medically complex group home request for proposal
TRANSCRIPT
Medically Complex Group Home Request for Proposal
Questions & Answers from
Technical Assistance (TA) Bidder’s Conference Held on:
May 2, 2007 1. Question: We’re not going to be able to know who the child is that is going to be coming into the home, in terms of special needs, in terms of adaptive equipment that the agency may be required to have.
Answer: We will come back to the child specific issues in a little bit because
there are a number of other questions that may be helpful to you. We’re actually going to talk a little about more of the profile of the children and what kind of adaptive equipment you may anticipate.
2. Question: You’re saying that the $91,590 is for start-up—and then we would
not dip into the operations money. How do we estimate additional start up needs?
Answer: We need to know from you what else you think you’re going to
need for start up because this is a specialized kind of home. So when you’re preparing the budget response to the RFP, you will prepare a startup budget and an operations budget. The operations budget should be annual. The start-up budget should include additional monies needed for items particular to a medically complex home, such as adaptive equipment.
3. Question: Do you have a ballpark figure of how many kids require this level of care currently?
Answer: Currently there are about a dozen. A single home would make a
big dent in that number. This is just part of a strategy focused on moving children out of hospitals and facilities and into less restrictive settings that permit them to optimize their potential.
4. Question: Can we speak of how many have the potential for reintegration into
biological families or is finding foster parents necessary? Answer: I have to say of the ones that come to mind, I’d say almost one third
have reintegration options. Others ideally would be placed in smaller foster homes.
5. Question: I have a question about the staffing pattern. There appears to be a lot of services that are also looking at community resources. I notice that you did not include social workers or case managers or anything like that in the staffing. Is that something that you could consider, or is DCF going to provide that service for the home?
Answer: As an addendum to the RFP, the budget has been increased to a
new total of $1,062,792. The additional funds are intended to allow for the addition of a first shift non-RN case manager position which was inadvertently omitted from the model. Other uses will be considered if strong justification is provided.
6. Question: I understand the DCF role, but who helps arrange for mentors and related resources?
Answer: DCF Social Workers will arrange for mentors and some similar
services. 7. Question: Youth with medical complexity oftentimes can’t be transported in a
safe way in bad weather. Is there any component that would involve or endorse a home based program, homebound program, versus their total inclusion to the nexus. We assume that they would be attending school. Also, how would nexus be established?
Answer: The school they would go to would be determined by their home
nexus: The town of their parents’ residence. Certainly, there may be situations when children cannot attend school, but the goal is always inclusion and least restrictive environment: This would not be a home-based program.
8. Question: Because of the medically complex issues, is DCF considering that the children that are going to be placed are ones who can normally
fit into a normal calendar school year, or are their needs such that they’re going to be home much more frequently than
other kids? Answer: This will probably vary depending on the particular constellation of
children at any given time.
9. Question: Is the Department holding fast that there must be CNAs, or is there a possibility of having the agency hire staff, and train them and make sure that they trained by the RN on the specific individual needs as long as long as they met the needs of the children?
Answer: Initially we’re sticking to the CNA model. In part because this is
one way of enhancing quality, through level of knowledge and
training. However, you could hire non-CNAs and train them as CNAs prior to opening. As we move forward, we will learn what staff mix works best.
10. Question: Earlier you mentioned that some of the kids were younger, like 3 or
4 years old. Are there daycare programs and things like that, that serve medically complex children, or are these kids going to be in home during the day?
Answer: The younger children would be in the home, which will limit the
number of children this young (non-school age) to perhaps one at any given point in the home.
11. Question: My question is as a current provider to the Department for services to medically complex kids, are there ways of providing options in terms of an RFP response around alternatives to some of the items in the RFP, or is it this or nothing?
Answer: We didn’t specify within the budget how much had to be for what.
So when we publish just the bottom line budget, this gives people some flexibility to respond in a way that they think is most appropriate—obviously making a case for your model.
12. Question: I wondered if you’d consider the roles of house parents?
Answer: All options are open to consideration.
13. Question: Are there any specific requirements as to the site itself? Do the
kids have to have their own bedrooms, does everything have to be on the first floor, that type of thing?
Answer: The one requirement that we specified in the RFP is the home
needs to be near a medical facility. The children should have their own rooms.
14. Question: Is there a specific level of medical facility required? Answer: A Level II facility is able to handle pediatric emergencies.
15. Question: Does the staffing pattern presume a limited number of youth in wheelchairs?
Answer: The staffing is based on the supposition that there could be up to
four youth in wheelchairs.
16. Question: Therefore, two CNA’s plus an RN would be required for overnight staffing to ensure exit safety.
Answer: Yes.
17. Question: Are there any kind of rate setting guidelines as to how costs are decided?
Answer: Yes. In this case, the positions were funded at higher than standard rates across one board.
18. Question: When they did their rate, did they build shift differentials and overtime schedules? Typical overtime schedules?
Answer: No. There is a 15% vacancy factor applied to FTE’s that addresses
this issue. This factor was applied across the board, except for the first shift RN.
19. Question: I would expect the house would basically need to be single level
housing with fire suppression, backup, full generation of that-backup generation, electricity
Answer: Yes. Sprinklers, back up generators, etc.- These are the types of
things that need to be proposed as the specialized start up costs that are unique to this program.
Questions received via e-mail 1. Question: When will it be determined who will license the Level III group
homes? How many agencies will be involved in the approval/licensing? Exactly what level of care is provided by a Level III home?
Answer: They will be licensed and approved by DCF.
Level III home is the terminology we use for medically complex homes. Level II refers to our Behavioral Health Therapeutic Group Homes.
2. Question: Will you plan to seek ICF certification?
Answer: No.
3. Question: How can the $91, 590 start-up funds be applied? Can these funds be used for a down payment on a home?
Answer: The $91,950 are for purchasing your furniture, purchasing your
appliances, purchasing computers, etc. The funds are utilized for the period of time when you’re hiring your staff so they are getting trained—they are not for major capital expenses typically. We sometimes get exceptions to that on a case by case basis. However, the funds aren’t for down payments.
4. Question: Can a portion of the $1,001, 968 in operating funds also be used for start-up?
Answer: You won’t be using operating funds for start up. That being said,
you’re not going be limited to $91,590, as it is not going be enough for this kind of home. You need to look at what you’re going to need for other kinds of adaptations for this home, and adaptive equipment, etc., and propose what you believe to be an adequate start-up budget.
5. Question: If an agency purchases a home, can you be reimbursed for interest
on the loan plus depreciation? Answer: Yes, you can do that. You can include both of those as expenses.
6. Question: On page 2 of the RFP – Amount and Terms of Award it states that funding will depend on 1) when the home becomes operational; 2) legislative actions; and 3) occasional individual circumstances regarding a specific population, etc. Numbers one and two are self explanatory; however, do you have more specific information regarding the target population so that agencies can better plan a program. Secondly, what is the process for obtaining additional funds during the contract term in the event that a particularly complex child is in need of intensive interventions or technology? How much time would be available, from referral/acceptance to arrival at home, for accessing increased funds and purchasing needed supplies or equipment?
Answer: We start funding your operations when you take your first child into
the home; therefore that’s what’s meant by “when the home becomes operational”. Legislative actions- that’s our Department budget—dramatic way, we might have to re-assess our priorities, but that is unlikely to happen. Occasional individual circumstances
regarding a specific population- these are all the caveats we need to put in. How much time is available will vary tremendously. But obviously, we’re not going to be moving children into a home who don’t have the appropriate supplies and equipment.
7. Question: Have you identified the specific population that will be referred for
service? If so, what is the nature of the illnesses and disabilities, where are they currently located, what are the ages and gender, etc.?
Answer: While we do not know the specific children, we do know that the
home will serve children with complex medical needs, including those on respirators, with trachs, limited mobility, etc. We want these children to be part of the community. The exact make-up of the house will depend on what works; the best fit.
8. Question: What is the referral process? Will there be a multi-disciplinary
approach? Will you use the procedure currently specified for Medically Complex discharges for discharging children to TFC-Medically Complex Foster Homes? If not, what procedure will you use? (The concern here is that a child is not discharged from the hospital before child-specific training is complete and appropriate supplies/technology is available.)
Answer: This is going to be a new process not yet fully fleshed out. If we
review a pool of children for 4 beds, we would bring together those children, the provider, the area offices representing the ARG nurses, and anybody who’s working with that child who knows that child—It might be the current hospital staff. We review which children believe would fit together and then we have the providers go out and meet those children and go out to the site where the children are, interview them, and then decide who they think are the right mix of children.
9. Question: The RFP states that “youth referred to the home will be screened
by the Director of Pediatrics for appropriateness and carefully reviewed with the provider for “fit”. What process will be used? What is the definition of “fit”? Is there a grievance process if there is a disagreement regarding a specific child’s suitability to go into a particular home?
Answer: Basically, if the provider decides a child is not a good fit, we’re not
going to place the child there. That’s not good for anybody; it’s not good for your other children, for you, or for the child. There’s a grievance process if there is a child in your home who you then decide is no longer a fit. Because you don’t, as a provider, get to
say unilaterally the child has to leave. We hold a case conference and decide together what the next best step is. Ultimately, The Bureau Chief of Behavioral Health and Medicine has the final decision.
10. Question: According to the RFP, the Program Director is responsible for the
coordination, implementation, and operation of the home. Is it appropriate for the Director to also be responsible for quality assurance? Which quality assurance requirements will be required – DCF or DMR? When will this be determined?
Answer: Quality Assurance is generally done by a different part of your
agency outside the home. This is a DCF home and not all of the children are necessarily going to be DMR eligible. Your agency will determine the relationship between the home and your current quality management processes.
11. Question: The RFP states that the Program Director/RN will also fulfill the 1st
shift requirement. Depending on the mix of children in the program, as well as other responsibilities, how do you envision this person fulfilling both roles?
