staff and accessible by employees at their work sites. The policies shall include
hiring practices, promotions, grievance procedures; staff development,
performance appraisals, benefits, disciplinary procedures, terminations, and
other requirements more fully described in this section.
2-020: The program shell maintain written job descriptions and salary ranges for all
positions. The job descriptions shall include job titles, minimum qualifications,
responsibilities and duties.
2-030: The program shall maintain and implement hiring and promotion policies that
provide equal employment opportunities and prohibit discrimination in
accordance with state and federal law.
2-040: After applicants have been offered a conditional position, the program shall
assure that a background investigation is conducted and the results are
documented in the applicant's personnel file. The background investigation shall
include a CCIC/NCIC criminal history and warrants check, verification of
compliance with job qualifications, and a review for prior criminal record through
fingerprint identification. The program shall submit a fingerprint card to the
appropriate screening agency within 15 working days of the applicant's
conditional hire. Until such time as a fingerprint record check is returned, the
employee shall not work without direct supervision. The program shall obtain
approval from the local community corrections board, referral agencies and the
DCJ before employing anyone with a history of a felony conviction. The
program shall not hire anyone who is under current jurisdiction for probation,
parole, or other conditional release for a felony or misdemeanor offense
(including driving under restraint, and driving under the influence or while
impaired by alcohol or drugs).
2-050: The program shall maintain a confidential personnel file for each employee that
is accessible to the individual employee. The file shall be maintained in a
standardized and indexed format and shall contain records of the background
investigations, dates of employment, training records, performance appraisals,
commendations, disciplinary actions, and related records. Information from the
files shall be available to the local community corrections board and/or state
oversight agencies only for the purpose of verifying compliance with standards
or contractual requirements. It shall be the responsibility of the local community
corrections board and oversight agencies to maintain the confidentiality of the
information.
Rev. 7/02 5
2-060: The program shall conduct employee performance appraisals at least annually.
Such appraisals shall be based upon defined criteria as established by the
program. The results of the evaluation are to be discussed with the employee,
the review signed by the employee and the evaluator, and a copy placed in the
employee's personnel file.
2-070: The program shall maintain current personnel policies that define ethical and
professional conduct between staff or agents and the offenders under the
supervision of the agency. The policies shall prohibit:
a. The use of official positions to secure or receive advantages, gifts or
favors.
b. The display of favoritism or preferential treatment for individual
offenders or groups of offenders.
c. Any personal or business relationship with offenders or offenders'
family or associates.
d. The assignment of work duties that result in offenders having
supervisory control over other offenders.
e. The assignment of work duties to offenders that improve the value of
the facility or provide personal benefit to any staff or agent of the
program.
Program personnel shall report any attempt to violate these relationship
guidelines immediately to the program director.
2-080: Program personnel shall not engage in any criminal conduct. If any employee
is investigated by law enforcement, arrested or charged with any criminal
offense,the program shall notify the local community corrections board, referral
agencies and the DCJ immediately by phone. The notification must clarify the
work status of the employee during disposition of pending charges. The
program director or administrators shall submit a written report to the board and
state agencies within 72 hours of the telephone notification.
Discussion/Definitions: A sample form for documenting this information may
be obtained from the DCJ web site.
2-090: The program shall have a written policy that provides for an alcohol/drug-free
workplace. At a minimum, the policy shall address the following areas:
a. Prohibition of the use of illegal drugs.
b. Prohibition of the possession of illegal drugs.
Rev. 7/02 6
c. Procedures used to ensure compliance with the alcohol/drug-free
workplace policy.
d. Availability of treatment and/or counseling for substance abuse.
e. Penalties for violations of the policy.
f. Specific circumstances under which substance testing of employees may
be conducted in the following areas: pre-employment, random drug
testing, and testing based on reasonable suspicion.
2-100: All full-time and part-time program and security staff shall receive twenty hours
of formal orientation training, including review of program policies and
procedures relevant to the performance of their duties, before receiving an
unsupervised work assignment. Provision of this orientation shall be
documented in training or personnel files.
2-110: All full-time program and security staff shall receive a minimum of forty hours
of job-related training annually. In the first year of employment, twenty hours
may be the formal orientation training addressed in standard 2-100. Part-time
program and security staff shall receive a prorated amount of training equivalent
to that provided to full-time staff.
2-120: Ancillary and administrative staff shall receive a minimum of twenty hours of
job-related training annually. During their first year of employment, this training
shall include a documented review of the program policies and procedures
relevant to the performance of their job and a general orientation to the
program. Pan-time ancillary and administrative staff shall receive a prorated
amount of training equivalent to that provided to full-time staff.
Discussion/Definitions: The general orientation to the program, although not as
comprehensive as that required for program and security staff in standard 2-
700, should include an overview of the various services provided to offenders
by the program, an informal tour, and other features which will give the ancillary
and administrative staff a general understanding of how the program operates.
2-130: Training events shall be documented in personnel or training files with topic,
date, duration, trainer, participants, evaluation methods or results, and shall
include the employee's and the supervisor's signature. Training events must be:
a. Sanctioned by the agency
b. Based on pre-determined training objectives or goals
c. Related to the job
d. Scheduled in advance of the event
e. Delivered by a qualified trainer
Rev. 7/02 7
Discussion/Definitions: Examples of acceptable trainings include first aid/CPR
courses, training videos or workshops by qualified instructors, and "on the job"
training with specific objectives that meet the qualifications detailed in the
standard. Activities such as performance evaluations, supervision or staff
meetings without pre-determined training objectives, or informal tours, do not
qualify as training.
2-140: Program case managers shall have a baccalaureate degree in social or behavioral
sciences, criminal justice, or related fields. Related education or experience may
be substituted on a year for year basis.
2-150: The program administrator shall have, at a minimum, a baccalaureate degree
in social or behavioral sciences, criminal justice, business or public
administration, or related fields; or four years of related administrative or
management experience.
2-160: All volunteers shall be subject to all standards related to their assigned duties.
Rev. 7/02 8
3-000 MANAGEMENT CONTROLS
The standards in this section describe the activities and approaches that program directors are
expected to use to monitor and direct the daily operation of the program. Management
controls guide the activities within the program, assuring that the program achieves its
objectives and demonstrates the level of quality expected by the community and criminal
justice agencies, as well as its own administration. Controls are implemented by measuring
and analyzing the following:
• System inputs, such as funding and offender referrals and placements;
• System processes, such as offender monitoring and treatment;
• System outputs, such as restitution payments to victims, and;
• System outcomes, such as positive completion rates.
Measurements are developed through data collection, and documentation of activities so that
managers are aware of critical inputs and processes that may be affecting outputs and
outcomes.
Rev. 7/02 9
•
3-000 MANAGEMENT CONTROLS
3-010: The program shall maintain a current policy and procedure manual readily
accessible by all staff, that describes the purpose, philosophy, programs and
services, and operating procedures of the program. The manual shall address
all requirements, programs, or services delineated by these standards. The
program shall operate in accordance with this manual and all staff shall be
familiar with its contents. The manual shall be reviewed at least annually by the
governing authority or program administrator, and updated when necessary.
The program shall outline a system to ensure that changes in program policies
and procedures are reviewed, prior to their implementation, with any state
agency or local community corrections board that will be affected by the
change.
Discussion/Definitions: Policies articulate the organization's position and
direction on operational issues and must be current. Procedures define and
describe the activities and methods to implement the policies. Procedures
should be developed on all operational functions, including, but not limited to,
intake, orientation, evaluation, assessment, sign in/out, case processing plans,
facility searches, U/A's, terminations, escapes, etc. Changes to the program's
policy and procedure manual must be made available to applicable staff and
state oversight agencies. Both local and state oversight agencies must be
provided with current copies of the policy and procedure manual, if requested.
3-020: The program shall have a written policy requiring monthly staff meetings that
include security and program staff. Documentation of the meetings shall include
dates, times, issues discussed and staff attendance.
Discussion/Definitions: Staff meetings are essential to program cohesiveness.
Security staff, program staff, and the program administrators need to have
regular opportunities to communicate about issues regarding offenders in the
program (e.g. criminal history, attitude, program adjustment, responses to
sanctions, and otheriSsues related to offender management and risk reduction).
Staff meetings are also an opportunity to review policies and procedures to
ensure consistency and compliance by all staff, as well as possible
improvements.
3-030: The program shall establish written screening criteria or guidelines for the
acceptance or rejection of offenders referred by state criminal justice agencies
and the transfer of offenders between residential and non-residential
supervision. Copies of the criteria or guidelines shall be provided to the local
community corrections board, the Department of Corrections, the Division of
Criminal Justice, the Chief Probation Officer for each Judicial District referring
offenders, and the Chair of the State Parole Board. Subsequent changes to
Rev. 7/02 10
those criteria or guidelines shall be provided, in writing, to all agencies affected
by the change within thirty days of such issuance.
Discussion/Definitions: The criteria or guidelines provide referral agencies with
information regarding offenders acceptable for placement, The criteria also
more clearly define a program's target population, providing opportunities to
specialize programming to supervise and serve that population. The criteria or
guidelines governing acceptance should include, but not be limited to: types of
information to be gathered and reviewed on applicants prior to admission;
specific criteria for acceptance;and procedures to be followed when accepting
or not accepting referrals.
3-040: The program shall provide a written response to the referring agency within two
weeks of the receipt of the referral indicating acceptance, rejection, or need for
additional information, based on criteria established in standard 3-030.
3-050: The program shall have screening criteria that prohibit discrimination on the
basis of ethnicity, color, religion, creed, disability, sexual preference or national
origin.
3-060: The program shall comply with special conditions as required by the referring
agency or community corrections board.
3-070: The program shall receive an offender only if:
a. The local community corrections board has approved the placement or
the offender meets board eligibility requirements; and
b. A court order has been issued specifying the offender's sentence to
community corrections; or
c. An Executive Assignment Order (EAO) has been issued from the
Department of Corrections; or
d. A copy of the Parole Agreement/Order (PAO) or modification specifying
the placement in community corrections has been issued.
3-080: Any program supervising sex offenders and domestic violence offenders must
comply with to the requirements of the Colorado Revised Statutes, as amended,
on sex offender management and domestic violence offender management.
Rev. 7/02 11
3-090: Any program supervising offenders serving a sentence for any of the offenses
listed within the Victim Rights Act must conform to the requirements of the
Colorado Revised Statutes, as amended, on victim notification requirements.
3-100: The program shall comply with the DNA testing requirements as specified by
Colorado Revised Statutes, as amended.
3-110: The program shall have written policies and procedures that provide increasing
opportunities and privileges for offender involvement with family and community
activities prior to final release.
3-120: The program shall have written policies and procedures to specify timely
arrangements and appropriate procedures for offender disciplinary hearings and
decisions. Disciplinary hearings for rule violations by Transition offenders and
Parolees shall be conducted in a manner approved by the Department of
Corrections. Disciplinary hearings for court-referred offenders shall be
conducted in a manner approved by the community corrections board and local
probation office. These procedures shall be provided to the offender in writing
in accordance with time frames established in standard 4-010.
3-130: The program shall have written policies and procedures for the handling of
offender grievances or complaints, including an appeal procedure. This policy
must state that each offender in the program has the right to file a grievance
and include the following areas:
• The various levels of appeal;
• Time guidelines and policy for response to the grievance shall be
provided to offenders in writing;
• The grievance shall be transmitted without alteration, interference, or
delay to the party responsible for receiving and investigating grievances;
• The person reporting the grievance should not be subject to any adverse
action as a result of filing the report.
