TEXAS DEPARTMENT OF TRANSPORTATION GENERAL SERVICES DIVISION. SPECIFICATION NO. TxDOT * REVISED: AUGUST 2010

Transcription

1 TEXAS DEPARTMENT OF TRANSPORTATION GENERAL SERVICES DIVISION SPECIFICATION NO. * STATEWIDE EMPLOYEE ASSISTANCE PROGRAM SERVICES PUBLICATION This specification is a product of the Texas Department of Transportation (TxDOT). It is the practice of TxDOT to support other entities by making this specification available through the National Institute of Governmental Purchasing (NIGP). This specification may not be sold for profit or monetary gain. If this specification is altered in any way, the header, and any and all references to TxDOT must be removed. TxDOT does not assume nor accept any liability when this specification is used in the procurement process by any other entity. 1. SCOPE: This solicitation is a Request for Proposal (RFP) for statewide Employee Assistance Program (EAP) services for TxDOT and TxDMV employees and employees immediate family members. The current number of employees is 11,951 for TxDOT and 513 for TxDMV. EAP services shall assist participants with challenges in the areas of substance abuse, marital or family problems, psychological or emotional problems, work-related and vocational problems (Ref. Attachment A List of TxDOT Employees by District, Division, Office, Region and Administration). NOTE: TxDOT typically hires approximately 1,200 seasonal employees, usually college students. These employees shall be covered by the EAP and are NOT included in the total number of employees shown above. Respondent shall consider this when preparing the proposal. 2. DEFINITIONS OF TERMS AND ACRONYMS 2.1. AFTERCARE: The second phase in treatment for alcohol, inhalant or drug dependency. This phase follows initial treatment and may include additional treatment requirements (Ref. Paras and 2.26.). The treatment program s staff physician designates the frequency and duration of these treatment requirements ALCOHOL OR DRUG RELATED DRIVING OFFENSE: A conviction or deferred adjudication for any offense involving the driving of a vehicle, whether on duty or off duty, while under the influence of alcohol or drugs or while intoxicated ASSESSMENT: The process, through face-to-face communication, by which the vendor s Substance Abuse Professional (SAP) or EAP counselor determines the participant s EAP service needs as well as social, emotional, and psychological strengths and weaknesses and support systems. Assessment is an ongoing process throughout the relationship between the participant and the SAP, EAP counselor or both CFR: Code of Federal Regulations COUNSELING SESSIONS: A scheduled face-to-face conference between a participant and counselor for the purpose of discussing and identifying areas of concern and problem solving. Telephone conferences shall not be the usual or routine method of providing counseling services except in case of emergency (Ref. Para ). * This Specification Supersedes Specification No., Dated December

2 2.6. DER: Designated Employer Representative: A team member of the Substance Abuse Program Staff of TxDOT s Human Resources Division (HRD) DHS: U.S. Department of Homeland Security DOT: U.S. Department of Transportation DRUG: A narcotic drug, controlled substance or marijuana as defined in Public Law Comprehensive Drug Abuse Prevention and Control Act of 1970 and 21 United States Code (U.S.C.), Chapter 13, Subchapter 1, Part A, Section 802 Controlled Substance Act Definitions DSHS: Texas Department of State Health Services EAP: Employee Assistance Program EMERGENCY: A life-threatening situation where the individual could be harmful to self or others EMPLOYEE(S): A person employed by TxDOT or TxDMV in a full-time, part-time, temporary recruitment, project or seasonal position and includes contract vessel crewmembers. This does not include a temporary employee under contract to TxDOT or TxDMV HHSC: Texas Health and Human Services Commission HRD: TxDOT s Human Resources Division IMMEDIATE FAMILY MEMBER: Those individuals related by kinship, adoption, marriage or foster children certified by the Texas Health and Human Services Commission (HHSC), living in the same household or, if not in the same household, are totally dependent upon the employee for financial assistance or personal care or services on a continuing basis (Ref. Para ) INITIAL TREATMENT: The first period in treatment for problems associated with the use of alcohol, inhalant or drug dependency. Treatment shall consist of inpatient treatment, intensive outpatient treatment, educational sessions, counseling sessions or a combination of these treatments JCAHO: Joint Commission on Accreditation of Healthcare Organizations MANDATORY REFERRAL: Any referral that requires an employee to go to a SAP or EAP counselor or both and complete treatment or be terminated from TxDOT. A mandatory referral is precipitated by a meeting between an employee, the employee s supervisor or other appointed TxDOT personnel. The purpose of the meeting is to address an employee s alcohol, inhalant or drug dependency as it relates to the employee s work performance or harassing, threatening or violent behavior or any situation which warrants a mandatory referral to the EAP. The circumstances for a mandatory referral include: An employee fails an alcohol or drug test An employee, excluding commercial drivers, vessel crewmembers and safetysensitive employees, refuses a drug or alcohol test An employee possesses an open container of alcohol or drugs in the workplace. 2-22