Answer: The respondent may utilize the funds differently if they so choose.
The Department only included the required positions. Other positions may be added—This is up to the respondent.
12. Question: Because of the number of ancillary services that may be required is it your expectation that these services be provided through sub- contracts?
Answer: In talking with DSS and others, we believe that children will be
eligible for reimbursement for these ancillary services. It is critical that they receive these services not only in their school environment, but also in the home environment (e.g. speech therapy, occupational therapy). But, we would not anticipate that you have regular staff do these things. Any not reimbursable through same insurance would be funded through sub-contracts. These should be limited.
13. Question: The RFP requires family participation/family visits, etc.; will DCF
social workers provide social work/case management services? Social workers/case managers were not included in the staffing model.
Answer: All children have assigned DCF workers who provide services consistent with their role. Beyond that role, the group home is expected to provide the services.
14. Question: The RFP states that the awarded agency will cooperate with DCF
to garner federal reimbursement. Is it your expectation that a significant portion of the medical services, therapy services, and medical equipment will be picked up by insurance, etc.?
Answer: Private non-medical reimbursement will not be sought. IV-E Funding Reimbursement will be. The homes are fully grant funded and agencies should not be seeking reimbursement for services. Sub-contracted providers would bill directly to Medicaid, etc. for their services
15. Question: What type of ICD-9 codes would be used for reimbursement under
this type of medically complex group home setting versus a hospital setting?
Answer: This is not applicable as the providers have no billing role.
16. Question: What type of CPT-4 codes would be used for reimbursement under
this type of medically complex group home setting versus a hospital setting?
Answer: Again, the homes are fully funded; therefore, there is no billing role.
17. Question: Are these children covered under Medicaid or Medicare? If so, do you know what the reimbursement rates are under the hospital setting?
Answer: They’re covered under Medicaid, some also have commercial
insurance but primarily Medicaid. As the home is grant funded, reimbursement rates do not apply.
18. Question: It is our understanding that DSS will provide funding for renovations
to make home handicapped accessible for the elderly. Is there a similar program for the medically complex population? If so, is DCF collaborating with DSS to access these funds or would this be the responsibility of the agency awarded the contract?
Answer: We pay for renovations for individual homes at times, on a case by
case basis. And we’ve also done some work with handicap accessibility at times. We have not collaborated with DSS.
19: Question: The RFP states that reasonable capital requests necessary to support the provision of this service will be considered. What is reasonable? If requested, are the funds for capital cost included within the $1 million budget or is there a separate source of funds?
Answer: This is on a case by case basis and must be approved through our
Commissioner and through OPM. So, “reasonable” may change day to day, depending on availability of funds. It would be separate from the $1 million dollar budget.
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LEVEL III – MEDICALLY COMPLEX
GROUP HOME
REQUEST FOR PROPOSAL
April 20, 2007
State of Connecticut Department of Children and Families
TABLE OF CONTENTS
PROGRAM TITLE ..................................................................................................................................................... 5 OVERVIEW................................................................................................................................................................ 5 PROCUREMENT SCHEDULE .................................................................................................................................. 6 SOURCE OF FUNDS…………………………………………………………………………………………………………………………………………………..6 AMOUNT AND TERMS OF AWARD ........................................................................................................................ 6 DISPOSITION OF PROPOSALS .............................................................................................................................. 6 ELIGIBILITY .............................................................................................................................................................. 7 INSURANCE.............................................................................................................................................................. 7 AFFIRMATIVE ACTION ............................................................................................................................................ 7 TECHNICAL ASSISTANCE / BIDDERS CONFERENCE ......................................................................................... 7 LETTER OF INTENT & CONTACT PERSON........................................................................................................... 7 QUESTIONS.............................................................................................................................................................. 7 GRANT APPLICATION DEADLINE.......................................................................................................................... 8 MEDICALLY COMPLEX GROUP HOME– PURPOSE AND GOALS....................................................................... 8 BACKGROUND......................................................................................................................................................... 9 STAFFING PLAN REQUIREMENTS ........................................................................................................................ 9 LINKAGES AND CONTACTS................................................................................................................................... 10 ACCESS AND REFERRAL PROCESSING.............................................................................................................. 10 LENGTH OF SERVICE.............................................................................................................................................. 10 OPERATING HOURS................................................................................................................................................ 11 SERVICE ELEMENTS............................................................................................................................................... 11 TRANSPORTATION.................................................................................................................................................. 11 MODEL OF CARE..................................................................................................................................................... 11 CLINICAL SERVICES ............................................................................................................................................... 12 PEDIATRIC SERVICES………………………………………………………………………………………………………..12
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SERVICE SATISFACTION........................................................................................................................................ 12 GOALS ...................................................................................................................................................................... 13 OBJECTIVES AND PROPOSED PERFORMANCE MEASURES AND OUTCOMES.............................................. 13 FAMILY INVOLVEMENT........................................................................................................................................... 14 MULTI-CULTURALLY AND LINGUISTICALLY COMPETENT CARE..................................................................... 14 VISITATION............................................................................................................................................................... 14 SPECIAL REQUIREMENTS………………………………………………………………………………………………………………………...15 PRE-EMPLOYMENT SCREENING........................................................................................................................... 15 STAFFING MODEL ................................................................................................................................................... 15 STAFF SUPERVISION.............................................................................................................................................. 15 PRE & IN-SERVICE TRAINING ................................................................................................................................ 15 DATA REPORTING................................................................................................................................................... 16 SITING ....................................................................................................................................................................... 16 LICENSURE & CERTIFICATE OF NEED ................................................................................................................. 16 REVENUE MAXIMIZATION ...................................................................................................................................... 17 BUDGET & BUDGET NARRATIVE .......................................................................................................................... 17 POLICY AND PROCEDURE ..................................................................................................................................... 17 PREPARING A RESPONSIVE APPLICATON.......................................................................................................... 19 APPLICATION QUESTIONS..................................................................................................................................... 19 APPLICATION INSTRUCTIONS AND REVIEW INFORMATION............................................................................. 22 APPENDICES............................................................................................................................................................ 22 REVIEW CONTEXT................................................................................................................................................... 23 REVIEW PROCEDURE ............................................................................................................................................. 24 GENERAL PROPOSAL NOTICES AND REQUIREMENTS..................................................................................... 24 SAMPLE BUDGETS.................................................................................................................................................. 27
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SUBCONTRACT OR PROFILE ................................................................................................................................ 28 COVER SHEET ......................................................................................................................................................... 29 LETTER OF INTENT ................................................................................................................................................. 30 CONSULTING AGREEMENT AFFIDAVIT................................................................................................................ 31 SEEC FORM 10 ........................................................................................................................................................ 32 SEEC FORM 11 ........................................................................................................................................................ 34
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STATE OF CONNECTICUT DEPARTMENT OF CHILDREN AND FAMILIES
505 Hudson Street Hartford, CT 06106
REQUEST FOR PROPOSALS (RFP)
PROGRAM TITLE Medically Complex Group Home (Level III)
OVERVIEW The Department of Children and Families (DCF/Department) is seeking to qualify potential providers in anticipation of funding for one or more community-based group home for medically complex youth who would benefit from receiving intensive comprehensive services in a small structured, home-like setting. The requisite staffing model and budget have been proffered by the Department and are included within this RFP (please see respective sections). Applicants will need to address their ability to work within the established model, staffing and budget parameters; congruence with these items will be considered in the selection process. Although funds have already been approved for one home, it is possible that additional home will be approved for funding. Providers who respond to this RFP may be selected to begin negotiations on implementing a group home from June 30, 2007 through June 30, 2009. Thus, the Department is attempting to identify a pool of providers for this specialized category of youth. Providers will be selected in an on-going as-needed basis.
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PROCUREMENT SCHEDULE
RFP Development September 2006 RFP Published April 20, 2007 Questions submitted to be addressed at TA April 30, 2007 Technical Assistance (TA)/Bidder’s Conference May 2, 2007 at 1:00 p.m. Deadline for Receipt of Letter of Intent May 4, 2007 at 3:00 p.m. Deadline for Submission of Additional Questions May 4, 2007 at 3:00 p.m. Questions and Answers Posted to Website On or about May 11, 2007 Deadline for Receipt of Proposals June 1, 2007 at 3:00 p.m.
SOURCE OF FUNDS
The services contained within this RFP would be funded by state dollars contingent upon the availability of funds appropriated to be awarded to DCF based upon a competitive application process. At the time of issuance of the RFP, one medically complex Level III--Group Home has been approved for funding. The Department anticipates that funding for additional home may become available; however, funding is dependent upon appropriations available to the Department.
AMOUNT AND TERMS OF AWARD Funding for this program will be through grant funds. The home will be a four-bed home. The budget allotment for the home will be $1,001,968. The exact funding for the home will depend on the point during the fiscal year the home becomes operational; legislative actions that impact funding, and, occasionally individual circumstances regarding a specific population, property or need, may change the funding as well. Applicants are asked to submit a budget for start-up funds in addition to an annual budget. Grant funded group homes have typically been allotted $91,590 for start up. Applicants should utilize this figure and provide budget and narrative detail for additional costs that may be necessary specifically related to this medically complex home.
DISPOSITION OF PROPOSALS The Department reserves the right to reject any and all proposals, or portions thereof, received as a result of this request, or to negotiate separately any service in any manner necessary to serve the best interests of the Department. The Department reserves the right to contract for all or any portion of the scope of work contained within this RFP if it is determined that contracting for a portion or all of the work will best meet the needs of the Department.