Records of all grievances or complaints, and the final disposition, shall be
maintained in offender case records as well as a centralized administrative file.
3-140: The program shall be responsible for reporting the Daily Offender On and Off-
grounds Count to the Division of Community Corrections in the Department of
Corrections each day according to procedures established by the Department
of Corrections and the DCJ.
Rev. 7/02 12
•
1 .
Discussion/Definitions: The Department of Corrections forwards these daily
count sheets to the DCJ for further review. All populations reported on the
count sheet are reviewed and should be accurately reported.
3-150: The program shall have written policies and procedures to define and specify
procedures for dissemination of routine documentation, such as: supervision
plans, supervision plan modifications,termination summaries, and quarterly and
monthly reports, as requested by referring or oversight agencies.
3-160: The program shall have written policies and procedures to define the calculation
of time credit or sentence reduction for offenders in accordance with procedures
outlined by the Department of Corrections for Transition offenders, or as
specified in Colorado Revised Statutes, as amended, for direct sentence
offenders. A current copy of this calculation shall be maintained in the
offender's individual case file.
Discussion/Definitions: Procedures and forms to meet this standard have been
distributed to programs and are available upon request from the OW or at the
DCJ website. Forms and procedures are subject to revision and must be used
and followed.
3-170: The types of incidents regarding offenders that require notification to referral
and oversight agencies shall include, but are not limited to:
a. Medical emergencies requiring hospitalization
b. Arrest
c. Illegal weapon possession
d. Media involvement
e. Death
f. Violent acts per 16-11-309, C.R.S.
g. Escapes
h. Use of force
The format and deadlines for each notification may vary depending upon the
referral or oversight agency, and should be included in program policy and
procedure.
3-180: All active individual offender case records shall be audited within the first 30
days of admission. At a minimum, the records shall be audited to assure all
documentation required by standards is present: admission documents,
assessments, supervision plans and revisions, chronological notes, etc., and in
the appropriate order prescribed by agency policy and procedures. A similar
audit of the file shall be completed within 30 days of termination. Review shall
be documented in each case record.
Rev. 7/02 13
3-190: The program shall have policies and procedures that provide for a system of
regular internal auditing and self-monitoring of operations and programming.
The following functions shall have a documented review or audit at least once
every quarter:
a. Drug and alcohol testing systems
b. Medication monitoring
c. Sign-in/out records (residential only)
d. Off-site monitoring records
e. Contraband inspections
f. Offender service delivery reports
Audit documentation shall be maintained by the program.
Discussion/Definitions: Internal audits may discover errors of commission as
well as omission and serve a quality control function for the program operations.
3-200: The program shall have access to and use an organized system of information
collection, retrieval and review. All records, printed or electronic, shall be
available upon request, for review by referral and oversight agencies. The
Information Technology System (ITS) shall have a backup system to ensure data
retention and availability in accordance with contract requirements.
Discussion/Definitions: It is recommended that the program establish an ITS for
collecting statistical data, and review this data for future planning purposes.
An organized system of data collection will provide the program with
information to determine the type of offender best served by the program and
the trends in its referral and intake system. Program staff should participate in
identification of information needs, and guidelines should be established
concerning the security of all information on offenders.
3-21O: The program shall have policies and procedures to require that all program
documentation be legible, accurate and systematically filed. Program
documentation shall be signed and dated by all parties involved, i.e., intake
paperwork, supervision plans, plan revisions, progress reports, etc. The
signature can be original or documented via electronic means (electronic
signature and/or biometric verification). Electronic signatures and biometric
verification methods must be secure and auditable.
Rev. 7/O2 14
•
3-220: Each non-residential offender shall be assigned to one of the following levels of
supervision based on the offender's risk of re-offending, need for services (as
determined by the standardized offender assessment process), and adjustment
to supervision:
1. Intensive
2. Regular
3. Minimum
4. Administrative
Monthly service standards for the levels shall be:
Frequency of Services each Month by Level
Level
Service I 2 3
1 I 4
Case Management Meetings 4 3 2
1
Phone Contacts 3 2 1 1
Employment Verifications 2 2 1 1
Home Visits 1 1
Drug Testing 2 2 1
Breathalyzer Testing 2 1 1 1
(NOTE: Any service frequency listed as "•" above shall be conducted at least
once each quarter.)
3-230: The procedures that result in transfers from a lower to a higher level of
supervision shall provide for an administrative review for the offenders affected
by the transfers pursuant to Colorado Revised Statutes.
Rev. 7/02 15
4-000 SECURITY
The standards in this section address the security of the community, staff and offenders in
community corrections programs. Public safety is a primary concern and agencies must have
well-structured environments and security programs designed to reduce risk and liability and
increase public acceptance and support for the programs.
These standards define the minimum procedures that program staff are expected to use to
monitor offenders in the program and during periods of authorized release in the community.
Key security issues addressed by these standards include escapes, offender sign-outs and
furloughs. Special attention is also given to testing for drug and alcohol abuse, a significant
contributing factor to criminal behavior and unsuccessful outcome in community corrections
programs.
•
Rev. 7/02 16
4-000 SECURITY
4-010: Within 12 hours of admission each offender shall be advised of the following:
a. Program rules and regulations
b. Disciplinary actions
c. Grievance procedures
d. Program orientation
e. Facility emergency equipment and exits
f. Location of community legal services
g. Services provided by the program
h. Personal responsibility for medical and dental services/expenses
Location of emergency medical and other health care services
The offender shall sign, date, and time the notification, and a copy shall be
maintained in the offender's case record.
4-020: An intake interview shall be completed with each incoming offender within 12
hours of admission. Each offender shall be interviewed to record, at a minimum,
the following basic information:
a. Name
b. Address
c. Date of Birth
d. Gender
e. Race/Ethnicity
f. Social Security number
g Contact person in case of emergency
h. Person authorized to claim property if not claimed by the
offender(residential only)
Photograph of the offender
j. Entry date and time
4-030: Within 12 hours of admission a health inventory of the offender shall be
conducted. The inventory shall, at a minimum, include the following items:
special dietary needs, current medications, current medical needs/concerns,
dental problems and other health problems, as reported by the offender. The
inventory shall be documented by date, time and signature of staff conducting
the interview and shall be maintained in the offender's case record.
4-040: All prescribed medications for offenders shall be secured and their use shall be
monitored to ensure compliance with instructions of the prescribing medical
authority. Records shall be kept to document this monitoring of prescribed
Rev. 7/02 17
medications to offenders and these records and medications shall be audited at
least twice each month. Policies and procedures shall govern the disposal of
unused medications. Policies and procedures shall address the circumstances
under which the offender may take non-controlled, prescribed medication off
grounds.
4-050: The program shall have written policies and procedures that direct staff
response to offender medical emergencies.
4-060: The program shall have at least one staff member on duty at all times who is
trained in emergency first aid and CPR.
4-070: The residential program shall have policies and procedures for a system to
inventory and secure incoming offender property within 12 hours of admission.
Procedures shall specify which items are allowable for offender possession or
storage at the facility. A copy of the inventory, signed and dated by both staff
member and offender, shall be provided to the offender at intake. Policies and
procedures shall also address the maintenance of the inventory after admission,
and shall dictate proper disposal of property upon the offender's departure if not
claimed by the offender.
4-080: The program shall have written policies and procedures that govern the
substance abuse testing of all offenders and shall address, at a minimum, the
following areas:
a. The time lapse between offender notification of testing and the
collection of samples for urinalysis shall be no more than 2 hours.
b. Chain of custody and testing of samples shall be designed to meet
acceptable evidentiary standards.
c. Urinalysis samples shall be stored in a manner that is approved in writing
by the outside testing laboratory.
d. Programs utilizing in-house substance abuse testing equipment, to
include breath testing equipment, shall operate in accordance with the
manufacturer's guidelines, including collection, storage and testing and
shall maintain certification documentation within the personnel files of
all operators.
e. Programs utilizing drug screening kits shall ensure that the kits meet
Food and Drug Administration standards and are used in strict
compliance with the manufacturer's instructions.
f. Programs shall conduct urinalysis and other testing for alcohol and
controlled substances using basic safety precautions.
g. Programs shall conduct urinalysis using test monitors of the same gender
as the person being tested.
Rev. 7/02 18
h. Programs utilizing outside testing shall maintain documentation of the
laboratory's license or certification.
Discussion/Definitions: Due to the serious consequences for offenders with
positive urinalysis results, precautions must be taken to ensure the proper
collection, supervision, handling, storage, transportation, and testing of urine
samples.
Sensible sanitary practices should be followed. No smoking, eating or drinking
shall be allowed at the testing site. Rubber gloves should be used by all staff
during the handling of samples. No food or medications should be stored in the
immediate vicinity where urine samples or test chemicals are stored.
4-090: All positive test results that the program intends to use to transfer an offender
to a higher level of custody shall be confirmed by gas chromatography/mass
spectrometry(GC/MS)at an outside laboratory,except when an offender admits
to use.
The program shall not pass along the costs of confirmatory tests to the offender
if the initial test result proves to have been a false positive, unless it can be
shown that the false positive was likely caused by use of an adulterant,
masking agent, or other attempted manipulation of the test result by the
offender.
4-100: A urine sample shall be taken within 12 hours of the offender's admission into
the program. This initial sample shall be tested for the following controlled
substances:
a. Cocaine metabolite
b. THC
c. Amphetamines
d. Opiates
e. Barbiturates
All entry urine samples shall be tested, using any private clinical laboratory, or
by using in-house substance abuse testing equipment. Drug screening kits may
not be used for this purpose. An entrance urinalysis test is not required if an
offender transfers from residential to non-residential when both programs are
operated by the same community corrections agency.
Discussion/Definitions: Timely initial substance testing can provide the program
with valuable information concerning the offender's substance use and condition
at time of admission. The information can be used to direct future substance
testing as well as programming.
Rev. 7/02 19
4-110: Interim urinalysis testing shall be conducted randomly on each offender. For
offenders in a residential program these interim tests shall be conducted at least
twice during each full calendar month. For offenders under non-residential
supervision the interim testing shall be conducted in accordance with standard
3-220. Each interim sample shall be tested for at least two of the following
controlled substances:
a. Cocaine metabolite
b. THC
c. Amphetamines
d. Opiates
e. Barbiturates
Offenders shall be tested for their drug of choice at least once a month. Gaps
between urine tests shall not exceed 30 days.
Discussion/Definitions: Alcohol is not considered a controlled substance and
is not tested under this standard. The above testing rates represent minimum
testing requirements. More frequent testing may be indicated for some
offenders based on case assessment or requests by referring agencies.
The offender's drug of choice should be determined by reference to the Pre-
. Sentence Investigation Report (PS/R), the Inmate Assessment and Treatment
Form (IATFI or the Standardized Offender Assessment (SOA).
4-120: A urine sample shall be taken within 12 hours prior to the offender's successful
discharge or transfer from the residential program. At a minimum, this sample
shall be tested for the following controlled substances:
a. Cocaine metabolite
b. THC
c. Amphetamines
d. Opiates
e. Barbiturates
Documentation of this exit urine test shall be maintained in the offender's case
record. All exit urine samples shall be tested, using any private clinical
laboratory, or by using in-house substance abuse testing equipment. Drug
screening kits may not be used for this purpose.
