Community Supervision Case Management

System Augmentation Request for Proposal

December 1, 2020

TABLE OF CONTENTS

SECTION 1 – INTRODUCTION ......................................................................1 Introduction Evaluation

SECTION 2 - INSTRUCTIONS AND PROCEDURES ...................................2 Required Submittal Documents Specifications Questions Subcontractors Contractor Certification Preparation of the Response Response Requirements

SECTION 3 – SPECIFICATIONS .....................................................................4 Specification Introduction and Overview Background AOCP Business Processes Service Delivery Advanced Coaching 4 Excellence (AC4E) Technology Architecture

SECTION 4 - RESPONSE EVALUATION CRITERIA...................................16 SECTION 5 - TIMELINE/SUBMITTAL DOCUMENTS ................................17 APPENDIX A - SUBMITTAL LETTER...........................................................18 APPENDIX B - CONTRACTOR PROFILE .....................................................19 APPENDIX C – RESPONSE FORM .................................................................20 APPENDIX D – CLOUD COMPLIANCY DOCUMENT TEMPLATE ..........21

SECTION 1 - INTRODUCTION

A. Introduction

The Nebraska Administrative Office of the Courts & Probation (“AOCP”) is issuing thisCommunity Supervision Case Management System Augmentation Request for Proposal(“RFP”) in order to solicit an IT Software Development contractor (“Contractor”) to developor provide a software solution that will augment the AOCP’s existing adult and juvenileProbation and Problem-Solving Court Case Management System (“CMS”).

The contract period is expected to begin March 1, 2021 and end on June 30, 2026 with anoption to extend the contract for up to five, one (1) year terms.

The proposed Contractor is not required to be located within the local geographical area ofNebraska. However, the Contractor will have at least one representative who will routinelyengage and collaborate with AOCP personnel on a regular basis and will be the primary pointof contact for Contractor. The Contractor will have the capability to participate in dailycommunication via video technology.

B. Evaluation

Responses will be evaluated based upon the criteria outlined in Section 4 of this document andscored accordingly. The Contractor that meets the standards set by AOCP and whosesubmission is determined to be the most beneficial to AOCP, taking into consideration theevaluation factors set forth, will be awarded a contract.

AOCP reserves the right, at its discretion, to inspect a Contractor’s facilities, contact individualreferences, evaluate previous work that uses the specified or comparable technology, and toconsider other sources of information to determine evaluation scores.

AOCP may reject any or all responses, cancel this RFP, and/or re-solicit, if such action is inAOCP’s best interest. AOCP may waive informalities and minor irregularities on responsesreceived. This RFP does not commit AOCP to award any contract or to pay any costs incurredin the preparation of responses.

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SECTION 2 - INSTRUCTIONS AND PROCEDURES

A. Required Submittal DocumentsA Contractor that wishes to submit a response shall complete all necessary documentation asidentified in Section 5 of this RFP.

B. SpecificationsThe specifications included in this package provide adequate information as to whether or notContractor can meet the needs of the AOCP. Deviations from the specifications may begrounds for disqualification.

C. QuestionsThe AOCP believes this RFP contains sufficient information to respond and will not beaccepting questions related to this RFP. However, should the AOCP have questions related toa Contractor’s response, the AOCP may contact the Contractor.

D. SubcontractorsAll direct service rights or obligations that will be assigned, delegated, or subcontracted inwhole or in part, must be identified in the RFP response. The relationship between Contractorand all subcontractors should be described in terms of assignment of responsibility forproviding support to the specific requirements/components of this RFP.

E. Contractor CertificationBy submission of a response, Contractor certifies that Contractor has neither paid nor agreedto pay any person, other than a bona fide employee, a fee or a commission/brokerage resultingfrom the award of the contract.

F. Preparation of the ResponseContractors are expected to examine all rules, documents, forms, specifications, standardprovisions, instructions, and review its response for accuracy before submitting its response:Failure to do so will be at the Contractor’s risk.

G. Response Requirements:Responses should contain the following information:

1. Technical Areas: The proposal will provide a description and high-level design of theproposed software solution to include:

a. Points of integration of the solution into the AOCP’s existing case managementsystem, including federated login/single sign on capabilities.

b. Hosting environment, including adherence to the State of Nebraska cloudsecurity standards (if not FedRAMP certified).

c. User support terms and availability.

d. All other requirements are addressed in this RFP.

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2. Experience: The proposal will provide a description and examples of Contractor’s successful implementation of the software solution along with a comparison of the implemented solution with the required functional requirements and technology architecture as defined in this RFP. The proposal will also identify a point of contact who will serve as a customer reference for the implemented solution.

