Request for Proposals (RFP)

Transcription

1 COUNTY OF SONOMA PUBLIC SAFETY REALIGNMENT EVALUATION SERVICES Request for Proposals (RFP) The County of Sonoma is pleased to invite you to respond to a Request for Proposals for Public Safety Realignment Evaluation Services. Proposals must be received no later than 2:00 p.m. on June 3 rd, A. Introduction/Purpose 1. Project Background and Description Sonoma County criminal justice partners seek to evaluate the implementation and effectiveness of interventions intended to reduce recidivism by realigned offenders and other offenders under probation supervision. The County seeks to contract with an evaluator (Consultant) with broad and successful experience in conducting evaluations of multiple criminal justice and human service programs and interventions that make up the service continuum for the criminal justice system, and overall criminal justice system effectiveness in achieving public safety outcomes. The October 2011 Public Safety Realignment Act (Assembly Bill 109) shifted responsibility for managing select adult offenders in California from the State to each of the 58 counties. AB 109 applies to three major groups of adult offenders: (1) Post-Release Community Supervision (PRCS) offenders incarcerated in State prison for non-violent and non-serious offenses who will be supervised by county probation instead of state parole upon release; (2) individuals convicted for new non-violent, non-serious, or non-sex related offenses that will be sentenced pursuant to Penal Code section 1170(h) to local jail and/or mandatory supervision by Probation, instead of state prison; and (3) State parole violators that will serve their revocation terms in county jail instead of state prison. California statute places a high priority on evidence-based practices to reduce recidivism among offenders. As required by the legislation, Sonoma County s Community Corrections Partnership (CCP) leads local planning efforts related to the implementation of Public Safety Realignment. The Chief Probation Officer chairs the committee, which includes the District Attorney, the Sheriff, the Presiding Judge (or designee), the Public Defender, Director of Mental Health, 1

2 and the Sebastopol Chief of Police. The Public Safety Realignment Implementation Plan, included as Attachment D to this RFP, is based on the following guiding principles: 1. Reduce recidivism to enhance public safety. 2. Promote evidence-based programming and upstream investments in health, education, and human services to decrease the need for (and costs of) enforcement, prosecution, and incarceration. 3. Fund programs that align with both Sonoma County s over-arching strategic goals of enhancing public safety and investing in the future and with the tenets of the County s Criminal Justice Master Plan. 4. Minimize use of jail beds through utilization of detention alternatives in a manner that is consistent with public safety and that maintains the integrity of the criminal justice system. 5. Provide programming for offenders both in-custody, as well as out-of-custody, and use validated risk assessments to inform programming decisions and ensure continuity. 6. Implement a Day Reporting Center to serve as the central point of evidence-based programming to help offenders reintegrate into the community. The Plan describes the array of programs and services deemed necessary to address the mandates of the Public Safety Realignment Act and its associated impacts. The CCP s funded activities fall under the following major program areas: community supervision, jail operations, in-custody programming and treatment, detention alternatives, out-of custody programming and treatment, parole revocation hearings support, pre-trial services, data management, and administration. Various County departments and partner agencies administer programs and services funded by the CCP, including: Sheriff, Probation, Health Services, Human Services, District Attorney, Public Defender, Information Systems, County Counsel, and the Sonoma Superior Court. Some programs and services are provided by the agencies themselves, and others are provided by contractors. The CCP has allocated resources to evaluate AB 109-funded programs, with an interest in understanding: 1. How effective these programs are at achieving their outcomes; 2. How well they are implemented; 3. How cost-effective the programs are. Sonoma County is also interested in learning this information related to non-realigned offenders, and in support of that, the County may contribute additional funds to expand the evaluation to include non-realigned offender populations and the programs and interventions these populations receive. A comprehensive evaluation supports the findings of the 2015 Update to the Sonoma County Criminal Justice Master Plan, indicating program evaluation for the Criminal Justice System is lacking. The report can be found at the following link: 2

3 From the Update: While the County has a robust set of programs, there are virtually no systems in place to readily capture program performance and outcomes in a way that will allow for critical analysis. Few of the programs reviewed in this report are being evaluated to determine their impact on offender behavior and recidivism. As a result, policymakers have no means to assess whether in fact programs are working and affecting offender behavior as designed. In recognition of these needs, the Community Corrections Partnership and its Data Management and Evaluation Subcommittee have made progress in providing a foundation for the evaluation of AB 109-funded activities. Stakeholders have expressed support for extending these evaluations to locally funded programs. (Page 14) The CCP and its Data Management and Evaluation Subcommittee have made significant progress in laying the groundwork for evaluating AB 109-funded activities, and there are plans to expand this work to programs funded by other sources. Accomplishments include: Completion of a system logic model and logic models for the DRC and every AB 109-funded program, which form the basis for evaluation of overall system effectiveness and individual program effectiveness. Establishment of a set of carefully-defined public safety outcome measures, including various measures of recidivism. Reporting on performance measures included in program logic models. CCP allocation of $100,000 for the first year of evaluation of AB 109- funded programs. Commitment by the Probation Department to add SB 678 evaluation funds to expand the evaluation to address the whole continuum of programming provided to people under adult probation supervision. If adequate information systems and data support is provided to support these actions, the County will have made significant progress in developing a much-improved system for program evaluation. (Page 126) 2. Desired Goals/Objectives/Outcomes Public Safety Realignment Evaluation Services will address the following areas of inquiry: 1. The effectiveness of criminal justice interventions in accomplishing short-term, intermediate and long-term outcomes, including the treatment effect related to recidivism for individual criminal justice interventions; 2. The success of the criminal justice system in increasing public safety in Sonoma County, with attention given to specific criminal justice populations e.g., realigned populations, felony probation, others; 3. The effectiveness of system capacity improvements in accomplishing stated goals; 3

4 4. The degree to which individual criminal justice interventions are implemented with fidelity to design, and the relationship between fidelity and outcomes for these interventions; 5. The monetized benefit relative to cost for individual criminal justice interventions; 6. The effectiveness of individual criminal justice interventions and the criminal justice system overall compared across demographic groups e.g. race/ethnicity, sex, neighborhood (leverage Portrait of Sonoma data for this), mental health status, gang connection, etc.; 7. The effects of system changes on public safety outcomes (e.g., AB 109, Proposition 47, etc.); 8. The creation of an evaluation guide for sustainable evaluation processes, with flexibility to deal with system changes as they occur; 9. An interface with the Criminal Justice Master Plan so that the evaluation is shaped by the Plan. To address these, the Consultant will work with Sonoma County to develop a scalable evaluation plan, which the Community Corrections Partnership will use to determine the type and scale of evaluation services to purchase. The evaluation services to be performed will be detailed in an annual statement of work signed by the County and the Consultant and attached to the contract awarded under this RFP. The evaluation plan must include recommendations for data collection needed to carry out the evaluation, which must be formulated in consultation with County and criminal justice partner organizations to assure that they are realistic and achievable, positioning the planned evaluation for optimum success. The County anticipates that some data sets to be released to the Consultant will contain identifying information constituting Criminal Offender Record Information and Protected Health Information for the purposes of health program quality improvement (as opposed to human subjects research). Consultant must possess expertise and experience in handling these types of confidential records, and must be able to employ processes to sufficiently guard against redisclosure of the data. See Article 9 of the attached Sample Agreement (Exhibit A) for more information on confidentiality requirements. The County envisions an evaluation that will be shaped by lessons learned through the evaluation process, allowing flexibility for maximum effectiveness and usefulness, while maintaining careful control of project costs. In fulfillment of the evaluation plan, the Consultant will deliver evaluation reports including findings and recommendations for quality improvement, additional data collection, and ongoing evaluation activities moving forward. To support the success of the evaluation, the County and other Criminal Justice System agencies will dedicate staff time to assist with managing and steering the evaluation project. A core group of subject matter experts from system partner agencies will serve as the Project Team, meeting weekly with the Consultant to assist with coordination and management of evaluation activities. The CCP Data Management and Evaluation Subcommittee, also comprised of representatives of criminal justices system partner agencies, will serve as the Steering Committee for the project, meeting monthly to help inform evaluation efforts and learn about 4

5 progress made. The Community Corrections Partnership is the Project Sponsor. Funding decisions for the consultant s evaluation services will be made annually during the project, which will likely require multiple years to complete, depending on the capacity of the consultant and of the criminal justice partners involved. The Probation Department will provide staff time to manage the evaluation contract and provide project leadership in close collaboration with the contracted evaluator. Under this procurement the County may purchase additional evaluation services for programs and interventions that serve criminal justice populations in Sonoma County, but are not funded by AB 109, depending on local need and readiness to undertake the work. Depending on the nature and scope of the additional evaluation activities, project governance may differ from that of the AB 109 evaluation project described in the preceding paragraph. To the extent possible these additional evaluation efforts will compliment AB 109 evaluation efforts, supporting the highest priority of evaluating AB 109-funded programs and interventions. B. Statement of Requirements - Services Required of Successful Proposer The Consultant will provide the following services: Create an Evaluation Plan. Within six months of project commencement, deliver a scalable evaluation plan, which the Community Corrections Partnership (CCP) will use to determine the type and scale of evaluation services to purchase. The evaluation plan must include: 1. Recommendations for data collection needed to carry out the evaluation of overall system effectiveness in achieving public safety outcomes, as well as the effectiveness of specific programs and interventions listed in the next section; 2. Steps to be taken in protecting human subjects included in the evaluation, protocols to protect confidential data as described in Article 9 of the attached Sample Agreement (Exhibit A); 3. A timeline for evaluation activities that also allows adequate time for criminal justice partners to set up data collection tools and processes, recommendations for new data collection to accomplish the evaluation and position the criminal justice system for ongoing evaluation efforts; 4. Descriptions of project phases and tasks; and 5. Cost details sufficient for the CCP to make informed purchasing decisions for evaluation services. The CCP has budgeted $100,000 for the first year of work on this project, but spending during the first year and budgeting for subsequent years will be based on project scope and pacing in the adopted evaluation plan. Based on progress and lessons learned that shape evaluation efforts during the course of the project, Consultant will provide updates to the evaluation plan as needed to inform annual funding decisions by the Community Corrections Partnership and the County Board of Supervisors. 5

6 Perform Evaluation Activities. On the timeline in the evaluation plan approved by the CCP and Chief Probation Officer and in close collaboration with the Project Team and Steering Committee, conduct data collection and analysis, formulate findings and recommendations, provide regular progress reports to stakeholder groups, and produce evaluation reports that address the areas of inquiry described in Section A. 2. Desired Goals/Objectives/Outcomes above. The following programs and interventions should be addressed in the evaluation unless already addressed through other evaluation efforts, in which case any work done by the consultant should complement and not duplicate the other evaluation efforts: AB 109 Funded Programs to be evaluated (see Attachment D Recommended Public Safety Realignment Implementation Plan Fiscal Year , Attachment E AB 109 System Logic Model, and Attachment F AB 109 Program Logic Models for additional program details): District Attorney Parole Revocation Hearing Case Prosecutions Health Services 1370 Restoration Services Health Services Community Mental Health Services Health Services In-custody Mental Health Services Health Services Starting Point SUD Services Health Services Substance Use Disorder Services Health Services Substance Use Disorder Contract Services Community and DRC Human Services Business Representative Human Services Employment and Eligibility Services Human Services General Assistance ISD Programming Support Probation AB 109 Supervision Unit Probation Domestic Violence 52-week Course Programming Probation SCOE GED Preparation and Testing Services Probation Transitional Housing Probation Electronic Monitoring Probation Pretrial Services Probation Young Adult Restorative Justice Probation Supervised Adult Crews Public Defender Parole Revocation Hearings Attorney Public Defender Parole Revocation Hearings Investigator Sheriff Detective Sheriff Inmate Program Manager Sheriff Jail Programs Sheriff Jail Unit Sheriff Specialized Emergency Response Team (SERT) Training Superior Court 1368 Mental Health Competency Assessments Superior Court DUI Court The County may request the evaluation of additional criminal justice system programs and interventions beyond those listed, using other non-ab 109 funding sources as applicable. 6

7 Example: Probation interventions, such as Effective Practices In Community Supervision (EPICS), Motivational Interviewing, and assessment/case planning, which are all used with realigned and non-realigned offenders. C. Local Preference It is the policy of the County to promote employment and business opportunities for local residents and firms on all contracts and give preference to local residents, workers, businesses and consultants to the extent consistent with the law and interests of the public. A Local Service Provider is defined as a business or consultant who has a valid physical address located within Sonoma County from which the vendor or consultant operates or performs business on a dayto-day basis, and holds a valid business license if required by a city within the jurisdiction of Sonoma County. For quantitative evaluations of proposals, the locality of the service provider shall be included as an evaluation criterion in RFPs. Extra percentage weighting of 5% shall be provided in the total rating score for local service providers. For qualitative evaluations of proposals, Departments shall consider the locality of consultants or businesses and their sub-consultants along with other criteria identified in the RFP. If there is more than one service provider being considered and the providers are competitively matched in terms of other criteria, local service providers should be selected. If hiring sub-consultants, the County strongly encourages using local service providers. To be eligible for local preference, proposers must include in their proposals a Local Business Declaration For Services form (Attachment C). More information about the County s purchasing policies can be found on: Local Preference Policy for Services Services/Purchasing/Doing-Business-with-the-County/Local-Preference-Policy-for-Services/ D. Schedule The following schedule is subject to change. Except as provided below, changes will only be made by written amendment to this Request for Proposals, which amendment shall be issued to all parties by the Department issuing this proposal. Date Event 4/4/2016 Release Request for Proposals 4/15/2016 4/18-22/2016 Deadline to inform Probation of need for Webex testing in preparation for Pre-Bid Conference and Walk Through Webex testing for Pre-Bid Conference and Walk Through 7

8 4/25/2016 at 11:00 AM Pre-Bid Conference & Walk Through 5/9/2016 Deadline for Proposer s Questions 5/16/2016 County s Responses to Questions Due 6/3/2016 before 2:00 PM Proposals Due 6/13/2016 Proposals Evaluated by County 6/20/2016 6/24/2016 Interviews Conducted 7/5/2016 Notice of Intent to Award (subject to delay without notice to proposers) 7/19/2016 Board of Supervisors Awards Contract (subject to delay without notice to proposers) E. Pre-Bid Conference A conference to discuss questions related to this RFP shall be held at 370 Administration Drive, Santa Rosa, California, and via Webex on April 25 th at 11:00 AM. Pre-bid conference Webex details: Public Safety Realignment Program Evaluation Bidders Conference Host: Robert Halverson When it's time, start or join the WebEx meeting from here: Access Information Meeting Number: Meeting Password: This meeting does not require a password. Audio Connection (CoS WebEx) Access Code: Note: clicking the link above directs a web browser to the Webex meeting site, which will prompt the user with options to install the Webex application (may require system administrator permissions) or run Webex as a temporary application (does not require system administrator permissions). Those wishing to test Webex in advance of the Pre- Bid Conference may contact Robert Halverson at robert.halverson@sonoma-county.org 8

9 no later than 5:00 PM on April 15 th, Arrangements will be made to test Webex connections during the week of April 18 th 22 nd, F. Questions Proposers will be required to submit any additional questions in writing 5:00 PM on May 9 th, 2016 in order for staff to prepare written responses to all consultants. Written answers will be shared with all potential bidders through a version update in the County s supplier portal. Questions are best received and most quickly responded to when sent via directly to robert.halverson@sonoma-county.org. Questions will not be accepted by phone. G. Corrections and Addenda 1. If a proposer discovers any ambiguity, conflict, discrepancy, omission, or other error in this RFP, the proposer shall immediately notify the contact person of such error in writing and request clarification or modification of the document. Modifications will be made by addenda as indicated below to all parties in receipt of this RFP. 2. If a proposer fails to notify the contact person prior to the date fixed for submission of proposals of a known error in the RFP, or an error that reasonably should have been known, the proposer shall submit a proposal at their own risk, and if the proposer is awarded a contract they shall not be entitled to additional compensation or time by reason of the error or its subsequent correction. 3. Addenda issued by the County interpreting or changing any of the items in this RFP, including all modifications thereof, shall be incorporated in the proposal. The proposer shall submit the addenda cover sheet with the proposal (or deliver them to the Sonoma County Probation Department, 600 Administration Dr., Rm 104J, Santa Rosa, CA if the proposer has previously submitted a proposal to the Department). Any oral communication by the County s designated contact person or any other County staff member concerning this RFP is not binding on the County and shall in no way modify this RFP or any obligations arising hereunder. H. Proposal Submittal 1. Form: Proposers must submit one (1) electronic copy to the County of Sonoma s Supplier Portal. The link to the Supplier Portal is: Sonoma County Supplier Portal: Note: Proposers must be registered to submit electronic submittals. See registration instructions on the Supplier Portal link above. Additionally proposers must submit (1) signed original, and four (4) copies of the signed proposal by 2:00 PM on June 3 rd, Proposals must include a cover sheet identifying the proposer, indicating the signer has the authority to submit the proposal on behalf of the proposer (use Attachment B Proposal Cover Sheet). Proposals must be enclosed in a 9

10 sealed envelope or package and clearly marked Public Safety Realignment Evaluation RFP. Proposals shall be submitted to: Sonoma County Probation Department Attn: Robert Halverson - Public Safety Realignment Evaluation RFP 600 Administration Dr., Rm 104J Santa Rosa, CA Due Date: Proposals must be received no later than 2:00 PM on June 3 rd, The proposal due date is subject to change. If the proposal due date is changed, all known recipients of the original RFP will be notified of the new date. 3. General Instructions: To receive consideration, proposals shall be made in accordance with the following general instructions: a) The completed proposal shall be without alterations or erasures. b) No oral or telephonic proposals will be considered. c) The submission of a proposal shall be an indication that the proposer has investigated and satisfied him/herself as to the conditions to be encountered, the character, quality and scope of the work to be performed, and the requirements of the County, including all terms and conditions contained within this RFP. 4. Proposal Format and Contents: Proposals should address but not be limited to all items in Section B. For ease of review and to facilitate evaluation, the proposals for this project should be organized and presented in the order requested as follows. Unless otherwise noted, all sections below are included in the Project Narrative, subject to a 20-page limit. a) Cover Sheet (not scored but required, and not included in the 20-page limit). Use Attachment B Proposal Cover Sheet. b) Section I - Organizational Information (10 points): Provide specific information concerning the firm in this section, including the legal name, address and telephone number of your company and the type of entity (sole proprietorship, partnership, or corporation and whether public or private). Include the name and telephone number of the person(s) in your company authorized to execute the proposed contract. If two or more firms are involved in a joint venture or association, the proposal must clearly delineate the respective areas of authority and responsibility of each party. All parties signing the Agreement with the County must be individually liable for the completion of the entire project even when the areas of responsibility under the terms of the joint venture or association are limited. 10