ELIGIBILITY The successful applicant(s) will be an organization in good standing with the State of Connecticut. This shall mean that the Applicant and proposed subcontractors are not currently and have not been subject to DCF, Department of Mental Retardation (DMR), or other state agency licensing restriction, nor may the Applicant have had a program terminated within the last year due to quality of care or other agency performance issues. A current investigation of Medicaid fraud or a judgment involving Medicaid fraud within the past five (5) years also excludes a provider from participation. Proposals from applicants who appear on the United States General Services Administration Excluded Parties List will not be considered.
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INSURANCE The contractor will carry insurance (liability, fidelity bonding or surety bonding and/or other) during the term of this contract according to the nature of the work to be performed to “save harmless” the State of Connecticut from any claims, suits or demands that may be asserted against it by reason of any act or omission of the contractor, subcontractor or employees in providing services hereunder, including but not limited to any claims or demands for malpractice. Certificates of such insurance shall be filed with the Department prior to the performance of services.
AFFIRMATIVE ACTION All awarded agencies will be required to submit an affirmative action plan prior to the execution of a contract. It is not necessary for Applicants to submit an affirmative action plan at the time of the response. As part of the contract preparation process, the successful applicant will be expected to submit information related to compliance with non-discrimination requirements and any other required state and federal regulations.
TECHNICAL ASSISTANCE/BIDDERS CONFERENCE
A non-mandatory Technical Assistance/Bidders Conference is scheduled for:
Date: Wednesday, May 2, 2007 Time: 1:00-2:30 p.m.
Place: DCF Central Office—7th Floor Large Conference Room 505 Hudson Street Hartford, CT 06106
NOTE: Copies of the RFP will not be available at the Technical Assistance (TA) meeting. Applicants are asked to bring a copy of the RFP with them to the TA for reference.
LETTER OF INTENT & CONTACT PERSON A non-binding Letter of Intent is required; no application for funding will be accepted from any bidder who has failed to submit a Letter of Intent within the specified time frame. Letters of Intent should be directed to and received by the contact person noted below by 3 p.m., eastern daylight time, on May 4, 2007. Faxed copies or emailed copies of the Letter of Intent will be accepted.
Elizabeth D’Amico Department of Children and Families
505 Hudson Street Hartford, CT 06106
Phone: 860-550-6535 Fax: 860-566-8022 email: Liz.D’[email protected]
QUESTIONS Questions concerning this RFP that proposed Applicants would like to have answered at the above-mentioned Technical Assistance meeting/ Bidders’ Conference must be directed by email to Elizabeth D’Amico at Liz.D’[email protected] no later than April 30, 2007 at 3:00 p.m.. Answers to questions about this RFP will be responded to only at the Technical Assistance Meeting and through the prescribed electronic “Question and Answer” method and period. Subsequent questions regarding the RFP and its content must be received by 3 p.m., May 4, 2007 via
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email directed to Ms. D’Amico following the technical meeting. The Department will post responses to these questions on its website (www.state.ct.us/dcf) approximately May 11, 2007.
GRANT APPLICATION DEADLINE The contact person (see below) must receive one (1) original and ten (10) copies of the application. The copies must be received by June 1, 2007 no later than 3 p.m. eastern daylight time at the following DCF location (See also “Application Instructions” section):
Elizabeth D’Amico, LCSW DCF – Behavioral Health, Medicine and Education (BHME)
505 Hudson Street Hartford, CT 06106
Each copy must be complete, collated, and ready for reviewers. Please clip submissions; do not utilize binders please. Please note that faxed and electronic versions of the responses will not be accepted. Also, no responses will be accepted for review after the due date and the time stated above.
MEDICALLY COMPLEX GROUP HOME
PURPOSE and GOALS
Over the past decade or more, DCF and its provider partners have been struggling with an increasing number of children and adolescents with complex medical presentations. Included are youth with medical complications requiring intensive supports who often remain in institutional settings longer than necessary or optimal due to the lack of community-based options. The Department is committed to developing community settings with appropriate medical supports to allow these children and adolescents to live in settings as normative as possible, given their individual challenges. The home being developed is for children and adolescents with the highest complexity of medical needs.
The development of a community-based medically complex group home is one step in attempting to meet the needs of some of these youth. This group home will expand and enhance the continuum of care, allowing for greater flexibility to meet the needs of youth in their communities, whether their symptoms become more acute and they need a more structured facility or they become more stable and are able to transition to increasingly natural settings. Ideally, all children will be able to move into family settings at some point during their development. However, particularly where 24-hour nursing care may be required, these settings may be a long-term alternative in lieu of that option or as an antecedent to that option.
Medically complex group homes are community-based programs intended to serve children and youth who have intensive medical needs and require 24-hour nursing attention. The home will be co-ed, and conceptualized like a family in that children may be placed as young as three years of age and—if necessary—remain in the home until 21. This will maximize relationships, both within the home and with community care-takers, and improve the knowledge base of those caring for the youth around their particular needs. There may be mixed ages in home, just as in a family setting (i.e., children and adolescents together). Care will be taken to assess needs of each child and ensure that their specific developmental and care needs are met.
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The medically complex group home is a structured home-like setting with staffing, clinical services and therapeutic support and guidance offered 24/7. It provides an intensive treatment program in a home-like environment that creates a physically, emotionally, and psychologically safe milieu for children or adolescents with complex medical needs. The community-based Level III medically complex group home should be indistinguishable from other homes in the neighborhood.
BACKGROUND
Most of the youth that will populate this home will come from hospital settings. The group home within this service array is designed to enhance the existing set of treatment options that will provide Connecticut’s most medically vulnerable youth with stability within the context of a permanent environment that is community based, least restrictive and responsive to medical, clinical and cultural needs. While these youth manifest a number of symptom constellations, their commonality tends to be medical complexity. Thus, it is important that the home is equipped to deal with all medical and clinical aspects of these youths’ care. This includes, but may not be limited to: adaptive equipment, adjunctive services to reach and maintain optimal functioning across domains (e.g., occupational therapy, physical therapy, recreational therapy, respiratory therapy, speech therapy). The home is meant to provide an alternative setting for youth to develop, in the absence of available family settings, and live and thrive throughout their development or until such time as an appropriate family setting becomes available. The proposed medically complex level III group home being developed by the Department will serve youth who present with a wide range of cognitive abilities, ages, concomitant behavioral health issues, and child protective service histories. The common theme is that the youth present with the challenge of a medically complex issue. All youth who reside in this home will be identified by the Department consistent with a no-unilateral reject—no unilateral eject contract requirement. The youth referred to this home will be screened by the Director of Pediatrics for appropriateness and carefully reviewed with the provider for “fit.” The goal of the home is to provide a stable environment which can accommodate and respond to transitions and is sensitive to developmental changes as well as providing treatment and appropriate medical care. It is expected that each group home should establish formal, effective and responsive protocols to facilitate smooth, timely transitions for youth to (and from) more structured facilities, generally hospital settings.
STAFFING PLAN REQUIREMENTS Program Director/RN: The RN Program Director is responsible for the coordination, implementation, and operation of the program. This individual is on call 24 hours a day/7 days per week. The Director manages the daily operations of the program and interfaces with community agencies including, but not limited to, DCF; DMR; medical providers; schools; after-school programs; legal representatives; cultural agencies; religious and spiritual agencies; as well as families in coordinating the treatment plan for the youth. The Director will be in close frequent communication with each youth’s primary care physician, specialty physicians and consultants, Area Office worker, and Area Office medical staff. The Director provides part of the RN coverage for the home during some day time shifts, supervises the nursing staff, and coordinates the supervision of the para-professional staff. The application should include plans for how the home intends to provide coverage for the Director during planned and unplanned absences. The Director will coordinate intakes and assist in clinical assessments as needed. He/she will be responsible for all hiring in the program and will work with other designated personnel to ensure that there is adequate staffing in the home at all times. They will conduct regular individual and group supervision of all staff and maintain all quality assurance of the program.
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The Director will be a Registered Nurse licensed in Connecticut with significant experience in working with children with special health care needs and the continuum of their care requirements. They will have a minimum of five years’ experience working with medically complex children/adolescents and have experience in administrative management and staff supervision. Registered Nurses: The staffing plan requires one registered nurse per shift: in other words, an RN must be present at all times in the home. The Director will fill the requirement for first shift, school days. It is expected that these individuals will need to have significant experience in working with the medically complex population and cannot be expected to “train up” to the population after hiring. It is anticipated that they may need to be recruited at a higher salary range than is typical for other RNs in many Department contract positions due to the level of specialization. The response should include plans for how the home will insure that there will be RN coverage for all shifts secondary to planned and unplanned staff absences. Certified Nursing Assistants (CNAs): The staffing ratios will allow for one direct care staff on when youth are in school, as many as three on when they are home and not at school, and one on at overnight (plus the RN) while youth are sleeping (staff are awake staff). Ideally, the CNAs have experience in working with children and adolescents. Consultants: The following categories of individuals should be provided within the group home to ensure that all youths’ variety of needs are addressed: occupational therapist; physical therapist; respiratory therapist; recreational therapist; behaviorist; speech therapist. While it is likely that many of these services will be provided for these youth through their Individualized Education Plans (IEPs), it is probable that many of the youth will lose function if the services are not continued over from the educational setting into the residential domain. In some cases, OT, PT, respiratory therapist, and speech therapist may be reimbursable through the children’s insurance coverage. However, the behaviorist and recreational therapist would need to be under contracted arrangements with the group home.
LINKAGES AND CONTACTS Strong and effective linkages with a full continuum of programs and services will be critical to the success of Medically Complex Therapeutic Group Home. Without the linkage to community services and supports, the creation of new beds will do little more than shift the problem of overstays in residential treatment centers to Therapeutic Group Home.
ACCESS AND REFERRAL PROCESSING Applicants can anticipate admissions to this program through the Department of Children and Families. Referrals will be coordinated through the Administrative Service Organization and the Director of Pediatrics. Applicants must agree to a no unilateral reject-no unilateral eject contract requiring for referred children/youth who meet the criteria established for program eligibility established above. Applicants must detail their protocol to transition children/youth into the Group Home setting.