4-130: A breath test or urinalysis test for alcohol shall be conducted on each offender
within 12 hours of admission and positive termination.
A random breath test or urinalysis test for alcohol shall be conducted on each
offender in a residential program at a rate of no less than one (1) per seven (7)
Rev. 7/02 20
day period. Gaps between testing may not exceed seven days. See standard
3-220 for acceptable non-residential interim testing requirements.
4-140: The program shall maintain record keeping systems for substance abuse testing
that provide (1) information in individual case records sufficient for case
management functions, and (21 aggregate substance abuse testing results
within the facility records for broader management functions.
Discussion/Definitions: Case managers and treatment staff must have easy
access to testing information (date of tests, substances tested, results) to
determine if supervision plans are being followed or need to be revised.
Aggregate drug testing information enable program managers to monitor testing
levels and ensure that minimum testing levels are met. Aggregate data also
identifies trends that may indicate needed changes in treatment/programming
or in testing patterns.
4-150: The program shall have written policies and procedures that direct the isolation
and observation of offenders who are intoxicated or under the influence of
controlled substance(s).
4-160: The program shall have written policies and procedures that provide for the
random monitoring of each residential offender's off-site location. The
offender's off-site location shall be randomly verified through personal contact
or phone contact, initiated by program staff. Offenders shall be randomly
monitored at least once in each calendar week,exclusive of furlough monitoring.
The offender's off-site location shall be monitored with at least two (2) work
and two (2) pass verifications each month. Documentation shall include the
time of the monitoring, date, offender location, signature of the staff, and
results of the verification. For offenders under non-residential supervision, the
frequency of location monitoring shall be conducted in accordance with
standard 3-220.
Discussion/Definitions: A known supervisor or treatment provider may verify
an offender's location.
4-170: The program shall have written policies and procedures that govern the issuance
of all passes and furloughs that include review and approval by the referring
agency, if required, for initial furlough privileges or whenever the absence
exceeds 48 hours. While on furlough, emergency furlough, or any other pass
that exceeds 18 hours, the offender's location will be verified during each 12
hour period of absence via staff-initiated contact with the offender.
Documentation of location verification shall include offender name, method of
verification, date, time, location, and staff signature.
Rev. 7/02 21
Discussion/Definitions: Due to the potential need of such documentation during
legal proceedings, proper documentation relating to time and place must be
maintained. As with regular monitoring, furlough verifications are meant to
establish accountability.
4-180: The program shall have written policies and procedures that outline procedures
and conditions by which monitoring of the offender is conducted on and off
grounds. Specific procedures shall address areas related to pursuit,
confrontation, use of force, and law enforcement assistance, pursuant to
current state statute and standard rules of evidence. Policies and procedures
shall establish the limits for staff monitoring activities and requirements for
contacting law enforcement agencies.
4-190: The program shall have written policies and procedures restricting the use of
physical force by staff. If physical force is used by program staff, the incident
shall be fully documented.
Discussion/Definitions: Staff of community corrections programs are not usually
peace officers or staff of a secure correctional facility. Use of or possession of
deadly weapons is prohibited. Use of force shall be limited to force that would
reasonably be used by citizens to protect persons, property, premises, or to
assist law enforcement officers (Refer to 18-1-704 through 707, C.R.S.). If
physical force is used, the situation must be thoroughly documented with
names, dates, circumstances, and justifications.
4-200: There shall be at least 4 random headcounts conducted during each 8-hour
period at residential programs, during which each offender's physical presence
or itinerary will be observed. A record shall be made of the time and date of
such counts and signed by the staff member conducting the count.
Discussion/Definitions: The status of offenders off facility grounds at the time
of the count shall be included in headcount documentation.
4-210: A log shall be kept for each residential offender for the purpose of recording all
authorized absences from the facility. Documentation within each entry shall
be legible and include, at a minimum, offender name, date, time of departure,
destination by street address, authorized purpose, expected return time, actual
return time, and offender signature. Staff and offender signatures prior to the
offender's departure and following arrival will verify all entries. Authorizations
for location changes shall be clearly and consistently documented and shall
adhere to all the documentation elements with the exception of offender
signature. Signatures can be original or documented via electronic means
Rev. 7/02 22
(electronic signature and/or biometric verification). Electronic and biometric
verification methods must be secure and auditable.
Discussion/Definitions: Sign-out logs are essential accountability documents.
Because these documents are frequently used in disciplinary proceedings,
accurate information is critical. Destination information should include a specific
location and indicate the type of sign-out le.g.pass, work, furlough). To ensure
validity, all entries must be legible and clearly reflect the offender's location
within the community.
4-220: The program shall have written policies and procedures that define contraband
and have a detailed procedure for its detection, confiscation, storage, disposal,
and documentation. Disciplinary actions that could result from the possession
of contraband shall be defined and made available to the offender. Procedures
shall include guidelines for contraband searches which include "pat" searches,
room searches, vehicle searches, personal property searches and limited visitor
searches.
4-230: The program shall have written policies and procedures that govern program
response to work stoppages, natural disasters, or other disruptions of normal
work routines. For programs with single coverage shifts, policies shall require
that "on-call" staff be able to respond to the facility within 30 minutes.
Discussion/Definitions: Pre-determined back-up procedures are imperative,
particularly when the program schedules single coverage shifts. It is advisable
to have administrative or supervisory staff on-call or at the facility at all times.
4-240: Residential programs shall provide an acceptable staffing pattern that
concentrates security staff during the program's peak hours. The overall ratio
of security staff to the program's current residential population shall be a
minimum of one full-time (or full-time equivalent) security staff member per
twelve residential offenders. At a minimum, programs with a residential
population of 40 or more shall be covered by at least two security staff
members during peak hours.
Security staff shall be on-site and trained in security policies and procedures.
Non security staff used to provide backup to security staff shall be trained in
applicable security policies and procedures and their primary responsibility shall
be security duties during this coverage period.
Rev. 7/02 23
4-250: The program shall have written policies and procedures that govern the
transportation of offenders by program staff. The policy shall prohibit
transportation of offenders in personal vehicles unless the program provides
insurance for such transportation.
Discussion/Definitions: The uninsured transport of offenders raises serious
liability issues. Unless the insurance policy(s1 includes "non-owner" coverage,
such transport should not occur. Other safety and liability issues that should be
considered include staff, offender and public safety. Staff that lack proper
credentials or have unacceptable driving histories should not be permitted to
transport offenders.
4-260: The program shall have written policies and procedures that specify the
conditions under which an offender is placed on escape status. Program policy
shall conform to the requirements of the referring agencies and the Colorado
Revised Statutes, as amended. Procedures to be followed after an escape shall
be clearly outlined by the program. At a minimum, prompt notification shall
include:
a. Appropriate referral agency and the community corrections board (if
required)
b. Law enforcement agencies
c. Victim where requested notification has been made
d. Any third parties known to be at risk
Discussion/Definitions: Currently the Department of Corrections has established
policies for reporting escapes of offenders under its jurisdiction. The Fugitive
Reporting System, as revised, is used for offenders under the jurisdiction of the
courts.
Rev. 7/02 24
•
5-000 FACILITIES
The standards in this section address the quality and safety of the living and working
environment for program staff and offenders. Facilities must be in compliance with applicable
zoning, building, fire, and health codes. In addition, facilities must meet space requirements,
providing adequate living space for resident offenders, as well as providing sufficient space
for staff and for offender services.
Rev. 7/02 25
5-000 FACILITIES
5-010: The program shall remain in compliance with all applicable building codes and
zoning requirements. Proof of compliance shall be kept on file at each program
location.
5-020: The program shall comply with the regulations of the fire authority having
jurisdiction. Compliance shall be verified by an annual inspection by the local
fire department that provides suppression services. In the event the local
authority having jurisdiction does not provide fire code inspection services, the
program shall obtain an annual fire safety inspection from a Colorado certified
fire safety inspector. Proof of compliance shall be kept on file at each program
location.
Discussion/Definitions: Many areas of the state are protected by volunteer fire
departments that may not have qualified fire inspectors. In areas of the state
where there are not certified inspectors, the Colorado Department of Public
Safety, Division of Fire Safety can conduct fire safety inspections at the request
of the local authority having jurisdiction on a fee for service basis. The Division
of Fire Safety also maintains a listing of Colorado certified fire safety inspectors.
5-030: The residential program shall provide flame-retardant mattresses and pillows in
good condition, with labels that indicate the fire safety performance
requirements.
5-040: The residential program shall maintain an automatic sprinkler system, where
required by the local building code.
5-050: The residential program shall have a fire protection alarm system and an
automatic smoke detection system that is approved by the authority having
jurisdiction. All system elements shall be tested on a quarterly basis; adequacy
and operation of the systems are to be approved by a state fire official or other
qualified authority annually. Written documentation shall be maintained at the
facility.
5-060: The program shall store all flammable liquids and hazardous materials (paint,
cleaners, adhesives, etc.) in their original containers and away from kitchen and
dining areas, furnaces, heaters, sleeping and high traffic areas.
Rev. 7/02 26
5-070: All program locations shall conduct random emergency evacuation fire drills at
least once quarterly. Documentation of these drills shall be maintained at each
program location.
Discussion/Definitions: Documentation shall include the following: time, date,
staff initials, number of participants, response time and comments.
5-080: Program staff shall have immediate access to a first aid manual and appropriate
medical supplies.
Discussion/Definitions: For a list of appropriate medical supplies, refer to the
American Red Cross or American Medical Association.
5-090: A minimum of 50 square feet of floor space shall be provided per offender in
sleeping areas of the residential program, of which no more than 4 square feet
shall be closet or wardrobe space.
5-100: The program shall provide separate space for each of the following:
a. Private individual counseling
b. Group meetings
c. Monitored visitation (residential only)
d. Dining (residential only)
e. Food preparation (residential only)
Discussion/Definition: Multi-purpose areas shall only be used for one of the
events listed above, at any given time.
5-110: The residential program shall provide space for visits by family members,
attorneys, criminal justice officials and other appropriate visitors and maintain
policies and procedures to monitor and control such visits.
5-120: The residential program shall maintain, at a minimum:
a. One operable toilet for every 10 offenders, or combination of toilet and
urinals for every 10 offenders.
b. One operable wash basin for every 6 offenders (hot water not to exceed
130 degrees).
c. One operable shower or bath for every 8 offenders (hot water not to
exceed 130 degrees).
d. One operable washer and dryer for every 12 offenders, or access to
commercial laundry machines within 2 miles of the residential program.
Rev. 7/02 27
Discussion/Definitions: The hot water supply shall be sufficient to meet the
reasonable needs of each residential offender on a daily basis.
5-130: The program shall comply with all health and sanitation codes of the jurisdiction
having authority. Written reports of inspections by state and local authorities
shall be maintained at each program location. In the event there are no local
city and/or county codes applicable, state codes will prevail. In the event that
no local or state codes are applicable, appropriate national codes shall be
applied.
5-140: Residential offenders shall have access to meals meeting nutritional
requirements established as U.S. Required Daily Averages. Food shall be stored,
prepared and served in compliance with all state and local codes, laws and
regulations. Any food service that includes extensive preparation by offenders,
subcontracts with restaurants, or service by outside vendors must be approved
by the local community corrections board. Meals:
a. Shall be approved and reviewed annually by a registered dietician.
b. Shall be specially prepared if required for documented medical
reasons.
c. A weekly menu for all meals shall be posted.