3. Pricing: The proposal will provide the total cost of the bid along with detailed cost breakout for the solution Contractor is proposing as defined below:

a. Commercial Solution: The detailed cost will consist of the licensing cost of the commercial solution and on-going maintenance cost of the commercial solution. The detailed cost of the commercial solution will consist of all of the requirements as described above for the customized solution.

b. Semi-Customized Commercial Solution: The detailed cost will consist of the licensing cost of the commercial solution and on-going maintenance cost of the commercial solution. Additionally, the detailed cost should include a breakout of all customizations necessary to meet the requirements as described herein for the customized solution. It will also include the cost of any commercial tools that are proposed as a component of the software solution (such as a commercial product to create forms or an automated test tool).

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SECTION 3 - SPECIFICATIONS

A. Specification Introduction and Overview

The AOCP is issuing this Community Supervision Case Management System AugmentationRequest for Proposal (“RFP”) in order to solicit a Contractor to develop or provide a softwaresolution that will augment and build on the AOCP’s existing CMS.

The contract period is expected to begin March 1, 2021 and end on June 30, 2026 with apossible five-year extension of the contract.

B. Background

The CMS is a component of the AOCP’s computer systems that identifies adult and juvenileprobation clients and records activities, assessments, and other information. This allowsprobation officers to manage their client’s cases. The AOCP’s computer systems also includea Data Management System (DMS) that provides data and reporting support to the CMS. TheDMS is referenced in this RFP for the purpose of providing a contextual understanding ofinteraction with CMS but is not included in the scope of this RFP.

CMS is a customized web-based Java application with users located throughout the State ofNebraska with development, testing, and production servers centrally located in the NebraskaOffice of the Chief Information Officer (OCIO) data center. The web-based applicationoperates on all standard browsers and browser versions that are used in desktop, laptop, tablet,and smartphone technology as specified in the Technology Architecture section of this RFP.

C. AOCP Business Processes

This description of the AOCP business processes provides a context for the functions that theaugmented CMS is required to support. The AOCP is under the auspices of the NebraskaSupreme Court. It is responsible for providing juvenile intake, investigations and supervisionfor juvenile clients prior to adjudication, supervision of juvenile and adult clients who areplaced on probation or juvenile reentry/adult post-release supervision by the Courts, andsupervision of clients who are placed in specialty problem solving courts. The probationsystem is comprised of adult probation, juvenile probation, and Problem Solving Courts. Thebusiness processes for each of these three components of the probation system are describedbelow.

The probation system consists of an administrative staff located in Lincoln, NE and probationstaff who are assigned to field offices located in 14 geographically oriented probation districts(“District(s)”) and 32 Problem Solving Courts throughout the State. The administrative staffprovides operations and oversight of the Districts and Problem Solving Courts and is organizedinto three divisions – The Administration and Operations Division, Community-BasedPrograms and Field Services Division, and Juvenile Services Division. Each field office isresponsible to provide juvenile intake, investigations and supervision to one or more categoriesof juvenile, adult, and problem solving court clients.

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1. Adult AOCP Business Process

The adult probation business process consists of the following scenarios:

a. After entering the system, the client could progress through using multiple paths.A client could become involved in the system when the court orders a pre-sentenceinvestigation to be completed, sentences an individual to serve a period of timeincarcerated followed by a period of time on probation (split sentence or PostRelease Supervision), or sentences an individual to serve a period of time onprobation only (traditional probation). Once a client is in system they may regressin their response to supervision and be sentenced to a period of time incarcerated.

b. Adult Investigations –When the court requests that probation perform either aPresentence Investigation (PSI), Presentence Report (PSR), or Court-RequestedInformation (CRI) the process includes collecting personal information duringinvestigation set-ups and performing a risk assessment. Risk Assessments arecomprehensive assessments that include both dynamic and static criminogenicfactors. Static factors include such elements as education, employment, familial,medical, criminal, drug abuse, and other history while dynamic factors focus onsuch things as changing attitudes, beliefs, and thinking patterns. Following arerisk/needs assessments. The Adult Standardized Risk Needs Assessment Toolsconsist of the following tools:

i. The Nebraska Adult the Probation Screen – Risk (NAPS-R) is a screeningtool utilized in both criminal and Driving Under the Influence (DUI) casesto determine the appropriate assessment instrument to administer, as wellas determining risk of recidivism and suitability for probation supervision.

ii. The Nebraska Adult the Probation Screen – Needs (NAPS – N) is anassessment tool developed specifically for DUI or criminal offenses and isdesigned to determine criminogenic needs of the individual and, inconjunction with the NAPS – R score, determines a supervision level for aspecified misdemeanor probation population.

iii. The Level of Service/Case Management Inventory (LS/CMI) is designed toassist in the management and treatment planning for adult male and femaleprobationers. The LS/CMI is to be utilized on all District Court cases, aswell as other specified misdemeanor populations.

At Investigation for Criminal Risk the following assessments are performed:

i. The NAPS criminal risk is done on all county court cases with the exceptionof the following bullets.

County court sex offenses to which the LS/CMI is completed

County court domestic violence to which the LS/CMI is completed

ii. If the NAPS criminal risk score is high or very high, complete the Level ofService/Case Management Inventory (LS/CMI).

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iii. If the NAPS criminal risk score is medium, low, or very low, complete the NAPS criminal need.