LENGTH OF SERVICE Length-of-stay will vary markedly depending on the individual needs of the child or adolescent. It is expected that planning be done of a highly individualized nature. The Department, however, recognizes that a flexible approach to length of stay may be necessary to accommodate the treatment goals and to facilitate planful transitions to a less
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restrictive level of care; accordingly, the Department will approve modification to this length of service on a case-specific basis.
OPERATING HOURS Group Home will be in operation 24 hours a day, 7 days a week.
SERVICE ELEMENTS All Group Home providers will be expected to provide a range of services that include but are not limited to:
Health (medical, mental, dental and vision), nutrition and wellness promotion Educational and academic support, guidance and assistance Vocational/career guidance and linkages Advocacy resources Independent Living Skills Development, including cooking, shopping and money management (based on
each child’s capacities) Hygiene and Grooming Social support and skill development/enhancement Friendships Social rehabilitation Personal enrichment Information and knowledge acquisition Recreation & Spiritual Activities Physical Activities Mentoring (peer and adult)
Applicants should address each of the above components, setting forth how they will provide and integrate these elements into the daily therapeutic milieu. Applicants must describe how they will ensure that children’s cultural and linguistic needs will be addressed within the aforementioned service elements. This includes providing opportunities for the children to experience and maintain traditions, food and activities that are integral to their culture and heritage. In addition, the successful applicant will be attentive to the daily and routine hair and skin care needs of racially diverse children and youth. Applicants’ budgets must demonstrate a nexus with these service components.
TRANSPORTATION The program will have a means for providing group transportation to youth on occasions such as group outings; and will provide individual transportation on occasions such as meetings, visitations, evening school activities, etc., when public transportation is unavailable or would be unsafe. The program should provide for access to specialized vehicles to meet the particular needs of the children. The Applicant will detail their plan to ensure and/or provide safe transportation for children/youth served in the program. Plans for assisting families, as appropriate and necessary, with transportation to support their active involvement in the program must also be provided.
MODEL OF CARE The applicant must propose a best practice strategy for serving the targeted population, including defining the proposed approaches, intensity and frequency of the identified treatment model(s), and rationale for selecting said model(s). Evidence of the approaches’ effectiveness (e.g., literature/research citations) for the target population is to be included. The successful applicant will demonstrate the ability to serve children and youth within the target population who have significant medical needs and who may also have experienced physical abuse, sexual abuse,
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neglect, loss, separation, and significant trauma. The model that is predicated must be based upon a principle of no unilateral reject – no unilateral eject.
CLINICAL SERVICES
The successful applicant for a Medically Complex Therapeutic Group Home will articulate a clinical model that is comprehensive, age and developmentally appropriate treatment to the target population. Each child/youth entering the Medically Complex Therapeutic Group Home must have a comprehensive, multidimensional assessment within 30 days of admission. This assessment will cover the medical, psychological, education, socio-emotional and legal needs of the child. It will be strength and resiliency-based and include a review of previous placement and treatment histories, pre-dispositional materials, including any clinically focused assessment. Medically Complex Therapeutic Group Home providers may be required to use standardized assessment tools to evaluate and collect baseline clinical data on each child/youth entering the program. In addition, ongoing assessment, through routine and regular observation of the child/youth shall occur. These assessments shall assist with the development of an individualized medical treatment and behavioral management plan. Minimum clinical service expectations, as informed by a comprehensive global assessment of the child/youth, are as follows:
Intensive, structured daily programming, 7 days a week Actual medical treatment as prescribed Therapeutic supports and approaches to enhance normalized activity Child Specific Nursing Care Plans Substance Abuse treatment/counseling Coordinated care management Assistance with daily living skills Psychiatric evaluations Medication management Behavior Management and modification Trauma informed treatment Psychological testing, as needed Psycho-educational interventions On-going health assessments and progress evaluations per standards of care for specific illness/disability
for each child • Implementation of medical treatments as ordered by licensed practitioner • Access to physical examinations per American Academy of Pediatrics guidelines Comprehensive transition planning Client specific interventions Rehabilitative services as appropriate Recreational therapy as appropriate Physical therapy as needed Occupational therapy as needed Speech therapy as needed
SERVICE SATISFACTION
A child or youth’s wishes, interests, goals, freedom and autonomy should be respected and cultivated. Medically Complex Therapeutic Group Home will be attentive to the needs of the children and families served. Applicants shall detail a mechanism to collect and formally address substantive issues that may be revealed and to measure both client and family satisfaction with the program. As part of their ongoing Quality Assurance efforts, providers will be
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expected to administer to the children/youth with complex medical needs served, an age appropriate satisfaction survey. The Department will work with the successful applicant(s) with respect to the tools and/or measures that will need to be used.
GOALS The Group Home is focused on providing the identified children/youth with a mix of medical, supportive and clinical interventions within a home-type environment that will promote their successful transition home, foster care or transitional living with additional therapeutic support (i.e., Family Support Team, Assisted Living, Care Coordination, Extended Day Treatment). The Department is seeking programming that integrates the psychological, medical, emotional, spiritual physical, and educational needs of the children/youth served into a comfortable, pleasant, safe, trauma informed, developmentally, and medically appropriate and culturally competent treatment environment. Proposed objectives and outcomes for this service are identified below. Additional objectives and outcomes may be required at the time of contracting.
OBJECTIVES AND PROPOSED PERFORMANCE MEASURES AND OUTCOMES
OBJECTIVES A. Children/youth served will be provided with
services to enhance their maximal level of functioning.
B. Group home staff will work with the community to remove the barriers that prevent the children/youth from participating in normal age-appropriate activities.
PROPOSED OUTCOMES A1. 100% of the children/youth will receive services
including physical therapy, occupational therapy, speech/language, and other enhancement activities recommended by their providers.
A2. 100% of children/youth will have care plans
designed to maximize their level of functioning developed in collaboration with a medical home, DCF personnel, and appropriate local education authority.
A3. 100% of children/youth will be connected to a
permanent /long-term family or natural support as measured by treatment planning attendance sheets, visitor logs, completing of treatment goals and transition plans.
B1. 85% of children/youth served will participate in
age appropriate activities outside of the home. B2. Group home staff will meet with at least two
community providers quarterly to explore opportunities for participation of group home residents in community activities.
B3. 100% of children/youth will have plans for
community integration and transitional planning included in their comprehensive treatment.
B4. 85% of children/youth will have these plans
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C. Nursing care provided will reflect current best practices in pediatric care.
reviewed twice per year. B5. 100% of children/will achieve educational and/or
vocational success as measured by school attendance records, progress notes, and report cards.
C1. Review of the group home will find effective
infection control practices. C2. Nurses will demonstrate practice and procedures
consistent with national standards. C3. 100% of children/youth will have an identified
medical home.
FAMILY INVOLVEMENT Family participation in all aspects of treatment as appropriate will be strongly encouraged and expected. For the well being of the child, if there are clinical or legal considerations that would impact family participation, all efforts to understand and overcome any barriers will be explored. The applicant will describe how they will facilitate meaningful family involvement in the treatment plan development and care approach for the children/youth to be served.
MULTI-CULTURALLY AND LINGUISTICALY COMPETENT CARE As with family participation, a point of emphasis for the Medically Complex Therapeutic Group Home is the ability to provide culturally and linguistically competent services. Applicants must describe how they will ensure that children’s cultural and linguistic needs will be addressed within the service model. This includes providing opportunities for the children to experience and maintain traditions, food and activities that are integral to their culture and heritage. In addition, the successful applicant will be attentive to the daily and routine hair and skin care needs of racially diverse children and youth. Applicants’ budgets must demonstrate a nexus with these service aspects. Applicants are to describe how they will infuse cultural and linguistic competency into the service approach and daily programming. Applicants should detail how multi-cultural competence will be included in treatment/service planning, discharge planning, case reviews, analysis and review of program data, and staff supervision. Applicants must set forth how they will meet the linguistic needs of children and families that may be served by the program. Please describe your organization’s efforts and achievements in providing culturally and linguistically competent care and your experience in successfully providing services to a diverse population. Describe any internal quality improvement process you may utilize to evaluate the cultural competence of services that you provide.
VISITATION On an individual basis, informed by clinical judgment and the child’s/youth’s treatment plan and protective service stipulations, children/youth involved in the program will have visitation with family, friends, and others to enhance
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community connections and, whenever possible reunification goals. Applicants will submit their proposed plan and structure to support visitation during the course of emergency triage and care.
SPECIAL REQUIREMENTS The following special requirement shall apply to children receiving care through the services outlined in this RFP: Children who speak a language other than, or in addition to, English shall be allowed to communicate in that language (including American Sign Language, deaf or hearing impaired) and shall be provided with adequate opportunities to participate in cultural, religious and educational activities in and/or from their ethnic community. Providers will assure that children and their families will have agency-provided access to services in their preferred language.
PRE-EMPLOYMENT SCREENING The Contractor shall screen all potential hires by obtaining verified criminal records and screening children’s protective service histories for any convictions and for child abuse or neglect substantiations.
STAFFING MODEL The successful candidate(s) must set forth a plan to recruit and retain professional and para-professional staff that are culturally and linguistically competent and diverse (see also section: Multi-culturally and Linguistically Competent Care). Assessment, crisis intervention, and active treatment services will be available daily for children and youth. Staff must have the ability to provide services to all eligible participants, regardless of English language limitations or being non-verbal. While the successful applicant must provide for the most common languages, it may be necessary to make special arrangements for interpretive services to communicate with those speaking less frequently encountered languages and those who require speech adaptation. Medically Complex Therapeutic Group Home staff must demonstrate the following:
• Experience providing direct services to diverse populations • Multi-lingual capabilities (relevant to community served) • Shared cultural, linguistic or experiential backgrounds
Describe your current policy and process to recruit, hire and retain staff that represents the cultural and linguistic needs of the populations that you serve.