5-150: The program and surrounding property shall be kept in safe repair and in clean
and sanitary condition at all times. Written policies and procedures shall define
regular housekeeping and maintenance routines, with daily documented
inspections.
Discussion/Definitions: Compliance with health and sanitation codes is vital to
the safety and well being of the offenders.
5-160: Resident offenders may be assigned house cleaning chores and duties following
written policies and procedures that provide for the fair and equal distribution
of such assignments. (Also reference standard 2.070)
Discussion/Definitions: The distribution of daily offender chores requires
impartiality and consistency by staff. This includes the monitoring and
supervision of all offender chores. Clear written guidelines should exist
concerning the distribution of additional chores as a result of disciplinary action.
5-170: The program shall have written policies and procedures that provide for regular
inspections to ensure that each offender's bedding is clean.
Rev. 7/02 28
6-000 CASE MANAGEMENT
The standards in this section address offender assessment, development and revision of case
supervision/treatment plans, and the tracking and recording of offender progress while in
community corrections programs. These standards are intended to prioritize services to
offenders, concentrating on those problems most related to criminal behavior, and making the
most efficient and effective use of limited resources to increase public safety.
Rev. 7/02 29
6-000 CASE MANAGEMENT
6-010: A separate case record shall be maintained for each offender in the program.
Each individual case record shall include, at a minimum, the following
information that is uniformly filed and kept current;
a. Commitment documents from referring agencies, including background
information
b. Proof of eligibility or acceptance by the local community corrections
board
c. Intake information form (see standards 4.020 and 4.021)
d. Individual case assessment and supervision plans, documentation, and
reviews
e. Release of information and other consent forms
f. Chronological entries and progress reports documenting developments
of the case, including compliance with special conditions
S. Documentation of treatment attendance and progress
h. Financial information including: employment, earnings, taxes paid, court
ordered payments and collections
Copies of incident reports, disciplinary actions, disciplinary appeals, and
grievances
j. Copies of correspondence, referral forms, or other documents related to
the case
k. Termination forms, summaries, and notices
Case record map
6-020: Offender medical records developed by licensed health care professionals while
the offender is in the program shall be maintained in a separate individual file.
Written policies and procedures shall govern the confidentiality of these medical
records in accordance with current state and federal law.
6-030: The program shall have written policies and procedures that govern the
confidentiality of case records and shall address, at a minimum, offender access
to records, staff access, and release of information to third parties. Offender
records shall be maintained in accordance with federal and state laws.
6-040: The program shall have written policies and procedures that govern the release
of information to third parties including authorized representatives of criminal
justice or oversight agencies.The program's "Release of Information Form" shall
address circumstances under which releases are permitted and restrictions on
the type of information to be released. Staff and agents of the program shall
have clear instructions on the release of information to third parties.
Rev. 7/02 30
The structure and identification of information to be placed on the form
includes, but is not limited to:
a. Name of person, agency or organization requesting information
b. Name of person, agency or organization releasing information
c. The specific information to be disclosed
d. The purpose or need for the information
e. Expiration date
f. Date consent form is signed
g. Signature of the offender
h. Signature of individual witnessing offender's signature
Copies of the consent form shall be maintained in the offender's file.
Discussion/Definitions: It is extremely important that the confidentiality of
records be respected and maintained at all times. Program policies must
specify what information will be available to the offender, particularly when
his/her mental and social adjustment might be affected; when a co-defendant
is involved; when informants'names are recorded, or when victim information
is included.
6-050: The program shall have written policies and procedures that provide for secure
storage of all case records, logs, and records in accordance with contract
requirements. Records must subsequently be disposed of in a manner ensuring
complete confidentiality.
6-060: The program shall have written policies and procedures for assigning each
offender to a case manager within one working day after the offender's
admission to the program.
Discussion/Definitions: Program staff must be accessible to offenders for
advice, counseling and supervision. Every effort shall be made to match case
managers and offenders based on risk, need and responsivity. Caseloads shall
be set at a level reasonable enough to ensure compliance with all standards and
referral agency requirements. Consideration of lower caseloads should be given
to case managers supervising specialized offender populations such as: sex
offenders, seriously mentally ill offenders and female offenders.
6-070: Case managers shall meet individually at least once each week with each
residential offender on their caseload. Gaps between meetings shall not exceed
10 calendar days. For offenders under non-residential supervision, case
management meetings shall be conducted in accordance with standard 3-220.
The purpose of the meeting is to discuss progress towards objectives identified
in the offender's supervision plan and address problems that may be impinging
Rev. 7/02 31
on the offender's reintegration within the community. Sessions shall be
documented in the chronological notes in the offender's file.
Discussion/Definitions: Case management meetings should be scheduled in
advance to allow both parties to prepare and identify. topics for discussion.
Adequate time should be allowed to fully discuss case progress and problems.
6-080: Chronological or progress notes shall be entered into an offender's case record
each time there is a scheduled meeting, an event or information potentially
affecting the direction or progress of the case, and any interagency
communication regarding the particular case. All entries shall be legible,
accurate, systematically filed in the offender's case record and signed and dated
by the staff member making the entry. The signature can be original or
documented via electronic means (electronic signature and/or biometric
verification). Electronic signatures and biometric verification methods must be
secure and auditable.
Discussion/Definitions: A consistent coding system and format should be used
to identify the type of event being recorded(individual, collateral, staffing, etc.).
Because such documentation is often used for disciplinary hearings or other
important case decisions, legibility and accuracy are critical.
6-090: The program shall have written policies and procedures for systematically
assessing all incoming offenders for their individual criminal risks, criminogenic
needs, and responsivity to various intervention strategies. The assessments
shall be completed and documented in the offender case record within 10
working days of the offender's admission. Programs may use assessments
that were completed within six months prior to placement. Assessments
include:
a. The Level of Supervision Inventory (LSI)
b. Simple Screening Instrument (SS')
c. Adult Substance Use Survey (ASUS)
d. Substance Use History Matrix (SUHM)
Discussion/Definitions: The Level of Supervision Inventory (LSI) should be re-
scored every six months and when significant events occur in the offenders
placement le.g. new drug use, transfer to non-residential placement).
The assessment of offender criminal risk, criminogenic need, and individual
responsivity should include(1)a careful consideration of referral information and
offender behavior in the program, and (2) a systematic application of
assessment instruments that have established validity and reliability. This
assessment process serves as the basis for subsequent case analysis and
supervision plan development.
Rev. 7/02 32
State criminal justice agencies and treatment agencies have implemented a
system-wide substance abuse screening and assessment process(16-11.5-101,
et.seq., C.R.S, as amended). This mandated assessment process supplements
these standards.
6-100: Case managers shall formulate a personalized supervision plan for each offender
which specifies supervision approaches. The case manager and the offender
shall plan the interventions targeted to address particular criminogenic needs
and referral agency treatment requests. Supervision plans shall include
measurable criteria of expected positive behavior and accomplishments and a
time schedule for achievement. Both residential and non residential original
supervision plans shall be completed, signed, and dated by both the case
manager and the offender within 15 working days of the offender's program
entry date. A summary of the individualized assessment and/or supervision plan
shall be provided to the referral or oversight agency upon request.
The supervision plan must be tied to the Standardized Offender Assessment
(SOA) and to evaluation outcome. The recommended type of supervision plan
is a problem-oriented format that separately identifies each of:
a. The offender's key behavioral problems
b. Short-range behavioral objectives which address the'above problem
c. Specific steps the offender needs to take in the immediate future to
accomplish the established objectives
d. The specific steps the case manager will take to assist and/or hold the
offender accountable for accomplishment of identified objectives
Discussion/Definitions: Care should be taken to avoid over-loading any offender
with too many objectives to accomplish at any one point two to four
behavioral objectives is a range most offenders are likely to manage during a
given period. The achievement of objectives should be reinforced soon after the
desired behavior occurs, Positive reinforcement accelerates behavior changes
and should be meaningful to the offender.
6-110: Case managers shall perform a documented review of offender progress to
include supervision plans at least once each month and revise the plan if
indicated by case developments. This review shall note progress, problems, or
need for revisions to the supervision plan. Any modifications to the supervision
plan or expectations of the offender shall be personally reviewed with the
offender and a written record of the modifications shall be made in the case
record, signed, and dated by the offender and case manager.
Discussion/Definitions: Offenders in community corrections programs have
adjustments to make, and modifications to supervision plans must be reviewed
in a staff meeting or by an individual staff member. It is essential that the
Rev. 7/02 33
program records reflect this progress, or lack of it, in the individual case record.
Items of special concern in this review include, at a minimum, the reviews of
the rater box items on the Level of Supervision Inventory (LSI), the short-range
objectives specified in the offender's supervision plan and any special conditions
required by the referring agency or local community corrections board (if not
integrated into the supervision plan). This review provides some assurances
that offenders are not overlooked in the treatment and reintegration process.
Level 3 and level 4 non-residential offenders'progress and supervision plans
may be done quarterly.
6-120: The program shall establish written policies and procedures governing the
movement of offenders through various levels of supervision. Areas such as
time frames and completion of program expectations will be addressed in these
policies and procedures.
6-130: The program shall develop a specific plan for offender employment services.The
plan shall include preparation for job search readiness including: aptitude testing,
job referrals, public transportation, and facility phone access during business
hours. Community employment resources shall be described in detail.
Discussion/Definitions:Programs shall develop specific strategies for minimizing
common obstacles to employment for offenders. Issues that should be
addressed include: inadequate transportation and phone access, insufficient
support during the job search process, and lack of familiarity with local
employment resources.
6-140: The program shall review each offender's educational status to determine if
attendance in Adult Basic Education (ABE) or General Equivalency Degree (GED)
program is indicated. Information regarding ABE and GED services shall be
made available to appropriate offenders including information on costs,
locations, and enrollment procedures.
6-150: The program shall develop a written plan to address offender treatment, to
include procedures for assessment, referral, treatment and monitoring.
Treatment resources shall be described in detail and be supported by written
curricula. The plan shall be revised or updated as needed.
Discussion/Definitions: Programs are required to maintain listings of other
treatment resources and refer offenders to the most appropriate service based
on assessment conclusions.
Rev. 7/02 34
6-160: The program shall make appropriate referrals to qualified treatment providers to
meet the needs of the offenders accepted for placement. Participation and
progress in treatment shall be regularly monitored by the program to include
monthly verification of attendance. Offenders shall be advised upon intake, or
upon a decision to refer, of the reasons for the referral, their responsibilities for
payment and participation in treatment.
Discussion/Definitions: Programs should establish a regular system of
monitoring offenders'participation in treatment including periodic on-site visits,
telephone contact, written reports or other monitoring techniques.
6-170: At termination, a discharge summary shall be prepared that reviews the
offender's performance in the program. If the offender is to transfer to a non-
residential program, probation, or parole, the summary shall also include
recommendations to assist with continuity and transition of supervision. The
discharge summary shall be signed and dated by the case manager upon
completion and a copy shall be maintained in the offender's case record. Upon
termination of the offender, a discharge summary shall be submitted to the
referring agency within five working days, if required.