11 Organization Chart Provide a one-page organization chart of the organization, which identifies each member of the firm involved with the program. The chart should show the organizational structure of the team, and the specialty or position of each team member. Include all Sub-Consultants that would be expected to be utilized on the program. If this is a partnership or joint venture describe in detail: how the partnership or joint venture will be organized; who will be in overall control of the program; how it will function on a day-to-day basis throughout the program; what you will do to guarantee continuity for all services. c) Section II - Qualifications and Experience (30 points): Provide specific information in this section concerning the firm's experience in the services specified in this RFP. Provide a description of the firm, number of years in business, and its core competencies. Identify the key personnel and their back-ups that will be assigned to the program, and describe their qualifications and experience related to the proposal. Examples of completed projects, as current as possible, must be submitted appendices to the Project Narrative (not included within the 20-page limit). References are required. Please provide names, addresses, and telephone numbers of contact persons within three (3) client agencies for whom similar services have been provided. Debarment or Other Disqualification Proposer must disclose any debarment or other disqualification as a vendor for any federal, state or local entities. Proposer must describe the nature of the debarment/disqualification, including where and how to find such detailed information d) Section III - Project Approach and Work Schedule (45 points): Provide a description of the methodology developed to develop the evaluation plan described in Section B. Statement of Requirements, with an aggressive schedule that will complete the this phase of the project within six months. This schedule should contain specific milestones and dates of completion which will be used to set schedules. Describe a set of activities that your firm would perform in addressing the areas of inquiry described in A. 2. Desired Goals/Objectives/Outcomes, for the evaluation of AB 109-funded activities described in Section B. Also identify the extent of County personnel involvement deemed necessary, including key decision points at each stage of the project. 11

12 Information as to the type of any software that is anticipated to be used in the planning process should also be discussed. e) Section IV - Cost of Service (15 points): The proposal shall clearly state ALL of the costs associated with the project, broken down by category of products and services, and all on-going costs for recommended or required products and services, such as maintenance. The project costs must broken out and include all expenses that will be charged to the County, including but not limited hourly rates for labor, software costs, software maintenance costs, implementation fees, shipping, insurance, communications, documentation reproduction, and all expenses, including travel, meal reimbursement, hotel per diems, taxes, etc. Failure to clearly identify all costs associated with the proposal may be cause for rejection of the Consultant s proposal. Labor rates must include personnel costs and applicable indirect costs associated with program operation. Calculation of labor and indirect rates must be explicit, including all costs included in the rates and clear explanation of how rates were derived. Include a table that clearly shows all rate calculations, and provide descriptions for each line item. Indirect cost calculation may be omitted if the proposer provides evidence from a federal approving agency that a federallyapproved indirect rate will be in effect at the beginning of the contract awarded under this procurement, and if the proposer provides assurance of steps to be taken for subsequent federal indirect rate approval should the approved rate expire during the life of this project. f) Section V Identification of subcontractors (not scored but required): Proposers shall identify all subcontractors they intend to use for the proposed scope of work. For each subcontractor listed, proposers shall indicate (1) what products and/or services are to be supplied by that subcontractor and, (2) what percentage of the overall scope of work that subcontractor will perform. g) Section VI Insurance (not scored but required): The selected proposer will be required to submit and comply with all insurance as described in the attached Sample Agreement. Securing this insurance is a condition of award for this contract. Assurance that the proposer is able to comply with all insurance requirements is acceptable. Optional documents proving compliance with insurance requirements will not count against the 20- page limit. 12

13 h) Section VII - Additional Information (not scored): Include any other information you believe to be pertinent but not required. i) Section VIII Contract Terms (not scored but required): Proposers must include a statement acknowledging their willingness to accept the sample contract terms (Attachment A) or identify specific exceptions to the sample agreement. See section K. 5. Form of Agreement below for additional information related to contract terms. j) Local Business Declaration (if applicable, not included in the 20-page limit): I. Selection Process Use Attachment C Local Business Declaration for Services. 1. All proposals received by the specified deadline will be reviewed by the County for content, including but not limited to fee, related experience and professional qualifications of the bidding consultants. 2. County employees will not participate in the selection process when those employees have a relationship with a person or business entity submitting a proposal which would subject those employees to the prohibition of Section of the Government Code. Any person or business entity submitting a proposal who has such a relationship with a County employee who may be involved in the selection process shall advise the County of the name of the County employee in the proposal. 3. Proposals may be evaluated using the following criteria (note that there is no value or ranking implied in the order of this list): a) Demonstrated ability to perform the services described; b) Experience, qualifications and expertise; c) Quality of work as verified by references; d) Costs relative to the scope of services; e) A demonstrated history of providing similar services to comparable entities; f) Willingness to accept the County s contract terms; and g) Any other factors the evaluation committee deems relevant. (When such criteria are used for evaluation purposes, the basis for scoring will be clearly documented and will become part of the public record); h) The locality of the Proposer. 4. The County Department Head in consultation with the Purchasing Agent reserves the right, in their sole discretion, to take any of the following actions at any time before Board approval of an award: waive informalities or minor irregularities in any proposals received, reject any and all proposals, cancel the RFP, or modify and re-issue the RFP. 13

14 Failure to furnish all information requested or to follow the format requested herein may disqualify the proposer, in the sole discretion of the County. False, incomplete, misleading or unresponsive statements in a proposal may also be sufficient cause for a proposal s rejection. 5. The County may, during the evaluation process, request from any proposer additional information which the County deems necessary to determine the proposer s ability to perform the required services. If such information is requested, the proposer shall be permitted three (3) business days to submit the information requested. 6. An error in the proposal may cause the rejection of that proposal; however, the County may, in its sole discretion, retain the proposal and make certain corrections. In determining if a correction will be made, the County will consider the conformance of the proposal to the format and content required by the RFP, and any unusual complexity of the format and content required by the RFP. If the proposer s intent is clearly established based on review of the complete proposal submittal, the County may, at its sole option, correct an error based on that established content. The County may also correct obvious clerical errors. The County may also request clarification from a proposer on any item in a proposal that County believes to be in error. 7. The County reserves the right to select the proposal which in its sole judgment best meets the needs of the County. The lowest proposed cost is not the sole criterion for recommending contract award. 8. All firms responding to this RFP will be notified of their selection or non-selection after the evaluation committee has completed the selection process. 9. Generally, the firm selected by the Evaluation Committee will be recommended to the Board of Supervisors for this project, but the Board is not bound to accept the recommendation or award the project to the recommended firm. J. Finalist Interviews After initial screening, the evaluation committee may select those firms deemed most qualified for this project for further evaluation. Interviews of these selected firms may be conducted as part of the final selection process. Interviews may or may not have their own separate scoring during the evaluation process. Interviews may be done in person, via videoconference, Webex or teleconference. Arrangements will be made for finalist interviews upon the County s completion of the evaluation of proposals. 14

15 K. General Information 1. Rules and Regulations a) The issuance of this solicitation does not constitute an award commitment on the part of the County, and the County shall not pay for costs incurred in the preparation or submission of proposals. All costs and expenses associated with the preparation of this proposal shall be borne by the proposer. b) Sonoma County reserves the right to reject any or all proposals or portions thereof if the County determines that it is in the best interest of the County to do so. c) The County may waive any deviation in a proposal. The County s waiver of a deviation shall in no way modify the RFP requirements nor excuse the successful proposer from full compliance with any resultant agreement requirements or obligations. Sonoma County reserves the right to reject any or all proposals, or to waive any defect or irregularity in a proposal. The County further reserves the right to award the agreement to the proposer or proposers that, in the County s judgment, best serves the needs of Sonoma County. d) All proposers submit their proposals to the County with the understanding that the recommended selection of the review committee is final and subject only to review and final approval by the Department Director (via delegation), the County Purchasing Agent or the Board of Supervisors. e) Upon submission, all proposals shall be treated as confidential documents until the selection process is completed. Once the notice of intent to award is issued by the County, all proposals shall be deemed public record. In the event that a proposer desires to claim portions of its proposal exempt from disclosure, it is incumbent upon the proposer to clearly identify those portions with the word Confidential printed on the top right hand corner of each page for which such privilege is claimed, and to clearly identify the information claimed confidential by highlighting, underlining, or bracketing it, etc. Examples of confidential materials include trade secrets. Each page shall be clearly marked and readily separable from the proposal in order to facilitate public inspection of the non-confidential portion of the proposal. The County will consider a proposer s request for exemptions from disclosure; however, the County will make its decision based upon applicable laws. An assertion by a proposer that the entire proposal, large portions of the proposal, or a significant element of the proposal, are exempt from disclosure will not be honored and the proposal may be rejected as non-responsive. Prices, makes and models or catalog numbers of the items offered, deliverables, and terms of payment shall be publicly available regardless of any designation to the contrary. f) The County will endeavor to restrict distribution of material designated as confidential to only those individuals involved in the review and analysis of the proposals. Proposers are cautioned that materials designated as confidential may nevertheless be subject to disclosure. Proposers are advised that the County does not wish to receive confidential or proprietary information and those proposers are 15

16 not to supply such information except when it is absolutely necessary. If any information or materials in any proposal submitted are labeled confidential or proprietary, the proposal shall include the following clause: a. [Legal name of proposer] shall indemnify, defend and hold harmless the County of Sonoma, its officers, agents and employees from and against any request, action or proceeding of any nature and any damages or liability of any nature, specifically including attorneys' fees awarded under the California Public Records Act (Government Code 6250 et seq.) Arising out of, concerning or in any way involving any materials or information in this proposal that [legal name of proposer] has labeled as confidential, proprietary or otherwise not subject to disclosure as a public record. 2. Nonliability of County The County shall not be liable for any precontractual expenses incurred by the proposer or selected contractor or contractors. The County shall be held harmless and free from any and all liability, claims, or expenses whatsoever incurred by, or on behalf of, any person or organization responding to this RFP. 3. Proposal Alternatives Proposers may not take exception or make material alterations to any requirement of the RFP. Alternatives to the RFP may be submitted as separate proposals and so noted on the cover of the proposal. The County reserves the right to consider such alternative proposals, and to award an agreement based thereon if it is determined to be in the County s best interest and such proposal satisfies all minimum qualifications specified in the RFP. Please indicate clearly in the proposal that the proposal offers an alternative to the RFP. 4. Lobbying Any party submitting a proposal or a party representing a proposer shall not influence or attempt to influence any member of the selection committee, any member of the Board of Supervisors, or any employee of the County of Sonoma, with regard to the acceptance of a proposal. Any party attempting to influence the RFP process through ex-parte contact may be subject to rejection of their proposal. 5. Form of Agreement a) No agreement with the County shall have any effect until a contract has been signed by both parties. Pursuant to Sonoma County Code Section 1-11, County personnel are without authorization to waive or modify agreement requirements. 16

17 b) A sample of the agreement is included as Attachment A hereto. Proposers must be willing to provide the required insurance and accept the terms of this sample agreement. With few exceptions, the terms of the County s standard agreement will not be negotiated. Indemnification language will not be negotiated. c) Proposals submitted shall include a statement that (i) the proposer has reviewed the sample agreement and will agree to the terms contained therein if selected, or (ii) all terms and conditions are acceptable to the proposer except as noted specifically in the proposal. A proposer taking exception to the County s sample agreement must also provide alternative language for those provisions considered objectionable to the proposer. Please note that any exceptions or changes requested to the Agreement may constitute grounds to reject the proposal. d) Failure to address exceptions to the sample agreement in your proposal will be construed as acceptance of all terms and conditions contained therein. e) Submission of additional contract exceptions after the proposal submission deadline may result in rejection of the consultant s proposal. 6. Duration of Proposal; Cancellation of Awards; Time of the Essence a) All proposals will remain in effect and shall be legally binding for at least ninety (90) days. b) Unless otherwise authorized by County, the selected consultant will be required to execute an agreement with the County for the services requested within sixty (60) days of the County s notice of intent to award. If agreement on terms and conditions acceptable to the County cannot be achieved within that timeframe, or if, after reasonable attempts to negotiate such terms and conditions, it appears that an agreement will not be possible, as determined at the sole discretion of the County, the County reserves the right to retract any notice of intent to award and proceed with awards to other consultants, or not award at all. 7. Withdrawal and Submission of Modified Proposal a) A proposer may withdraw a proposal at any time prior to the submission deadline by submitting a written notification of withdrawal signed by the proposer or his/her authorized agent. Another proposal may be submitted prior to the deadline. A proposal may not be changed after the designated deadline for submission of proposals. 17

18 L. Protest Process Any and all protests must be in writing and must comply with the timelines and procedures set forth at: Protests and Appeals for Goods and Professional Services Procurements: County/Protests-and-Appeals/ Attachments: Attachment A: Sample Agreement Attachment B: Proposal Cover Sheet Attachment C: Local Business Declaration for Services Attachment D: Recommended Public Safety Realignment Implementation Plan - Fiscal Year Attachment E: AB 109 System Logic Model Attachment F: AB 109 Program Logic Models 18

19 Standard Professional Services Agreement ( PSA ) Revision F April 2012 AGREEMENT FOR CONSULTING SERVICES This agreement ("Agreement"), dated as of, 20 ( Effective Date ) is by and between the County of Sonoma, a political subdivision of the State of California (hereinafter "County"), and (hereinafter "Consultant"). R E C I T A L S WHEREAS, Consultant represents that it is a [specify the type of organization] with expertise in the evaluation of criminal justice and human service programs, and experienced in the preparation of evaluation processes and reports; and WHEREAS, in the judgment of the Board of Supervisors, it is necessary and desirable to employ the services of Consultant for evaluation of criminal justice system programs and interventions. NOW, THEREFORE, in consideration of the foregoing recitals and the mutual covenants contained herein, the parties hereto agree as follows: l. Scope of Services. 1.1 Consultant's Specified Services. A G R E E M E N T Consultant shall perform the services described in Exhibit A, attached hereto and incorporated herein by this reference (hereinafter "Scope of Work"), and within the times or by the dates provided for in Exhibit A and pursuant to Article 7, Prosecution of Work. In the event of a conflict between the body of this Agreement and Exhibit A, the provisions in the body of this Agreement shall control. 1.2 Services Upon Request. Consultant shall perform additional services as requested from time to time by County in its sole discretion. Work will be authorized and performed only upon generating a written scope of services that is signed by the County Department Director or Purchasing Agent, or their delegates. The scope of services shall clearly identify the work to be performed. The County does not guarantee a minimum or maximum amount of work. Services shall be performed within specified times and dates and pursuant to Article 7, Prosecution of Work. PSA - Revision F, April

20 1.3 Cooperation With County. Consultant shall cooperate with County and County staff in the performance of all work hereunder. 1.4 Performance Standard. Consultant shall perform all work hereunder in a manner consistent with the level of competency and standard of care normally observed by a person practicing in Consultant's profession. County has relied upon the professional ability and training of Consultant as a material inducement to enter into this Agreement. Consultant hereby agrees to provide all services under this Agreement in accordance with generally accepted professional practices and standards of care, as well as the requirements of applicable federal, state and local laws, it being understood that acceptance of Contractor s work by County shall not operate as a waiver or release. If County determines that any of Consultant's work is not in accordance with such level of competency and standard of care, County, in its sole discretion, shall have the right to do any or all of the following: (a) require Consultant to meet with County to review the quality of the work and resolve matters of concern; (b) require Consultant to repeat the work at no additional charge until it is satisfactory; (c) terminate this Agreement pursuant to the provisions of Article 4; or (d) pursue any and all other remedies at law or in equity. 1.5 Assigned Personnel. All provisions of this Agreement shall apply to any Consultant s employee, subcontractor, consultant, or other agent that is engaged in services related to this Agreement subsequent to the Effective Date of this Agreement. Consultant hereto shall not assign, delegate, sublet, or transfer any interest in or duty under this Agreement without the prior written consent of the county, and no such transfer shall be of any force or effect whatsoever unless County shall have so consented. a. Consultant shall assign only competent personnel to perform work hereunder. In the event that at any time County, in its sole discretion, desires the removal of any person or persons assigned by Consultant to perform work hereunder, Consultant shall remove such person or persons immediately upon receiving written notice from County. b. Any and all persons identified in this Agreement or any exhibit hereto as the project manager, project team, or other professional performing work hereunder are deemed by County to be key personnel whose services were a material inducement to county to enter into this Agreement, and without whose services county would not have entered into this Agreement. Consultant shall not remove, replace, substitute, or otherwise change any key personnel without the prior written consent of county. c. Background Investigation Upon signing this Agreement, Contractor shall provide a list of all persons who are expected to or will provide services to County under this Agreement. All such persons must submit to a background investigation and be approved by the Sonoma County Sheriff's Office before performing any such services. Such persons shall also submit a consent and waiver form permitting County PSA - Revision F, April

21 to obtain personal employment/ professional qualification information from third parties, and releasing such third parties from any and all liability for disclosing such information to County. All personal information provided will be maintained by the County in strictest confidence to the extent allowed by law. No person shall perform any services contemplated herein unless and until approval has been obtained in writing from the Sheriff's Office. The Sheriff shall have the sole discretion to determine security acceptability of all Contractor personnel at any time during the contract period, and personnel found to be an unacceptable safety or security risk shall not be given access to facilities. d. All persons assigned to perform services under this Agreement on behalf of the Consultant must comply with the requirements of the Prison Rape Elimination Act of 2003 (PREA) and Probation Department policies regarding PREA. e. Consultant shall notify the County in writing within 30 days of any change in personnel holding the positions of Executive Director or Financial Director within its organization. Consultant s failure to comply with the provisions of this Section shall be deemed a material breach of this Agreement and may result in a loss of funding and/or contract termination. f. In the event that any of Consultant s personnel assigned to perform services under this Agreement become unavailable due to resignation, sickness or other factors outside of Consultant s control, Consultant shall be responsible for timely provision of adequately qualified replacements. 1.6 Access to County Facilities. Consultant shall be permitted access to County facilities for the purpose of performing the services required under this Agreement, pursuant to explicit prior authorization provided by applicable Department heads or designees. Consultant shall ensure that persons not otherwise authorized to perform services hereunder do not enter the facilities with Consultant. Consultant agrees to comply with all County policies and procedures, and any directives issued by County staff, relating to safety and security while performing services in the facilities. Consultant staff must comply with requirements in Contracted Specified Security Clearance Requirements And Procedures Exhibit D for access to County Jail facilities. The background clearance procedure described in Exhibit D shall satisfy the background investigation requirement in Article 1, section 1.5 c. 2. Payment. For all services and incidental costs required hereunder, Consultant shall be paid on a time and material/expense basis in accordance with the budget set forth in Exhibit B Fee Schedule, provided, however, that total payments to Consultant shall not exceed $, without the prior written approval of County. Consultant shall submit its bills in arrears on a monthly basis in a form approved by County's Auditor and the Head of the County Department receiving the services. The bills shall show or include: (i) the PSA - Revision F, April

22 task(s) performed; (ii) the time in quarter hours devoted to the task(s); (iii) the hourly rate or rates of the persons performing the task(s); and (iv) copies of receipts for reimbursable materials/expenses, if any. Expenses not expressly authorized by the Agreement shall not be reimbursed. Unless otherwise noted in this agreement, payments shall be made within the normal course of county business after presentation of an invoice in a form approved by the County for services performed. Payments shall be made only upon the satisfactory completion of the services as determined by the County. Pursuant to California Revenue and Taxation code (R&TC) Section 18662, the County shall withhold seven percent of the income paid to Consultant for services performed within the State of California under this agreement, for payment and reporting to the California Franchise Tax Board, if Consultant does not qualify as: (1) a corporation with its principal place of business in California, (2) an LLC or Partnership with a permanent place of business in California, (3) a corporation/llc or Partnership qualified to do business in California by the Secretary of State, or (4) an individual with a permanent residence in the State of California. If Consultant does not qualify, County requires that a completed and signed Form 587 be provided by the Consultant in order for payments to be made. If consultant is qualified, then the County requires a completed Form 590. Forms 587 and 590 remain valid for the duration of the Agreement provided there is no material change in facts. By signing either form, the contractor agrees to promptly notify the County of any changes in the facts. Forms should be sent to the County pursuant to Article 13. To reduce the amount withheld, Consultant has the option to provide County with either a full or partial waiver from the State of California. 3. Term of Agreement. The term of this Agreement shall be from to unless terminated earlier in accordance with the provisions of Article 4 below. 4. Termination. 4.1 Termination Without Cause. Notwithstanding any other provision of this Agreement, at any time and without cause, County shall have the right, in its sole discretion, to terminate this Agreement by giving 5 days written notice to Consultant. 4.2 Termination for Cause. Notwithstanding any other provision of this Agreement, should Consultant fail to perform any of its obligations hereunder, within the time and in the manner herein provided, or otherwise violate any of the terms of this Agreement, County may immediately terminate this Agreement by giving Consultant written notice of such termination, stating the reason for termination. 4.3 Delivery of Work Product and Final Payment Upon Termination. In the event of termination, Consultant, within 14 days following the date of termination, shall deliver to County all materials and work product subject to Section 9.10 (Ownership and Disclosure of Work Product) and shall submit to County an invoice showing the services PSA - Revision F, April