3 A commercial driver, vessel crewmember or safety-sensitive employee possesses alcohol in the workplace, consumes alcohol four hours prior to coming to work or within eight hours following an accident or prior to undergoing a post-accident alcohol test An employee voluntarily admits having an alcohol, inhalant or drug problem A suspicious substance is found or an investigation reveals an employee is using alcohol, inhalants or drugs inside the workplace An employee is directly observed consuming an alcoholic beverage, taking a drug or inappropriately using an inhalant in the workplace An employee is suspected of working under the influence of alcohol, drugs or inhalants An employee has received an alcohol- or drug-related driving offense An employee s behavior in the workplace is seriously disruptive or an employee engages in harassing, threatening or physically violent behavior, which constitutes a danger to other employees or the public An employee has a behavioral or performance problem that could be helped by counseling PARTICIPANTS: Employees and employees immediate family members (Ref. Paras and 2.16.) REFERRAL SOURCE: Any outside referral paid for by the participant or the participant s health insurance, such as a licensed psychiatrist, EAP counselor or medical doctor SAP: Vendor s Substance Abuse Professional SCO: Substance Control Officer: An employee that administers TxDOT s Substance Abuse Program in coordination with the Designated Employer Representative (DER) SELF REFERRAL: Participants utilizing the EAP services by calling a toll-free number for confidential counseling services and are not mandatory referrals (Ref. Para ) TOTALLY DEPENDENT ON A CONTINUING BASIS: A situation in which an employee has the responsibility for the personal care or services of an immediate family member for any period during which the employee is the primary source of continual care (Ref. Para ) TREATMENT: Medical or psychological treatment for alcohol, inhalants or drug dependency or harassing, threatening or violent behavior, which may consist of inpatient treatment, intensive outpatient treatment, educational sessions or counseling sessions followed by aftercare (Ref. Para. 2.1.) U.S.C.: United States Code VPM: Violence Program Manager: An employee that administers TxDOT s Violence Prevention Program in coordination with the Violence Program Staff of HRD. 3-22