If the NAPS criminal male risk/need score is high/very high, complete a Level of Service/Case Management Inventory (LS/CMI).

If the NAPS criminal female risk/need score is high/very high, complete a Level of Service/Case Management Inventory (LS/CMI).

If the NAPS criminal risk/need score is medium/low/very low, complete the Substance Abuse Questionnaire (SAQ) and the SSI.

At Investigation for DUI Risk the following assessments are performed:

i. If any of the charges are misdemeanor DUI and filed in county court, complete the NAPS DUI risk and need.

If the NAPS DUI male risk/need score is high/very high, complete a Level of Service/Case Management Inventory (LS/CMI) if placed on supervision.

If the NAPS DUI female risk/need score is high/very high, complete a Level of Service/Case Management Inventory LS/CMI) if placed on supervision.

If the NAPS DUI risk/need score is medium/low/very low, complete the Presentence Report (PSR) or Court-Requested Information (CRI) investigations which will include the Driver Risk Inventory (DRI) and SSI.

In the event of multiple charges in which one of the charges is DUI, complete the NAPS DUI risk/need.

c. Post-Release Supervision (PRS): When the court sentences an individual to a split sentence, the individual will begin serving the sentence in the facility that is assigned by the court and then serve the remainder of the sentence under PRS within a District. Probation will typically become involved approximately 120 days from the projected release date and is primarily responsible for creating a reentry plan to guide the transition of the individual from incarceration back into the community under the supervision of probation.

d. Traditional Probation: The methods utilized to accomplish case management goals include a variety of strategies relative to evidence-based research including assessment, motivational interviewing, matching appropriate treatment, facilitating groups, developing pro-social skills, engaging positive support systems, case plan, and the use of relevant tools. Additionally, case management contributes to providing an increased level of safety for the community. The focus with the client is on the quality of the exchange that occurs and the means by which probation staff strives to help clients accomplish meaningful change as an alternative to incarceration. Case management targets risk reduction by focusing on the

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criminogenic need areas through meaningful contact standards and referrals as needed. Standards have been established per risk level to guide probation officers in the associated activities in the supervision of clients, and specific objectives are utilized to measure the effectiveness of the probation officers’ strategies.

i. Adult Community-Based Intervention (CBI) Probation is a supervision approach validated by the Adult Standardized Risk/Needs Assessment Tools Protocol intended for clients who are considered to be at the highest risk to reoffend and are the first priority of supervision resources (including Interstate Compact In: Receiving Transfer cases.) This supervision level is most successful when an intensive level of supervision is utilized in conjunction with appropriate treatment services. The following clients shall be considered for CBI Probation supervision:

Clients identified through a valid assessment instrument to be at a high risk for recidivism.

Clients whose offense was serious enough in nature to require an intensive level of supervision.

Clients who have failed previously at a lower level of community supervision as an alternative to revocation.

Ordered as an intensive supervision probation disposition from the court.

ii. Adult Community-Based Resource Medium High (CBR-MH) Probation is a supervision approach validated by the Adult Standardized Risk/Needs Assessment Tools Protocol intended for clients who are considered to be at a medium high risk to reoffend and are the second priority of supervision resources (including Interstate Compact In: Receiving Transfer cases). This supervision level is most successful when an active level of supervision is utilized with an intensive focus on any high domains. The following clients shall be considered for CBR-MH Probation supervision

Clients identified through an assessment instrument to be at a Medium High risk to recidivate.

Clients who have failed previously at a lower level of community supervision as an alternative to revocation.

Clients who have been successful at the CBI Probation level and have been transitioned appropriately to this level.

iii. Adult Community-Based Resource Medium Low (CBR-ML) Probation is a supervision approach validated by the Adult Standardized Risk/Needs Assessment Tools Protocol intended for clients who are considered to be at a medium low risk to reoffend (including Interstate

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Compact In: Receiving Transfer cases). This supervision level is most successful when an active level of supervision is utilized. The following clients shall be considered for CBR-ML Probation supervision:

Clients identified through an assessment instrument to be at aMedium Low risk to recidivate.

Clients who have failed previously at a lower level of communitysupervision as an alternative to revocation.

Clients who have succeeded at the CBR-MH Probation level andhave been transitioned appropriately to this level.

iv. Adult Community-Based Resource Low (CBR-L) Probation is asupervision approach validated by the Adult Standardized Risk/NeedsAssessment Tools Protocol intended for clients who are considered to be ata low risk to reoffend (including Interstate Compact In: Receiving Transfercases). This supervision level is most successful when a reactive level ofsupervision is utilized with an active supervision for any problem areas.The following clients shall be considered for CBR-L Probation supervision:

Clients identified through an assessment instrument to be at a Lowrisk to recidivate.

Clients who have failed previously at a lower level of communitysupervision as an alternative to revocation.