23 performed, hours worked, and copies of receipts for reimbursable expenses up to the date of termination. 4.4 Payment Upon Termination. Upon termination of this Agreement by County, Consultant shall be entitled to receive as full payment for all services satisfactorily rendered and expenses incurred hereunder, an amount which bears the same ratio to the total payment specified in the Agreement as the services satisfactorily rendered hereunder by Consultant bear to the total services otherwise required to be performed for such total payment; provided, however, that if services which have been satisfactorily rendered are to be paid on a per-hour or per-day basis, Consultant shall be entitled to receive as full payment an amount equal to the number of hours or days actually worked prior to the termination times the applicable hourly or daily rate; and further provided, however, that if County terminates the Agreement for cause pursuant to Section 4.2, County shall deduct from such amount the amount of damage, if any, sustained by County by virtue of the breach of the Agreement by Consultant. 4.5 Authority to Terminate. The Board of Supervisors has the authority to terminate this Agreement on behalf of the County. In addition, the Purchasing Agent or Chief Probation Officer, in consultation with County Counsel, shall have the authority to terminate this Agreement on behalf of the County. 4.6 Termination for Non-Appropriation. County may terminate this Agreement at any time, upon giving Consultant thirty (30) days written notice, for any of the following reasons: a. County has exhausted all funds legally available for payments to become due under this Agreement; b. Funds, which have been appropriated for purposes of this Agreement are withheld and are not, made available to County; c. No appropriation of funds for payments has been made for purposes of this Agreement in the budget for the next fiscal year; or d. An appropriation of funds for the next fiscal years has been made for purposes of this Agreement, but prior to actual release, such appropriation has been withdrawn. 4.7 Change in Funding. Consultant understands and agrees that County shall have the right to terminate this Agreement immediately upon written notice to Consultant in the event that (1) any state or federal agency or other funder reduces, withholds or terminates funding which the County anticipated using to pay Consultant for services provided under this Agreement or (2) County has exhausted all funds legally available for payments due under this Agreement. PSA - Revision F, April

24 5. Indemnification. Consultant agrees to accept all responsibility for loss or damage to any person or entity, including County, and to indemnify, hold harmless, and release County, its officers, agents, and employees, from and against any actions, claims, damages, liabilities, disabilities, or expenses, that may be asserted by any person or entity, including Consultant, that arise out of, pertain to, or relate to Consultant s or its agents, employees, contractors, subcontractors, or invitees performance or obligations under this Agreement. Consultant agrees to provide a complete defense for any claim or action brought against County based upon a claim relating to such Consultant s or its agents, employees, contractors, subcontractors, or invitees performance or obligations under this Agreement. Consultant s obligations under this Section apply whether or not there is concurrent negligence on County s part, but to the extent required by law, excluding liability due to County s conduct. County shall have the right to select its legal counsel at Consultant s expense, subject to Consultant s approval, which shall not be unreasonably withheld. This indemnification obligation is not limited in any way by any limitation on the amount or type of damages or compensation payable to or for Consultant or its agents under workers' compensation acts, disability benefits acts, or other employee benefit acts. 6. Insurance. With respect to performance of work under this Agreement, Consultant shall maintain and shall require all of its subcontractors, consultants, and other agents to maintain, insurance as described in Exhibit C Insurance Requirements, which is attached hereto and incorporated herein by this reference. 7. Prosecution of Work. The execution of this Agreement shall constitute Consultant's authority to proceed immediately with the performance of this Agreement. Performance of the services hereunder shall be completed within the time required herein, provided, however, that if the performance is delayed by earthquake, flood, high water, or other Act of God or by strike, lockout, or similar labor disturbances, the time for Consultant's performance of this Agreement shall be extended by a number of days equal to the number of days Consultant has been delayed. 8. Extra or Changed Work. Extra or changed work or other changes to the Agreement may be authorized only by written amendment to this Agreement, signed by both parties. Minor changes which do not significantly change the scope of work or significantly lengthen time schedules, and amendments to the Agreement which do not increase the amount of payment under the Agreement (taking into account all prior amendments) more than $25,000 from the original Agreement amount, may be executed by the Department Head in a form approved by County Counsel. 9. Confidentiality Requirements. Consultant understands and agrees that in performing evaluation services under this Agreement, Consultant may receive information from County that is protected from disclosure to third parties by various state and federal laws. Consultant, its directors, officers, employees, agents, and subcontractors agree that: 9.1 All records concerning any individual or client made or kept in connection with the administration of any provision of the services provided by this agreement shall be confidential, and shall not be open to examination for any purpose not directly connected with the administration of the services provided here, except as requested in writing by PSA - Revision F, April

25 County or as required by law. Inmate files and automated criminal justice records are of a confidential nature. Any information the Consultant s employees/subcontractors acquire as a result of providing services under this Agreement shall remain confidential. Consultant shall honor all Federal and State laws and regulations, and related policies and procedures for safeguarding the confidentiality of data used to provide services under this Agreement. 9.2 No person shall publish, disclose, use, permit, or cause to be published, disclosed, or used any confidential or identifying information pertaining to any individual or client that is obtained in connection with the administration of any provision of the services provided by this Agreement, except as directed to do so in writing by County, by an order of a court of competent jurisdiction, or as otherwise required by law Consultant and its officers, employees, agents or subcontractors, shall not voluntarily provide declarations, letters of support, testimony at depositions, response to interrogatories, or other information concerning the work performed under this Agreement. Response to a subpoena or court order shall not be considered voluntary provided Consultant gives notice to County of such court order or subpoena at least 15 days prior to the date required for compliance. 9.4 Consultant will comply with the terms of the Business Associate Addendum, attached to this Agreement as Exhibit E and incorporated herein,) and the Data Use Agreement, attached to this Agreement as Exhibit F and incorporated herein. 9.5 Consultant will comply with the requirements of 42 C.F.R. section 2.53 if Consultant requires access to alcohol and drug abuse patient records for purposes of performing evaluation services under this Agreement. 9.6 Access to Criminal Offender Record Information (CORI). Criminal offender record information is defined by Penal Code and as records and data compiled by criminal justice agencies for purposes of identifying criminal offenders and of maintaining as to each such offender a summary of arrests, pretrial proceedings, the nature and disposition of criminal charges, sentencing, incarceration, rehabilitation, and release. Penal Code provides that criminal offender record information shall be disseminated, whether directly or through any intermediary, only to such agencies as are, or may subsequently be, authorized access to such records by statute. See also Cal. Pen. Code As criminal justice agencies defined under 11 CCR 701(a) and Penal Code 13101, the Sonoma County Probation and Sheriff s Office are affirmatively authorized to the release of CORI, including State and Local Summary Criminal History Information, and California Law Enforcement Telecommunications System ( CLETS ), as needed in the course of their duties pursuant to Penal Code 11076, 11105, and 15150, et seq. The Probation and the Sheriff s Office, in accordance with the California Department of Justice (DOJ) CLETS Policies, Practices, and Procedures, section A.4, require that all persons, including volunteers and private vendor personnel, with access or potential access to CORI, including, but not limited to, information from CLETS, local County records, and the Integrated Justice System (IJS), shall receive CORI/CLETS training from a certified CLETS/National Crime PSA - Revision F, April

26 Information Center (NCIC) trainer. As access, or potential access to CORI, can be in the form of hardcopy documentation, verbal communication, or other forms of information sharing, and volunteers and contract staff may have access to facilities where CORI is created, stored, handled or discussed, Consultant shall ensure that all employees, agents, volunteers and subcontractors complete CORI/CLETS training prior to accessing CORI under this agreement. CORI/CLETS training, which will include laws, policies, and consequences regarding access to, and use of, criminal offender record information, will be provided by the Probation Department or the Sheriff s Office. 9.7 Consultant shall assure that all employees, agents, volunteers, and subcontractors that have not received CORI/CLETS training complete CORI/CLETS Training. As part of the CORI training, contractor employees, agents, volunteers and subcontract personnel will be required to sign a CLETS Employee/Volunteer Statement Form (Exhibit H) USE OF COUNTY DATA/INFORMATION. Consultant staff assigned to this contract may have access to County information systems. County requires Consultant staff to read, sign, and comply with Sonoma County Administrative Policy 9.2 Departmental Computer Use (Exhibit I). Consultant shall require its staff assigned to this contract to read said policy and sign the acknowledgement of its receipt attached to Exhibit I. Consultant shall maintain documentation of compliance with the requirement to read and acknowledge receipt of the policy, and shall require its staff assigned to this contract to comply with said policy. 10. Content Online Accessibility. County policy requires that all documents that may be published to the Web meet accessibility standards to the greatest extent possible, and utilizing available existing technologies Standards. All consultants responsible for preparing content intended for use or publication on a County-managed or County-funded web site must comply with applicable Federal accessibility standards established by 36 C.F.R. Section 1194, pursuant to Section 508 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794(d)), and the County s Web Site Accessibility Policy located at Certification: Consultants must complete the Document Accessibility Certification Form attached hereto as Exhibit G which shall describe how all deliverable documents were assessed for accessibility (e.g. Microsoft Word accessibility check; Adobe Acrobat accessibility check, or other commonly accepted compliance check.) 10.3 Alternate Format: When it is strictly impossible due to the unavailability of technologies required to produce an accessible document, Consultant shall identify the anticipated accessibility deficiency prior to commencement of any work to produce such deliverables. Consultant agrees to cooperate with County staff in the development of alternate document formats to maximize the facilitative features of the impacted document(s), e.g. embedding the document with alt-tags that describe complex data/tables. PSA - Revision F, April

27 10.4 Noncompliant Materials; Obligation to Cure. Remediation of any materials that do not comply with County s Web Site Accessibility Policy shall be the responsibility of Consultant. If County, in its sole and absolute discretion, determines that any deliverable intended for use or publication on any County-managed or County-funded Web site does not comply with County Accessibility Standards, County will promptly inform Consultant in writing. Upon such notice, Consultant shall, without charge to County, repair or replace the non-compliant materials within such period of time as specified by County in writing. If the required repair or replacement is not completed within the time specified, County shall have the right to do any or all of the following, without prejudice to County s right to pursue any and all other remedies at law or in equity: a. Cancel any delivery or task order; b. Terminate this Agreement pursuant to the provisions of Article 4; and/or c. In the case of custom EIT developed by Consultant for County, County may have any necessary changes or repairs performed by itself or by another contractor. In such event, contractor shall be liable for all expenses incurred by County in connection with such changes or repairs County s Rights Reserved. Notwithstanding the foregoing, County may accept deliverables that are not strictly compliant with County Accessibility Standards if County, in its sole and absolute discretion, determines that acceptance of such products or services is in County s best interest. 11. Representations of Consultant Standard of Care. County has relied upon the professional ability and training of Consultant as a material inducement to enter into this Agreement. Consultant hereby agrees that all its work will be performed and that its operations shall be conducted in accordance with generally accepted and applicable professional practices and standards as well as the requirements of applicable federal, state and local laws, it being understood that acceptance of Consultant's work by County shall not operate as a waiver or release Status of Consultant. The parties intend that Consultant, in performing the services specified herein, shall act as an independent contractor and shall control the work and the manner in which it is performed. Consultant is not to be considered an agent or employee of County and is not entitled to participate in any pension plan, worker s compensation plan, insurance, bonus, or similar benefits County provides its employees. In the event County exercises its right to terminate this Agreement pursuant to Article 4, above, Consultant expressly agrees that it shall have no recourse or right of appeal under rules, regulations, ordinances, or laws applicable to employees. PSA - Revision F, April

28 11.3 No Suspension or Debarment. Consultant warrants that it is not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in covered transactions by any federal department or agency. Consultant also warrants that it is not suspended or debarred from receiving federal funds as listed in the List of Parties Excluded from Federal Procurement or Non-procurement Programs issued by the General Services Administration. If the Consultant becomes debarred, consultant has the obligation to inform the County 11.4 Taxes. Consultant agrees to file federal and state tax returns and pay all applicable taxes on amounts paid pursuant to this Agreement and shall be solely liable and responsible to pay such taxes and other obligations, including, but not limited to, state and federal income and FICA taxes. Consultant agrees to indemnify and hold County harmless from any liability which it may incur to the United States or to the State of California as a consequence of Consultant's failure to pay, when due, all such taxes and obligations. In case County is audited for compliance regarding any withholding or other applicable taxes, Consultant agrees to furnish County with proof of payment of taxes on these earnings Records Maintenance. Consultant shall keep and maintain full and complete documentation and accounting records concerning all services performed that are compensable under this Agreement and shall make such documents and records available to County for inspection at any reasonable time. Consultant shall maintain such records for a period of four (4) years following completion of work hereunder Conflict of Interest. Consultant covenants that it presently has no interest and that it will not acquire any interest, direct or indirect, that represents a financial conflict of interest under state law or that would otherwise conflict in any manner or degree with the performance of its services hereunder. Consultant further covenants that in the performance of this Agreement no person having any such interests shall be employed. In addition, if requested to do so by County, Consultant shall complete and file and shall require any other person doing work under this Agreement to complete and file a "Statement of Economic Interest" with County disclosing Consultant's or such other person's financial interests Statutory Compliance. Contractor agrees to comply with all applicable federal, state and local laws, regulations, statutes and policies applicable to the services provided under this Agreement as they exist now and as they are changed, amended or modified during the term of this Agreement Nondiscrimination. Without limiting any other provision hereunder, Consultant shall comply with all applicable federal, state, and local laws, rules, and regulations in regard to nondiscrimination in employment because of race, color, ancestry, national origin, religion, sex, marital status, age, medical condition, pregnancy, disability, sexual orientation or other prohibited basis, including without limitation, the County s Non-Discrimination Policy. All nondiscrimination rules or regulations required by law to be included in this Agreement are incorporated herein by this reference. PSA - Revision F, April

29 11.9 AIDS Discrimination. Consultant agrees to comply with the provisions of Chapter 19, Article II, of the Sonoma County Code prohibiting discrimination in housing, employment, and services because of AIDS or HIV infection during the term of this Agreement and any extensions of the term Assignment of Rights. Consultant assigns to County all rights throughout the world in perpetuity in the nature of copyright, trademark, patent, right to ideas, in and to all versions of the plans and specifications, if any, now or later prepared by Consultant in connection with this Agreement. Consultant agrees to take such actions as are necessary to protect the rights assigned to County in this Agreement, and to refrain from taking any action which would impair those rights. Consultant's responsibilities under this provision include, but are not limited to, placing proper notice of copyright on all versions of the plans and specifications as County may direct, and refraining from disclosing any versions of the plans and specifications to any third party without first obtaining written permission of County. Consultant shall not use or permit another to use the plans and specifications in connection with this or any other project without first obtaining written permission of County Ownership and Disclosure of Work Product. All reports, original drawings, graphics, plans, studies, and other data or documents ( documents ), in whatever form or format, assembled or prepared by Consultant or Consultant s subcontractors, consultants, and other agents in connection with this Agreement shall be the property of County. County shall be entitled to immediate possession of such documents upon completion of the work pursuant to this Agreement. Upon expiration or termination of this Agreement, Consultant shall promptly deliver to County all such documents, which have not already been provided to County in such form or format, as County deems appropriate. Such documents shall be and will remain the property of County without restriction or limitation. Consultant may retain copies of the above- described documents but agrees not to disclose or discuss any information gathered, discovered, or generated in any way through this Agreement without the express written permission of County Authority. The undersigned hereby represents and warrants that he or she has authority to execute and deliver this Agreement on behalf of Consultant. 12. Demand for Assurance. Each party to this Agreement undertakes the obligation that the other's expectation of receiving due performance will not be impaired. When reasonable grounds for insecurity arise with respect to the performance of either party, the other may in writing demand adequate assurance of due performance and until such assurance is received may, if commercially reasonable, suspend any performance for which the agreed return has not been received. "Commercially reasonable" includes not only the conduct of a party with respect to performance under this Agreement, but also conduct with respect to other agreements with parties to this Agreement or others. After receipt of a justified demand, failure to provide within a reasonable time, but not exceeding thirty (30) days, such assurance of due performance as is adequate under the circumstances of the particular case is a repudiation of this Agreement. Acceptance of any improper delivery, service, or payment does not prejudice the aggrieved PSA - Revision F, April

30 party's right to demand adequate assurance of future performance. Nothing in this Article limits County s right to terminate this Agreement pursuant to Article Assignment and Delegation. Neither party hereto shall assign, delegate, sublet, or transfer any interest in or duty under this Agreement without the prior written consent of the other, and no such transfer shall be of any force or effect whatsoever unless and until the other party shall have so consented. 14. Method and Place of Giving Notice, Submitting Bills and Making Payments. All notices, bills, and payments shall be made in writing and shall be given by personal delivery or by U.S. Mail or courier service. Notices, bills, and payments shall be addressed as follows: TO: COUNTY: Attention: Probation s Administration Sonoma County Probation Department 600 Administration Dr., #104J Santa Rosa, California Phone: (707) TO: CONSULTANT: When a notice, bill or payment is given by a generally recognized overnight courier service, the notice, bill or payment shall be deemed received on the next business day. When a copy of a notice, bill or payment is sent by facsimile or , the notice, bill or payment shall be deemed received upon transmission as long as (1) the original copy of the notice, bill or payment is promptly deposited in the U.S. mail and postmarked on the date of the facsimile or (for a payment, on or before the due date), (2) the sender has a written confirmation of the facsimile transmission or , and (3) the facsimile or is transmitted before 5 p.m. (recipient s time). In all other instances, notices, bills and payments shall be effective upon receipt by the recipient. Changes may be made in the names and addresses of the person to whom notices are to be given by giving notice pursuant to this paragraph. 15. Miscellaneous Provisions No Waiver of Breach. The waiver by County of any breach of any term or promise contained in this Agreement shall not be deemed to be a waiver of such term or provision or any subsequent breach of the same or any other term or promise contained in this Agreement Construction. To the fullest extent allowed by law, the provisions of this Agreement shall be construed and given effect in a manner that avoids any violation of statute, ordinance, regulation, or law. The parties covenant and agree that in the event that any provision of this Agreement is held by a court of competent jurisdiction to be invalid, void, PSA - Revision F, April