STAFF SUPERVISION Applicants must detail the supervisory structure of the program and include a plan for direct and clinical supervision of program staff.
PRE & IN-SERVICE TRAINING
Applicant must detail a plan to provide pre-service training to all direct service employees, interns or volunteers during their orientation period and prior to the provision of any direct service. This plan should set forth the types and topics of training that staff will receive on a pre-service basis. Applicants must also set forth the types and frequency of in-service training that will be provided to the Medically Complex Therapeutic Group Home staff.
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DATA REPORTING Group Home providers will be expected to submit ad hoc and monthly data, and restraint and seclusion data to the Department or its designated Administrative Services Organization. These data may include, but will not necessarily be limited to the following:
Demographic Information (e.g., name, date of birth, gender, race, ethnicity, town of origin, DCF status, prior placement setting, and admission date);
Clinical and Diagnostic Information (e.g., diagnosis, anticipated length of stay, targeted behavior, level of functioning, scores from standardized clinical tools, etc.);
Utilization Data (number served, referral source, average length of stay in Therapeutic Group Home for those admitted and those not admitted, readmission rates, etc.)
Treatment Progress Data (e.g., degree of resolution of presenting problems, level of stability/improvement obtained, Improvement on Global Assessment of Functioning and/or other Standardized Scale);
Transition/Discharge Information (e.g., reason for discharge; transition/discharge placement setting, reason for any transition/discharge delays; level of improvement for targeted behaviors);
Fiscal data (include Medicaid reimbursement) Incident reports; and Restraints and seclusions Medical incidents and hospitalizations
Much of the data reporting will likely occur through an electronic/computerized format. The Department will work with the successful applicant(s) in determining the format and frequency for regular and ad hoc data submissions.
SITING
The Medically Complex Level III –Group Home must be located in a residential community. Due to the particular needs of these youth, this home should be sited close to major hospital systems of care. The Department reserves to the right to designate particular areas of the state that are preferable for development, in order to balance out the service system needs. It is the expectation of the Department that this home will be indistinguishable from other home in community neighborhoods. Although applicants do not have to have sites secured at time of response, preference will be given to those applicants who have a site, with next priority given to those who adequately describe a plan to procure a site (through rental or purchase). If an applicant receives an award off of this RFP and is unable to procure a site within 90 days of initial negotiations, the Department reserves the right to cancel the award, and award the contract to another Applicant.
LICENSURE & CERTIFICATE OF NEED Prospective contractor, employees and agents must comply with all federal, state and local statutes, regulations, codes, ordinances, certifications and/or licensures applicable to fully executed Group Home contract and contract related service(s). Licenses will be issued by the Department of Children and Families and/or other appropriate State departments.
REVENUE MAXIMIZATION The awarded agency will be expected to cooperate with Department efforts to garner federal reimbursement.
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BUDGET & BUDGET NARRATIVE As noted above, this RFP utilized established models and staffing. The Department has developed sample model budget for Medically Complex Therapeutic Group Home that should be used by Applicants as starting points. The budget is for a four-bed home, the Department’s preferred size home. The Model budget outlines exactly what the Department is seeking to purchase; proposals with budgets that significantly exceed the available dollars in the model promulgated will be competitively disadvantaged in the selection process, and proposals that significantly alter the Model may be viewed as non-responsive. We recommend that:
The number and type of staff not be changed; if changes are proposed, the scope and rationale for specific changes must be clearly articulated and justified;
The salary amounts may be changed; The budget total should not be exceeded; if exceeded, the scope and rationale for specific changes must be
clearly articulated and justified; Other line items may be changed as long as all items are covered
Applicants are expected to submit a sample budget to display how they will meet the parameters of the model budget and staffing requirements. Applicants who submit budgets within or below the promulgated parameters will be given priority in the selection process insofar as cost-effectiveness is of considerable importance to the Department. Applicants’ submissions must detail the following elements:
1. Proposed, reasonable capital requests necessary to support the provision of this service. DCF will also consider use of funds from this RFP to assist with the purchase of technology needed to support the provision of the proposed service/program. The budget narrative must detail your agency’s request to use DCF funds for capital and technology purchases. In particular, the Budget Narrative must include a breakdown of costs, and number and types of technological related items to be purchased. (e.g., adaptive equipment, computers, software, printers, PDAs).
2. An annualized program-operating budget, as detailed by your budget narrative, based on DCF funding,
projected third party payments and other funding and in-kind contributions. The budget narrative should clearly set forth expenses and income sources above and other than that from DCF.
POLICY AND PROCEDURE
Policy and Procedures (P&P) are likely to drive the successful operationalization of the Medically Complex Therapeutic Group Home. Prior to program implementation (but not as part of the application materials) each Group Home will be expected to develop and submit for review, a policy and procedure manual that includes but is not limited to the following:
• Registration Process • Process of Medical Clearance • Admission Process, including permission to treat and releases • Medical Records, HIPAA Guidelines • Security Policy, including Searches • Management of Medical Emergencies • Infection Control • Emergencies
o Power outages o Weather Related o Fire/Evaluations
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• Restraint and Seclusion Processes • Care and Cleaning of Medical Equipment • Levels of Observation • Management of Clothing and Valuables • Child Abuse and Neglect Evaluation and Reporting • Staff Training and Supervision • Phone Calls and Visitors • Patient, Family, Stakeholder Satisfaction • Daily Schedule • Infection Disease Clearance and Management of Infectious Diseases • Medical Care of residents • Medication Procedures • Discharge Process • Aftercare • Medical Record Retention and Storage • Quality Assurance and Critical Incident Review • Statistical Records and Reports • Patient Rights • Patient Complaints • RN Coverage • Pediatric oversight and Partnering with Specialty Care Providers • Medical Equipment/Orthotics/Beds • Hygiene/Oral Care • Feeding Procedures • Mobility Procedures • Treatment Procedures:
o Tracheotomy care o GT care o Dressing Care
As part of the application, please submit a copy of policies and procedures, table of contents and samples of the three (3) Policies that are identified above in bold and underlined type. No individual policy should be longer than three pages.
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PREPARING A RESPONSIVE APPLICATION
Applicants will note that a variety of questions and submission requirements have been included through the RFP. These questions and submission requirements are repeated below. Applicants must review the RFP in total to ensure that these required questions and response elements are adequately and sufficiently addressed based upon the context of the respective service(s) and sections within this guidance. Further, some sub-sections with the RFP do not articulate a specific question to be answered. Instead, they might include information about how a particular process will occur (e.g., referrals, length of service, hours of operation, etc.) In such instances, Applicants, at a minimum, shall note their willingness to comport with those expectations. It is encouraged, however, that Applicants will elucidate on any plans and/or structures they will implement to ensure compliance with any such expectations. Applicants should carefully read and familiarize themselves with the section titled “APPLICATION INSTRUCTIONS and REVIEW INFORMATION’. This section details the format and the appendices requirements. The Department has the right to reject submitted applications that do not conform to these requirements.
APPLICATION QUESTIONS The section immediately below lists all the questions to which Applicants must respond in their submission. It is strongly encouraged that these questions are answered within the context of the information contained in each sub-heading from which it has been taken. There is often additional detail with the sub-heading sections that explicates the breadth and depth of information that a successful Applicant will provide. Applicants must address the following questions and provide the following information within their submission. Applicants should review these questions and requests within the context of the corresponding sections within the RFP to better ensure that the submitted answers and information fully address the components of this guidance.
1. Provide an overview of your organization including years in operation, mission, philosophy, vision, experience providing emergency psychiatric services, activities to support DCF and Connecticut Community KidCare objectives, current range of services the organization provides and the resources that would be brought to Medically Complex Therapeutic Group Home.
2. Describe the organization’s history of providing service to medically complex children and/or adolescents. 3. Describe the organization’s history of providing service to low income and vulnerable populations. 4. Describe the organization’s approach to providing out-of-home services to children, youth, and their families.
Provide an example of how the organization has provided the service. 5. Provide evidence of your organization’s experience in providing behavioral health service to children and
adolescents and their families, representing the full age range and levels of problem severity. 6. Provide an organizational chart and identify key managers by name and attach resumes of identified
managers. (Appendices 2 and 3) 7. Please identify the proposed location of the Medically Complex Therapeutic Group Home (if known) and
include any drawings, floor plans, or other detailed descriptions of the space. Please identify your plan to procure property and ensure that it meets RFP goals.
8. Describe the organization’s plan for meeting the linkage and contact requirements outlined in the RFP. Please be sure to indicate how the Provider will guarantee access to the services and contacts within the required time frames. Also, provide copies of any Memoranda of Agreement or subcontracts you intend to utilize in delivering the Group Home. (See the LINKAGES and CONTACTS section for a list of the required memoranda).
9. Applicants must detail their plans to transition children/youth into the Group Home setting. 10. The applicant must propose a best practice strategy for serving the targeted population, including defining
the proposed approaches, intensity and frequency of the identified treatment model(s), and rationale for
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selecting said model(s). Evidence of the approaches’ effectiveness (e.g., literature/research citations) for the target population is to be included. A model that is predicated upon a principle of no unilateral reject – no unilateral eject must be provided.
11. Provide a plan for how the organization will provide and integrate all of the service elements described in the RFP.
12. The Applicant will detail their plan to ensure and/or provide safe transportation for children/youth served in the program. Plans for assisting families, as appropriate and necessary, with transportation to support their active involvement in the program must also be provided.
13. Please describe your organization’s plan for family involvement in the delivery of service including the proposed role and context for family involvement. In particular, the applicant will describe how they will facilitate meaningful family involvement in the treatment plan development and care approach for the children/youth to be served.