Clients who have succeeded at the CBR-MH or CBR-ML Probationlevel and have been transitioned appropriately to this level.

v. Adult Community-Based Resource Very Low (CBR-VL) Probation isa supervision approach validated by the Adult Standardized Risk/NeedsAssessment Tools Protocol intended for clients who are considered to be ata very low risk (including Interstate Compact In: Receiving Transfer cases).This supervision level is most successful when a reactive level ofsupervision is utilized. The following clients shall be considered for CBR-VL Probation supervision:

Clients identified through an assessment instrument to be at a verylow risk to recidivate.

Clients who have failed previously at a lower level of communitysupervision as an alternative to revocation.

Clients who have succeeded at the CBR-ML or CBR-L Probationlevel and have been transitioned appropriately to this level.

vi. Adult Administrative Override Probation is a supervision level that isnot determined by the Adult Standardized Risk/Needs Assessment ToolsProtocol as the offense or sentence fits into one of the following categories:

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Traffic cases (not to include DUI, Motor Vehicle Homicide, Felony Driving Under-Suspension).

Probation term 179 days or less.

As ordered by a Judge.

Class V Misdemeanor.

vii. Adult Administrative Probation is a supervision approach which is intended to be passive. Generally an Adult Administrative client is not present and the case is monitored at least every 60 days for any changes that occur. The client placed in the Adult Administrative Probation level of supervision shall fit in one of the following definitions:

Inter-district Transfer and Courtesy Investigation Protocol to another district

Interstate Transfer Out: Sending Transfer Cases

Absconders

Warrants

In custody for 31 days or longer (i.e., up-front jail time)

Appeals

e. Adult Interstate Compact: The Interstate Commission for Adult Offender Supervision (ICAOS) was created by states to ensure cooperative efforts in the transfer of supervised individuals. ICAOS provides states and their Commissioners with oversight and assistance in administering the Interstate Compact for adult supervision.

2. Juvenile Probation Business Process

The juvenile probation business process consists of the following scenarios:

a. Intake: Nebraska state statute authorizes probation to manage the juvenile intake function. Public safety and accountability are the primary goals of the juvenile intake process. This is accomplished through a standardized risk assessment tool that is administered when law enforcement contacts probation for the purpose of assessing an intake decision. The Risk Assessment Instrument (RAI) examines the juvenile’s risk of continued delinquent acts before the next court hearing and the risk of failing to appear for the court hearing. Juvenile intake is designed to promote the most appropriate services which are the least intrusive and least restrictive to the juvenile and family, balancing what is in the best interest of the juvenile and safety of the community. The Juvenile Detention Alternatives Initiative (JDAI), a project of the Annie E. Casey Foundation, has demonstrated that jurisdictions can safely reduce the use of secure confinement without impacting public safety. Juvenile detention alternatives attempt to decrease the number of juveniles who are unnecessarily or inappropriately detained in secure confinement facilities.

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b. Pre-Adjudication (without Supervision): Prior to the court finding that a juvenileis responsible for a delinquent or status act, while the case is pending adjudication,an order may be given that the probation office provide services to addresscontributing factors to the delinquent act without placing the juvenile under formalsupervision. This process consists of collecting personal information and financialinformation, referring the juvenile to the ordered services and communicatingprogress to the court.

c. Pre-Adjudication Supervision: After the court finds that a juvenile is responsiblefor a delinquent or status act while the case is pending adjudication, the court mayorder the probation office provide services to address contributing factors to thedelinquent act while also placing the juvenile under formal supervision. Thisprocess consists of collecting personal information and financial information (usinga JFSAI), performing a Nebraska Youth Screen (NYS) assessment, engaging theyouth and family during formal supervision to ensure court-ordered conditions arecompleted, referring the juvenile to the ordered services and communicatingprogress regarding supervision and services to the court.

d. Pre-Disposition Supervision: After the court finds that a juvenile is responsiblefor a delinquent of status act while the case is pending final disposition, the courtmay order the probation office provide services to address contributing factors tothe delinquent act while also placing the juvenile under formal supervision. Thisprocess consists of collecting personal information and financial information (usinga JFSAI), performing a Nebraska Youth Screen (NYS) assessment, engaging theyouth and family during formal supervision to ensure court-ordered conditions arecompleted, referring the juvenile to the ordered services, and communicatingprogress regarding supervision and services to the court.

e. Pre-Disposition Investigation: A Pre-Disposition Investigation (PDI) is orderedto be performed after the court finds that a juvenile is responsible for a delinquentor status act. The comprehensive investigation process consists of collectingpersonal information, conducting a risk/needs assessment using the Youth Level ofService/Case Management Inventory (YLS/CMI) assessment instrument,conducting interviews with the youth and family, engaging collateral contacts andperforming an investigation. During the investigation the probation officecoordinates a plan with the family to address why the juvenile is appearing in courtand to identify recommendations to the court for targeted supervision and serviceneeds that are most effective in reducing the juvenile’s risk for continued delinquentbehaviors. The court may alternatively request that a Juvenile Court-RequestedInformation (JCRI) in lieu of a full investigation or the probation office mayproduce a JCRI if the juvenile fails to participate in the investigation.