31 or unenforceable, the remainder of the provisions hereof shall remain in full force and effect and shall in no way be affected, impaired, or invalidated thereby. Consultant and County acknowledge that they have each contributed to the making of this Agreement and that, in the event of a dispute over the interpretation of this Agreement, the language of the Agreement will not be construed against one party in favor of the other. Consultant and County acknowledge that they have each had an adequate opportunity to consult with counsel in the negotiation and preparation of this Agreement Consent. Wherever in this Agreement the consent or approval of one party is required to an act of the other party, such consent or approval shall not be unreasonably withheld or delayed No Third Party Beneficiaries. Nothing contained in this Agreement shall be construed to create and the parties do not intend to create any rights in third parties Applicable Law and Forum. This Agreement shall be construed and interpreted according to the substantive law of California, regardless of the law of conflicts to the contrary in any jurisdiction. Any action to enforce the terms of this Agreement or for the breach thereof shall be brought and tried in Santa Rosa or the forum nearest to the city of Santa Rosa, in the County of Sonoma Captions. The captions in this Agreement are solely for convenience of reference. They are not a part of this Agreement and shall have no effect on its construction or interpretation Merger. This writing is intended both as the final expression of the Agreement between the parties hereto with respect to the included terms and as a complete and exclusive statement of the terms of the Agreement, pursuant to Code of Civil Procedure Section No modification of this Agreement shall be effective unless and until such modification is evidenced by a writing signed by both parties Survival of Terms. All express representations, waivers, indemnifications, and limitations of liability included in this Agreement will survive its completion or termination for any reason Time of Essence. Time is and shall be of the essence of this Agreement and every provision hereof. PSA - Revision F, April

32 IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the Effective Date. CONSULTANT: COUNTY: COUNTY OF SONOMA By: By: Linda Rodecap, Purchasing Manager Name: Title: Date: Date: CERTIFICATES OF INSURANCE ON FILE WITH AND APPROVED AS TO SUBSTANCE FOR COUNTY: By: Robert Ochs, Chief Probation Officer Date: APPROVED AS TO FORM FOR COUNTY: By: Tambra Curtis, Deputy County Counsel Date: PSA - Revision F, April

33 Exhibit A Scope of Work To be added based on accepted proposal. Exhibit B Fee Schedule To be added based on accepted proposal. PSA - Revision F, April 2012 I

34 Exhibit C Insurance Requirements With respect to performance of work under this Agreement, Consultant shall maintain and shall require all of its subcontractors, consultants, and other agents to maintain insurance as described below unless such insurance has been expressly waived by the attachment of a Waiver of Insurance Requirements. Any requirement for insurance to be maintained after completion of the work shall survive this Agreement. County reserves the right to review any and all of the required insurance policies and/or endorsements, but has no obligation to do so. Failure to demand evidence of full compliance with the insurance requirements set forth in this Agreement or failure to identify any insurance deficiency shall not relieve Consultant from, nor be construed or deemed a waiver of, its obligation to maintain the required insurance at all times during the performance of this Agreement. 1. Workers Compensation and Employers Liability Insurance a. Required if Consultant has employees as defined by the Labor Code of the State of California. b. Workers Compensation insurance with statutory limits as required by the Labor Code of the State of California. c. Employers Liability with minimum limits of $1,000,000 per Accident; $1,000,000 Disease per employee; $1,000,000 Disease per policy. d. Required Evidence of Insurance: Certificate of Insurance. If Consultant currently has no employees as defined by the Labor Code of the State of California, Consultant agrees to obtain the above-specified Workers Compensation and Employers Liability insurance should employees be engaged during the term of this Agreement or any extensions of the term. 2. General Liability Insurance a. Commercial General Liability Insurance on a standard occurrence form, no less broad than Insurance Services Office (ISO) form CG b. Minimum Limits: $1,000,000 per Occurrence; $2,000,000 General Aggregate; $2,000,000 Products/Completed Operations Aggregate. The required limits may be provided by a combination of General Liability Insurance and Commercial Excess or Commercial Umbrella Liability Insurance. If Consultant maintains higher limits than the specified minimum limits, County requires and shall be entitled to coverage for the higher limits maintained by Consultant. c. Any deductible or self-insured retention shall be shown on the Certificate of Insurance. If the deductible or self-insured retention exceeds $25,000 it must be approved in advance by County. Consultant is responsible for any deductible or self-insured retention and shall fund it upon County s written request, regardless of whether Consultant has a claim against the insurance or is named as a party in any action involving the County. d. [insert exact name of additional insured] shall be endorsed as additional insureds for liability arising out of operations by or on behalf of the Consultant in the performance of this Agreement. e. The insurance provided to the additional insureds shall be primary to, and non-contributory with, any insurance or self-insurance program maintained by them. f. The policy definition of insured contract shall include assumptions of liability arising out of both ongoing operations and the products-completed operations hazard (broad form contractual liability coverage including the f definition of insured contract in ISO form CG 00 01, or equivalent). g. The policy shall cover inter-insured suits between the additional insureds and Consultant and include a separation of insureds or severability clause which treats each insured separately. h. Required Evidence of Insurance: i. Copy of the additional insured endorsement or policy language granting additional insured status; and ii. Certificate of Insurance. PSA - Revision F, April 2012 II

35 Exhibit C, continued 3. Automobile Liability Insurance a. Minimum Limit: $1,000,000 combined single limit per accident. The required limits may be provided by a combination of Automobile Liability Insurance and Commercial Excess or Commercial Umbrella Liability Insurance. b. Insurance shall cover all owned autos. If Consultant currently owns no autos, Consultant agrees to obtain such insurance should any autos be acquired during the term of this Agreement or any extensions of the term. c. Insurance shall cover hired and non-owned autos. d. Required Evidence of Insurance: Certificate of Insurance. 4. Professional Liability/Errors and Omissions Insurance a. Minimum Limits: $1,000,000 per claim or per occurrence; $1,000,000 annual aggregate. b. Any deductible or self-insured retention shall be shown on the Certificate of Insurance. If the deductible or self-insured retention exceeds $25,000 it must be approved in advance by County. c. If the insurance is on a Claims-Made basis, the retroactive date shall be no later than the commencement of the work. d. Coverage applicable to the work performed under this Agreement shall be continued for two (2) years after completion of the work. Such continuation coverage may be provided by one of the following: (1) renewal of the existing policy; (2) an extended reporting period endorsement; or (3) replacement insurance with a retroactive date no later than the commencement of the work under this Agreement. e. Required Evidence of Insurance: Certificate of Insurance. 5. Cyber Liability Insurance a. Minimum Limit: $1,000,000 per claim b. The insurance shall cover: i. Breach of privacy; breach of data; programming errors, failure of work to meet contracted standards and unauthorized access. ii. Claims against Consultant arising from the negligence of Consultant, Consultant s employees and Consultant s subcontractors. c. If the insurance is on a Claims-Made basis, the retroactive date shall be no later than the commencement of work under this Agreement. d. Coverage applicable to the work performed under this Agreement shall be continued for two (2) years after completion of the work. Such continuation coverage may be provided by one of the following: (1) renewal of the existing policy; (2) an extended reporting period endorsement; or (3) replacement insurance with a retroactive date no later than the commencement of the work under this Agreement. e. Required Evidence of Insurance: Certificate of Insurance specifying the retroactive date if the insurance is on a claims-made basis. 6. Standards for Insurance Companies Insurers, other than the California State Compensation Insurance Fund, shall have an A.M. Best's rating of at least A:VII. 7. Documentation a. The Certificate of Insurance must include the following reference: [insert contract number or project name]. b. All required Evidence of Insurance shall be submitted prior to the execution of this Agreement. Consultant agrees to maintain current Evidence of Insurance on file with County for the entire term of this Agreement and any additional periods if specified in Sections 1 4 above. c. The name and address for Additional Insured endorsements and Certificates of Insurance is: [insert exact name and address]. PSA - Revision F, April 2012 III

36 Exhibit C, continued d. Required Evidence of Insurance shall be submitted for any renewal or replacement of a policy that already exists, at least ten (10) days before expiration or other termination of the existing policy. e. Consultant shall provide immediate written notice if: (1) any of the required insurance policies is terminated; (2) the limits of any of the required policies are reduced; or (3) the deductible or self-insured retention is increased. f. Upon written request, certified copies of required insurance policies must be provided within thirty (30) days. 8. Policy Obligations Consultant's indemnity and other obligations shall not be limited by the foregoing insurance requirements. 9. Material Breach If Consultant fails to maintain insurance which is required pursuant to this Agreement, it shall be deemed a material breach of this Agreement. County, at its sole option, may terminate this Agreement and obtain damages from Consultant resulting from said breach. Alternatively, County may purchase the required insurance, and without further notice to Consultant, County may deduct from sums due to Consultant any premium costs advanced by County for such insurance. These remedies shall be in addition to any other remedies available to County. PSA - Revision F, April 2012 IV

37 Exhibit D: CONSULTANTS SPECIFIED SECURITY CLEARANCE REQUIREMENTS AND PROCEDURES 1. Consultant must submit a list of employees who will be working in the Main Adult Detention Facility (MADF) and the North County Detention Facility (NCDF), hereinafter detention facilities, to the designated SCSO representative at least two weeks in advance of entry to allow time for background security checks to be completed. In exigent circumstances, exceptions will be reviewed and approved on a case-by-case basis. For purposes of clarification, all staff employed by, or under contract to Consultant, who provides services within the detention facilities, shall be referred to as Consultant Workers. 2. Consultant shall provide the full name, date of birth, driver license, social security number, and a physical description of all Consultant Workers who will require access to the detention facilities, to the designated Detention Representative, for the purposes of identification and to conduct the background security checks. 3. All Consultant Workers must receive security clearance from the designated Detention Representative prior to being permitted access to detention facilities; Consultant Workers with prior felony convictions, extensive criminal histories, recent convictions, or any pending charges may be denied entrance into the detention facilities. 4. All Consultant Workers submitted for clearance shall be checked for outstanding warrants. Any active warrants attributed to Consultant Workers may result in the arrest of the subject. 5. No Consultant Worker under 18 years of age shall be admitted to the detention facilities. 6. Consultant Workers who have in their possession firearms, explosives, or any other weapon, as defined under Penal Code Section 171b, shall not be allowed to enter the detention facilities, and may be subject to arrest. 7. Consultant Workers who have in their possession alcoholic beverages will not be allowed to enter the detention facilities, and may be subject to arrest. 8. Consultant Workers under the influence of drugs or alcoholic beverages will not be allowed to enter the detention facilities, and may be subject to arrest. 9. Umbrellas, picket knives, scissors, metal nail filers, or other objects that could be used as weapons are not allowed within the secure perimeter of the detention facilities, with the exception of tools required to install, remove or repair the equipment the Consultant Worker is authorized to service. 10. Consultant Workers entering the detention facilities shall not give anything to any inmate nor shall they take anything from any inmate without prior approval from authorized detention staff. 11. No smoking is permitted within the detention facilities. Consultant Workers may not bring any tobacco products into the detention facilities. 12. Consultant Workers entering the detention facilities shall not lean, exchange, borrow, do favors for, or enter into any business transactions with any inmate. 13. Consultant Workers shall not talk to any inmate without prior approval by authorized detention staff. PSA - Revision F, April 2012 V

38 Exhibit D, continued 14. Consultant Workers will proceed directly to their designated work areas within the detention facilities. Anyone found loitering in unauthorized areas may be escorted from the facilities and may have his/her security clearance revoked. 15. For the safety of all persons, the SCSO does not allow any inmate to escape in exchange for the release of hostages. All means will be used to ensure the safe release of hostages, with the exception of giving hostage takers weapons or additional hostages, or allowing hostage takers to escape. 16. Detention staff are responsible for security. If directed by authorized detention staff to take any action (leave the area, secure tools, etc.), all Consultant Workers are required to immediately comply, without question. 17. Tools may be inventoried prior to entering the detention facilities, and again upon leaving the facilities. Only tools required to complete the specified work may be brought into the facilities. All tools must be secured before leaving the work area. 18. All Consultant Workers must attend a security briefing session before they are authorized to work unescorted, inside the detention facilities. 19. Consultant and all Consultant Workers who provide services under the agreement shall comply with all other SCSO detention facilities security procedures and protocols, and other security measures deemed necessary by the SCSO. PSA - Revision F, April 2012 VI

39 Exhibit E BUSINESS ASSOCIATE ADDENDUM TO THE STANDARD PROFESSIONAL SERVICES AGREEMENT BETWEEN COUNTY OF SONOMA AND This Business Associate Addendum ( Addendum ) supplements and is made a part of the Standard Professional Services Agreement ( Agreement ) by and between County of Sonoma ( County ) and ( Business Associate ). RECITALS WHEREAS, County is a Hybrid Entity as defined under 45 CFR Section ; WHEREAS, is a Business Associate as defined under 45 CFR Section ; WHEREAS, County wishes to disclose certain information to Business Associate pursuant to the terms of the Addendum, some of which may constitute Protected Health Information ( PHI ); including electronic Protected Health Information ( ephi ); WHEREAS, County and Business Associate intend to protect the privacy and provide for the security of PHI, including ephi, disclosed to Business Associate pursuant to the Addendum in compliance with the Health Insurance Portability and Accountability Act of 1996, Public Law ( HIPAA ) and regulations promulgated thereunder by the U.S. Department of Health and Human Services ( the HIPAA Regulations ) and other applicable laws; and WHEREAS, as part of the HIPAA Regulations, the Privacy Rule requires County to enter into a contract containing specific requirements with Business Associate prior to the disclosure of PHI, as set forth in, but not limited to, Title 45, Section (e) and (e) of the Code of Federal Regulations ( CFR ) and contained in the Addendum. NOW THEREFORE, in consideration of the mutual promises below and the exchange of information pursuant to this Addendum, the parties agree as follows: 1. Definitions. Terms used, but not otherwise defined, in this Addendum shall have the same meaning as those terms in the HIPAA Regulations. Protected Health Information (PHI) includes electronic Protected Health Information (ephi). a. Breach shall have the meaning given to such term under the HITECH Act [42 U.S.C. Section 17921]. b. Business Associate shall have the meaning given to such term under the Privacy Rule, the Security Rule, and the HITECH Act, including but not limited to, 42 U.S.C. Section and 45 C.F.R. Section PSA - Revision F, April 2012 VII

40 Exhibit E, continued c. Data Aggregation shall have the meaning given to such term under the Privacy Rule, including, but not limited to, 45 C.F.R. Section d. Designated Record Set shall have the meaning given to such term under the Privacy Rule, including, but not limited to, 45 C.F.R. Section e. Electronic Protected Health Information or ephi means Protected Health Information that is maintained in or transmitted by electronic media. f. Electronic Health Record shall have the meaning given to such term in the HITECT Act, including, but not limited to, 42 U.S.C. Section g. Privacy Rule shall mean the HIPAA Regulation that is codified at 45 C.F.R. Parts 160 and 164, Subparts A and E. h. 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 Rule, including, but not limited to, 45 C.F.R. Section Protected Health Information includes Electronic Protected Health Information [45 C.F.R. Sections , ]. i. Security Rule shall mean the HIPAA Regulation that is codified at 45 C.F.R. Parts 160 and 164, Subparts A and C. j. Unsecured PHI shall have the meaning given to such term under the HITECH Act and any guidance issued pursuant to such Act including, but not limited to, 42 U.S.C. Section 17932(h). 2. Obligations of Business Associate a. Use of Protected Health Information. Except as otherwise provided in this Addendum, Business Associate, shall use and/or disclose PHI only as necessary to perform functions, activities or services, documented in the Professional Services Agreement for Consulting Services, of which this Addendum is part, for or on behalf of County, as specified in this Addendum, provided that such use does not violate the HIPAA Regulations. The uses of PHI may not exceed the limitations applicable to County under the HIPAA Regulations. Business Associate shall not use PHI other than as permitted or required by this Addendum, or as required by law. b. Safeguarding Protected Health Information. Business Associate shall use appropriate safeguards to prevent use or disclosure of PHI other than as provided for by this Addendum. Business Associate shall implement administrative, physical, and technical safeguards that reasonably and appropriately protect the confidentiality, integrity and availability of electronic PHI created, received, maintained or transmitted on behalf of County. 1. Transmission of Electronic Data - Encryption Requirements. All PHI transmitted to Business Associate by County; and/or for or on behalf of County by Business Associate; and/or to County by Business Associate shall be provided or transmitted in a manner which renders such PHI unusable, unreadable or indecipherable to unauthorized persons, through the use of a technology or methodology by the Security Rule and the HITECH Act. PSA - Revision F, April 2012 VIII

41 Exhibit E, continued c. Reporting Improper Use or Disclosure. Within twenty-four (24) hours of discovery, Business Associate shall report in writing to County any use or disclosure of PHI not provided for by this Addendum or otherwise in violation of the HIPAA Regulations. d. Notification of Breach. During the term of the Agreement, Business Associate shall notify County within twenty-four (24) hours of discovery of any suspected or actual breach of security, intrusion or unauthorized use or disclosure of PHI of which Business Associate becomes aware and/or any actual or suspected use or disclosure of data in violation of any applicable federal or state laws or regulations. Business 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. e. Agents and Subcontractors of Business Associate. To the extent that Business Associate uses any agent, including a subcontractor, to which Business Associate provides PHI received from, created, maintained or received by Business Associate on behalf of County, Business Associate shall execute an agreement with such agent or contractor containing requirement to ensure compliance with the same restrictions and conditions that apply through this Addendum to Business Associate with respect to PHI. f. Access to Protected Health Information. At the request of County, and in the time and manner designated by County, Business Associate shall provide access to PHI in Designated Record Set to an Individual or County to meet the requirements of 45 CFR section If Business Associate maintains an Electronic health Record, Business Associate shall provide such information in electronic format to enable County to fulfill its obligations under the HITECH Act, including, but not limited to, 42 U.S.C. Section 17935(e). g. Amendments to Designated Record Set. Business Associate shall make any amendment(s) to PHI in a Designated Record Set that County directs or at the request of the Individual, and in the time and manner designated by County in accordance with 45 CFR section h. Documentation of Uses and Disclosures: Business Associate shall document disclosures of PHI and information related to such disclosures as would be required by County to respond to a request by an Individual for an accounting of disclosures of PHI in accordance with 45 CFR section i. Accounting of Disclosure. Business Associate shall provide to County or an Individual, in the time and manner designated by County, information required to provide an accounting of disclosures to enable County to fulfill its obligations under the Privacy Rule, including, but not limited to, 45 C.F.R. Section , and the HITECH Act, including but not limited to 42 U.S.C. Section 17935(c). Business Associate agrees to implement a process that allows for an accounting to be collected and maintained by BA and its agents or subcontractors for at least six (6) years prior to the request. However, accounting of disclosures from an Electronic Health Record for treatment, payment or health care operations purposes are required to be collected and maintained for only three (3) years prior to the request, and only to the extent that BA maintains an electronic health record and is subject to this requirement. j. Records Available to County, State and Secretary. Business Associate shall make available internal practices, books and records related to the use, disclosure and privacy protection of PHI received from County, or created, maintained or received by Business Associate on behalf of County, to the County, State, or to the Secretary of the United States Department of Health and Human Services for the purposes of investigating or auditing Business Associate s compliance with the HIPAA Regulations, in the time and manner designated by County, State or Secretary. k. Destruction of Protected Health Information. Upon termination of this Addendum for any reason, Business Associate shall: a. Return all PHI received from County, created, maintained or received by Business Associate on behalf of County and required to be retained by the HIPAA regulations; or PSA - Revision F, April 2012 IX