Discussion/Definitions: At a minimum, this report summarizes in narrative form
activities which occurred during the program, unusual occurrences, treatment
during supervision that affected the outcome of supervision, and the staff's
assessment of the reasons for the successful or unsuccessful outcome.
6-180: The program shall assist each offender in developing a budget (financial
management plan) that corresponds with the offender's pay period. It should
prioritize the offender's financial obligations and assist the offender in
addressing those obligations. The written budget shall be signed and dated by
the offender and case manager and maintained in the case record.
Discussion/Definitions: Offenders are to be encouraged to develop both short
and long-term budgets to prepare for reintegration into the community and meet
financial obligations imposed by the criminal justice system. Such budgets are
not required for unemployed offenders.
6-190: The program shall have policies and procedures that describe documentation to
be maintained for individual recording of financial transactions related to
placement in the program (such as earnings, subsistence fees, restitution, fines,
treatment fees and savings). Receipts for financial transactions shall be
provided to the offenders. Monthly statements shall be provided to each
offender with the status of offender funds (if maintained by the program) as
well as the status of bills or debts to the program. A final financial statement
shall be provided to both the offender and the referral agency, if required, upon
termination. A copy shall be maintained in the offender's case record.
Rev. 7/O2 35
6-200: The program shall have an established process to monitor the payment of
restitution in accordance with the requirements of the local jurisdiction.
6-210: Offenders shall obtain both program approval and, if required, referral agency
approval before entering into any contract.
6-220: The program shall have written policies and procedures that define when
offenders under supervision will be permitted to drive and use privately owned
vehicles. The policy shall include, at a minimum, the requirement of a current
and valid driver's license, proof of insurance, Department of Motor Vehicle
record, and referral agency approval, if required. Copies of all documentation
shall be maintained in the offender's case record.
Discussion/Definitions: Allowing offenders to drive raises potential liability
issues. Before offenders are authorized to drive, risk to the offender and
community must be assessed. An example of high risk is a license revocation
within the past 3 years. Other considerations may include the relationship of
the offender's driving history to his/her offense (past or present). Due to the
importance of current and valid documentation, programs should implement
some sort of "tickler" system that alerts staff, ahead of time, of upcoming
expiration dates.
•
Rev. 7/02 36
•
Glossary
Administrative staff-Those employees who do not have direct contact with offenders as part
of their regular job duties.
Agent - Anyone working on behalf of the program.
Ancillary staff - All program staff, regular or temporary, not included under administration,
program or security.
Aptitude testing - Testing of one's ability to learn or to establish employment suitability.
Audit (financial) - The purpose of an audit is to provide a reasonable basis for expressing an
independent opinion on the financial statements of the agency by performing procedures such
as assessing control risk, testing accounting records, and obtaining corroborating evidence
through inspection, observation and confirmation.
Biometric identification - Automated techniques for identifying individuals by using
physiological or physical characteristics, including iris, retina, hand geometry, finger, face,
handwriting and voice recognition techniques.
Breath test - Test administered to determine if alcohol has been consumed.
Case record map - Index of document locations within a case record.
CCIC - Colorado Crime Information Center.
Chores - General housekeeping duties.
Chronological notes - A recording of offender progress while in community corrections.
Community Corrections - A community-based program that provides residential and/or non-
residential accommodations and supervision for felony offenders, and provides programs and
services to aid in the reintegration of the offender into the community.
Community Corrections Board - A governing authority that has the authority to enter into
contracts, establish programs, accept or reject offenders for placement and establish and
enforce standards.
Conditional employment - An offer of employment that is contingent on the results of a
background investigation.
Contraband - Forbidden items as established by the program policies.
Controlled substances - Substances identified as illegal by state law.
Criminogenic - Producing or leading to criminal behavior.
Rev. 7/02 37
Criminogenic needs - Those individual problems or conditions that lead to criminal behavior.
CRS - Colorado Revised Statutes.
DCJ - Colorado Division of Criminal Justice, Department of Public Safety.
•
Direct sentence - Also known as diversion or direct placement, it is the sentencing of a felony
offender to community corrections by the courts.
Direct supervision- A new employee must be supervised by another employee of the program
who has a completed background investigation (including the receipt of the fingerprint card
results) and formal orientation training.
DOC - Colorado Department of Corrections.
Drug of choice-The drug that the offender has used frequently and predominantly in the past;
some offenders will have more than one.
Drug screening kit - A portable drug screening device.
Employment verification - A staff initiated contact with an offender's employer or verification
through documents such as pay stubs, pay checks, etc.
Financial Review - The objective of a financial review is to obtain a reasonable basis for
expressing independent limited assurance that the financial statements are in conformation
with generally accepted accounting principles(GAAP)or another accepted basis of accounting.
Though less comprehensive than an audit, a review is more comprehensive than a compilation
of financial statements and relies heavily on inquiry and analytical procedures.
Full time equivalent - Any combination of employees whose working hours equal a minimum
of 32 hours per week.
Full time security staff - A security staff employee who works at least 32 hours per week.
Furlough - Any authorized absence from the residential program for 18 to 48 hours.
Generally Accepted Accounting Procedures - (GAAP) - A set of accounting standards, rules,
and procedures for reporting earnings and losses in financial statements that was created by
the Financial Accounting Standards Board and other standard-setting bodies and professional
organizations.
Governing Authority - The legal entity that operates the community corrections program, i.e.
the corporate board of directors or governmental unit authorized to act as the legal agent of
the agency.
Grievance - A statement expressing a complaint against a real or imagined wrong, or a
circumstance believed to be unjust and grounds for complaint.
Rev. 7/02 38
Health inventory - Self reported medical history.
Home visit - A visit by a staff member to the offender's residence and having personal
interaction with the offender.
In-House - Inside the facility.
In-House Substance Abuse Testing Equipment-Urinalysis testing equipment that is maintained
and operated by the program.
Individual Responsivity -The likelihood that an intervention targeted to address a criminogenic
need will have the desired effect of eliminating criminal behavior.
LSI- Level of Supervision Inventory. The LSI is an assessment tool that measures the risk and
needs of an offender.
Monitoring - The verification of the offender's current location by the recording of time, date,
place, person(s) contacted, signature of staff, and results of the verification.
NCIC - National Crime Information Center.
Non-Residential - Applies to direct sentence offenders who have successfully completed
residential placement and are now living independently in the community.
Operable - In working order and suitable for use.
Oversight agency - The agency responsible for funding allocations, contracts and standards
compliance. (refers to DCJI
Parolee - A DOC offender released to the community by the Colorado State Parole Board
before his/her sentence has expired.
Pass - Any non-work sign out (excluding furlough sign-outs)
Peak hours - Monday through Friday from 4:00 p.m. to midnight, and Saturday, Sunday, and
holidays from 8:00 a.m. to midnight.
Personal contact - A face-to-face contact between the offender and a staff person.
Phone contact - A staff initiated telephone call to the offender.
Prescribed medications - Medication prescribed by a licensed health care professional.
Probation -Agents of the court responsible for the referring and monitoring of direct sentence
offenders to community corrections.
Program - The agency contracting with the local community corrections board to provide
community corrections services.
Rev. 7/02 39
Program staff - Those employees or agents who are involved in the provision of services to
offenders such as case management, assessment, educational or skills building groups or
treatment.
Prompt - Done without delay.
PSIR - Pre-Sentence Investigation Report.
Qualified treatment providers - Individual or agencies that meet the state standards and
requirements for providing specific types and levels of treatment.
Random - The event is conducted in a method that is not predictable.
Reasonable suspicion testing - Drug testing of employees or offenders based on observed or
reported incidents.
Referral agency - The agency with legal authority to refer offenders for placement.
Reinforcement - To reward a desired response in order to encourage its repetition.
Restitution - Court ordered compensation.
Risk - The assessed probability of continued criminal behavior.
Screening - The use of specific criteria to evaluate potential community corrections
placements.
Security staff - Those employees who are involved in program security, public safety issues,
and offender monitoring.
Segment audit - A segment is generally defined as a component of an enterprise that is
engaged in providing a product or service to a certain group of customers or in a certain
geographic area. A segment audit or review may be required if the community corrections
program is being operated as a part of a unit of government or by a large corporate entity. The
segment audit or review would follow the same guidelines as a financial audit or financial
review, but would focus on the community corrections agency or agencies that are under the
jurisdiction of these standards.
Service delivery - Refers to services provided by treatment professionals or program staff.
Service provider - Refers to qualified treatment provider (see above) or other licensed or
certified individuals or agencies providing education or skills-based programs.
SOA - Standardized Offender Assessment (16-11.5-101, C.R.S.)
Special condition - Additional or unusual placement requirements.
Staff initiated monitor-The program staff placing a call to the offender's sign out location for
Rev. 7/02 40
I •
the purpose of verifying the offender's present location.
Subsistence - Established fee the offender is charged by the program in order to reside in the
residential facility
Third parties - Anyone outside the criminal justice system.
Transition - An offender placed in the community corrections program who is under the
jurisdiction of the Colorado Department of Corrections (DOC)
Verification - Establishment or confirmation of the truth.
Working Day . Monday through Friday from 8:00 a.m. to 5:00 p.m., exclusive of holidays.
Rev. 7/02 41
-
Appendix
Administrative Procedures for Program Audits and Appeals
AUDITS
The Colorado Division of Criminal Justice (DCJ) has statutory authority to audit.
Community Corrections programs at least once every three years. Boards and
programs are notified two weeks in advance that an audit will be conducted. The
audit team is generally on-site from 3 to 5 days. Audits measure compliance with the
Community Corrections Standards and the statutes governing all aspects of
Community Corrections, including earned time, restitution collection and victim
notification. The DCJ audit team consists of staff members of the Office of
Community Corrections (OCC), local board staff and/or members, Department of
Corrections Community Corrections Agents, and local Probation Officers. This team
reviews documentation (such as policies and procedures, building and fire inspections,
personnel files, and client files), interviews program staff and clients, inspects the
physical facility and observes daily operations during the course of the audit.
Following the audit, a report is prepared and sent to the program for comment prior to
release to the local community corrections board and referral agencies. This report
details all standards reviewed and whether or not the program is in compliance with
the standards or statutes. If the issues are life threatening or create a public safety
risk, a time-limited remedy will be required by DCJ. The program will be required to
provide documentation to DCJ that changes have been made to address the issue.
The DCJ may conduct an on-site inspection.
In the event the audit team discovers possible criminal activity, such as falsification
of records or tampering with urinalysis testing results, the auditor will notify the
Manager of the Office of Community Corrections and a decision will be made whether
to notify the local District Attorney to initiate an investigation. This investigation may
or may not result in criminal prosecution.
FOLLOW-UP AUDITS
A follow-up audit will be conducted within a 6 to12 month period following the initial
audit. In the event of serious public safety issues, a follow-up may be conducted
within 1 to 3 months. Follow-up audits are more limited in scope that the initial audit
and the documentation is tested to ensure corrective actions have been taken on all
of the recommendations or findings. The DCJ does not notify the agency prior to a
follow-up audit. The follow-up is generally conducted by two DCJ audit team
members and is usually limited to two days on-site. The files reviewed are chosen
Rev. 7/O2 42
•
from the time period following corrective action of initial audit findings by the program.
Again, the report is prepared and sent to the program for review prior to release to the
Community Corrections Board.