f. Disposition to Traditional Probation: Traditional probation uses methods toaccomplish case management goals that include a variety of strategies relative toevidence-based research including assessment, motivational interviewing,matching appropriate treatment, facilitating groups, developing pro-social skills,

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engaging positive support systems, case plan, and the use of relevant tools. In addition, case management contributes in providing an increased level of safety and welfare for the community. Case management targets risk reduction by focusing on the criminogenic need areas through meaningful supervision and referrals as needed.

i. Juvenile Community-Based Intervention (JCBI): Juveniles who have been assessed as high or moderate high risk on a validated instrument are engaged at an intensive supervision level by a highly skilled probation officer. This level also includes the following special populations:

a) Reentry: Juveniles who have been placed on an order of Intensive Supervision Probation by the court with a commitment for placement at a Youth Rehabilitation and Treatment Center (YRTC) and juveniles who are placed on an equivalent order of juvenile parole or reentry status from another state and transferred to Nebraska via the Interstate Commission for Juveniles.

b) Juveniles Who Sexually Harm: Probation Officers receive specialized training focused on assessment and supervision per the Juveniles Who Sexually Harm policy.

c) Problem Solving Courts: Juveniles participating receive services that follow best-practices from the National Center for State Courts.

ii. Juvenile Community-Based Resource (JCBR): Juveniles who have been assessed as low or moderate low risk on a validated instrument are engaged based on priority areas identified.

iii. Juvenile Administrative Override: Juvenile case management shall be driven by passive supervision and brokering of court ordered conditions. The classification level is overridden due to one or more of the following:

a) Traffic case (not to include Driving Under the Influence, Motor Vehicle Homicide, Felony Driving Under Suspension).

b) Direct (bench) Probation term of 89 days or less.

c) Juveniles who relocate to another state through Interstate Compact for Juveniles (ICJ).

iii. Juvenile Administrative: Juvenile does not receive case management, but shall be monitored by periodic updates of the case details every 60 days but may be more frequent depending on the circumstances, including a record check. The following juveniles shall be included:

a) Juvenile is on warrant/abscond/runaway status for 15 days or more.

b) A juvenile being held in detention on an adult court hold for 15 days or more.

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3. Problem Solving Court Business Process

The problem solving court business process consists of the following scenarios:

a. Referral from County Attorney: A prospective PSC client submits a request tothe court to be considered for admission to a problem solving court. If the countyattorney approves consideration for admission they submit a Drug Court InitialEligibility Determination to the PSC Coordinator.

b. PSC Intake: The PSC Coordinator performs a series of steps to assess theadvisability of admitting the client into the PSC program. Each of the problemsolving courts has a distinct process that is tailored to the specific requirements ofthe court. Each process typically consists of a series of evaluations andassessments, interview of the client, and preparation of a recommendation to thecourt.

c. Disposition to PSC: The court evaluates the recommendation and decides whetherto admit the client into the problem solving court and issues a court order.

d. Case Management: All of the PSCs follow the PSC case planning and supervisionprocess with minor adjustments to account for specific requirements of theirrespective court.

D. Service Delivery

The AOCP supervision consists of providing adult, juvenile, and problem solving court clients’treatment and non-treatment services through multiple delivery channels and advancedtechnology.

1. Reporting Centers: Each Reporting Center provides a continuum of services for adultclients within a District. They work with a variety of individuals from State Probation,Federal Probation, and community members. By pooling state and county resources, thecenters provide a means by which clients’ time is structured towards educationalopportunities, employment assistance, and a variety of skills-based classes and groups thatare either court-ordered or offered because there is a need. Services are evidence-basedwhere possible and tailored to meet the needs of the local community. Reporting Centersassist in engaging clients in rehabilitative services while simultaneously providingenhanced supervision through probation. Reporting Centers also serve as a communityresource for individuals who live in the area or are related to clients on probation byoffering a variety of services to meet their unique needs. These services range frombehavioral health-based groups to employment classes with access to computer labs andeven community-based meetings such as AA.

2. Service Providers: Service Providers provide specialty evaluations, treatment, andsupportive non-treatment services to clients. Service Providers work with probationofficers to support youth and adult clients in need of targeted service focus items. When aservice is ordered by the court the client can arrange the service independently, but whena client is in need of financial assistance, funding can be utilized to support access to theordered service. When financial assistance is utilized the Service Provider is required to

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register in the AOCP system to access payment or vouchers and report progress. Registered Service Providers participate in team meetings, provide periodic progress reports, final reports, and request payment for services.