42 Exhibit E, continued b. At the discretion of County, return or destroy all other PHI received from County, or created, maintained or received on behalf of County by Business Associate on behalf of County. Business Associate shall certify in writing that such PHI has been destroyed. c. In the event Business Associate determines that returning or destroying PHI is not feasible, Business Associate shall provide County notification of the conditions that make return or destruction not feasible. Unless County agrees that return or destruction is not feasible, Business Associate shall return or destroy PHI per this Addendum. If County agrees that the return or destruction of PHI is not feasible, Business Associate shall extend protections of this Addendum to such PHI and limit further use and disclosure of such PHI for so long as Business Associate or its agents or subcontractors maintain such PHI. l. Amendments to Addendum. No amendment of this Addendum shall be effective unless and until such amendment is evidenced by a writing signed by the parties. County and Business Associate agree to take such action as is necessary to amend this Addendum as required for County to comply with the requirements of the HIPAA Regulations. However, any provision required by HIPAA Regulations to be in this Addendum, shall bind the parties whether or not provided for in this Addendum. m. Data Aggregation. Business Associate may provide data aggregation services related to the health care operations of County. n. Material Breach. A breach by Business Associate or any of its agents or subcontractors of any provision of this Addendum, as determined by County, shall constitute a material breach of the Addendum and shall provide grounds for immediate termination of the Addendum. o. Termination of Addendum. If Business Associate should fail to perform any of its obligations hereunder, or materially breach any of the terms of this Addendum, County may terminate this Addendum immediately upon provision of notice to Contractor stating the reason for such termination. County, within its sole discretion, may elect to give Business Associate an opportunity to cure such breach. p. State Confidentiality Laws. Business Associate shall comply with state laws to extent that such state confidentiality laws are not preempted by HIPAA or the HITECH Act. PSA - Revision F, April 2012 X

43 Exhibit F DATA USE AGREEMENT BETWEEN COUNTY OF SONOMA AND RECITALS WHEREAS, County ( County ) is a Hybrid Entity as defined under 45 CFR Section ; WHEREAS, is a Recipient ( Recipient ) of a Limited Data Set as defined under 45 CFR Section (e); WHEREAS, County wishes to disclose certain information to Recipient pursuant to the terms of this Data Use Agreement ( Agreement ); WHEREAS, County and Recipient agree to protect the privacy and provide for the security of Limited Data Set information disclosed to Recipient pursuant to this Agreement in compliance with the Health Insurance Portability and Accountability Act of 1996, Public Law ( HIPAA ) and regulations promulgated thereunder by the U.S. Department of Health and Human Services ( the HIPAA Regulations ) and other applicable laws; and WHEREAS, as part of the HIPAA Regulations, the Privacy Rule requires County to enter into an Agreement containing specific requirements prior to the disclosure of Limited Data Set information, as set forth in, Title 45, Section (e) of the Code of Federal Regulations ( CFR ) and contained in this Agreement. NOW THEREFORE, in consideration of the mutual promises below and the exchange of information pursuant to this Agreement, the parties agree as follows: 1. Definitions. Terms used, but not otherwise defined, in this Agreement shall have the same meaning as those terms in the HIPAA Regulations. 2. Restrictions on Use and Disclosure of Limited Data Set. Recipient may use or disclose Limited Data Set information to perform functions, activities or services limited to research, public health and health care operations of the County, only as specified in this Agreement, or as required by law. Permitted use and disclosure is limited to the following: Process and outcome data in the form of a limited dataset for the Public Safety Realignment Evaluation project for which has been contracted by Sonoma County. The purpose of the Public Safety Realignment project is to evaluate the implementation and effectiveness of criminal justice programs and interventions applied with realigned and other adult offenders. 3. Safeguarding Protected Health Information. Recipient shall use appropriate safeguards to prevent use or disclosure of Limited Data Set information other than as provided for by this Agreement. Recipient shall implement administrative, physical, and technical safeguards that reasonably and appropriately protect the confidentiality, integrity and availability of Limited Data Set information created, received, maintained or transmitted by Recipient. PSA - Revision F, April 2012 XI

44 Exhibit F, continued 4. Improper Use or Disclosure. Recipient is prohibited from any use or further disclosure of Limited Data Set information in any manner that would violate the HIPAA Privacy Rule or this Agreement. Recipient is prohibited from identifying the individuals that are the subject of the Limited Data Set information. Recipients are also prohibited from using Limited Data Set information to contact individuals that are the subject of said information. Within one (1) business day of discovery, Recipient shall report in writing to County any use or disclosure prohibited by or not provided for by this Agreement. 5. Agents and Subcontractors of Business Associate. Recipient shall ensure that any agent, including a subcontractor, to which Recipient provides Limited Data Set information, shall comply with the same restrictions and conditions that apply through this Agreement to Recipient. 6. Destruction of Limited Data Set Information. Upon termination of this Agreement for any reason, Recipient shall destroy all Limited Data Set information received from County. Recipient shall certify in writing that such Limited Data Set information has been destroyed. 7. Reasonable Steps to Cure. If County knows of a material breach, County shall require Recipient to take reasonable steps to cure such breach. If efforts to cure such breach are unsuccessful, County shall terminate this Agreement and report the breach by Recipient or any of its agents or subcontractors to the Secretary. IN WITNESS WHEREOF, the parties hereto have duly executed this Agreement as of the Agreement Effective Date. County By: Print Name: Title: Recipient By: Print Name: Title: Date: Date: PSA - Revision F, April 2012 XII

45 Exhibit G County of Sonoma Web Accessibility Questionnaire County policy requires that all County websites, web content and web-based applications must be accessible to staff members and members of the public with disabilities. For more information regarding the details of this policy, please see Web Accessibility Policy, published in the County of Sonoma s Web Standards site ( Standard Source(s) Response 1. Rate the overall level of accessibility compliance of your website, web Section 508 content or web-based application: WCAG 2.0 a. Fully compliant All content and functionality meet or exceed the criteria delineated in Section 508 and WCAG 2.0 Level AA. b. Partially compliant Some content or functionality meet or exceed the criteria delineated in Section 508 and WCAG 2.0 Level AA while other content or functionality are only compliant to Section 508 and WCAG 2.0 Level A. c. Partially compliant All content and functionality are fully compliant with Section 508 and WCAG 2.0 Level A. d. Partially compliant All content and functionality are fully compliant with Section 508. e. Not compliant. Fully Compliant Response(s): a PSA - Revision F, April 2012 XIII

46 Standard Source(s) Response 2. Does each non-text element on the page have a text equivalent via "alt" Section 508 (alternative text attribute) or does the page otherwise include a meaningful (a) description of the non-text element in the text accompanying the non-text element? WCAG 2.0 a. Yes. Guideline 1.1 Fully Compliant Response(s): a, d b. Yes and no. Some non-text elements have meaningful text equivalents while others do not. c. No, none of the non-text elements have text equivalents. d. N/A. There are no non-text elements on the page. 3. For any multimedia content, is text captioning provided for all audible Section 508 output and audible output provided for all important visual information? (b) a. Yes. b. Yes and no. Text captioning is not provided for audible output, but audio WCAG 2.0 descriptions are provided for all important visual information. Guideline 1.1 c. Yes and no. Audio descriptions are not provided for all important visual information, but text captioning is provided for audible output. Guideline 1.2 Fully Compliant Response(s): a, e d. No, neither is provided. e. N/A. There is no multimedia content on the page. PSA - Revision F, April 2012 XIV

47 Standard Source(s) Response 4. Are all audio descriptions and text captions synchronized with their Section 508 associated dynamic content? (b) a. Yes, text captioning for audible output and audible output for visual information is completely synchronized with changes in the dynamic WCAG 2.0 content of the page. Guideline 1.2 Fully Compliant Response(s): a, e b. Yes and no. Text captioning is not completely synchronized with audible output as the dynamic content of the page changes or is not provided, but the audio descriptions are synchronized to the important visual information they describe. c. Yes and no. Audio descriptions are not synchronized to the important visual information they describe or they are not provided, but text captioning is synchronized with the audible output as the dynamic content of the page changes. d. No. Both are provided but neither is synchronized. e. N/A. There is no multimedia content on this page. PSA - Revision F, April 2012 XV

48 Standard Source(s) Response 5. If any audio plays automatically for more than 3 seconds, is there a mechanism available to pause or stop the audio, or to control volume independently from the overall system volume? a. Yes, there is audio that automatically plays for more than 3 seconds and there is a mechanism available to control the volume of the audio without affecting the overall system volume. b. Yes, there is audio that automatically plays for more than 3 seconds and there is a mechanism available to pause or stop the audio. c. No. There is audio that automatically plays for more than 3 seconds but there is no mechanism to stop, pause or alter the volume without affecting the system volume. WCAG 2.0 Guideline 1.4 d. N/A. There is no automatic audio or the automatic audio plays for less than 3 seconds. Fully Compliant Response(s): a,b,d PSA - Revision F, April 2012 XVI

49 Standard Source(s) Response 6. Is every page capable of being understood and navigated even if users do Section 508 not have the ability to identify specific colors or differentiate between colors? (c) a. Yes, any use of color as to imply meaning or information is easily WCAG 2.0 understood without color and sufficient contrast has been applied to assist those that have difficulty differentiating or identifying individual colors. Guideline 1.4 Fully Compliant Response(s): a b. Yes, sufficient contrast has been applied to assist those that have difficulty differentiating or identifying individual colors. c. Yes, any use of color as to imply meaning or information is easily understood without color. d. No, the page does not use color appropriately. 7. If any page uses cascading style sheets (CSS) 1, is it viewable without style Section 508 sheets (style sheets turned off, not supported by the browser, etc.)? (d) a. Yes. b. No. c. N/A. The page does not use cascading style sheets (CSS). WCAG 2.0 Guideline 1.3 Fully Compliant Response(s): a,c 1 Cascading Style Sheets (CSS) can be associated a webpage in multiple ways: declared within the webpage, embedded via a separate file, or added dynamically via JavaScript. PSA - Revision F, April 2012 XVII

50 Standard Source(s) Response 8. If any page uses cascading style sheets (CSS) 1, is it designed so that it does not interfere with style sheets set by the browser? Fully Compliant Response(s): a,c a. Yes, it works without interfering with style sheets set by the browser. b. No, it interferes with any style sheets that have been set by the browser. c. N/A. The page does not use cascading style sheets (CSS). WCAG 2.0 Guideline If any page includes server-side image maps, are duplicate text links Section 508 provided for all links within the server-side image maps? (e) Fully Compliant Response(s): a,d a. Yes, each link in the server-side image maps is duplicated by a separate text link. b. Yes and no. Some of the links from the server-side image maps are duplicated in separate text links while others are not. c. No, redundant text links are not provided for any link from the serverside image maps. d. N/A. The page does not include any server-side image maps. PSA - Revision F, April 2012 XVIII

51 Standard Source(s) Response 10. If any page includes one or more client-side image maps, does each map region have a text equivalent via "alt" (alternative text attribute) or does the page otherwise include a meaningful description of the non-text element in the text accompanying it? a. Yes. b. Yes and no. Some of the non-text elements associated with the image map(s) have text equivalents or a meaningful text description, while others do not. c. No. None of the non-text elements associated with the image map(s) have text equivalents or meaningful text descriptions. d. N/A. The page does not include any client-side image maps. Section (a) Fully Compliant Response(s): a,d 11. If any page includes a simple table (single level of row/column headers), are the row/column headers identified? a. Yes, all simple data tables have row/column headers identified and all non-data tables do not identify row/column headers. b. Yes and no. Some simple data tables exist but either the row or column header is not identified or some simple non-data tables exist but either the row or column header is identified. c. N/A. The page does not include simple tables. Section (g) Fully Compliant Response(s): a,c PSA - Revision F, April 2012 XIX

52 Standard Source(s) Response 12. If any page includes a complex data table (2 or more logical levels of row or Section 508 column headers), does each cell provide association with row and column headers? (h) Fully Compliant Response(s): a,c a. Yes, complex tables exist and each cell within the table includes identification of its row and column headers. b. No, complex tables exist, but some cells within the table fail to identify row and column headers. c. N/A. The page does not include complex data tables. 13. If the page uses frames, does each frame have a title that meaningfully Section 508 describes it? (i) a. Yes. b. No. c. N/A. The page does not use frames. Fully Compliant Response(s): a,c 14. Does any page include content (such as applets or content requiring plugins) that may cause the screen to flicker with a frequency greater than 2 Hz and lower than 55 Hz? a. Yes. b. No. WCAG 2.0 Guideline 2.3 Fully Compliant Response(s): b PSA - Revision F, April 2012 XX

53 Standard Source(s) Response 15. If the page uses scripts, such as JavaScript or scripts in Macromedia Flash content, and if the scripts affect any content displayed to the user, is there equivalent text provided by the page or the script that is accessible to a screen reader? a. Yes. The page contains JavaScript or Macromedia Flash content that affects the content displayed to the user, but the page or script contains equivalent text that is accessible to a screen reader. Section (a) WCAG 2.0 Guideline 1.1 Guideline 1.2 b. No. While the page contains JavaScript or Macromedia Flash content that affects the content displayed to the user, neither the page nor the script contains equivalent text that is accessible to a screen reader. c. N/A. The page does not use JavaScript or Macromedia Flash content. Fully Compliant Response(s): a,c 16. If the web page uses applets, such as downloadable Java applets, does it also contain the same information and functionality in an accessible format? a. Yes, while the page uses applets, it contains the same information and functionality in an accessible format. b. No, although the page uses applets, it does not contain the same information and functionality in an accessible format. Section (a) WCAG 2.0 Guideline 1.1 Guideline 1.2 c. N/A. The page does not use any applets. Fully Compliant Response(s): a,c PSA - Revision F, April 2012 XXI

54 Standard Source(s) Response 17. Is every web page capable of full functionality via only the keyboard? a. Yes, all functionality of the content is operable through a keyboard interface and if focus can be shifted to a component via the keyboard, then keyboard interface can also be used to shift focus away from that component. WCAG 2.0 Guideline 2.1 b. No, some functionality is not operable via a keyboard interface alone. Fully Compliant Response(s): a PSA - Revision F, April 2012 XXII

55 Standard Source(s) Response 18. Is every web page designed for maximum compatibility with the current and future user agents, including assistive technologies? WCAG 2.0 Guideline 4.1 a. Yes, content implemented using markup languages, elements have complete start and end tags, elements are nested according to their specifications, elements do not contain duplicate attributes, and any IDs are unique, except where the specifications allow these features. For all user interface components (including but not limited to: form elements, links and components generated by scripts), the name and role can be programmatically determined; states, properties, and values that can be set by the user can be programmatically set; and notification of changes to these items is available to user agents, including assistive technologies. b. Yes and no, content implemented using markup languages, elements have complete start and end tags, elements are nested according to their specifications, elements do not contain duplicate attributes, and any IDs are unique, except where the specifications allow these features. c. Yes and no, for all user interface components (including but not limited to: form elements, links and components generated by scripts), the name and role can be programmatically determined; states, properties, and values that can be set by the user can be programmatically set; and notification of changes to these items is available to user agents, including assistive technologies. d. No, some content or interface components do not comply with this guideline in at least one area. Fully Compliant Response(s): a PSA - Revision F, April 2012 XXIII

56 Standard Source(s) Response Section (m) 19. If the page uses other programmatic objects (such as Flash, Shockwave, RealAudio, or RealVideo content), or otherwise requires the use of plug-ins or programmatic support for the browser, does the page include a link to the plug-in or programmatic item required for accessing the content of the page and is that plug-in or programmatic item itself accessible to people with disabilities? a. Yes, the page uses such programmatic objects and includes a link to the plugins or other items required for accessing the content of the page and those plugins or programmatic items are accessible to people with disabilities. b. Yes and no. While the page uses such programmatic objects and includes a link to the plug-ins or other items required for accessing the content of the page, those plug-ins or programmatic items are not accessible to people with disabilities. c. No, while the page uses such programmatic objects, it does not include a link to the plug-ins or other items required for accessing the content of the page. d. N/A. The page does not use such programmatic objects. Fully Compliant Response(s): a,d Standard Source(s) Response PSA - Revision F, April 2012 XXIV

57 20. If the page includes links to.pdf (Adobe Acrobat's portable document format) files, were those.pdf files created in a way that is likely to maximize their accessibility for people with disabilities? a. Yes. While the page includes links to.pdf files, the files were converted from Microsoft Word or by scanning something into.pdf and then running them through an optical character recognition (OCR) process. The structure and tags of each document has been verified as accessible. b. No, the page includes links to.pdf files that were created by scanning files into.pdf and were not put through an OCR process. c. N/A. The page does not include any links to.pdf files. Section (a) (c) (g) (h) (n) WCAG 2.0 Guideline 1.1 Guideline 1.2 Fully Compliant Response(s): a,c PSA - Revision F, April 2012 XXV

58 Standard Source(s) Response 21. If the page includes one or more electronic forms that is designed for completion online, does each form permit users of assistive technology to access the information, field elements, and functionality required for completion and submission of the form including all directions and cues? Section (n) a. Yes, the page contains one or more forms designed to be completed online. Each such form complies with all of the accessibility requirements that are the subject of this questionnaire and has been tested for usability by persons using assistive technologies. b. Yes, but... The page contains one or more forms designed to be completed online. While each such form complies with all of the accessibility requirements that are the subject of this questionnaire, one or more of them has not been tested for usability by persons using assistive technologies. c. Yes, but... The page contains one or more forms designed to be completed online. We have tested each of the forms using assistive technology, but we are not sure that each such form complies with all of the accessibility requirements that are the subject of this questionnaire. d. No. The page contains one or more forms designed to be completed online, but at least one of these forms is inaccessible to people with disabilities, at least in one respect. e. N/A. The page does not contain any forms designed to be completed online. Fully Compliant Response(s): a,e PSA - Revision F, April 2012 XXVI

59 Standard Source(s) Response 22. If any page contains one or more forms that is designed to be completed online but that is inaccessible to people with disabilities in some respect, does the page include an alternate accessible form or a link to an alternate accessible form? a. Yes. While the page contains one or more forms that is designed to be completed online but that is inaccessible to people with disabilities in some respect, the page includes an alternate accessible form or a link to an alternate accessible form. b. No. The page contains one or more forms designed to be completed online but that is inaccessible to people with disabilities in some respect and the page does not contain an alternate accessible form or a link to an alternate accessible form. c. N/A. The page does not include one or more forms that are designed to be completed online or it does include such forms, but they are accessible to people with disabilities in all respects. Section (a) WCAG 2.0 Guideline 1.1 Fully Compliant Response(s): a,c 23. Are labels and instructions provided for all forms? If data validation occurs, are the errors identified and described in text? a. Yes. WCAG 2.0 Guideline 3.3 b. No. c. N/A. The page does not contain any forms designed to be completed online. Fully Compliant Response(s): a,c PSA - Revision F, April 2012 XXVII

60 Standard Source(s) Response 24. If any page includes navigational links to other web pages within the same website, is there a link allowing users of screen readers to skip over those links? a. Yes. b. No. c. N/A. The page does not contain any navigational links to other web pages within the same website. Section (o) Fully Compliant Response(s): a,c 25. Is the navigation designed to assist users in finding content and determine where WCAG they are (e.g. breadcrumbs)? a. Yes. b. No. Fully Compliant Response(s): a PSA - Revision F, April 2012 XXVIII

61 Standard Source(s) Response 26. If any page requires users to respond within a fixed amount of time before the user is "timed out," is the user alerted that he or she will be timed out and given sufficient time to indicate that more time is required before actually being timed out? a. Yes. b. Yes and no. While the page warns users that they are about to be timed out, it does not give them an option to extend the length of time that the page will be kept open. Section (p) WCAG 2.0 Guideline 1.2 Guideline 2.2 c. No. The page will time out users but does not provide prior warning or the ability to extend the length of time it will be kept open. d. N/A. The page does not "time out" users, no matter how long a page is kept open. Fully Compliant Response(s): a,d PSA - Revision F, April 2012 XXIX