4 2.29. WARNING LETTER: A letter sent to an employee not meeting the standards of compliance of their mandatory referral. The letter shall identify the standards of compliance not being met with the specific actions the employee must complete by an established time frame WST: Workplace Support Team: A vendor s specialized team, consisting of a minimum of one staff counselor and a backup staff counselor to manage and administer mandatory referrals (Ref. Paras and 8.7.). 3. APPLICABLE LAWS AND STANDARDS: The vendor shall provide the specified service requirements in accordance with all federal, state and local applicable laws, standards and regulations necessary to perform the services, including, but not limited to: U.S.C., Chapter 13, Subchapter 1, Part A, Section 802 Controlled Substances Act Definitions Code of Federal Regulations (CFR), Part 95 Operating a Vessel While Under the Influence of Alcohol or a Dangerous Drug U.S.C., Chapter 10, Sections 701 through 707 Drug-Free Work Place CFR, Part 4 Marine Casualties and Investigations CFR, Part 5 Marine Investigations Personnel Actions CFR, Part 16 Chemical Testing CFR, Part 40 Procedures for Transportation Workplace Drug and Alcohol Testing Programs CFR, Part 382 Controlled Substances and Alcohol Use and Testing Public Law Comprehensive Drug Abuse Prevention and Control Act of Public Law , Subtitle D Drug Free Workplace Act of Texas Administrative Code, Sections through Substance Abuse Program. 4. BACKGROUND: TxDOT provides EAP services for all employees and employees immediate family members as a benefit through an EAP vendor. Vendor will support TxDOT s mission to: 4.1. Maintain the health and safety of employees and the safety of the traveling public Provide an alcohol and drug-free workplace Provide a workplace free of violence Improve productivity on the job The EAP s mission, in part, is to: Provide employees with services to assist with problems affecting job performance. 4-22

5 Educate employees and supervisors on the dangers of alcohol and substance abuse. NOTE: TxDOT conducts a Violence Prevention Program and a Substance Abuse Program, which include drug and alcohol testing of all employees including commercial drivers, vessel crewmembers and employees in safetysensitive positions. Drug and alcohol testing is handled for TxDOT by another vendor and is not included in this specification. 5. RESPONDENT QUALIFICATIONS: The respondent shall: 5.1. Be a company engaged in the business of providing EAP services in the areas of substance abuse, marital or family problems, psychological or emotional problems, work-related problems and vocational problems for a minimum of ten years within the last 12 years. Recent start-up businesses do not meet the requirements of this solicitation. A start-up business is defined as a new company that has no previous operational history or expertise in the relevant business and is not affiliated with a company that has that history or expertise Have a minimum of five years experience within the ten years of experience, required in Para. 5.1., providing EAP services to a minimum of 15 companies with national decentralized locations within the network Be in good financial standing, current in payment of all taxes and fees such as state franchise fees. TxDOT reserves the right to request a copy of the respondent s audited financial statement. When financial statements are requested, TxDOT will review the respondent's audited financial statement to this solicitation in accordance with Texas Government Code, Title 10, Subtitle D, Section to evaluate the sufficiency of the respondent's financial resources and ability to perform the contract or provide the service required in the solicitation. TxDOT will be the sole judge in determining the sufficiency of the respondent's financial resources and ability to perform the contract or provide the service. Factors to be reviewed include: Balance sheets Net working capital Current asset ratio Liquidity ratio Auditor(s) notes Any notes to the financial statements. 6. VENDOR REQUIREMENTS: The vendor shall: 6.1. Adhere to the TxDOT Terms and Conditions identified on the solicitation Provide a list of proposed affiliated offices at different locations throughout the state of Texas (Ref. Attachment B Required EAP and Affiliated Provider Office Sites). 5-22