E. Advanced Coaching for Excellence (AC4E) 4 Core

The AC4E initiative was created as the second phase of evidence-based practices. It empowersofficers to streamline the four core tenants of officer engagement:

a. Assessment, case (success) planning & case management• Use of validated risk assessment tools is required to determine the driver and

focus on goals of the success plan. The goals and steps are implemented throughindividualized case management which target interventions to develop skills.

b. Engagement to enhance motivation• Probation officers shall use motivational interviewing skills to engage

individuals and their families in behavior change. Additionally, engagingstakeholders and pro-social supports helps to create lasting behavior change.

c. Skill train with directed practice• Probation officers facilitate cognitive restructuring and skill development with

individuals to enhance critical thinking, strengthen skills and reduce risk.d. Incentives & Sanctions

• Through an adolescent development and individualized approach, incentivesand sanctions are used to reinforce behavior change, as well as respond totransgressions.

F. Technology ArchitectureThe AOCP information technology architecture consists of a Case Management System (CMS)and a Data Management System (DMS). This dual architecture provides the opportunity tocreate systems that can more fully exploit the capabilities of data management and casemanagement. The DMS provides a full range of data management, sharing, reporting, andwarehousing capabilities and the CMS is a system that focuses on applications that provideuser capabilities that include views of CMS applications and DMS reports. The focus of theRFP is on augmenting the CMS that closely interacts with the databases in the datamanagement system. All of the information in the RFP that relates to the datamanagement system is for reference only and is not to be included in proposals that aresubmitted in response to this RFP.

The AOCP case management system consists of multiple business processes, Adult Probation,Juvenile Probation and Problem Solving Courts, that are described in the section above. Whilethe processes appear to be a linear sequence of activities, the reality is that the business consistsof multiple alternative paths with each path determined by a complex set of situation-basedfactors. These factors could include such items as the age of the client (adult or juvenile), priorand current criminal/delinquent offenses, family circumstances, education and employment,peer relations, substance use, behavior and attitudes, court ordered treatment or services,availability of service provider alternatives, etc. Added to the dynamic is the fact that the client

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changes during their time in probation which requires the sequence of activities to be instantly altered to respond to the new situation.

The CMS business architecture is designed to provide a user with alternatives to respond to the dynamic situations by applying evidence-based practices as determined by past experience and on-going academic research. Consequently, the technology architecture must be agile and intuitive to adapt to the dynamic sequence of business activities that have no predetermined flow. The technology must apply artificial intelligence techniques to evaluate each situation and determine the appropriate activities to recommend to the user. The user will then respond to the recommendations and either accept them or direct that alternative activities be initiated. The technology will present the activities based on the user decision and continue evaluating the situation dynamics of the new course of action and appropriate recommendations.

The AOCP is heavily invested in its existing CMS, however it is static and limited in its ability to provide recommendations based on behavioral science in real-time, allowing for adaptive case management leading to improved outcomes. The software solution must be agile in order to rapidly respond to new evidence-based practices or changes as directed by the Nebraska Supreme Court, Nebraska Legislature, or local governmental entities. These changes have historically been required to be incorporated into the case management system within a few days or weeks. The AOCP, therefore, is seeking a software solution that will integrate with its existing case management system to augment it to meet the following needs:

1. Automated Workflow Management for Officers/Supervision Planning and Tracking.a. Consideration of AC4E components such as Driver and Success Plans.b. Real-Time Risk-Need Responsivity (Information and tools for evidence-based

supervision.)i. Dynamic, consistent supervision planning based on a client’s risks, needs, and

offense.ii. Decision support engine that recommends incentives and sanctions based on

real-time client focused data, including engagement programming andinterventions, treatment and non-treatment services, drug testing data,electronic monitoring, and other performance measures.

iii. Integrated, two-way information loop between client and officer that identifiescompliant and non-compliant behaviors.

iv. Appointment scheduling and reminders via mobile app that is easy to use forboth officers and clients.

c. Improved Day-to-Day Supervision (Streamlined data management and supervisiontasks to give officers more time to focus on client interactions.)

i. Access all client information from a secure web-based platform.ii. Integration with existing CMS, various electronic monitoring solutions, and

various assessment tools.iii. Unified workflow management that provides officers with a comprehensive

view of upcoming tasks and needed actions.2. Secure, real-time web-based access for providers, clients supervisor/management, and

officers utilizing separate front-facing interfaces for adult and juvenile supervision,

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allowing a customized supervision model appropriate for pre-disposition supervision, probation supervision for adults and juveniles, juvenile reentry/adult PRS, and problem-solving court clients.. a. Officer portal.b. Client portal.c. Supervisor/Management portal.d. Provider portal that provides secure, real-time access, input, referral, and reporting

functionally.3. Data-Driven Program Management (Visibility of client, caseload, and program data to

support better outcomes.)a. Track both what should happen vs. what does happen throughout a client’s

supervision plan.b. Offer behavioral science and technical consulting services to improve efficiencies

and outcomes.4. Advanced reporting and interactive analytics - Interactive reports and analytics

providing trends and insights on clients, caseloads, Districts, programs, and statewidedata.

It is important that the entity chosen to provide this solution is able to quickly understand the AOCP’s current CMS and its business operations under the auspices of a state governmental entity. It is also vital that the entity chosen to provide this solution understands and has experience with community corrections, its clients, providers, and the evidence-based practices associated with it.