62 Standard Source(s) Response Section (a) 27. Taking into consideration your responses to the previous questions, if the reviewed page(s) likely contains barriers to access for people with disabilities, do you have an alternative text-only page that contains the same information and is updated as often as the reviewed page? a. Yes. WCAG 2.0 Guideline 1.1 b. Yes and no. While the page appears to contain barriers to access for people with disabilities and we have established a text-only alternate page, the text-only alternate page does not include the same information or is not updated as often as the reviewed page. c. No. While the page appears to contain barriers to access for people with disabilities, we do not have an alternate text-only page. d. N/A. The page does not appear to contain any barriers for people with disabilities, so we do not have an alternate text-only page. e. N/A. Even though the page does not appear to contain any barriers to access for people with disabilities, we still maintain an alternate text-only page that contains the same information and is updated as often as the reviewed page. Fully Compliant Response(s): a,d,e PSA - Revision F, April 2012 XXX

63 28. Test your page(s) for accessibility to persons with disabilities using assistive technology a. Describe the testing method and tools used. b. Describe the results of this test. 29. Describe the accessibility successes and challenges you identified during your evaluation and any plans you have for addressing any problems on these and similar pages within your website: Responses reviewed and approved by: (Signature of department representative / Date) PSA - Revision F, April 2012 XXXI

64 References 1. Section 508 Standards ( 2. WCAG Guidelines ( 3. County of Sonoma a. Web Standards ( b. Accessibility Assistance ( PSA - Revision F, April 2012 XXXII

65 Exhibit H: EMPLOYEE/VOLUNTEER STATEMENT FORM USE OF INFORMATION FROM THE CALIFORNIA LAW ENFORCEMENT TELECOMMUNICATIONS SYSTEM (CLETS) AND THE DEPARTMENT OF MOTOR VEHICLES RECORD INFORMATION As an employee/volunteer of, you may have access to confidential criminal records, the Department of Motor Vehicle records or other criminal justice information, much of which is controlled by statute. All information from the CLETS is based on the need-to-know and the right-to-know basis. The misuse of such information may adversely affect an individual s civil rights and violates the law and/or CLETS policies. Penal Code (PC) section 502 prescribes the penalties relating to computer crimes. PC sections and identify who has access to state and local summary criminal history information and under which circumstances it may be released. PC sections and prescribe penalties for misuse of state and local summary criminal history information. Government Code section 6200 prescribes the felony penalties for misuse of public records and information from the CLETS. California Vehicle Code section prescribes the penalties relating to misuse of the Department of Motor Vehicle record information. PC sections and state: Any person authorized by law to receive a record or information obtained from a record who knowingly furnishes the record or information to a person not authorized by law to receive the record or information is guilty of a misdemeanor. Any employee/volunteer who is responsible for the CLETS misuse is subject to immediate dismissal from employment. Violations of the law may result in criminal and/or civil action. I HAVE READ THE ABOVE AND UNDERSTAND THE POLICY REGARDING MISUSE OF ALL INFORMATION FROM THE CLETS. Signature Print Name Date CLETS PPP, rev 10/11 PSA - Revision F, April 2012 XXXIII

66 ADMINISTRATIVE POLICY 9-2: Policy for Departmental Computer Use Approved: Board of Supervisors Authority: Information Systems County Administrator Revised Date: 4/6/05 RFP Attachment A, continued Exhibit I I. Purpose To establish consistent standards for the implementation of departmental computer use on County of Sonoma computer systems and equipment. Recognizing the dramatic changes in computer technology in recent years, this Policy seeks to enhance the use of these tools by engendering employee understanding and cooperation, protecting employees and the County from liability and data loss, and identifying responsibilities with respect to appropriate use of computer hardware, software and data. II. Policy This policy is in force twenty-four hours a day. Department Heads or designees shall implement this County wide Policy for Departmental Computer Use within 90 days. Department Heads or designees shall ensure that employees at all levels of the County receive instruction on the appropriate use of County owned computer hardware, software, and/or data. This includes contractors or other agents of the County who utilize County of Sonoma computer systems and equipment, or use their own computers on County premises or access County computers remotely. The departmental policy is to be reviewed and signed by all such existing employees, contractors or agents of the County. This includes conducting any training necessary to ensure staff thoroughly understands the policy and its implications, and conducting annual security awareness training. Department Heads or designees are also encouraged to incorporate the policy into their hiring procedures for new employees, and as a condition for all contracts. Department Heads or designees are responsible for enforcing this policy within their Departments. The Board recognizes that each department may have specific requirements unique to its function. As a result, a department may develop a supplement to append to this countywide policy that includes policy or procedures unique to systems or services specific to their department. Prior to final approval, supplements will be reviewed by Human Resources to determine if consultation with employee organizations is required. County departments will notice employee organizations regarding any proposed supplements. Supplements will also be reviewed by ISD for consistency with County technical policies and standards. Such supplements shall not be less restrictive than the countywide policy. There may also be additional polices issued in the future that are related to specific areas such as remote users, telecommuting, contractor use of County facilities, and others. These future polices will complement, not supersede this Policy for Departmental Computer Use. Therefore, this Policy for Departmental Computer Use should not be viewed as the sole policy governing computer use on County of Sonoma computer systems and equipment, but one of possibly several needed to ensure all aspects of technology are used appropriately. III. Introduction Sonoma County has made, and will continue to make, a significant investment in personal computer technology in order to make employees more efficient in their jobs. Because of this shift to personal computers, there is now more trust and responsibility placed with employees to ensure that computers, software and data are used appropriately. Adequate safeguards must be in place for both the employees and the County s protection. This document is intended to increase awareness on everyone s part regarding this policy and is not intended to cover every possible situation. Common sense should be exercised at all times.

67 RFP Attachment A, continued Administrative Policy 9-2: Departmental Computer Use Exhibit I, Page 2 of 9 If you are unsure regarding the appropriateness of what you want to do, ask your supervisor, Department Head or designated computer liaison. Also, because of the increasing reliance upon to conduct County business, users should frequently check their for new messages, or check their in accordance with any department specific policy. IV. Your Responsibilities A. Protect Passwords Passwords and/or accounts should not be shared with anyone. Change your password frequently and do not write it down. Use passwords that are a mix of alpha and numeric characters following the current ISD policy. Should an emergency arise that requires someone other than yourself to access the data in your account, authorization must first be obtained from your Department Head or designee. Once authorized, access can then be arranged by contacting the Information Systems Department (ISD) Help Desk. B. Access computer systems, data, , Internet and networks appropriately 1. You may access data for which you have been authorized in the normal performance of your job duties. Respect the privacy of clients and co-workers by protecting confidential information unless allowed access by law and required for business purposes. Data stored on removable media, such as floppy disks, Zip drives or CD s, as well as data stored on laptop or home computers, must be protected in a manner, which prevents unauthorized access. 2. Employees who wish to transmit County business messages of a special, confidential nature, such as confidential client information, should take appropriate measures to assure their confidentiality is maintained, including enabling file level password protection or assessing whether or not it is advisable to send the information by conventional means such as County courier or U.S. Mail. It is the responsibility of the department and its staff not to send confidential or data files, as determined by the Department Head or designee, outside the County system unless they have ascertained that the is adequately encrypted, password protected, or otherwise secured. An example would be communications to or from Risk Management. Such might contain personal identifiers or other information meant only for you or authorized individuals within Risk Management. Remember, proper use of data encryption includes managing the passwords associated with the encryption. Losing this information makes the data useless and unrecoverable. This may be costly to the County. Any keys, passwords or other data used to perform encryption must be retained or otherwise safeguarded to ensure the data can be retrieved. If you are dealing with sensitive subject matter, check with your supervisor about it. Ask if you should communicate in , or in another format. Ask what information you should or shouldn't put in the correspondence, whether or otherwise. Realize that any or all documents may make it to the public at some point. All employees should take proper measures to ensure messages are sent to appropriate persons. If an employee receives a confidential message meant for another employee, the recipient should immediately erase it and inform the sender of the error. If an employee misdirects a confidential message meant for another employee, the sender should immediately contact the party to whom the message was incorrectly directed, and request all information be immediately deleted by the recipient. 3. ISD and/or departments may conduct internal, routine monitoring or auditing of their portions of the County computer network and its systems for performance, operational status, security, and usage. Internet usage, files, and other related information may be reviewed when conducting these reviews.

68 RFP Attachment A, continued Administrative Policy 9-2: Departmental Computer Use Exhibit I, Page 3 of 9 4. ISD routinely backs up system usage data, files, and other related information. Staff performing these backups may see messages and computer information in the course of system maintenance or when diagnosing system problems. 5. ISD may conduct non-routine monitoring or auditing of the County computer network and its systems for performance, operational status, security, and usage. Such reviews are generally a result of requests made by a department, and may result in possible disciplinary actions depending upon the results and the actions taken by the initiating department. messages, internet usage, file storage, and other related information may be reviewed when conducting these reviews. 6. When requested by Department Heads or designees, ISD may enter, search, monitor and retrieve the computer files, messages, encrypted and other types of electronic files, internet usage and related information of any employee without advance notice to the employee. This also includes the right to monitor and log all computer and network activity. Justification for such actions may include monitoring work flow or productivity, investigating theft, disclosure of confidential business or proprietary information, or personal abuse of the system. Such requests will be reviewed and approved by County Counsel prior to ISD performing them. Under unique circumstances, departments may act in a capacity similar to ISD if they own and operate infrastructure or other IT services that are totally independent of ISD and the County wide standards. However, even under such unique circumstances these departments must have their requests reviewed and approved by County Counsel prior to performing them. 7. All computer information created utilizing County computing resources is the property of the County. 8. An employee who believes he or she requires access to the account or stored computer information of another County employee, for County business reasons, must obtain the permission of his or her Department Head, or person to whom the Department Head has delegated such responsibility, before taking such action. Once authorized, Department Heads or designees should contact ISD following the processes outlined under Section 10, Rights of Review below. C. Use County computer systems appropriately and for authorized purposes only 1. Use for authorized business purposes: County-owned or leased computer equipment and any other computer equipment being used or accessed by County employees on County premises, or on other premises while conducting County business, are to be used only for authorized business purposes, namely for conducting business authorized by and related to County operations. Such use applies to County employees, contractors, or other agents of the County. If you are unsure of what constitutes authorized County business purposes in your department, ask your Department Head or his/her designee. 2. Acceptable use for legitimate Union/Association business: While Union/Association business and/or communications do not constitute County business for the purposes of this policy, reasonable use of County for such purposes shall be allowed. Unions and employees may use to communicate with each other. As with any union communications posted on bulletin boards, content shall be limited to the legitimate business of the union, shall be in good taste, and should not contain personal attacks directed at individuals or groups. Time spent by County employees generating or responding to union notices or queries on the County system will be kept to a minimum. Should the union or the County have concerns about the length or content of specific communications they will contact the County Employee Relations Manager. 3. Limited personal use allowed under certain circumstances: Employees may make reasonable and limited personal use of County of Sonoma computer resources, systems and equipment. Such personal use is allowed as long as such use does not involve inappropriate uses as defined in subsection 3.4 below or in any other County policy. An employee s limited personal use must also

69 RFP Attachment A, continued Administrative Policy 9-2: Departmental Computer Use Exhibit I, Page 4 of 9 not directly or indirectly interfere with the County s operation of electronic communications resources, interfere with the user s performance and/or obligations as a public employee, or burden the County with noticeable incremental costs. When noticeable incremental costs for personal use are incurred, user shall follow County guidelines and procedures for reimbursement to the County. Questions regarding what constitutes limited personal use should be directed to the employee s manager or supervisor. 4. Inappropriate uses of County computer resources: Examples of inappropriate use of County computer resources include but are not limited to: a. conducting partisan and/or non-partisan political activity; b. creating and exchanging advertisements, solicitations, chain letters and other unofficial, unsolicited ; c. sending messages or accessing data with content that violates any County policies, rules or other applicable laws; d. sending messages or accessing data that contain inappropriate, defamatory, obscene, harassing, or illegal material; e. sending information that violates or unlawfully infringes on the rights of any other person (including but not limited to copyrights and software licenses); f. restricting or inhibiting other authorized users from using the system; g. conducting business for personal profit or gain, or other improper activities as defined in the County s Incompatible Activities policy; h. attempting to hide the identity of the sender or represent the sender as someone else. 5. Periodic monitoring No expectation of privacy: Employees and all users should be aware that the County systems administrators conduct periodic security checks of County computer systems and have the ability to track computer, and internet usage. Employees operating County computer equipment or accessing County computer systems should understand that such usage contains no expectation of privacy in the content or use of the system. D. Use only legally acquired and licensed software There may be a significant financial liability to the County and/or the affected employee if software that has not been legally obtained is used on County owned equipment. Software shall be used in accordance with the manufacturers licensing agreements. Only software that has been installed by Information Systems or other authorized personnel may be used. All software must be approved by the Department Head or other authorized designee on the list of authorized persons maintained by ISD. All software installation and use must conform to licensing restrictions. Generally you may make copies of software for back-up purposes only. Further, software purchased by the County may not be loaded on home computers unless specifically authorized by the manufacturer s licensing agreement. An employee who loads software purchased by the County on his/her home computer without Department Head authorization may be subject to individual financial liability by the software manufacturer.

70 RFP Attachment A, continued Administrative Policy 9-2: Departmental Computer Use Exhibit I, Page 5 of 9 E. Use only authorized and tested software There is potential for introducing a virus or other damaging software into a County owned system, and possibly even Countywide, whenever outside software or diskettes previously used in another computer are used. This includes installing software from the internet. If you need to use an outside software program for business purposes you must first obtain permission from your supervisor, Department Head or designee. Such software must be obtained through recognized business channels and not interfere with existing County systems, and not interfere or create problems in usage or storage. Under no circumstances should any user install or use password cracking tools, keystroke loggers, data sniffers, spyware, or other such software. Exceptions will be made on a case by case basis to facilitate law enforcement agencies conducting legitimate, criminal investigations or a law enforcement internal affairs investigation. All portable media previously used in an outside computer or privately purchased software will be tested for compatibility and viruses by anti-virus software before or during the installation on County personal computers, workstations or servers. The Information Systems Department is a resource for anti-virus services. F. Use only authorized connectivity devices A potential exists for compromising the security of a County owned system, and the Countywide network, whenever non-authorized, non-county devices are connected to the County network. Every effort must be made to protect the integrity of the County network and to mitigate the risks and losses associated with security threats to the County network and information systems. Department staff may not connect, nor contract with an outside vendor to connect, any device or computer (i.e., servers) system to the County s networks without the prior review and approval of ISD. This includes connects provided through the use of modems, wireless devices, or any other similar technologies. Any modem connection that allows someone from outside to access the County s network must be first approved and registered with ISD. Once approved, such devices must be obtained through recognized business channels and not interfere with existing County systems, and not interfere or create problems in usage or storage. Any device found to be in violation of this policy, or found to be causing problems that may compromise, impair or disable the network in any way is subject to immediate disconnection from the County s network. ISD reserves the right to block any modem connections, or disconnect any computer system, that provides unauthorized access to the network. G. Public Records Act and Records Retention Under the Public Records Act, messages and information stored on computers may be public records that are subject to disclosure to the public or may be subpoenaed. Also, these records may be subject to the County's records retention policy as approved by the Board of Supervisors. H. Limitations of Privacy messages or other electronic information on County of Sonoma computer systems and equipment should not be considered private. No individual should have any expectation of privacy as to use of a County owned computer, including, but not limited to, stored data, s sent or received, or internet use. Messages can be misdirected and/or forwarded by recipients to other electronic mail addresses without the sender s knowledge or consent. Other recipients can save messages on storage media, so every message sent should be considered permanent. Departments receiving questions concerning other departments should forward the message to the appropriate destination, and notify the sender of such action.

71 RFP Attachment A, continued Administrative Policy 9-2: Departmental Computer Use Exhibit I, Page 6 of 9 I. Rights of Review County of Sonoma County retains the right to examine all electronic storage media, data files, logs and programs used on County owned computer equipment or other County provided computer equipment used for County business. Department Heads or designees may request ISD to provide access to an individual user s , file storage, internet usage logs, or other information. Such requests will be reviewed and approved by County Counsel prior to ISD providing such access. J. Posting of Information on the Internet Information about the County sent by electronic mail, posted on the Internet or otherwise available to the public must identify the department responsible for the information displayed. Descriptions, logos, images, etc. representing County services must be accompanied by an identification of the department responsible. Such information must be supported and maintained by the department responsible. K. Computer Law and Computer Crime There are at least two federal laws, the Computer Fraud and Abuse Act of 1986 and the Electronic Communications Privacy Act of 1986, which have been enacted to control abuses of computers and electronic communication/data transmission. In California, Section 502 of the Penal Code prohibits tampering, interference, damage, and unauthorized access to lawfully created computer data and computer systems. This law includes criminal penalties for introducing contaminants into computer systems and networks, allows the court to seize the hardware and software used in the commission of a computer crime, and allows the courts to consider prohibiting persons convicted of computer crimes from having access to computers. The County s networks, facilities and computer resources shall not be used knowingly to violate the laws or regulations of the United States or any other nation, or the laws or regulations of any state, city, province or other local jurisdiction. L. Concurrent Logins To ensure the security of the County s computer network and the integrity of the data, computer users are limited to a single network login. Only in specific, justifiable business situations will multiple concurrent logins be allowed. Convenience is not a justifiable business need for approval of a request for multiple concurrent logins. All requests for multiple concurrent logins will be submitted in writing to the Information Systems Department Director by the requesting Department Head or their designee. Each request for multiple concurrent logins will be reviewed to determine any network or security concerns and justifiable business needs. Approval of the request will be based on these criteria. M. Utility IDs The use of Utility ID s on the County s network is highly discouraged. The use of Utility ID s can lead to untraceable system access and usage and can compromise the security of the County network and the integrity of our data. Only in specific, justifiable business situations will utility ID s be allowed. All requests for utility IDs will be submitted in writing to the Information Systems Department Director by the requesting Department Head or their delegated authority. Utility ID s will be approved given the following criteria:

72 RFP Attachment A, continued Administrative Policy 9-2: Departmental Computer Use Exhibit I, Page 7 of 9 1. Utility ID s are authorized by the Network Project Manager 2. Utility ID s will be approved only in situations where a user or multiple users need limited access to a shared network resource. 3. Utility ID will follow the same naming standards and password restrictions as regular User ID s. 4. Utility ID will be restricted by node address. 5. Requesting department is responsible for attaching a label to the workstations where utility ID s are used to clearly identify them as having a restricted node address for maintenance purposes. 6. accounts will not be issued to utility ID s. N. PDA s and Other Portable Computing or Storage Devices A Personal Digital Assistant (PDA) is a powerful hand-held device that can capture, store and transmit potentially confidential information about customers, employees and others. Other wireless devices such as Smartphones have similar capabilities. Calendar, notepad and address books are common features on a PDA, but many also download and other materials from a computer (some sync, or copy certain files from a computer to the handheld device). This is also true of laptop or notebook computers, or other portable storage devices. Data and other information related to County business and that might be considered sensitive should not be stored on a PDA or other portable computing or storage device. However, if use of such a device in this way is essential to the conduct of an employee s work, then as anti-virus products become more available the user must install anti-virus software, and consistently download the most recent virus signatures and install them on their PDAs immediately. The PDA or portable computing device must also be equipped with security software to assure that unauthorized individuals will not access potentially sensitive information. This includes enabling any password protection built into the system. In addition, employees must use all reasonable steps necessary to keep the PDA and/or portable device(s) safe and secure at all times. O. Use of Personally Owned PCs for County Business County desktop and server computer systems are protected by anti-virus software. This software is updated constantly with the latest virus signatures in order to ensure that County data is fully protected. However, this may not be the case for a PC not belonging to the County such as a personally owned PC used to do County related work. Serious problems may occur when such a personally owned PC is infected by a virus. Today s viruses can not only damage data stored on these PCs but also harvest addresses from the infected computer and send infected to these addresses. It is typical of these types of worms to go through a user's address book and send bogus to users listed, showing a sender who is most likely also bogus. This may also include attachments or files residing on the infected computer too. Anyone using a personally owned PC to receive and send from County users, or for other County related work where files may be shared with County users or systems, must install anti-virus software. They must also consistently download the most recent virus signatures and install them on their PCs immediately.