AUDIT APPEALS
In the event the program is unable to resolve issues related to audit findings with the
DCJ Community Corrections Auditor, the program will direct the initial appeal to the
community corrections board within 10 days of the final audit report. The board will
provide DCJ with a copy of the appeal so that the auditor may provide information to
express DCJ's position on the disputed finding(s). The local board will issue a written
decision to the program following the next board meeting. The board will forward a
copy of that response to the DCJ auditor. If the board supports the program, and the
DCJ auditor does not agree, the board's response and the appeal from the program will
be forwarded to the Director of the DCJ.
In the event that the board does not support the program's appeal, the program still
has the option to appeal to the Director of the DCJ. The written appeal must provide
documentation outlining the basis for the appeal and back-up documentation to
support the argument. This documentation may include Board input. The Director
of DCJ will review the documentation and may choose to meet with the appealing
program and board. A letter of support or denial of appeal will be provided within 15
days.
If the program is still in disagreement with the finding, the program may appeal, in
writing, to the Executive Director of the Colorado Department of Public Safety (CDPS).
The CDPS Executive Director, or an appointed designee, will respond in writing to the
appeal within 30 days. The decision of the Executive Director is final. The program
does have the option of civil litigation.
SPECIAL LIMITED-SCOPE AUDITS
The DCJ may choose to audit any program in any area of its operation. The decision
to conduct a limited-scope audit may be based on a number of factors, such as (but
not limited to):
a. Evidence that the program is not operating within the standards or
statutes
b. Billings are incorrect
c. Contact by the community corrections board, the public, or staff of a
program expressing concern about the operation of the program
d. Paperwork submitted by the program is consistently incorrect
e. No paperwork is submitted by the program
Rev. 7/02 43
Any one of these issues may trigger a limited-scope audit. During these audits, DCJ
follows the same basic procedures as with any audit, but no notification is made prior
to the audit. Offender files, financial records or other paperwork may be reviewed and
staff and offenders may be interviewed. A limited-scope audit may result in a full audit
if there is evidence of a significant problem.
WAIVERS
The state recognizes that individual communities may need to define requirements of
programs due to unique local circumstances or facility characteristics. Local
community boards may exercise that authority under 17-27-103 and 104 C.R.S., as
amended, to impose standards or program requirements in addition to the state
standards. Programs do not need to request a waiver of a standard if the board has
imposed standards that are more stringent than those imposed through the Colorado
Community Corrections Standards. A program may seek waivers from the state for
compliance with individual standards by following the process outlined below:
a. Formulate a written request that identifies the specific standard for which
a waiver is sought and the justification for the waiver.
b. Submit the request first to the local community corrections board.
c. If the local board endorses the request, submit the request with the
written board endorsement to the Colorado Department of Public Safety,
Division of Criminal Justice. The Division of Criminal Justice will provide
written approval or denial of the request and may time limit any waiver
request.
Beginning July 1 , 2002, a waiver will only apply for a one-year period unless otherwise
specified by DCJ. If the program cannot make adjustments to comply with the
standards, the waiver must be requested in each subsequent year. The DCJ may
choose to approve or deny waivers. If a waiver is denied, the program will be given
a specific amount of time (based on the extent of changes needed) to make
adjustments to ensure compliance.
TECHNICAL ASSISTANCE
The Division of Criminal Justice may be considered as a resource by the community
corrections boards and programs. The Office of Community Corrections staff is
available to provide training to staff on issues related directly to community
corrections, such as standards compliance, time credit statutes, completion of Client
Termination Forms, and the basic Standardized Offender Assessment process. The
OCC staff is familiar with most of the community corrections programs statewide and
may be able to offer suggestions to improve the operation of a program. In addition,
Rev. 7/02 44
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the DCJ has a professional staff with a wide range of knowledge of the criminal
justice system, including victims' issues, sex offender management, domestic violence
management, juvenile offender issues, research, and the availability of many grant
programs.
REVISIONS OR AMENDMENTS TO STANDARDS
If events or statutory changes occur that conflict with the approved Standards, the
Division of Criminal Justice may issue revisions or amendments to the Standards to
ensure that programs are in compliance with the law. Any revisions or amendments
will be issued in writing.
Rev. 7/02 45
Exhibit D
HIPAA BUSINESS ASSOCIATE ADDENDUM
This Business Associate Addendum ("Addendum") is a part of the Contract dated April
20, 2006 between the Department of Corrections and the Board of Commissioners of Weld
County, contract number CAA07-00042. For purposes of this Addendum, the State is referred to
as "Covered Entity" or "CE" and the Contractor is referred to as "Associate". Unless the context
clearly requires a distinction between the Contract document and this Addendum, all references
herein to"the Contract"or "this Contract"include this Addendum.
RECITALS
A. CE wishes to disclose certain information to Associate pursuant to the terms of the
Contract, some of which may constitute Protected Health Information ("PHI")
(defined below).
B. CE and Associate intend to protect the privacy and provide for the security of PHI
disclosed to Associate pursuant to this Contract in compliance with the Health
Insurance Portability and Accountability Act of 1996, 42 U.S.C. § 1320d - 1320d-8
("HIPAA") and its implementing regulations promulgated by the U.S. Department of
Health and Human Services, 45 C.F.R. Parts 160 and 164 (the "Privacy Rule") and
other applicable laws, as amended.
C. As part of the HIPAA regulations, the Privacy Rule requires CE to enter into a contract
containing specific requirements with Associate prior to the disclosure of PHI, as set
forth in, but not limited to, Title 45, Sections 160.103, 164.502(e) and 164.504(e) of
the Code of Federal Regulations ("C.F.R.") and contained in this Addendum.
The parties agree as follows:
1. Definitions.
a. Except as otherwise defined herein, capitalized terms in this Addendum shall have
the definitions set forth in the HIPAA Privacy Rule at 45 C.F.R. Parts 160 and 164, as amended.
In the event of any conflict between the mandatory provisions of the Privacy Rule and the
provisions of this Contract, the Privacy Rule shall control. Where the provisions of this Contract
differ from those mandated by the Privacy Rule, but are nonetheless permitted by the Privacy
Rule,the provisions of this Contract shall control.
b. "Protected Health Information" or "PHI" means any information, whether oral or
recorded in any form or medium: (i) that relates to the past, present or future physical or mental
condition of an individual; the provision of health care to an individual; or the past, present or
future payment for the provision of health care to an individual; and (ii) that identifies the
individual or with respect to which there is a reasonable basis to believe the information can be
used to identify the individual, and shall have the meaning given to such term under the Privacy
1
Rule, including,but not limited to,45 C.F.R. Section 164.501.
c. "Protected Information" shall mean PHI provided by CE to Associate or created
or received by Associate on CE's behalf. To the extent Associate is a covered entity under
HIPAA and creates or obtains its own PHI for treatment, payment and health care operations,
Protected Information under this Contract does not include any PHI created or obtained by
Associate as a covered entity and Associate shall follow its own policies and procedures for
accounting, access and amendment of Associate's PHI.
2. Obligations of Associate.
a. Permitted Uses. Associate shall not use Protected Information except for the
purpose of performing Associate's obligations under this Contract and as permitted under this
Addendum. Further, Associate shall not use Protected Information in any manner that would
constitute a violation of the Privacy Rule if so used by CE, except that Associate may use
Protected Information: (i) for the proper management and administration of Associate; (ii) to
carry out the legal responsibilities of Associate; or (iii) for Data Aggregation purposes for the
Health Care Operations of CE. Additional provisions, if any, governing permitted uses of
Protected Information are set forth in Attachment A to this Addendum.
b. Permitted Disclosures. Associate shall not disclose Protected Information in any
manner that would constitute a violation of the Privacy Rule if disclosed by CE, except that
Associate may disclose Protected Information: (i) in a manner permitted pursuant to this
Contract; (ii) for the proper management and a dministration o f A ssociate; (iii) as required by
law; (iv) for Data Aggregation purposes for the Health Care Operations of CE; or (v) to report
violations o f 1 aw to a ppropriate federal o r state authorities, consistent with 45 C.F.R. Section
164.502(j)(I). To the extent that Associate discloses Protected Information to a third party,
Associate must obtain, prior to making any such disclosure: (i) reasonable assurances from such
third party that such Protected Information will he held confidential as provided pursuant to this
Addendum and only disclosed as required by law or for the purposes for which it was disclosed
to such third party; and (ii) an agreement from such third party to notify Associate within two
business days of any breaches of confidentiality of the Protected Information, to the extent it has
obtained knowledge of such breach. Additional provisions, if any, governing permitted
disclosures of Protected Information are set forth in Attachment A.
c. Appropriate Safeguards. Associate shall implement appropriate safeguards as are
necessary to prevent the use or disclosure of Protected Information other than as permitted by this
Contract. Associate shall maintain a comprehensive written information privacy and security
program that includes administrative, technical and physical safeguards appropriate to the size
and complexity of the Associate's operations and the nature and scope of its activities.
d. Reporting of Improper Use or Disclosure. Associate shall report to CE in writing
any use or disclosure of Protected Information other than as provided for by this Contract within
five (5)business days of becoming aware of such use or disclosure.
2
e. Associate's Agents. If Associate uses one or more subcontractors or agents to
provide services under the Contract, and such subcontractors or agents receive or have access to
Protected Information, each subcontractor or agent shall sign an agreement with Associate
containing substantially the same provisions as this Addendum and further identifying CE as a
third party beneficiary with rights of enforcement and indemnification from such subcontractors
or agents in the event of any violation of such subcontractor or agent agreement. Associate shall
implement and maintain sanctions against agents and subcontractors that violate such restrictions
and conditions and shall mitigate the effects of any such violation.
f. Access to Protected Information. Associate shall make Protected Information
maintained by Associate or its agents or subcontractors in Designated Record Sets available to
CE for inspection and copying within ten (10) business days of a request by CE to enable CE to
fulfill its obligations to permit individual access to PHI under the Privacy Rule, including, but
not limited to,45 C.F.R. Section 164.524.
g. Amendment of PHI. Within ten business (10) days of receipt of a request from CE
for an amendment of Protected Information or a record about an individual contained in a
Designated Record Set. Associate or its agents or subcontractors shall make such Protected
Information available to CE for amendment and incorporate any such amendment to enable CE
to fulfill its obligations with respect to requests by individuals to amend their PHI under the
Privacy Rule, including, but not limited to, 45 C.F.R. Section 164.526. If any individual requests
an amendment of Protected Information directly from Associate or its agents or subcontractors,
Associate must notify CE in writing within five (5) business days of receipt of the request. Any
denial of amendment of Protected Information maintained by Associate or its agents or
subcontractors shall be the responsibility of CE.