6 6.3. Have affiliated offices providing service under this purchase order that shall meet the same requirements and provide the same services as those required of the vendor. No affiliate contract executed under this purchase order shall relieve the vendor of their responsibility under this purchase order Provide a list of proposed counselors which are accessible to participants with disabilities, such as mobility, hearing or visually impaired or participants that may require bilingual speaking or language translation Have on file for each affiliated office a copy of their certificate of licensure or degree, verify their credentials as authentic and provide proof to TxDOT upon request Have a 24 hour, seven days a week, toll-free helpline staffed only with qualified counselors available to all participants. No answering or paging services shall be used. The helpline shall provide a bilingual counselor at all times and shall provide a telephone line for the hearing impaired. Helpline counselors shall be permanent staff of the vendor Meet with the DER on an as needed basis to facilitate the implementation and administration of the EAP services purchase order Maintain a specialized EAP Workplace Support Team (WST) available to TxDOT between the hours of 8:00 a.m. and 5:00 p.m. CT, Monday through Friday to advise and discuss issues related to specific employee s performance or behavioral problems, throughout the term of the purchase order (Ref. Para ) Ensure all vendor employees and affiliates are knowledgeable of the following: Requirements of the EAP services Local referral sources and various health insurance plans (Ref. Paras and 18.2.) TxDOT s Violence Prevention Program policies and procedures (Ref. Para ) TxDOT s Substance Abuse Program, rules, policies and procedures (Ref. Para ) TxDOT s EAP policy and procedures (Ref. Para ) Provide services to all participants statewide at locations that are convenient and easily accessible. Participants shall travel a maximum of 60 miles from the TxDOT work location nearest to the participant to reach SAP or EAP services. TxDOT reserves the right to grant exceptions to the 60 mile radius upon verbal request from the vendor on a case by case basis (Ref. Schedule 5 Respondent Information Worksheet). NOTE: TxDOT encourages vendors to be creative in meeting this requirement (i.e., mobile or portable counseling offices for rural areas) Provide counseling services at sites, which are accessible to participants with disabilities, in particular mobility, hearing or visually impaired or participants that may require language translation Provide face-to-face counseling during normal work hours of 8 a.m. through 5 p.m., Monday through Friday and preferably one night per week and on one day each weekend. 6-22

7 6.13. Establish an employee Statement of Understanding for mandatory referrals, including any compliance requirements to be signed by each employee at the beginning of the mandatory referral Utilize sample forms provided by TxDOT to meet reporting requirements and confidentiality (Ref. Para ) Provide to Psychiatrist, SAP or counselor, an information packet of required forms, including but not limited to a Confidentiality Statement, Statement of Understanding and sample SAP letter For mandatory referrals, require employees to sign a confidentiality statement. Employees shall be advised that if they do not sign a release, TxDOT will not be able to determine whether or not they are in compliance with their treatment plan. TxDOT will terminate an employee if they choose not to sign the statement Provide counselors for face-to-face counseling sessions as needed. If needed, participants will request counselors that are bilingual or that can communicate with the hearing, visually impaired or participants with disabilities at the time an appointment is scheduled Provide a minimum of quarterly in-service training to all helpline counselors Ensure all helpline counselors and WST are employees of the vendor Ensure all SAPs perform services in accordance with DOT and DHS regulations. 7. RESPONDENT PERSONNEL REQUIREMENTS 7.1. COUNSELORS: Counselors shall: Have a minimum of a master s degree from an accredited college or university in a behavioral science. NOTE: TxDOT may make an exception to the master s degree requirement for licensed or certified staff and counselors in fields requiring specialized knowledge, training and expertise obtained through professional training programs that do not award academic degrees. Counselors certified as Alcohol and Drug Abuse Counselors, Licensed Professional Counselors or have a Bachelor of Social Work degree and have a minimum of three years of experience within the last five years in mental health or substance abuse meet the criteria Be licensed or certified by the appropriate professional groups or state regulating agencies. NOTE: Only Certified Alcohol and Drug Abuse Counselors shall provide counseling services to participants suffering a problem related to substance abuse Have a minimum of three years clinical experience within the last five years. NOTE: Residents or interns shall not be used to provide services SAP shall meet U.S. Department of Transportation (DOT) and U.S. Department of Homeland Security (DHS) requirements. 7-22