73 Administrative Policy 9-2: Departmental Computer Use Exhibit I, Page 8 of 9 P. Quarantining of For security and performance reasons, certain types of attachments are blocked from entering the County s system when sent from outside the County. This includes the blocking of potential spam messages. The blocking technology and criteria is periodically reviewed and modified as necessary to ensure the integrity of the enterprise. More detailed descriptions of the blocking technology and criteria and process can be found on the County s intranet site. Any blocked messages or files will be tagged and/or "Archived" which means that they will be held in a secure location on the network for review and virus scanning. Twice daily, ISD reviews and resubmitted valid files to the receiving user. The County s filtering technology and software covers viruses as well. If a virus is detected in an message, the message is stopped and a return message is sent to the recipient(s) indicating that a virus has been detected in the message. Q. Adverse Action RFP Attachment A, continued Failure to comply with this policy may result in disciplinary action. Such action may result in service restriction, corrective action under applicable County of Sonoma policies and collective bargaining agreements, or other actions up to and including termination. It is up to the discretion of the Department Head to take appropriate corrective action.

74 Administrative Policy 9-2: Departmental Computer Use RFP Attachment A, continued Exhibit I, Page 9 of 9 EMPLOYEE RECEIPT OF DEPARTMENTAL COMPUTER USE POLICY (For Departmental Records) I acknowledge that I have received and have been given the opportunity to read and understand the County of Sonoma Policy #, issued on regarding Departmental Computer Use. I acknowledge that there is no reasonable expectation of privacy with regard to information that is placed on County of Sonoma computer systems and equipment, within the county computer network, or sent and/or received through the Internet via the County s computer network. I further acknowledge that the County of Sonoma retains the right to examine all electronic storage media, data files, logs and programs used on County of Sonoma computer systems and equipment. Print Name Department Signature Date

75 ATTACHMENT B REQUEST FOR PROPOSALS PROPOSAL COVER SHEET Acceptance of County Contract Form A sample agreement is contained as Attachment A to the County s Request for Proposals. Although the attached draft is subject to revision before execution by the parties, by submission of a proposal, the undersigned indicates that, except as specifically and expressly noted in its proposal, the proposer has no objection to the attached draft or any of its provisions such that, if selected, the proposer will enter into a final agreement based substantially upon the attached draft. Certification of Authority By signing below, the person executing the certificate on behalf of the proposer affirmatively represents that s/he has the requisite legal authority to do so on behalf of the proposer. Both the person executing this proposal on behalf of the proposer and proposer understand that the County is relying on this representation in receiving and considering this proposal. The person signing below hereby acknowledges that s/he has read the entire Request for Proposals document and has complied with all requirements listed therein. Official Authorized to Sign for Proposal/Contractor Name Signature Title Date Name of Contact Person Phone and of Contact Person

76 Attachment C COUNTY OF SONOMA GENERAL SERVICES PURCHASING DIVISION 2300 COUNTY CENTER DRIVE, SUITE A208 SANTA ROSA, CALIFORNIA (707) Fax: (707) DECLARATION OF LOCAL BUSINESS FOR SERVICES Sonoma County gives local businesses a preference in formal solicitations of services as set forth in the County of Sonoma Local Preference Policy for Services. Sonoma County s Local Preference Policy for Services can be reviewed at Services/Purchasing/Doing-Business-with-the-County/Local-Preference-Policy-for-Services/ In order to qualify for this preference, a business must meet all of the following criteria: 1. For businesses with a location in a city within Sonoma County, a valid business license if required by the city; and 2. A valid physical address located within Sonoma County from which the vendor or consultant operates or performs business on a day-to-day basis. By completing and signing this form, the undersigned states that, under penalty of perjury, the statements provided herein are true and correct and that the business meets the definition of a local business as set forth in the County of Sonoma Local Preference Policy for Services. All information submitted is subject to investigation as well as disclosure to third parties under the California Public Records Act. Incomplete, unclear, or incomprehensible responses to the following will result in the bid not being considered for application of the County s local preference policy. False or dishonest responses will cause the rejection of the bid and curtail the declarant s ability to conduct business with the County in the future. It may also result in legal action. 1. Legal name of business: 2. Physical address of the principal place of business: 3. Business license issued by incorporated city within the County: License Number Issued by: Authorized Signature: Date: Printed Name & Title: County of Sonoma General Services, Purchasing Original Date 2 February 2015 Rev. No. Rev. Date

77 Attachmnt D County of Sonoma Community Corrections Partnership Assembly Bills 109/117 Recommended Public Safety Realignment Implementation Plan Fiscal Year (Year 5) June 9, 2015 Prepared by: Sonoma County s Community Corrections Partnership Board Budget Memorandum - Attachment A

78 FY County of Sonoma Public Safety Realignment Implementation Plan TABLE OF CONTENTS 1 EXECUTIVE SUMMARY LEGISLATION OVERVIEW CCP PLANNING PROCESS AND OBJECTIVES POPULATION DATA AND RE-CONVICTION RATES OF REALIGNED OFFENDERS AB 109 Local Population Trends Re-Conviction Rates of Realigned Offenders PERFORMANCE REPORTING STATE FUNDING ALLOCATION METHODOLOGY FY REALIGNMENT BUDGET AND PROGRAM OVERVIEW FY Realignment Budget Budget Changes between FY and FY Program Overview FY REALIGNMENT PROGRAM DESCRIPTIONS AND BUDGETS Administration Department Analyst (Probation) Business Systems Analyst Department Analyst (Sheriff) Community Supervision AB 109 Supervision Units AB 109 Offender Needs Fund Custody Jail Unit Specialized Emergency Response Team Training Senior Legal Processor Inmate Transportation Deputy In-Custody Programming Inmate Program Sergeant Jail Programs Starting Point Substance Use Disorder Services FY Community Corrections Partnership AB 109 Realignment Plan - Page 2

79 FY County of Sonoma Public Safety Realignment Implementation Plan In-Custody Mental Health Services Restoration Services Out-of-Custody Programming and Detention Alternatives Day Reporting Center Restorative Reentry Program - Circles of Support SCOE GED Preparation and Testing Services Transitional Housing Domestic Violence 52-Week Course Supervised Adult Crew (SAC) Electronic Monitoring Program Community Mental Health Services Community Substance Use Disorder Services Substance Use Disorder Contract Services Employment and Eligibility Services Business Representative (Contract) General Assistance DUI Treatment Court Young Adult Restorative Justice Parole Revocation Hearings District Attorney - Parole Revocation Hearings Case Prosecution District Attorney Legal Processor Public Defender - Parole Revocation Hearings Attorney Public Defender Parole Revocation Hearings Investigator Pre-Trial Services Pre-Trial Services Data Management Programming Support Data Evaluation and Analysis Consultant Other Programs Legal Support Mental Competency Assessments FY Community Corrections Partnership AB 109 Realignment Plan - Page 3

80 FY County of Sonoma Public Safety Realignment Implementation Plan Exhibit A: Community Corrections Partnership Roster (as of May 2015)...55 Exhibit B: Budget by Major Program...56 Exhibit C: Budget by Department...58 FY Community Corrections Partnership AB 109 Realignment Plan - Page 4

81 FY County of Sonoma Public Safety Realignment Implementation Plan 1 EXECUTIVE SUMMARY This document presents the Sonoma County Community Corrections Partnership s (CCP) AB 109 Public Safety Realignment Implementation Plan for Fiscal Year (Year 5), covering the 12-month period from July 1, 2015 through June 30, Sections 2 through 6 provide broad context for this Year 5 plan by describing the legislation, local planning efforts, objectives, AB 109 population data, and State methodology for allocating Realignment funds. Sections 7 and 8 detail Sonoma County s AB 109 program budget and the specific programs and services recommended by the CCP. Section 2 summarizes the October 2011 Public Safety Realignment Act legislation, which consists of Assembly Bill 109 and associated trailer bills. This section describes the three primary groups of adult offenders in California affected by AB 109: (1) Post-Release Community Supervision offenders; (2) individuals sentenced to jail and/or mandatory supervision pursuant to Penal Code 1170(h); and (3) State parole violators serving revocation terms in local jail. Following the legislative overview, Section 3 provides insight into the guiding principles and objectives adhered to by the CCP in developing its annual Public Safety Realignment Implementation Plans. Section 4 provides data on the number and composition of realigned offenders in Sonoma County and reviews preliminary re-conviction rate data for realigned offenders. In 2014, the CCP continued its multi-year effort to quantify the impact of State realignment on Sonoma County. CCP-funded departments produced their first outcome reports this year, and a summary of initial data appears in Section 5. The CCP s programmatic and budgetary recommendations must consider the anticipated revenues that Sonoma County will receive from the State to implement AB 109 programs. In FY , Sonoma County s share of State realignment revenues will change substantially. Section 6 explains the State s new revenue allocation methodology and how it will affect Sonoma County in 2015 and beyond. The last two sections of this plan describe the individual programs and services that comprise the CCP s recommended Year 5 plan and budget. The individual programs are grouped into the following nine major categories: Administration, Community Supervision, Custody, In-custody Programming, Out-of-Custody Programming and Detention Alternatives, Parole Revocation Hearings Support, Pre-trial Services, Data Management, and Other Programs. Section 7 provides a high-level overview of the CCP s budget by major program and briefly describes programs continued from prior years, scope changes to continuing efforts, and new programs for FY Section 8 details all programs and services recommended by the CCP. Each program narrative includes an overview, description of any scope changes, and an estimated budget. The CCP s recommended Public Safety Realignment Implementation Plan for FY augments its prior year plans, strives to achieve stated objectives, and represents both a synergistic and balanced approach to addressing the challenges of Realignment. FY Community Corrections Partnership AB 109 Realignment Plan - Page 5

82 FY County of Sonoma Public Safety Realignment Implementation Plan 2 LEGISLATION OVERVIEW California s Public Safety Realignment Act (Assembly Bill 109) took effect October 1, 2011, and mandated sweeping changes to the criminal justice system. AB 109 shifted the responsibility for managing select adult offenders from the State to each of the 58 counties. Realignment legislation applies to three major groups of offenders. The first group, known as the Post- Release Community Supervision (PRCS) population, consists of offenders incarcerated for offenses classified as non-violent and non-serious and excludes high-risk sex offenders, thirdstrike offenders, and mentally disordered offenders. No inmates currently in state prison are transferred to county jails, and no state prison inmates are released early. The second group consists of so-called non-non-non offenders. The Realignment Act changed the penal code and sentencing laws so that offenders whose current or past offenses are non-violent, nonserious, or non-sex related, will serve their sentences locally pursuant to Penal Code section 1170(h). Local sentences include combinations of county jail detention, Mandatory Supervision (MS) by Probation, and a variety of detention alternatives. The third group consists of state parole and probation violators. Most of these offenders will serve their revocation terms in county jail, although those previously receiving life sentences can still be revoked to state prison. The statutes place a high-value on evidence-based practices to reduce recidivism among offenders. Local courts in Sonoma County function as the designated authorities for determining revocations. However, the Board of Parole Hearings conducts parole consideration hearings for offenders previously receiving life sentences, medical parole hearings, mentally disordered offender case hearings, and sexually violent predator case hearings. In November 2012, California voters passed Proposition 30, which imposed new taxes and added Section 36 to Article XIII of the California Constitution, which guarantees future funding to the counties for Public Safety Realignment. In November 2014, California voters passed Proposition 47, which reduced drug and some other felonies to misdemeanors. Although it is not entirely clear how this initiative will affect criminal justice populations in Sonoma County, it may cause reductions in prison and jail usage, as well as in the Probation population. Initial data compiled by the CCP indicate that the sentences for 16 PRCS offenders and 24 MS offenders were terminated between December 2014 and March 2015 because of the initiative (Table 1). The CCP will continue to assess the impact of Proposition 47. Table 1: PRCS and MS Sentences Terminated due to Proposition 47 Month PRCS MS December January February March Total FY Community Corrections Partnership AB 109 Realignment Plan - Page 6

83 FY County of Sonoma Public Safety Realignment Implementation Plan 3 CCP PLANNING PROCESS AND OBJECTIVES The Public Safety Realignment Act expanded the role and purpose of each county s local Community Corrections Partnership (CCP) committee, previously established under SB 678, to lead planning efforts associated with Realignment. AB 117 requires the CCP s Executive Committee to prepare an annual AB 109 Implementation Plan to enable each county to meet the goals of the legislation. Sonoma County s Realignment Plan must be approved by the Board of Supervisors before State funding can be allocated to local law enforcement and other county justice agencies. As required by the legislation, Sonoma County s CCP leads local planning efforts. The Chief Probation Officer chairs the committee, and the voting membership (Executive Committee) includes the District Attorney, Sheriff, Public Defender, Director of Behavioral Health, Sonoma Superior Court Executive Officer, and Sebastopol Chief of Police. Exhibit A contains a full membership roster for the CCP as of May During February and March 2015, the CCP conducted a series of budget-focused meetings. On March 3, 2015, the CCP voted unanimously in favor of approving the recommended Realignment Plan and associated budget for FY The CCP s recommended programs and services fall under the following major categories: community supervision, jail operations, in-custody programming and treatment, detention alternatives, out-of-custody programming and treatment, parole revocation hearings support, pre-trial services, data management, and administration. Consistent with prior year plans, the CCP s Year 5 Plan aims to achieve the following objectives: Sonoma County CCP Public Safety Realignment Implementation Plan Objectives 1. Reduce recidivism to enhance public safety. 2. Promote evidence-based programming and upstream investments in health, education, and human services to decrease the need for (and costs of) enforcement, prosecution, and incarceration. 3. Fund programs that align with both Sonoma County s over-arching strategic goals of enhancing public safety and investing in the future and with the tenets of the County s Criminal Justice Master Plan. 4. Minimize use of jail beds through utilization of detention alternatives in a manner that is consistent with public safety and that maintains the integrity of the criminal justice system. 5. Provide programming for offenders both in-custody, as well as out-of-custody, and use validated risk assessments to inform programming decisions and ensure continuity. 6. Implement a Day Reporting Center to serve as the central point of evidence-based programming to help offenders reintegrate into the community. FY Community Corrections Partnership AB 109 Realignment Plan - Page 7

84 FY County of Sonoma Public Safety Realignment Implementation Plan Given the potential impacts of State Realignment in Sonoma County, the CCP has prioritized the establishment of outcome reporting. In FY , the CCP tasked its Data Management and Evaluation Subcommittee with developing a robust outcome data reporting structure. In FY , the CCP reported initial local population data, covering areas such as the general characteristics of Post Release Community Supervision (PRCS) and Mandatory Supervision offenders in Sonoma County, and ratios of flash incarcerations, PRCS revocations, and new felony arrests to the total active population of realigned offenders. This year, the CCP presents more robust outcome data, including re-conviction rates of realigned offenders. As stated in Plan Objective #3 on the previous page, the CCP strives to fund programs that align with Sonoma County s Criminal Justice Master Plan. As of May 2015, the 2010 Plan is under revision; it is anticipated that the revised Plan will inform CCP planning efforts next year. FY Community Corrections Partnership AB 109 Realignment Plan - Page 8

85 FY County of Sonoma Public Safety Realignment Implementation Plan 4 POPULATION DATA AND RE-CONVICTION RATES OF REALIGNED OFFENDERS 4.1 AB 109 Local Population Trends Since AB 109 legislation took effect on October 1, 2011, the overall population of realigned offenders in Sonoma County steadily rose until 2013, when it began to stabilize between 300 and 350 individuals (Figure 1). The Mandatory Supervision (MS) population has risen steadily since Realignment began, with the first decrease seen in March The Post Release Community Supervision (PRCS) population has leveled off in the last four quarters, holding steady at about 200. The downward trend observed between mid-2013 and mid-2014 likely resulted from more convicted offenders being sentenced to county jail pursuant to PC 1170(h), rather than being sent to prison, which effectively reduced the pool of individuals who might subsequently be eligible for Post Release Community Supervision at a later date. Figure 1: AB 109 Realignment Supervision Population October 2011 through March 2015 Figure 2 shows the realigned jail inmate population in Sonoma County. Offenders serving prison sentences in the local Jail under Penal Code 1170(h) have continued to represent by far the largest realigned population in the Jail. PRCS violators and holds have held steady over the last four quarters at about 30, combined. FY Community Corrections Partnership AB 109 Realignment Plan - Page 9

86 FY County of Sonoma Public Safety Realignment Implementation Plan Figure 2: AB 109 Jail Inmate Population As shown in Figure 3, PRCS quarterly intakes of offenders released from prison to Probation peaked immediately after the Realignment Act took effect and then generally declined for the following two years, until beginning to rise again in The first decrease in a year was seen during the first quarter of 2015, from 39 to 33 intakes. Figure 3: PRCS Intakes FY Community Corrections Partnership AB 109 Realignment Plan - Page 10

87 FY County of Sonoma Public Safety Realignment Implementation Plan Inmates serving a sentence under PC 1170(h) and then released to Probation on MS are shown in Figure 4. MS releases have increased fairly steadily since realignment began, but a sizeable reduction occurred in the first quarter of 2015, from 46 to 35 quarterly releases. Figure 4: 1170(h) Inmates Released from Jail to MS Sonoma County s sentencing of offenders under PC 1170(h) has consistently included a high percentage of split sentences (Jail time followed by Mandatory Supervision) (Figure 5). Compared with other California Counties, Sonoma was ranked ninth-highest in percentage of 1170(h) offenders receiving split sentences (Source: Chief Probation Officers of California Split Sentence Dashboard FY Community Corrections Partnership AB 109 Realignment Plan - Page 11

88 FY County of Sonoma Public Safety Realignment Implementation Plan Figure 5: 1170(h) Sentencing Trend 4.2 Re-Conviction Rates of Realigned Offenders During the last two years, the CCP s Data Management and Evaluation Subcommittee has laid the groundwork for reporting on public safety outcomes for the realigned population, as well as evaluating the effectiveness, costs and benefits of programs and interventions used with realigned offenders. The Information Systems Department s Justice Team is currently working on extracts of data for this purpose. Using currently available data, the Probation Department has been able to calculate reconviction rates for realigned offenders while under the supervision of the Probation Department. Because offenders can be on more than one type of supervision concurrently for separate cases, a hierarchy is used to prevent confusion caused by counting the same offender in multiple categories. When reporting re-conviction rates for PRCS and MS offenders, an offender who is on PRCS and MS concurrently is counted under PRCS. It should be noted that convictions for offenses committed while on both PRCS and MS have occurred only twice since Realignment began, so including these under PRCS does not greatly impact the reconviction rates for PRCS or MS. It should also be noted that some realigned offenders might also be placed on Formal Probation for separate cases. This examination of re-conviction rates for realigned offenders does not take into account whether offenders were also on Formal Probation during their PRCS or MS supervision. Additional public safety outcomes for Formal Probation offenders will be reported in the future as data become available. Figures 6 and 7 present conviction rates for the PRCS and MS populations during calendar years 2012 through FY Community Corrections Partnership AB 109 Realignment Plan - Page 12