h. Accounting Rights. Within ten (10) business days of notice by CE of a request for
an accounting of disclosures of Protected Information, Associate and its agents or subcontractors
shall make available to CE the information required to provide an accounting of disclosures to
enable CE to fulfill its obligations under the Privacy Rule, including, but not limited to, 45
C.F.R. Section 164.528. As set forth in, and as limited by, 45 C.F.R. Section 164.528, Associate
shall not provide an accounting to CE of disclosures: (i) to carry out treatment, payment or health
care operations, as set forth in 45 C.F.R. Section 164.506; (ii) to individuals of Protected
Information about them as set forth in 45 C.F.R. Section 164.502; (iii) pursuant to an
authorization as provided in 45 C.F.R. Section 164.508; (iv) to persons involved in the
individual's care or other notification purposes as set forth in 45 C.F.R. Section 164.510; (v) for
national security or intelligence purposes as set forth in 45 C.F.R. Section 164.512(k)(2); (vi) to
correctional institutions or law enforcement officials as set forth in 45 C.F.R. Section
164.512(k)(5); (vii) incident to a use or disclosure otherwise permitted by the Privacy Rule; (viii)
as part of a limited data set under 45 C.F.R. Section 164.514(e); or(ix) disclosures prior to April
14, 2003. Associate agrees to implement a process that allows for an accounting to be collected
and maintained by Associate and its agents or subcontractors for at least six (6) years prior to the
request, but not before the compliance date of the Privacy Rule. At a minimum, such information
shall include: (i) the date of disclosure; (ii) the name of the entity or person who received
Protected Information and, if known, the address of the entity or person; (iii) a brief description
of Protected Information disclosed; and (iv) a brief statement of purpose of the disclosure that
3
reasonably informs the individual of the basis for the disclosure, or a copy of the individual's
authorization, or a copy of the written request for disclosure. In the event that the request for an
accounting is delivered directly to Associate or its agents or subcontractors, Associate shall
within five (5) business days of the receipt of the request forward it to CE in writing. It shall be
CE's responsibility to prepare and deliver any such accounting requested. Associate shall not
disclose any Protected Information except as set forth in Section 2(b) of this Addendum.
i. Governmental Access to Records. Associate shall make its internal practices,
books and records relating to the use and disclosure of Protected Information available to the
Secretary of the U.S. Department of Health and Human Services (the "Secretary"), in a time and
manner designated by the Secretary, for purposes of determining CE's compliance with the
Privacy Rule. Associate shall provide to CE a copy of any Protected Information that Associate
provides to the Secretary concurrently with providing such Protected Information to the
Secretary.
j. Minimum Necessary. Associate (and its agents or subcontractors) shall only
request, use and disclose the minimum amount of Protected Information necessary to accomplish
the purpose of the request, use or disclosure, in accordance with the Minimum Necessary
requirements of the Privacy Rule including,but not limited to 45 C.F.R. Sections 164.502(b) and
164.514(d).
k. Data Ownership. Associate acknowledges that Associate has no ownership rights
with respect to the Protected Information.
1. Retention of Protected Information. Except upon termination of the Contract as
provided in Section 4(d) of this Addendum, Associate and its subcontractors or agents shall
retain all Protected Information throughout the term of this Contract and shall continue to
maintain the information required under Section 2(h) of this Addendum for a period of six (6)
years.
m. Associate's Insurance. Associate shall maintain casualty and liability insurance to
cover loss of PHI data and claims based upon alleged violations of privacy rights through
improper use or disclosure of PHI. All such policies shall meet or exceed the minimum insurance
requirements of the Contract (e.g., occurrence basis, combined single dollar limits, annual
aggregate dollar limits, additional insured status and notice of cancellation).
n. Notification of Breach. During the term of this Contract, Associate shall notify CE
within two business days of any suspected or actual breach of security, intrusion or unauthorized
use or disclosure of PHI and/or any actual or suspected use or disclosure of data in violation of
any applicable federal or state laws or regulations. Associate shall take (i) prompt corrective
action to cure any such deficiencies and (ii) any action pertaining to such unauthorized disclosure
required by applicable federal and state laws and regulations.
o. Audits, Inspection and Enforcement. Within ten (10) business days of a written
request by CE, Associate and its agents or subcontractors shall allow CE to conduct a reasonable
inspection of the facilities, systems, books, records, agreements, policies and procedures relating
4
to the use or disclosure of Protected Information pursuant to this Addendum for the purpose of
determining whether Associate has complied with this Addendum; provided, however, that: (i)
Associate and CE shall mutually agree in advance upon the scope, timing and location of such an
inspection; (ii) CE shall protect the confidentiality of all confidential and proprietary information
of A ssociate tow hich C E has a ccess during the course o f such inspection; and (iii) CE shall
execute a nondisclosure agreement, upon terms mutually agreed upon by the parties, if requested
by Associate. The fact that CE inspects, or fails to inspect, or has the right to inspect, Associate's
facilities, systems, books, records, agreements, policies and procedures does not relieve
Associate of its responsibility to comply with this Addendum, nor does CE's (i) failure to detect
or (ii) detection, but failure to notify Associate or require Associate's remediation of any
unsatisfactory practices, constitute acceptance of such practice or a waiver of CE's enforcement
rights under the Contract.
p. Safeguards During Transmission. Associate shall be responsible for using
appropriate safeguards to maintain and ensure the confidentiality, privacy and security of
Protected Information transmitted to CE pursuant to the Contract, in accordance with the
standards and requirements of the Privacy Rule, until such Protected Information is received by
CE, and in accordance with any specifications set forth in Attachment A.
q. Restrictions and Confidential Communications. Within ten (10) business days of
notice by CE of a restriction upon uses or disclosures or request for confidential communications
pursuant to 45 C.F.R. 164.522, Associate will restrict the use or disclosure of an individual's
Protected Information, provided A ssociate has agreed t o such a restriction. Associate will not
respond directly to an individual's requests to restrict the use or disclosure of Protected
Information or to send all communication of Protect Information to an alternate address.
Associate will refer such requests to the CE so that the CE can coordinate and prepare a timely
response to the requesting individual and provide direction to Associate.
3. Obligations of CE.
a. Safeguards during Transmission. CE shall be responsible for using appropriate
safeguards to maintain and ensure the confidentiality, privacy and security of PHI transmitted to
Associate pursuant to this Contract, in accordance with the standards and requirements of the
Privacy Rule, until such PHI is received by Associate, and in accordance with any specifications
set forth in Attachment A.
b. Notice of Changes. CE shall provide Associate with a copy of its notice of privacy
practices produced in accordance with 45 C.F.R. Section 164.520, as well as any subsequent
changes or limitation(s) to such notice, to the extent such changes or limitations may effect
Associate's use or disclosure of Protected Information. CE shall provide Associate with any
changes in, or revocation of, permission to use or disclose Protected Information, to the extent it
may affect Associate's permitted or required uses or disclosures. To the extent that it may affect
Associate's permitted use or disclosure of PHi, CE shall notify Associate of any restriction on
the use or disclosure of Protected Information that CE has agreed to in accordance with 45 C.F.R.
Section 164.522. CE may effectuate any and all such notices of non-private information via
posting on CE's web site. Associate shall review CE's designated web site for notice of changes
5
to CE's HIPAA privacy policies and practices on the last day of each calendar quarter.
4. Termination.
a. Material Breach. In addition to any other provisions in the Contract regarding
breach, a breach by Associate of any provision of this Addendum, as determined by CE, shall
constitute a material breach of this Contract and shall provide grounds for immediate termination
of this Contract by CE pursuant to the provisions of the Contract covering termination for cause,
if any. If the Contract contains no express provisions regarding termination for cause, the
following terms and conditions shall apply:
(1) Default. If Associate refuses or fails to timely perform any of the
provisions of this Contract, CE may notify Associate in writing of the non-performance, and if
not promptly corrected within the time specified, CE may terminate this Contract. Associate shall
continue performance of this Contract to the extent it is not terminated and shall be liable for
excess costs incurred in procuring similar goods or services elsewhere.
(2) Associate's Duties. Notwithstanding termination of this Contract, and
subject to any directions from CE, Associate shall take timely, reasonable and necessary action to
protect and preserve property in the possession of Associate in which CE has an interest.
(3) Compensation. Payment for completed supplies delivered and accepted by
CE shall be at the Contract price. In the event of a material breach under paragraph 4a, CE may
withhold amounts due Associate as CE deems necessary to protect CE against loss from third
party claims of improper use or disclosure and to reimburse CE for the excess costs incurred in
procuring similar goods and services elsewhere.
(4) Erroneous Termination for Default. If after such termination it is
determined, for any reason, that Associate was not in default, or that Associate's action/inaction
was excusable, such termination shall be treated as a termination for convenience, and the rights
and obligations of the parties shall be the same as if this Contract had been terminated for
convenience, as described in this Contract.
b. Reasonable Steps to Cure Breach. If CE knows of a pattern of activity or practice
of Associate that constitutes a material breach or violation of the Associate's obligations under
the provisions of this Addendum or another arrangement and does not terminate this Contract
pursuant to Section 4(a), then CE shall take reasonable steps to cure such breach or end such
violation, as applicable. If CE's efforts to cure such breach or end such violation are
unsuccessful, CE shall either (i) terminate the Contract, if feasible or (ii) if termination of this
Contract is not feasible, CE shall report Associate's breach or violation to the Secretary of the
Department of Health and Human Services,
c. Judicial or Administrative Proceedings. Either party may terminate the Contract,
effective immediately, if(i) the other party is named as a defendant in a criminal proceeding for a
violation of HIPAA, the HIPAA Regulations or other security or privacy laws or (ii) a finding or
stipulation that the other party has violated any standard or requirement of HIPAA, the HIPAA
6
Regulations or other security or privacy laws is made in any administrative or civil proceeding in
which the party has been joined.
d. Effect of Termination.
(1) Except as provided in paragraph (2) of this subsection, upon termination
of this Contract, for any reason, Associate shall return or destroy all Protected Information that
Associate or its agents or subcontractors still maintain in any form, and shall retain no copies of
such Protected Information. If Associate elects to destroy the PHI, Associate shall certify in
writing to CE that such PHI has been destroyed.
(2) If Associate believes that returning or destroying the Protected Information
is not feasible, Associate shall promptly provide CE notice of the conditions making return or
destruction infeasible. Upon mutual agreement of CE and Associate that return or destruction of
Protected Information is infeasible, Associate shall continue to extend the protections of Sections
2(a), 2(b), 2(c), 2(d) and 2(e) of this Addendum to such information, and shall limit further use of
such PHI to those purposes that make the return or destruction of such PHI infeasible.
5. Injunctive Relief. CE shall have the right to injunctive and other equitable and legal relief
against Associate or any of its subcontractors or agents in the event of any use or disclosure of
Protected Information in violation of this Contract or applicable law.
6. No Waiver of Immunity. No term or condition of this Contract shall be construed or
interpreted as a waiver, express or implied, of any of the immunities, rights, benefits, protection,
or other provisions of the Colorado Governmental Immunity Act, CRS 24-10-101 et seq. or the
Federal Tort Claims Act, 28 U.S.C. 2671 et seq. as applicable, as now in effect or hereafter
amended.
7. Limitation of Liability. Any limitation of Associate's liability in the Contract shall be
inapplicable to the terms and conditions of this Addendum.
8. Disclaimer. CE makes no warranty or representation that compliance by Associate with
this Contract, HIPAA or the HIPAA Regulations will be adequate or satisfactory for Associate's
own purposes. Associate is solely responsible for all decisions made by Associate regarding the
safeguarding of PHI.
9. Certification. To the extent that CE determines an examination is necessary in order to
comply w ith CE's legal obligations pursuant to HIPAA relating to certification of its security
practices, CE or its authorized agents or contractors, may, at CE's expense, examine Associate's
facilities, systems, procedures and records as may be necessary for such agents or contractors to
certify to CE the extent to which Associate's security safeguards comply with HIPAA, the
HIPAA Regulations or this Addendum.