14. Describe how the organization will handle family and “other” visitation while children and adolescents are being served in the Therapeutic Group Home.
15. Describe your current policy and process to recruit, hire and retain staff (both professional and paraprofessional) that represents the cultural and linguistic needs of the populations that you serve.
16. Describe how you will infuse cultural and linguistic competency into the service approach and daily programming, including non-verbal children. Applicants should detail how multi-cultural competence will be included in treatment/service planning, discharge planning, case reviews, analysis and review of program data, and staff supervision. Please describe your organization’s efforts and achievements in providing culturally and linguistically competent care and your experience in successfully providing services to a diverse population.
17. Applicants must detail the supervisory structure of the program and include a plan for direct and clinical supervision of program staff on all shifts.
18. Applicants must set forth how they will meet the linguistic needs of children and families that may be served by the program.
19. Please describe any current quality assurance process used to evaluate/improve the level of cultural and linguistic competence of your service delivery.
20. Please identify the racial/ethnic, gender and town of residence breakdown of your board of directors. (Appendix 4)
21. Describe the organizations plan for pre-service and ongoing in-service training for all group home staff and volunteers, including all training required prior to staff being authorized to provide direct care. Be specific regarding the duration, intensity and frequency of training requirements.
22. Describe your information systems infrastructure, including the hardware, operating system and software that the organization has. Be sure to document that the organization is running, at a minimum, the Windows 98 Operating System and that they have the capacity for word processing, spreadsheet creation, and database development and data analysis.
23. Provide a description of how the organization will meet all DCF data submission requirements including the ability to provide accurate, timely, and complete computerized records of unduplicated counts of children and youth served.
24. Describe your method of collecting and utilizing client and family satisfaction data for performance improvement. Indicate, how, when and with what tools or methods client satisfaction will be assessed.
25. Provide evidence of sound fiscal management processes, fiscal stability, and the ability to manage public contracts, public grants, and third party reimbursement systems.
26. Describe any existing or proposed policy and procedure relevant to the Medically Complex Group Home. Provide samples of the three policies and procedures identified in bold and underline type. (See also Section: POLICY and PROCEDURE) (Appendix 10)
27. If your agency has been or is involved in the development of any Level II or III Group Home, please identify any delays in opening with specifics as to the timeframe and reasons for same.
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28. If your agency has been or is involved in the development of any Level III Group Home, please include your occupancy level since receiving a license for the full planned complement of beds. If occupancy is less than 85%, please describe reasons and plans to address issues preventing full occupancy.
29. Please describe your plan for using in-home resources such as occupational therapy, physical therapy, speech therapy, etc.
30. Please describe how your organization with meet routine, urgent, and emergency medical needs of the children.
31. Please describe how your system will provide for pediatric services for children whose condition limits/precludes their ability to be transported to clinical providers.
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APPLICATION INSTRUCTIONS and REVIEW INFORMATION
INSTRUCTIONS FOR COMPLETION Submitted applications must conform to the following format requirements:
Page Limit 40 (excludes Cover Page, Table of Contents, Application Budget, Application Budget Narrative, and Appendices)
Client Encounter Data, census and demographic information (Appendix 9)
1 page limit
Policies and Procedures (Appendix 10) 15 page limit Font Size 12 pt Paper Dimensions 8.5 x 11 Margins 1 inch all sides Line Spacing Double
1 original plus 10 copies of each application is required.
APPLICATION FORMAT Note: Applications should be packaged with the information in the order as follows: (not in binders, please)
1. Cover Sheet 2. Table of Contents 3. Application Questions 4. Application Budget 5. Application Budget Narrative 6. Appendices (see below)
Please ensure that all pages are numbered.
APPENDICES The following appendices must be included with the proposal:
Appendix 1 Letters of Agreement/Memorandum of Agreements and Understanding* Appendix 2 Resumes & Job Descriptions Appendix 3 Organizational Structure/Chart Appendix 4 Board of Directors (annotated with race/ethnicity, gender and town of residence) Appendix 5 Subcontractor Profile Form(s) Appendix 6 Current certificates of accreditation or licensure Appendix 7 Certificate of Incorporation Appendix 8 Client Encounter Data, Census information and community demographics Appendix 9 Policies and Procedures Appendix 10 Floor plans and/or Architectural plans (optional) Appendix 11 Consulting Agreement Affidavit** Appendix 12 Campaign Contribution Ban Form SEEC 10 **
Please note: Attachments other than those appendices defined above, are not permitted. In addition, these appendices are not to be used to extend or replace any required section of the application.
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* Letters of Agreements are defined as documents setting forth the concrete service(s) (e.g., Staff, Training, Space, etc.) in which an agency, organization or individual will be providing for the proposed TGH program. Letters of Support are not to be included. Point deductions may occur for the inclusion of Letters of Support or their being embedded within a Letter of Agreement. **Submissions lacking these two, properly executed, affidavits will not be reviewed.
REVIEW CONTEXT The review of the applications will be standardized, but not limited to the following elements Please
see the DCF websites for a Bidders’ Checklist
A. The applicant demonstrates the ability to provide effective care to children and families in a clinically necessary and appropriate, strength-based, family-focused, and culturally competent manner.
B. The proposal clearly and satisfactorily addresses how the applicant will provide the services described in the
RFP.
C. The applicant has clearly and satisfactorily described how all the service management requirements listed in the RFP will be addressed.
D. The applicant has submitted realistic and cost effective budgets that includes accurate listing of all program-
funding sources, as stipulated in the RFP. Although the sample budgets can be exceeded, as outlined on page 22 above, preference will be given to applicants who can demonstrate a quality and cost effective budget consistent with the programmatic and budgetary model promulgated.
E. Applicant’s agency structure is sufficient to support the proposed program by providing adequate
administrative support and supervision.
F. Applicant can demonstrate the organization’s ability to develop and maintain staff who are culturally and linguistically reflective of the population(s) to be served.
G. Applicant can demonstrate an ability to work effectively with DCF, other state agencies, Community
Collaboratives, schools and other traditional and non-traditional community providers.
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REVIEW PROCEDURE The Department is under no obligation to award the contract to the applications with the highest scores or, for example, the proposals offering to provide the service at a lower amount than other applicants. The review panel may use numerical point measures as a guide, but these measures are not binding on the review panel. The recommendations of the review panel are based on a wide range of considerations and are not limited to point weight score or the relative costs of the proposals. The goal of the Department is to procure the highest quality services in the most fiscally responsible way. Following the final selection, a contract will be negotiated and developed with the applicant(s) that details the program structure, services, budget, rate, performance based criteria and reporting requirements. No financial obligation by the State can be incurred until a contract is fully executed.
GENERAL PROPOSAL NOTICES AND REQUIREMENTS A. Evaluation and Selection It is the intent of the Department to conduct a comprehensive, fair and impartial evaluation of proposals received in response to this procurement. Only proposals found to be responsive to the RFP will be evaluated and scored. A responsive proposal must comply with all instructions listed in this RFP. Responsive proposals shall remain valid for possible award by the Department for a period of up to 12 months after the RFP’s closing date. B. Contract Execution The pursuant contract developed as a result of this RFP is subject to Department contracting procedures, which includes approval by the Office of the Attorney General. Please note that contracts are executory and that no financial commitments can be made until, and unless, the contracts are approved by the Attorney General. C. Applicant Debriefing The Department will notify all applicants of any award issued by it as a result of this RFP. Unsuccessful applicants may, within thirty (30) days of the signing of the resultant contract, request a meeting for debriefing and discussion of their proposal by contacting the DCF Contact Person. Debriefing will not include any comparisons of unsuccessful proposals with other proposals. D. Conditions Any prospective applicants must be willing to adhere to the following conditions and must positively state them in the proposals:
1) Conformance with Statutes: Any contract awarded as a result of this RFP must be in full conformance with statutory requirements of State of Connecticut and the Federal Government. 2) Ownership of Subsequent Products: Any product, whether acceptable or unacceptable, developed under a contract awarded, as a result of this RFP is to be sole property of the Department unless stated otherwise in the RFP or contract. 3) Timing Sequence: Timing and sequence of events resulting from this RFP will ultimately be determined by the Department.
4) Oral Agreement: Any alleged oral agreement or arrangement made by an applicant with any agency or employee will be superseded by a written agreement.
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5) Amending or Canceling Requests: The Department reserves the right to amend or cancel this RFP, prior to the due date and time, if it is in the best interest of the Department and the State. 6) Rejection for Default or Misrepresentation: The Department reserves the right to reject the proposal of any applicant in default of any prior contract or for misrepresentation. 7) Department's Clerical Errors in Award: The Department reserves the right to correct inaccurate awards resulting from its clerical errors. 8) Rejection of Qualified Proposals: Proposals are subject to rejection in whole or in part if they limit or modify any of the terms and conditions and/or specifications of the RFP. 9) Applicant Presentation of Supporting Evidence: An applicant, if requested, must be prepared to present evidence of experience, ability, service facilities, and financial standing necessary to satisfactorily meet the requirements set forth or implied in the proposal. 10) Changes to Proposal: No additions or changes to the original proposal will be allowed after submittal. While changes are not permitted, clarification at the request of the agency may be required at the applicant's expense. 11) Collusion: By responding, the applicant implicitly states that they are submitting a separate response to the RFP, and is in all respects fair and without collusion or fraud. It is further implied that the applicant did not participate in the RFP development process, had no knowledge of the specific contents of the RFP prior to its issuance, and that no employee of the Department participated directly or indirectly in the applicant's proposal preparation.