8 8. SERVICE REQUIREMENTS: The vendor shall: 8.1. IMPLEMENTATION Meet with the DER to formulate a mutually agreeable implementation plan at the post award meeting after award of a purchase order (Ref. Para. 22.) Have EAP services fully operational statewide within 60 calendar days after award of the purchase order Conduct EAP services consistent with TxDOT EAP policies and procedures. These will be provided to the vendor at the post award meeting (Ref. Paras and 22.) ASSESSMENT AND EVALUATION Perform an assessment of an employee s problem or reason for mandatory referral and assess each life area of the employee, including an assessment for chemical or alcohol dependency or for harassing, threatening or violent behaviors (Ref. Para ) Perform an assessment for a mandatory referral within five calendar days from notification by TxDOT Perform an evaluation, during the initial assessment, to determine whether the number of sessions a participant needs is within the parameters of the purchase order. If a participant needs more than the number of sessions provided under the purchase order, the participant shall be referred to an outside referral source covered by the employee s insurance provider, if available (Ref. Para ) DOT and DHS referrals shall be assessed in accordance with federal regulations Assess a mandatory referral for a commercial driver, vessel crewmember or safety-sensitive employee as needing assistance. SAP or EAP counselor provides the initial and follow-up evaluation letters Have all mandatory referrals under the TxDOT Violence Prevention Program be assessed by a licensed psychiatrist Assess a mandatory referral for harassing, threatening or violent behaviors as needing assistance Provide an evaluation letter to the DER for mandatory referrals when: A counselor determines treatment is necessary. The letter shall state that the employee needs assistance in resolving problems associated with alcohol, inhalant or drug dependency A counselor determines treatment is not necessary. The letter shall state that the employee does not need assistance in resolving problems associated with alcohol, inhalant or drug dependency. (Ref. Para ) Perform assessments face-to-face for non-emergency cases. 8-22

9 Perform assessments over the telephone only in emergency situations. (Ref. Para ) 8.3. COUNSELING Provide a total of six counseling sessions to include, but not be limited to assessment, evaluation, counseling, referral if necessary and follow-up at no cost to the participant, per incident or problem, per participant, per contract year. If additional services are required after a counselor has provided six counseling sessions, the participant shall be referred to an outside referral source Continue to provide EAP services to employees that leave the agency for any reason and those individuals immediate family members for a period of six months from the date the employee ends employment Provide self referral counseling sessions within calendar days after a request is made. Counseling sessions shall be a minimum of 50 minutes in length Provide a counselor who shall return the participant s call within 24 hours to arrange a face-to-face appointment. The appointment shall be held within five calendar days of the original call to the helpline Have counseling appointments available a minimum of once a week, subsequent to a participant s first appointment In order to ensure confidentiality, schedule participants a minimum of two hours from another participant s sessions, if at all possible, unless the sessions occur at separate office sites. If double scheduling is unavoidable, counselors and receptionist shall make every effort to prevent the participants from seeing each other Not provide counseling services in the homes of participants, except on an emergency basis, or at any site with religious affiliations (Ref. Para ) Only provide pastoral-based counseling upon request from the participant VENDOR REFERRAL Recommend quality and affordable services to participants, which are covered by the participant s insurance, if available. TxDOT reserves the right to approve or disapprove all referral sources (Ref. Paras , and 18.7.) If a referral is indicated, have the counselor coordinate with the WST to determine which referral sources are most appropriate to meet the needs of the participant. Assist the participant in locating a source by giving the participant a minimum of two referral choices, when available. Additional costs incurred, as a result of a referral, will be borne by the participant or participant s health insurance company. Referrals shall be made within two calendar days of the initial assessment Have counselors or WST assist participants in accessing a referral source and follow-up within 30 calendar days to determine whether services have been received and whether the referral was appropriate and useful (Ref. Para. 8.5.). The counselor shall coordinate with a participant s primary care physician and insurance provider when making a referral. 9-22