10. Amendment.
a. Amendment to Comply with Law. The parties acknowledge that state and federal
laws relating to data security and privacy are rapidly evolving and that amendment of this
7
Addendum may be required to provide for procedures to ensure compliance with such
developments. The parties specifically agree to take such action as is necessary to implement the
standards and requirements of HIPAA, the Privacy Rule, the Final HIPAA Security regulations at
68 Fed. Reg. 8334 (Feb20, 2003), 45 C.F.R. § 164.314 and other applicable laws relating to the
security or privacy of PHI. The parties understand and agree that CE must receive satisfactory
written assurance from Associate that Associate will adequately safeguard all Protected
Information. Upon the request of either party, the other party agrees to promptly enter into
negotiations concerning the terms of an amendment to this Addendum embodying written
assurances consistent with the standards and requirements of HIPAA, the Privacy Rule or other
applicable laws. CE may terminate this Contract upon thirty(30) days written notice in the event
(i) Associate does not promptly enter into negotiations to amend this Contract when requested by
CE pursuant to this Section or (ii) Associate does not enter into an amendment to this Contract
providing a ssurances regarding the s afeguarding o f P HI t hat C E, i n its sole discretion, deems
sufficient to satisfy the standards and requirements of HIPAA and the Privacy Rule.
b. Amendment of Attachment A. Attachment A may be modified or amended by mutual
agreement of the parties in writing from time to time without formal amendment of this
Addendum.
11. Assistance in Litigation or Administrative Proceedings. Associate shall make itself, and
any subcontractors, employees or agents assisting Associate in the performance of its obligations
under the Contract, available to CE, at no cost to CE up to a maximum of 30 hours, to testify as
witnesses, or otherwise, in the event of litigation or administrative proceedings being
commenced against CE, its directors, officers or employees based upon a claimed violation of
HIPAA, the Privacy Rule or other laws relating to security and privacy or PHI, except where
Associate or its subcontractor, employee or agent is a named adverse party.
12. No Third Party Beneficiaries. Nothing express or implied in this Contract is intended to
confer, nor shall anything herein confer, upon any person other than CE, Associate and their
respective successors or assigns, any rights, remedies, obligations or liabilities whatsoever.
13. Interpretation and Order of Precedence. The provisions of this Addendum shall prevail
over any provisions in the Contract that may conflict or appear inconsistent with any provision in
this Addendum. Together, the Contract and t his Addendum s hall b e interpreted a s broadly a s
necessary to implement and comply with HIPAA and the Privacy Rule. The parties agree that any
ambiguity in this Contract shall be resolved in favor of a meaning that complies and is consistent
with HIPAA and the Privacy Rule. This Contract supercedes and replaces any previous
separately executed HIPAA addendum between the parties.
14. Survival of Certain Contract Terms. Notwithstanding anything herein to the contrary,
Associate's obligations under Section 4(d) ("Effect of Termination") and Section 12 ("No Third
Party Beneficiaries") shall survive termination of this Contract and shall be enforceable by CE as
provided herein in the event of such failure to perform or comply by the Associate. This
Addendum shall remain in effect during the term of the Contract including any extensions.
15. Representatives and Notice.
8
a. Representatives. For the purpose of the Contract, the individuals identified
elsewhere in this Contract shall be the representatives of the respective parties. If no
representatives are identified in the Contract, the individuals listed below are hereby designated
as the p arties' respective representatives for p urposes o f t his Contract. Either party may from
time to time designate in writing new or substitute representatives.
b. Notices. All required notices shall be in writing and shall be hand delivered or
given by certified or registered mail to the representatives at the addresses set forth below.
State/Covered Entity Representative:
Name: Roberta Monchak
Title: Assistant Director, Systems
Department and Division: Department of Corrections
Divisions of Adult Parole, Community Corrections, and YOS
Address: 12157 W. Cedar Drive
Lakewood, CO 80228
Contractor/Business Associate Representative:
Name: Jan Alison Zubber
Title: Coordinator
Company: Community Corrections
Address: P.O. Box 758
Greeley, CO 80632
9
ATTACHMENT A
This Attachment sets forth additional terms to the HIPAA Business Associate Addendum,
which is part of the Contract dated April 20, 2006, between Colorado Department of Corrections
and the Board of Commissioners of Weld County, contract number 07CAA00042 ("Contract")
and is effective as of(the "Attachment Effective Date") July 1, 2006. This Attachment may be
amended from time to time as provided in Section 10(b)of the Addendum.
1. Additional Permitted Uses. In addition to those purposes set forth in Section 2(a) of the
Addendum, Associate may use Protected Information as follows:
None
2. Additional Permitted Disclosures. In addition to those purposes set forth in Section 2(b)
of the Addendum, Associate may disclose Protected Information as follows:
None
3. Subcontractor(s). The parties acknowledge that the following subcontractors or agents of
Associate shall receive Protected Information in the course of assisting Associate in the
performance of its obligations under this Contract:
None
4. Receipt. Associate's receipt of Protected Information pursuant to this Contract shall be
deemed to occur as follows, and Associate's obligations under the Addendum shall commence
with respect to such PHI upon such receipt:
Of PHI from CE and as subsequent PHI is delivered to associate.
5. Additional Restrictions on Use of Data. CE is a Business Associate of certain other
Covered Entities and, pursuant to such obligations of CE, Associate shall comply with the
following restrictions on the use and disclosure of Protected Information:
None
6. Additional Terms. [This section may include specifications for disclosure format, method
of transmission, use of an intermediary, use of digital signatures or PKI, authentication,
additional security of privacy specifications, de-identification or re-identification of data and
other additional terms.]
None
10
Under Approval of the Consent Agenda- please state that an explanation of the
Intergovernmental Contract for Noresidential Inmate Intensive Supervision Program Services
[2006-1457] was to take place during the meeting today; however, due to the fact that Serena
Dodder, Community Corrections Supervisor, could not be present at the meeting today because
of a previous court obligation, a memo explaining the details of the Contract was submitted to
the Board for review last week. The Board members reviewed the memo, and did not find any
inconsistencies with the information provided by Ms. Dodder; therefore, the approval granted on
May 31, 2006 stands, and no motion is necessary.
�;fiem tk 12 lisud o✓ Ccnserd Rrc(c)
Page 1 of 1
Jennifer Luna
From: Serena Dodder
Sent: Thursday, June 01, 2006 8:31 AM
To: Jennifer Luna
Subject: Contract Memo
Attachments: county commissioners memo.doc
Jennifer,
Attached is the memo outlining the specifics of the contract. Thank you so much for your
help.
I did put my personal cell phone number on the memo incase they need to reach me, as I will
be out of the office most of tomorrow and not in the office on Monday. I will be here all day,
so if they have any questions, they can email me or call me.
Again, thanks.
Sincerely,
Serena Doern
Weld County Community Corrections Rte-
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6/1/2006
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WELD COUNTY COMMUNITY CORRECTIONS BOARD
MEMO
To: Board of Commissioners of Weld County
From:Serena Dodder, Administrator Coordinator
Date: June 1, 2206
Re: Intensive Supervision and Parole Services Contracts
Thank you for signing the above mentioned contracts, with the stipulation that your
questions be answered. I apologize for not being at the meeting, and having to miss the
Monday, June 5 meeting. Hopefully, the following information will answer any of your
questions. If it does not, please feel free to contact me at x4848 or on my personal
number, which is 970-689-2681. My work email is sdodder(aco.weld.co.us if you would
rather reach me that way.
These contracts are to extend the current funding the Weld County Community
Corrections Board receives for ISP (Intensive Supervision Program) funding until the
year 2011. This program is used to have more control over specific offenders, more
demanding of conditions of supervision (mental health issues, etc.), a broader array of
treatment interventions, and/or more accountability for overall compliance. On average,
there are about 75 to 100 clients in ISP throughout Weld County that this contract pays
for.
The funding comes from the State of Colorado itself, and is not federally funded. This
contract amount is for $130,000 per fiscal year. However, in the past, it seems that if
that amount is not enough, the state does give additional funds to the Weld County
Community Corrections Board to meet the needs of the community. This is done
through Option Letters that can be established whenever the State feels it is necessary.
In order for the Weld County Community Corrections Board to receive the funds, I send
a monthly report to the Department of Corrections stating how many clients are in ISP
and the funds spent on this program. This is what allows them to know if the WCCCB is
in need of more funds.
Again, please let me know if you need more information. I appreciate the consideration
in getting these signed so fast. Thank you for your help.
30449, M
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Donna Bechler
To: Sharon Behrens
Subject: RE:
Sharon,
I've been reading through the memo from John Vidor and the memo that Serena wrote when the
Commissioners approved the revised contract on 8/28/2006. A revised contract was approved
at that time, but the original one was in effect from July 31st until September 1st, so we
will still need an original signed contract for that time period returned to our office.
Hope this isn't too confusing. Could you please ask them to send an original signed
contract back to you that was approved the end of May, so you can send it to us. Call me
at Extension 4227 if you need me to explain it further.
Thanks,
Donna
Original Message
From: Sharon Behrens
Sent: Monday, October 23, 2006 1: 49 PM
To: Donna Bechler
Subject: FW:
Donna,
Regarding the memo you sent me on October 19, 2006. That contract was voided and replaced
by the one I sent over to Sharon Kahl the second week of October. Please let me know if
this clears up the confusion about these contracts.
Sharon Behrens
Administrative Coordinator
Weld County Community Corrections Board
Original Message
From: John Vidor [mailto:John.Vidor@doc.state.co.us]
Sent: Thursday, October 19, 2006 9: 12 AM
To: Sharon Behrens
Subject: Re:
Hi Sharon,
Please remember that we have two old contracts which expire at the time when the new one
was approved by the State Controller (9/28/06 in Weld County' s case) .
We allocated $8, 000 into the old Parole contract (04-00032) from July 1, 2006 through
September 28, 2006 (you can take the end of September) and $17, 000 in the Community old
contract (03-00154) for the same period of time (July 1, 06 through Sept. 30, 2006) .
So, pay your contractors from these budgets from July 1 through September 30, 2006.
Beginning October 1, 2006 you start using the new contract's budget of 80, 370.
You don't work anymore with the old contracts' budgets beginning October 1, 2006. The new
contract terminates the old ones along with the budgets (please see the fifth paragraph
of the Recitals on page 1 of the new contract, 07-00042) .
Also, Please submit one invoice (Exhibit C) to me along with your contractors commutative
billings with Exhibits A and B. Make sure that our CPO's and DOC Supervisors signed on
the Exhibits A and B.
It' s a little bit more complicated now with this new contract but please feel free and
contact me with any questions.
Thank you for asking.
John Vidor
1
>>> "Sharon Behrens" <sbehrens@co.weld.co.us> 10/19/2006 8: 38 AM >>>
John,
On the new contracts for ISP, inmate and parole the total amount for both is 80, 370.00. On
the expenditures summary report I send you each month shows separate amounts, Parole shows
50, 000. 00 and Inmate shows 92, 00. 00. I know the new contracts are being signed this month
by the vendors and the county commissioners. Will the 80, 370.00 be retroactive back to
July or do I keep the old totals for July-September and the new amount starting in
October. I hope this makes since as I am new at this position. Please feel free to call me
at 970-356-4000 x 4848
Sharon Behrens
Administrative Coordinator
Weld County Community Corrections Board
2
Hello