E. Proposal Preparation Expense The State of Connecticut and the Department assume no liability for payment of expenses incurred by applicants in preparing and submitting proposals in response to this solicitation. F. Incurring Costs The Department is not liable for any costs incurred by the applicant prior to the effective date of a contract. G. Freedom of Information Due regard will be given to the protection of proprietary information contained in all proposals received. However, applicants should be aware that all materials associated with this RFP are subject to the terms of the Freedom of Information Act, the Privacy Act, and all rules, regulations and interpretations resulting there from. It will not be sufficient for applicants to merely state generally that the proposal is proprietary in nature and not therefore subject to release to third parties. Those particular pages or sections, which an applicant believes to be proprietary, must be specifically identified as such. Convincing explanation and rationale sufficient to justify each exception from release consistent with Section 1-210 of the Connecticut General Statues must accompany the proposal. The rationale and explanation must be stated in terms of the prospective harm to the competitive position of the Applicant that would result if the identified material were to be released and the reasons why the materials are legally exempt from release pursuant to the above-cited statute. In any case, the narrative portion of the proposal may not be exempt from release. Between the applicant and the Department, the final administrative authority to release or exempt any or all material so identified rests with the Department. H. Gratuities and Gifts The applicant warrants that no state appropriated funds have been paid or will be paid by or on behalf of the applicant to contract with or retain any company or person, other than bona fide employees working solely for the applicant, to influence or attempt to influence an officer or employee of any state agency in connection with the awarding, extension, continuation, renewal, amendment, or modification of this agreement, or to pay or agree to pay any company or person, other than bona fide employees working solely for the applicant, any fee, commission,
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percentage, brokerage fee, gift or any other consideration contingent upon or resulting from the award or making of this Agreement. By submitting a response for selection and/or award consideration to this procurement, the applicant certifies that no elected or appointed official or employee of the State of Connecticut has or will benefit financially or materially from this contract. The Department may terminate a resulting contract if it is determined that gratuities of any kind were either offered or received by any of the aforementioned officials or employees from the applicant/contractor or its agents or employees.
In general, no one doing business with or seeking business from a state or quasi-public agency may give a gift to an official or employee of that agency. Connecticut’s gift ban is strict, but has some exceptions. For example, under the Ethics Code, you may give: (1) food and drink up to $50 per person per year, if the person paying, or his or her representative, is in attendance; and (2) tangible gifts up to $10 per item up to $50 per person per year. Also exempt are certain items such as informational materials, or plaques costing less than $100. For a complete list of the Code’s gift exceptions, consult Conn. Gen. Stat. § 1-79(e) or contact the Office of State Ethics.
Gifts for “major life events,” including a wedding or the birth of a child, which were previously exempt from the gift ban, are now subject to the strict gift limits outlined above if the gifts are provided by any individual or entity doing business with or seeking business from the state. I. Disclosure of Consulting Agreements A consulting agreement affidavit must accompany submissions for the purchase of goods and services with a value of $50,000 or more in a calendar or fiscal year, pursuant to Section 51 of Public Act 05-287. All such submissions must be accompanied by an affidavit in which the applicant discloses any agreement retaining the services of a consultant to assist in the applicant's participation in the procurement process. For additional information regarding the types of consulting agreements that must be disclosed in the affidavit and the required content and form of the affidavit, please see the attached “Consulting Agreement Affidavit." J. Campaign Contribution(s) With regard to a State contract as defined in P.A. 07-1 having a value in a calendar year of $50,000 or more or a combination or series of such agreements or contracts having a value of $100,000 or more, the authorized signatory to this submission in response to the State's solicitation expressly acknowledges receipt of the State Elections Enforcement Commission's notice advising prospective state contractors of state campaign contribution and solicitation prohibitions, and will inform its principals of the contents of the notice. See Attachment __ [SEEC Form 11].” K. Bidder’s Commission on Human Rights and Opportunities (CHRO) Compliance Package The Bidder’s CHRO Compliance Package sets forth certain obligations on State agencies, as well as contractors doing business with the State of Connecticut to ensure that State agencies do not enter into contracts with organizations or businesses that discriminate against protected class persons. As required by Connecticut General Statute § 4a-60, the following forms, and applicable evidencing material, must accompany bids or proposals:
1. Notification to Bidders Form; 2. Evidence of Nondiscrimination Form and applicable evidencing material; and 3. Employment Information Form.
Administrative Expectations
Standard State of Connecticut contract requirements are available at the following Office of Policy and Management website:
http://www.opm.state.ct.us/finance/pos_project/contract.htm
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SAMPLE BUDGET Medically Complex Level III Group Home Proposal Licensed Bed Capacity 4 COMMENTS Staffing CNAs Nurses Weekdays (mon-fri) school 1 - 3 - 2 0 - 1 - 1 Weekdays (mon-fri) non-school 3 - 3 - 2 1 - 1 - 1 Weekends 3 - 3 - 2 1 - 1 - 1 FTE (includes 15% vacancy factor) 9.71 4.05 STAFF: Annual Hrly. FTE's
1 Program Director-R.N. with 24/ 7 on-call 1.0 2 Registered Nurse 4.05 3 Certified Nursing Assistants 9.71 4 TOTAL SALARIES 5 FRINGE BENEFITS
OTHER EXPENSES: Annual M/W/D 6 Rent Monthly 7 Heat, Light, & Water Monthly 8 Telephone Monthly 9 Insurance Monthly
10 Professional Fees Monthly 11 Psychological/Behaviorist Svcs Monthly 12 Consulting/Contractual Services Weekly 13 Food & Food Supplies PP PD 14 Office Supplies/Postage Monthly 15 Housekeeping Supplies Monthly 16 Advertising(Employment) Monthly 17 Clothing/Laundry & Dry Cleaning Monthly 18 Personal Needs PP PW 19 Allowance PP PW 20 Recreation PP PW 21 Travel Monthly 22 Vehicle Expenses Monthly 23 Maintenance & Repairs Monthly 24 Training Monthly 25 Medical Supplies Monthly 26 Conferences/Mtgs Monthly 27 Dues/Memberships - (For Children Only) Monthly 28 License/Permits/Fees Monthly 29 TOTAL OTHER EXPENSES 30 Total Expenses 31 Indirect Expenses 32 Net Expenses $1,001,968 33 Per Diem Rate $686.28
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SUBCONTRACT OR PROFILE
(COMPLETE FOR EACH SUBCONTRACTOR)
Legal Name of Agency: Agency Contact Person: Title: Address: Phone:
Fax:
Email: Amount of Subcontract:
BRIEF DESCRIPTION OF SERVICES PROVIDED BY THE AGENCY
DESCRIPTION OF SERVICES TO BE PROVIDED RELATED TO THE SERVICE/PROGRAM
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COVER SHEET Level III
Medically Complex Group Home
Request for Proposal
Name of Agency:
Address
Application Contact Person:
Contact Person Phone & Fax:
Contact Person Email Address:
To the best of my knowledge, all the information presented in this application is accurate and represents a true picture of my agency’s capability to provide the requested service
___________________________________________ ___________________________ ___________ Signature Title Date
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LETTER OF INTENT (MANDATORY NON-BINDING)
Date: _____________________________
This is to advise you that our agency is planning to apply for funding in response to the RFP entitled Level III: Medically Complex Group Home.
AGENCY NAME: AGENCY ADDRESS: AGENCY CONTACT: POSITION/TITLE: TELEPHONE NUMBER: FAX NUMBER: EMAIL ADDRESS:
Letter of Intent must be received by 3pm on May 4, 2007, to the following person:
Elizabeth D’Amico Department of Children and Families 505 Hudson Street Hartford, CT 06106 Fax: 860.550.6420
E-mail: Liz.D’[email protected]
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STATE OF CONNECTICUT OFFICE OF POLICY AND MANAGEMENT
Policies and Guidelines Consulting Agreement Affidavit
Consulting agreement affidavit to accompany state contracts for the purchase of goods and services with a value of $50,000 or more in a calendar or fiscal year, pursuant to Section 51 of Public Act 05-287.
This affidavit is required if a bidder or vendor has entered into any consulting agreements whereby the duties of the consultant include communications concerning business of such state agency, whether or not direct contact with a state agency, state or public official or state employee was expected or made. Pursuant to Section 51 of P.A. 05-287, "consulting agreement" means any written or oral agreement to retain the services, for a fee, of a consultant for the purposes of (A) providing counsel to a contractor, vendor, consultant or other entity seeking to conduct, or conducting, business with the State, (B) contacting, whether in writing or orally, any executive, judicial, or administrative office of the State, including any department, institution, bureau, board, commission, authority, official or employee for the purpose of solicitation, dispute resolution, introduction, requests for information or (C) any other similar activity related to such contract. Consulting agreement does not include any agreements entered into with a consultant who is registered under the provisions of chapter 10 of the general statutes as of the date such affidavit is submitted in accordance with the provisions of this section.
I, Type/Print Name, Title and Name of Firm or Corporation, hereby swear that I am the chief official of the bidder or vendor of the Contract or authorized to execute such Contract. I further swear that I have not entered into any consulting agreement in connection with such contract, except the agreements listed below:
Contractor’s Name, Title and Firm or Corporation:
Terms of Consulting Agreement (Date of Execution, Amount, Expiration Date):
Brief Description of Services Provided (Purpose, Scope, Activities, and Outcomes):
Yes No Is the Consultant a former state employee or public official? If yes, provide the following information about the former state employee or public official: • Former Agency: • Date Such Employment Terminated:
Attach additional sheets if necessary. This affidavit must be amended if Contractor enters into any new consulting agreements during the term of this Contract
Sworn as true to the best of my knowledge and belief, subject to the penalties of false statement.