89 FY County of Sonoma Public Safety Realignment Implementation Plan Figure 6: New Conviction Rates for PRCS Population by Calendar Year Figure 7: New Conviction Rates for MS Population by Calendar Year FY Community Corrections Partnership AB 109 Realignment Plan - Page 13

90 FY County of Sonoma Public Safety Realignment Implementation Plan The question of whether realigned offenders are being convicted for crimes committed while on supervision is only one of many ways to examine the impact of Realignment and Sonoma County s success with the realigned population. Additional public safety measures will also be examined as data become available, including rates of re-arrest, technical violations of probation and return to custody, and encompassing both the period after release from custody and the period after supervision has ended. These events will be reported on various criminal justice populations, including PRCS, MS, Formal Probation, individuals completing a jail sentence with no subsequent supervision, and incarcerated individuals. FY Community Corrections Partnership AB 109 Realignment Plan - Page 14

91 FY County of Sonoma Public Safety Realignment Implementation Plan 5 PERFORMANCE 1 REPORTING In recent years, the CCP has focused on quantifying the outcomes of its various programs. During FY , the CCP tasked its Data Management and Evaluation Subcommittee with developing a robust outcome data reporting structure. The Subcommittee s project charter included four primary phases: (1) creating a methodology for evaluating effectiveness of funded programs and services, (2) determining which outcome measures to report, (3) developing a plan for data collection and management, and (4) creating the processes by which the accepted outcomes may be reported on a regular basis. The subcommittee completed the first two phases of its charter during FY and made substantial progress on the third phase during FY In developing a plan for data collection and management, the subcommittee worked with stakeholder agencies to produce program logic models for all funded programs and services that can be measured using defined outcomes. Each program logic model details assumptions, planned resources, planned activities, planned outputs, outcomes, and system impacts. In Year 4, the CCP began collecting output and outcome data from these logic models. This section presents samples of these initial results from seven AB 109-funded departments: Probation, Sheriff, Department of Health Services, Human Services Department, District Attorney, Public Defender, and Superior Court. Data are not presented for the remaining two funded departments, ISD and County Counsel, which provide support services to the CCP. Each sample includes (1) examples of FY output or outcome data for a particular program and (2) the actual versus budgeted expenditures for the associated program budgets. 1 As used here, performance refers to the quantity of a service produced (an output measure), the quality of a service produced (an output measure), and the benefit produced (an outcome measure). FY Community Corrections Partnership AB 109 Realignment Plan - Page 15

92 FY County of Sonoma Public Safety Realignment Implementation Plan Department: Probation Performance Measures: Number of participants reporting to the Day Reporting Center (DRC) by month (Probation Figure 1), number of participants attending DRC classes (Probation Figure 2), and various activities performed by Probation Officers (Probation Figure 3). FY Community Corrections Partnership AB 109 Realignment Plan - Page 16

93 FY County of Sonoma Public Safety Realignment Implementation Plan Department: Sheriff Performance Measures: Results of Detective Operations (Sheriff Figure 1) and number of individuals placed into the various levels of pre-trial oversight (Sheriff Figure 2). FY Community Corrections Partnership AB 109 Realignment Plan - Page 17

94 FY County of Sonoma Public Safety Realignment Implementation Plan Department: Health Services Performance Measures: Number of clients connected with Substance Use Disorder (SUD) or Mental Health (MH) services upon release from jail (Health Services Figure 1) and results of clients seen for SUD or MH issues (Health Services Figure 2). FY Community Corrections Partnership AB 109 Realignment Plan - Page 18

95 FY County of Sonoma Public Safety Realignment Implementation Plan Department: Human Services Performance Measures: Number of applications for various services approved or denied (Human Services Figure 1) and number of days to approve these applications (Human Services Figure 2). FY Community Corrections Partnership AB 109 Realignment Plan - Page 19

96 FY County of Sonoma Public Safety Realignment Implementation Plan Department: District Attorney Performance Measures: Results of parole revocation prosecutions (District Attorney Figure 1). FY Community Corrections Partnership AB 109 Realignment Plan - Page 20

97 FY County of Sonoma Public Safety Realignment Implementation Plan Department: Public Defender Performance Measures: Results of parole violations cases (Public Defender Figure 1). * To offset an anticipated overage in Defense Attorney expenditures, the Public Defender will expend less than the budgeted amount for its Parole Revocation Hearings Investigator position. FY Community Corrections Partnership AB 109 Realignment Plan - Page 21

98 FY County of Sonoma Public Safety Realignment Implementation Plan Department: Superior Court Performance Measures: Numbers of various types of services provided to offenders (Superior Court Figure 1) and percentage of DUI Court participants re-convicted of a DUI during and following treatment (Superior Court Figure 2). * To offset an anticipated overage in DUI Court expenditures, the Superior Court will expend less than the budgeted amount for its Penal Code 1368 Assessments program. FY Community Corrections Partnership AB 109 Realignment Plan - Page 22

99 FY County of Sonoma Public Safety Realignment Implementation Plan 6 STATE FUNDING ALLOCATION METHODOLOGY Each year, Sonoma County receives a base allocation of state funding to implement realignment programs, and may receive additional funding in the forms of growth funds and planning and other revenue. Historically, both the state budgets for these funding sources and the percentage of these funds that counties receive have varied substantially from year to year. In 2014, California, through its Realignment Allocation Committee (RAC) 2, developed new sets of funding allocation formulas in an effort to (1) smooth the level of year-to-year funding that each county receives, and (2) incentivize improvements in certain areas. Base Allocation For FY , the RAC developed a new, permanent base allocation formula containing three categories, weighted as follows: 1. Caseload (45%) considers the jail population (share of statewide 1170(h) population) and the probation population (share of statewide PRCS and felony probationers). 2. Population and Crime (45%) considers the adult population (share of people statewide aged 18-64) and crime (share of statewide serious property and violent crimes for 2010, 2011, and 2012, added together). 3. Special Factors (10%) provides funding to counties that have high levels of poverty; that have small populations; or that house a state prison. Sonoma County does not qualify for any Special Factors funding. As Table 2 indicates, under this new formula, Sonoma County s share of the statewide budget will decrease substantially in FY (0.88%) compared to FY (1.03%). This decrease is partially offset by an increased statewide budget in FY but still amounts to a reduction of over $300,000 in base allocation. Growth Funds Growth funds are based on sales taxes and vehicle license fees and are generally received in October or November, meaning that growth funds are received in the fiscal year following the year for which they are calculated. For example, the FY growth funds listed in Table 2 are expected in late October FY Growth: The RAC recognized that the reduction in base allocation that several counties, including Sonoma, will incur in FY could cause service disruptions. To offset this risk and to help affected counties transition to the lower base allocation which is expected to be permanent the RAC applied a special formula for FY only that will 2 The RAC comprises nine county administrative officers, each from a different county. The RAC makes recommendations to the California Department of Finance, which makes final decisions on funding allocation. For FY , the RAC recommended, and the Department of Finance accepted, all allocation formulas discussed in this section. FY Community Corrections Partnership AB 109 Realignment Plan - Page 23

100 FY County of Sonoma Public Safety Realignment Implementation Plan moderate the decreased base allocation with a one-time transitional growth payment. Sonoma County s payment will be $2,194,842 (Table 2). The RAC allocated 35% of FY funds for these transitional payments and the remaining 65% for performance (2/3 of the 65%) and fiscal stabilization (1/3 of the 65%). Performance funds were allocated according to the FY growth formula, discussed below, while fiscal stabilization funds were allocated the same as the new, permanent base allocation. FY Growth: Beginning in FY (for payments received in FY ), growth payments will be based entirely on incentives. Briefly, this formula will weight 80% of growth funding on probation factors (success and improvement in probation outcomes) and 20% on incarceration factors (success and improvement in reducing prison incarcerations). The RAC considers this formula an interim measure and expects to develop a permanent formula within five years. Planning and Other Revenue Sonoma County received $150,000 from the State in each of the past three fiscal years to cover one-time planning costs and expects to receive an additional $150,000 for planning in FY However, these funds are considered one-time in nature and are not assured for following years. To be eligible for these funds, Sonoma County must submit a report to the State describing the status of its local Public Safety Realignment implementation. In addition to the main AB 109 revenue allocations discussed here, Sonoma County also receives annual allotments from the State to fund District Attorney and Public Defender activities related to realignment (Table 2). FY Community Corrections Partnership AB 109 Realignment Plan - Page 24

101 FY County of Sonoma Public Safety Realignment Implementation Plan Table 2: Sonoma County AB 109 Revenue AB 109 REVENUE SUMMARY - SONOMA COUNTY MAIN AB 109 SUBACCOUNT FY FY FY FY FY Statewide Budget $354,300,000 $842,900,000 $998,900,000 $934,100,000 $1,061,718,371 Sonoma Allocation (%) 0.91% 1.07% 1.07% 1.03% 0.88% Sonoma Allocation ($) $3,240,428 $9,027,459 $10,698,219 $9,657,516 $9,330,402 Planning Revenue (one-time) $378,650 $150,000 $150,000 $150,000 $150,000 Subtotal Revenue $3,619,078 $9,177,459 $10,848,219 $9,807,516 $9,480,402 DA/PD SUBACCOUNT FY FY FY FY FY Statewide Budget $12,700,000 $14,600,000 $17,100,000 $15,855,211 $24,384,888 Sonoma Allocation (%) 0.91% 0.93% 0.93% 0.93% 0.93% Subtotal Revenue $116,154 $136,028 $159,321 $147,723 $227,194 MAIN AB 109 GROWTH (Performance) FY FY FY FY FY Statewide Budget $0 $86,757,030 $48,446,395 $55,301,294 Sonoma Allocation (%) 0.00% 0.61% 0.87% 1.75% Subtotal Revenue $0 $526,222 $419,800 $970,177 na 1 MAIN AB 109 GROWTH (1x Stabilization) FY FY FY FY FY Statewide Budget $0 $0 $24,741,706 $27,650,647 Sonoma Allocation (%) 0.00% 0.00% 0.87% 0.88% Subtotal Revenue $0 $0 $214,393 $242,994 na 1 MAIN AB 109 GROWTH (1x Transition) FY FY FY FY FY Statewide Budget $0 $0 $0 $44,666,430 Sonoma Allocation (%) 0.00% 0.00% 0.00% 4.91% Subtotal Revenue $0 $0 $0 $2,194,842 na 1 DA/PD GROWTH FY FY FY FY FY Statewide Budget $0 $5,763,710 $4,879,201 $8,500,000 Sonoma Allocation (%) 0.00% 0.93% 0.93% 0.93% Subtotal Revenue $0 $53,888 $45,618 $79,471 na 1 Total Revenue $3,735,232 $9,893,597 $11,687,351 $13,442,723 $9,707,596 Note 1: FY Growth funds unknown as of May FY Community Corrections Partnership AB 109 Realignment Plan - Page 25

102 FY County of Sonoma Public Safety Realignment Implementation Plan 7 FY REALIGNMENT BUDGET AND PROGRAM OVERVIEW 7.1 FY Realignment Budget The CCP s recommended FY budget for Public Safety Realignment assumes state revenues of $16,847,636 from four sources: (1) projected carry-over of $7,140,040 in unspent prior year Realignment funds; (2) an annual FY subaccount revenue allocation of $9,330,402; (3) an annual District Attorney/Public Defender state subaccount revenue allocation of $227,194; and (4) a one-time planning allocation of $150,000. Of the total known anticipated revenues for FY , the CCP recommends $12,563,527 be allocated to fund Year 5 programs and services. The remaining surplus of $4,284,109 will be held as a contingency reserve to cover unanticipated costs and as a buffer against anticipated decreased revenues in subsequent years (Table 3). Table 3: AB 109 Revenues and Expenditures Sonoma County AB 109 Revenue vs. Expenditures FY FY FY FY FY Main AB 109 Subaccount $3,240,428 $9,027,459 $10,698,219 $9,657,516 $9,330,402 Planning (One-time) $378,650 $150,000 $150,000 $150,000 $150,000 DA/PD Subaccount $116,154 $136,028 $159,321 $147,723 $227,194 Main AB 109 Growth $0 $526,222 $634,193 $3,408,013 TBD DA/PD Growth $0 $53,888 $45,618 $79,471 TBD Prior Year Rollover $0 $1,317,764 $3,881,593 $5,538,788 $7,140,040 Total Revenue $3,735,232 $11,211,362 $15,568,944 $18,981,511 $16,847,636 Less Expenditures ($2,417,468) ($7,329,769) ($10,030,156) ($11,841,471) ($12,563,527) Net Surplus/(Deficit) $1,317,764 $3,881,593 $5,538,788 $7,140,040 $4,284,109 Recommended CCP Budget $3,361,500 $9,552,756 $12,524,548 $12,609,797 $12,563,527 The actual surplus carryover amount will not be known until FY concludes; therefore, revenue estimates should be considered preliminary. The FY projected contingency reserve will increase or decrease based on the variance between the forecasted and actual carryover amounts. In fall of 2015, the CCP anticipates receiving additional revenues from the state for the FY main growth fund and DA/PD growth fund allocations. The growth fund allocation amounts are unknown as of May Any revenues received from these sources would be added to the aforementioned contingency reserve. FY Community Corrections Partnership AB 109 Realignment Plan - Page 26

103 FY County of Sonoma Public Safety Realignment Implementation Plan 7.2 Budget Changes between FY and FY Compared to FY , the overall FY recommended budget was very similar, decreasing by less than 0.4% from $12,609,797 to $12,563,527, as cuts in one-time programs (-$401,973) and eliminated programs (-$1,196,222) were offset by new or expanded programs (+$1,081,670) and salary and benefit increases (+$470,255) (Table 4). Table 4: Summary of Funding Changes between FY and FY (a) (b) (c) (d) (e) (f) = (a) + (b) + (c) + (d) + (e) FY FY CCP Approved, One-Time Programs Not FY FY FY Salary and Benefit Net including mid-year Continued in FY Cut or Eliminated New or Expanded Changes for Continuing FY additions Programs Programs Programs CCP Approved $12,609,797 ($401,973) ($1,196,222) $1,081,670 $470,255 $12,563,527 Table 5 details the line item changes that the CCP made in formulating the FY recommended budget. The largest line item cut was for contract services at the Day Reporting Center (DRC) as Probation took over operations from a contractor on November 1, This cut of $587,250 was offset by an increase of $604,296 to Probation to operate the DRC. Aside from the DRC, the largest cut was a $197,981 reduction to the Superior Court for administering the DUI Court program, while the largest increase was a $184,459 allocation to the Sheriff s Office to fund a new Inmate Transportation Deputy. Total salary and benefit costs for existing positions increased by $470,255 or 5.8%. More information about these changes appears in Section 8 of this Plan. FY Community Corrections Partnership AB 109 Realignment Plan - Page 27

104 FY County of Sonoma Public Safety Realignment Implementation Plan Table 5: Details of Funding Changes between FY and FY FY Dept/Agency Program/Service Description CCP Approved CCP Approved FY Addition or (Reduction) Compared to FY FY CCP Approved, including mid-year additions (a) $12,609,797 FY One-Time Programs Not Continued in FY (b) Sheriff MADF Renovation $158,511 $0 ($158,511) Sheriff Computers and Phone $9,500 $0 ($9,500) CAO CJMP Consultant Support $50,000 $0 ($50,000) City of Santa Rosa Violence Prevention Conference $15,000 $0 ($15,000) Sheriff temporary EH Inmate Transportation $78,962 $0 ($78,962) Probation DRC Furniture & Equipment $90,000 $0 ($90,000) Total ($401,973) FY Cut or Eliminated Programs (c) District Attorney Gang Task Force Investigator $92,584 $0 ($92,584) Probation Family Justice Center Rent $40,000 $17,000 ($23,000) Probation Domestic Violence Programming $14,400 $7,000 ($7,400) CCP Pre-Trial - Consultant $51,120 $10,000 ($41,120) Probation Pre-Trial - Electronic Monitoring $125,000 $60,000 ($65,000) CCP Local Law Enforcement Support $50,000 $0 ($50,000) SRPD Safe Streets Task Force Officer $94,762 $0 ($94,762) Superior Court DUI Court - Admin $245,913 $47,932 ($197,981) Superior Court "1368" Competency Assessments $97,125 $60,000 ($37,125) Probation Day Reporting Center (BI Contract) $587,250 $0 ($587,250) Total ($1,196,222) FY New or Expanded Programs (d) Probation Transitional Housing Expansion $122,200 $122,200 TBD - RFP Young Adult Restorative Justice $60,000 $60,000 Sheriff Senior Legal Processor $110,715 $110,715 Sheriff Inmate Transportation Deputy $184,459 $184,459 Probation Probation-Operated DRC $943,750 $1,548,046 $604,296 Total $1,081,670 FY Salary and Benefit Net Changes for Continuing Programs (e) Sheriff Jail Unit 1 $1,530,465 $1,633,052 $102,587 Sheriff Program Sergeant $173,555 $181,505 $7,950 Health "1370" Restoration Services $412,025 $491,960 $79,935 Health In-Custody Mental Health $352,948 $370,595 $17,647 Health Starting Point SUD Services $160,753 $255,238 $94,485 Health Starting Point Expansion $82,331 $0 ($82,331) Probation AB 109 Supervision Unit $1,984,691 $2,060,090 $75,398 Sheriff Detective $221,631 $219,955 ($1,676) Sheriff Electronic Monitoring - Staff $399,431 $374,772 ($24,659) Probation DRC - Inmate Risk Assessments $143,072 $150,941 $7,869 Probation DUI Court - PO Support $151,492 $162,097 $10,604 Health AODS SUD Services $124,780 $131,019 $6,239 Health Community Mental Health Services $216,620 $227,451 $10,831 Human Services Employment and Eligibility Services $225,065 $231,817 $6,752 Public Defender Attorney $138,243 $142,707 $4,464 Public Defender Investigator $53,184 $51,415 ($1,769) Sheriff Assessment Staff $699,071 $734,687 $35,616 Probation Pre-Trial Supervision $392,121 $487,537 $95,417 Probation Pre-Trial FTE Additional PO II $257,540 $275,568 $18,028 Probation Department Analyst (Prob) $136,771 $140,190 $3,419 Probation Business Systems Analyst $65,000 $66,625 $1,625 Sheriff Department Analyst (SO) $137,680 $139,504 $1,824 Total $470,255 FY CCP Approved (f) $12,563,527 FY Community Corrections Partnership AB 109 Realignment Plan - Page 28

105 FY County of Sonoma Public Safety Realignment Implementation Plan 7.3 Program Overview This overview summarizes the FY Realignment Implementation Plan, itemized by the nine major categories that comprise the $12,563,527 program budget. Under each major program category, individual program elements are listed and identified as either a continuing effort or new program, and proposed changes to continuing efforts are also noted. Each program element cited in this section is described in greater detail in Section 8. Figure 8: FY Budget Pie Chart 1) Administration - $346,319 (3% of total budget) Description: Administrative, budgetary, and analytical support to the CCP. Continuing Efforts: Probation Department Analyst, Sheriff Department Analyst, Probation Business Systems Analyst. Continuing Effort Scope Changes: None. New Programs: None. FY Community Corrections Partnership AB 109 Realignment Plan - Page 29