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SECTION 4 - RESPONSE EVALUATION CRITERIA

Responses will be evaluated through in depth analysis of the Contractor’s response to this RFP and scoring will be based on the following criteria:

A. RFP Submission Requirements (max of 50)1. Was the RFP response submitted on time?2. Were all Submittal Documents included in the response?3. Were all Submittal Directions followed?

B. Technical (max of 125 points)1. Does Contractor demonstrate a clear understanding and show compliance with

requirements of this RFP?2. Soundness of approach: The proposal must clearly indicate that the Contractor has

performed adequate planning to meet the AOCP’s needs defined in the RFP.3. Does Contractor meet cloud hosting security standards?4. Does the solution provide a viable mechanism for integration with the existing CMS?5. Does the solution provide Automated Workflow Management for Officers/Supervision

Planning and Tracking including Real-Time Risk-Need Responsivity? (Information andtools for evidence-based supervision of both adults and juveniles.)

6. Does the system provide secure, real-time web-based access for providers, clients,supervisor/management, and officers?

7. Does the solution support Data-Driven Program Management? (Visibility of client,caseload, and program data to support better outcomes.)

8. Does the system include advanced reporting and interactive analytics on clients, caseloadsand entire programs?

C. Experience (max of 100 points)1. Past Performance/Relevant Experience2. Professional Letters of Recommendation3. Does Contractor demonstrate an understanding of community corrections, its clients,

providers, and EBP

D. Pricing (max of 50 points)1. Was the pricing submitted as required (total cost of the bid along with a detailed cost

breakout for the defined solution (commercial solution or semi-customized commercialsolution)?

2. Does the pricing appear fair and consistent with current rates in the industry?3. Is the pricing advantageous to the AOCP?

The total possible scoring points per scorer is 325. There are five scorers and the total possible points is 1,625.

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SECTION 5 - TIMELINE/SUBMITTAL DOCUMENTS A. Timeline

1. Contractor Submittal Letter, Contractor Profile, Response Form(s), and References are due no later than 12:00 p.m. (noon) Central Standard Time, December 31, 2020.

2. Responses will be evaluated from January 4, 2021 through January 29, 2021. During this time, the AOCP may require Contractor to accommodate further discussions with evaluation team. Contractor will be notified in writing or by phone if this is requested.

3. Discussions may be conducted with vendor(s) for the purpose of clarifying responses to ensure the evaluation team has a full understanding of the responses to this RFP. In conducting discussions, there shall be no disclosure of any information derived from responses submitted by competing vendors during the evaluation process. However, once this competitive procurement process is complete, all records and associated contracts are considered public record and may be released to third parties upon appropriately submitted public records request(s). Probation reserves the right to conduct discussions if determined necessary. Discussions shall not constitute a contract award nor shall they confer any property rights on a vendor. Award may be made without discussions, therefore, offers shall be submitted complete and on most favorable terms.

4. The Contractor selected to provide the work associated with the requirements in this RFP will be notified via email on or around January 29, 2021. Contract negotiations will follow with an anticipated start date between February 1, 2021 and March 1, 2021.

5. Contractors not selected to provide the services specified in this RFP will be notified via email on or around January 29, 2021.

B. Submittal Documents

Email submittal documents with the following attachments to:1. nsc.contractingopportunities@nebraska.gov2. The Subject Line in the email for submissions must include the title of the contracting

opportunity and your organization’s name (e.g. Community Supervision Case Management System Augmentation RFP-ABC Development)

3. Submittal documents should be attached to the email and named pursuant to the naming conventions listed below.

• Appendix A-B - Submittal Letter and Contractor Profile: Contractorname-AppendixA-B.pdf

• Three (3) Professional Letters of Recommendation: Contractorname-Recommendations.pdf

• Appendix C- Response Form: Contractorname-AppendixC.pdf• Appendix D-Cloud Compliancy Document: Contractorname-AppendixD.pdf

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APPENDIX A - SUBMITTAL LETTER

Suzanne Eggert Contracts & Grants Manager Nebraska Supreme Court Administrative Office of the Courts & Probation PO Box 98910 Lincoln, Nebraska 68509

Dear Ms. Eggert:

In response to your Request for Proposal (RFP), response is submitted for the following organization: _______________________________________________________________.

In submitting this response, I hereby acknowledge that:

1. the RFP has been read and understood;2. Contractor will comply with the requirements set forth in the RFP;3. the materials requested by the Supplemental RFP are enclosed;4. all information provided is true, accurate, and complete to the best of my knowledge;5. all information provided, excluding pricing information, will be considered public

information and will be made available pursuant to any public records request;6. this response is submitted by, or on behalf of, the party that will be legally responsible

for service delivery should a contract be awarded.