Signature Date Sworn and subscribed before me on this day of , 200 Commissioner of the Superior Court Notary Public
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SEEC FORM 10: NOTICE TO EXECUTIVE BRANCH STATE CONTRACTORS AND PROSPECTIVE STATE CONTRACTORS OF CAMPAIGN CONTRIBUTION AND SOLICITATION BAN This notice is provided under the authority of Connecticut General Statutes 9-612(g)(2), as amended by P.A. 07-1, and is for the purpose of informing state contractors and prospective state contractors of the following law (italicized words are defined on page 2): Campaign Contribution and Solicitation Ban No state contractor, prospective state contractor, principal of a state contractor or principal of a prospective state contractor, with regard to a state contract or state contract solicitation with or from a state agency in the executive branch or a quasi-public agency or a holder, or principal of a holder of a valid prequalification certificate, shall make a contribution to, or solicit contributions on behalf of (i) an exploratory committee or candidate committee established by a candidate for nomination or election to the office of Governor, Lieutenant Governor, Attorney General, State Comptroller, Secretary of the State or State Treasurer, (ii) a political committee authorized to make contributions or expenditures to or for the benefit of such candidates, or (iii) a party committee; In addition, no holder or principal of a holder of a valid prequalification certificate, shall make a contribution to, or solicit contributions on behalf of (i) an exploratory committee or candidate committee established by a candidate for nomination or election to the office of State senator or State representative, (ii) a political committee authorized to make contributions or expenditures to or for the benefit of such candidates, or (iii) a party committee. Duty to Inform State contractors and prospective state contractors are required to inform their principals of the above prohibitions, as applicable, and the possible penalties and other consequences of any violation thereof. Penalties for Violations Contributions or solicitations of contributions made in violation of the above prohibitions may result in the following civil and criminal penalties: Civil penalties--$2000 or twice the amount of the prohibited contribution, whichever is greater, against a principal or a contractor.
Any state contractor or prospective state contractor which fails to make reasonable efforts to comply with the provisions requiring notice to its principals of these prohibitions and the possible consequences of their violations may also be subject to civil penalties of $2000 or twice the amount of the prohibited contributions made by their principals. Criminal penalties—Any knowing and willful violation of the prohibition is a Class D felony, which may subject the violator to imprisonment of not more than 5 years, or $5000 in fines, or both. Contract Consequences Contributions made or solicited in violation of the above prohibitions may result, in the case of a state contractor, in the contract being voided. Contributions made or solicited in violation of the above prohibitions, in the case of a prospective state contractor, shall result in the contract described in the state contract solicitation not being awarded to the prospective state contractor, unless the State Elections Enforcement Commission determines that mitigating circumstances exist concerning such violation. The state will not award any other state contract to anyone found in violation of the above prohibitions for a period of one year after the election for which such contribution is made or solicited, unless the State Elections Enforcement Commission determines that mitigating circumstances exist concerning such violation. Receipt acknowledged:_______________________________________ ______________ (signature) (date) Print name:_________________________________________________ Title:______________________________
Company Name:_____________________________________________
Additional information and the entire text of P.A 07-1 may be found on the website of the State Elections Enforcement Commission, www.ct.gov/seec. Click on the link to “State Contractor Contribution Ban”
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Definitions: "State contractor" means a person, business entity or nonprofit organization that enters into a state contract. Such person, business entity or nonprofit organization shall be deemed to be a state contractor until December thirty-first of the year in which such contract terminates. "State contractor" does not include a municipality or any other political subdivision of the state, including any entities or associations duly created by the municipality or political subdivision exclusively amongst themselves to further any purpose authorized by statute or charter, or an employee in the executive or legislative branch of state government or a quasi-public agency, whether in the classified or unclassified service and full or part-time, and only in such person's capacity as a state or quasi-public agency employee. "Prospective state contractor" means a person, business entity or nonprofit organization that (i) submits a response to a state contract solicitation by the state, a state agency or a quasi-public agency, or a proposal in response to a request for proposals by the state, a state agency or a quasi-public agency, until the contract has been entered into, or (ii) holds a valid prequalification certificate issued by the Commissioner of Administrative Services under section 4a-100. "Prospective state contractor" does not include a municipality or any other political subdivision of the state, including any entities or associations duly created by the municipality or political subdivision exclusively amongst themselves to further any purpose authorized by statute or charter, or an employee in the executive or legislative branch of state government or a quasi-public agency, whether in the classified or unclassified service and full or part-time, and only in such person's capacity as a state or quasi-public agency employee. "Principal of a state contractor or prospective state contractor" means (i) any individual who is a member of the board of directors of, or has an ownership interest of five per cent or more in, a state contractor or prospective state contractor, which is a business entity, except for an individual who is a member of the board of directors of a nonprofit organization, (ii) an individual who is employed by a state contractor or prospective state contractor, which is a business entity, as president, treasurer or executive vice president, (iii) an individual who is the chief executive officer of a state contractor or prospective state contractor, which is not a business entity, or if a state contractor or prospective state contractor has no such officer, then the officer who duly possesses comparable powers and duties, (iv) an officer or an employee of any state contractor or prospective state contractor who has managerial or discretionary responsibilities with respect to a state contract, (v) the spouse or a dependent child who is eighteen years of age or older of an individual described in this subparagraph, or (vi) a political committee established or controlled by an individual described in this subparagraph or the business entity or nonprofit organization that is the state contractor or prospective state contractor. "State contract" means an agreement or contract with the state or any state agency or any quasi-public agency, let through a procurement process or otherwise, having a value of fifty thousand dollars or more, or a combination or series of such agreements or contracts having a value of one hundred thousand dollars or more in a calendar year, for (i) the rendition of services, (ii) the furnishing of any goods, material, supplies, equipment or any items of any kind, (iii) the construction, alteration or repair of any public building or public work, (iv) the acquisition, sale or lease of any land or building, (v) a licensing arrangement, or (vi) a grant, loan or loan guarantee. "State contract" does not include any agreement or contract with the state, any state agency or any quasi-public agency that is exclusively federally funded, an education loan or a loan to an individual for other than commercial purposes. "State contract solicitation" means a request by a state agency or quasi-public agency, in whatever form issued, including, but not limited to, an invitation to bid, request for proposals, request for information or request for quotes, inviting bids, quotes or other types of submittals, through a competitive procurement process or another process authorized by law waiving competitive procurement. “Managerial or discretionary responsibilities with respect to a state contract” means having direct, extensive and substantive responsibilities with respect to the negotiation of the state contract and not peripheral, clerical or “Solicit” means (A) requesting that a contribution be made, (B) participating in any fund-raising activities for a candidate committee, exploratory committee, political committee or party committee, including, but not limited to, forwarding tickets to potential contributors, receiving contributions for transmission to any such committee or bundling contributions, (C) serving as chairperson, treasurer or deputy treasurer of any such committee, or (D) establishing a political committee for the sole purpose of soliciting or receiving contributions for any committee. Solicit does not include: (i) making a contribution that is otherwise permitted by Chapter 155 of the Connecticut General Statutes; (ii) informing any person of a position taken by a candidate for public office or a public official, (iii) notifying the person of any activities of, or contact information for, any candidate for public office; or (IV) serving as a member in any party committee or as an officer of such committee that is not otherwise prohibited in this section.
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SEEC FORM 11 NOTICE TO EXECUTIVE BRANCH STATE CONTRACTORS AND PROSPECTIVE STATE
CONTRACTORS OF CAMPAIGN CONTRIBUTION AND SOLICITATION BAN This notice is provided under the authority of Connecticut General Statutes 9-612(g)(2), as amended by P.A. 07-1, and is for the purpose of informing state contractors and prospective state contractors of the following law (italicized words are defined below): Campaign Contribution and Solicitation Ban No state contractor, prospective state contractor, principal of a state contractor or principal of a prospective state contractor, with regard to a state contract or state contract solicitation with or from a state agency in the executive branch or a quasi-public agency or a holder, or principal of a holder of a valid prequalification certificate, shall make a contribution to, or solicit contributions on behalf of (i) an exploratory committee or candidate committee established by a candidate for nomination or election to the office of Governor, Lieutenant Governor, Attorney General, State Comptroller, Secretary of the State or State Treasurer, (ii) a political committee authorized to make contributions or expenditures to or for the benefit of such candidates, or (iii) a party committee; In addition, no holder or principal of a holder of a valid prequalification certificate, shall make a contribution to, or solicit contributions on behalf of (i) an exploratory committee or candidate committee established by a candidate for nomination or election to the office of State senator or State representative, (ii) a political committee authorized to make contributions or expenditures to or for the benefit of such candidates, or (iii) a party committee. Duty to Inform State contractors and prospective state contractors are required to inform their principals of the above prohibitions, as applicable, and the possible penalties and other consequences of any violation thereof. Penalties for Violations Contributions or solicitations of contributions made in violation of the above prohibitions may result in the following civil and criminal penalties: Civil penalties--$2000 or twice the amount of the prohibited contribution, whichever is greater, against a principal or a contractor. Any state contractor or prospective state contractor which fails to make reasonable efforts to comply with the provisions requiring notice to its principals of these prohibitions and the possible consequences of their violations may also be subject to civil penalties of $2000 or twice the amount of the prohibited contributions made by their principals. Criminal penalties—Any knowing and willful violation of the prohibition is a Class D felony, which may subject the violator to imprisonment of not more than 5 years, or $5000 in fines, or both. Contract Consequences Contributions made or solicited in violation of the above prohibitions may result, in the case of a state contractor, in the contract being voided. Contributions made or solicited in violation of the above prohibitions, in the case of a prospective state contractor, shall result in the contract described in the state contract solicitation not being awarded to the prospective state contractor, unless the State Elections Enforcement Commission determines that mitigating circumstances exist concerning such violation. The State will not award any other state contract to anyone found in violation of the above prohibitions for a period of one year after the election for which such contribution is made or solicited, unless the State Elections Enforcement Commission determines that mitigating circumstances exist concerning such violation. Additional information and the entire text of P.A 07-1 may be found on the website of the State Elections Enforcement Commission, www.ct.gov/seec. Click on the link to “State Contractor Contribution Ban.”
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