Signature of Authorized Official Date

Name of Signatory: _____________________________________________________

Contractor Name: _____________________________________________________

Title: _____________________________ Phone: _________________

Email Address: _____________________________________________________

Address: _____________________________________________________

_____________________________________________________

_____________________________________________________

Federal Employer ID# or SSN#: _____________________________________________________

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APPENDIX B - CONTRACTOR PROFILE

Contractor’s Legal Name: _______________________________________________

1. What is Contractor’s physical address, mailing address, telephone number, and faxnumber?

2. Who will be the primary point of contact (must be authorized to negotiate a contract) duringthe evaluation process? (Please provide name, title, direct phone number, e-mail address,fax number, and mailing address.)

3. Provide a brief history of Contractor’s business.

4. Indicate the total number of employees and their distribution by function.

5. Comment on any partnership(s) with other contractors.

6. Has Contractor had a contract within the last five (5) years that was terminated for causedue to breach or similar failure to comply with the terms of the contract? If yes, pleaseprovide detailed explanation.

7. Outline the hiring qualifications / procedure for employees or subcontractors (includingany substitutes that you will use while on vacation or sick).

8. Contractor will be responsible for obtaining and maintaining general and professionalliability insurance at $1,000,000 per occurrence and $3,000,000 aggregate levels whileproviding services to the AOCP. Contractor agrees: Yes No

9. Contractor will provide three (3) professional Letters of Recommendation.

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APPENDIX C - RESPONSE FORM

Describe how you will meet all of the requirements set forth in this RFP? Answers should relate back to Section 2.G: Response Requirements and Section 3: Specifications (include additional pages as necessary to respond to the requirements and specifications).

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(Name of Software & Vendor)

This document describes the terms and usage of the (name of software and Vendor) product at the State of Nebraska

APPENDIX D

CLOUD COMPLIANCY DOCUMENT TEMPLATE

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Version Control

Document Attributes

Document Name XXXXXXXXXXXXXXX

Document Identifier xxxxxxxxxxxxxx

Publish Date XX/XX/XXXX

Current Revision Number xxxxxxxxxxxxxx

Author XXXXXXXXXXX

Revision History

Version Number Date

Responsibility (Author) Description

1.0 Xx/xx/xxxx XXXXXXXX XXXXXXXXXXXX

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Requirements

If the Cloud Service Providers (CSP’s) does not have an official FedRAMP certification by an accredited third-Party Assessor Organization (3PAO), and the CSP is being considered for use by the State, the following conditions must be met or addressed via agreement with the service provider before engaging any cloud service providers when that cloud service may store or process any Confidential or Highly Restricted data. If physical copies are needed for SOC2, NDA will be required.

Data Storage

The Cloud Service Provider or third-party host (CSP/3PH) must provide evidence of secure storage of access credentials that are at least equal to that of State internal systems.

Access

Access to the cloud service will require multi-factor authentication based on data classification levels.

Encryption

Information will be encrypted using IT approved technology for information in transit as well as information stored or at rest.

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Equipment Decommissioning

All equipment removed from service, information storage areas, or electronic media that contained State of Nebraska information must have all this information over-written, sanitized, and data destruction verified by OCIO before allowing that equipment, information storage space, or media to be destroyed or assigned for reuse.

Vulnerability Scanning

CSP/3PH will provide vulnerability scanning and testing on a schedule approved by the State ISO. Results will be provided to Department as needed.

Software Patches

Patch management of hardware and software at the CSP/3PH are required to meet the same standards that are required at State.

Breach Procedure

CSP/3PH will meet all State of Nebraska requirements for chain of custody and PHI, FTI, or PII breach notification if State requires forensic analysis. CSP/3PH will maintain an incident

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Security Auditing

CSP/3PH will provide evidence of audit and assessment of the security of the service environment, and will agree to reasonable inspection of such security by Department-authorized parties.

Data Storage Sites

CSP/3PH is required to advise the State on all geographic locations of stored State information. CSP/3PH will not allow State information to be stored or accessed outside the USA without explicit approval by the OCIO. This includes both primary and alternate sites.

Employee Security Screening

Privileged access roles at the CSP/3PH are required to meet the same vetting standards of privileged access personnel at the State, such as background checks, etc.

SLA Compliance

Contracts with CSP/3PH’s shall have SLAs in place that clearly define security and performance standards. Contracts will address how performance and security will be measured, monitored, and reported. Contracts will also establish an enforcement mechanism for SLA compliance.

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HIPPA, IRS, and Privacy Act Compliance

CSP/3PH will provide assurance of compliance with the Privacy Act, HIPAA Security and Privacy regulations, and IRS 1075 regulations. CSP/3PH will provide adequate security and

Nebraska Public Records Law

CSP/3PH will provide the State with the ability to conduct a reasonable search to meet Nebraska Public Records Law.

Records Retention

Before contracting with a CSP/3PH, the State shall have proactive records planning in place to ensure the ability to have timely and actual destruction of records in accordance with Department record retention policies.

OCIO Access

CSP/3PH will provide documentation, evidence, or reasonable access by the OCIO and SISO to ensure compliance with these standards.

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