10 Discontinue use of any referral source that receives three validated complaints from the vendor, affiliates or participants, unless TxDOT determines after a minimum of one validated complaint that the referral source not be used. The vendor shall validate complaints within three working days after a complaint is received (Ref. Paras and 10.3.) FOLLOW-UP Have the counselor follow-up via telephone, after participant completes the vendor s recommended counseling sessions to determine the status of the presenting problem and offer additional assistance, including vendor referral, when needed Follow-up with referral sources used by the vendor and have the referral sources participate in the vendor s client satisfaction survey HELPLINE Provide the name of a local counselor to participants that contact the helpline and want to make an appointment. Participants will contact the counselor to make an appointment unless a participant is unable to or requests assistance from the helpline counselor in making the appointment Honor a request from a participant for a specific counselor, if possible Receive mandatory referrals on the helpline from the supervisor, Substance Control Officer (SCO), Violence Program Manager (VPM), or DER (Ref. Para ). The mandatorily referred employee will contact the SAP or EAP counselor to make the appointment In case of an emergency, the helpline counselor shall arrange a face-to-face appointment for the participant within two hours from receipt of the call (Ref. Para ) WORKPLACE SUPPORT TEAM (WST) Manage all mandatory referrals Coordinate with the SCO, VPM, DER and Violence Program Staff of HRD Warning Letter for Mandatory Referrals Provide a warning letter and timeline via fax or to the DER two days prior to letter being sent to the employee. The timeline should include a history of activities of the referral Provide a warning letter to an employee not meeting the standards of compliance by certified and regular mail. The letter identifies the standards the employee has to complete within a specified timeframe Follow-up with the DER or Violence Program Staff of HRD concerning the employee s compliance with the requirements via fax or . Provide a compliance report monthly or non-compliance report when necessary (Ref. Paras and )

11 8.8. TREATMENT SPECIFICATION NO Work with mandatorily referred employees, by maintaining contact at least once a month by telephone, to ensure the requirements of the referral are being met When necessary, refer mandatory referrals to treatment programs at facilities approved by HHSC, the Joint Commission on Accreditation of Healthcare Organizations (JCAHO) or approved as a licensed site facility by the Texas Department of State Health Services (DSHS). All substance abuse facilities to which the vendor refers shall provide free aftercare for employees who have completed treatment there or at an affiliate facility of that treatment center located in the State of Texas, convenient to the employee When a mandatorily referred employee is referred to a treatment program, the SAP, EAP Counselor or WST shall monitor the employee s progress. Monthly the vendor shall report the employees progress, in writing to TxDOT. Monthly compliance reports shall not be based solely on employee information. Monitoring shall be by telephone or face-to-face contact between the employee and the SAP, EAP Counselor or WST monthly, at admission, midway through treatment and prior to discharge Refer employees to a medical doctor or other practitioner to receive a return-towork form when the counselor determined a referral was necessary. Referrals for a return-to-work form shall be provided once the employee has completed the treatment requirements, excluding aftercare, which may include return-to-duty testing Offer additional assistance to a mandatorily referred employee as requested by supervisors, SCOs, VPMs or the DER through telephone consultations with local counselors. Assistance shall be provided to employees within one working day from receipt of the request Have the WST continue to track and monitor the aftercare requirements of the SAP and EAP counselors Upon an employee s completion of aftercare, have the WST coordinate with the DER and Violence Staff of HRD prior to submitting written certification that the aftercare program has been completed INFORMATION AND EDUCATIONAL SERVICES: TxDOT will approve all information to be provided to employees, including but not limited to informational campaigns, promotional materials, educational material or all other information prior to distribution or presentation (Ref. Para ). The use of materials that are not approved by TxDOT, prior to distribution or presentation, may be grounds for termination of the purchase order. The vendor shall: Informational Campaign: Submit an informational campaign to the DER within 60 calendar days after award of a purchase order. The informational campaign shall acquaint all employees and immediate family members with the EAP services and shall include, but may not be limited to: EAP brochures and wallet cards EAP publicity posters

12 Envelopes stuffed with a wallet card, brochure and a TxDOT provided announcement letter for mailing to participants. Prepared envelopes shall be provided to TxDOT for addressing, postage and mailing. The envelope should identify TxDOT as the return address Orientation Sessions Orientation Presentation: The vendor shall provide an orientation presentation in a digital electronic format for TxDOT to reproduce and present to all employees statewide. The presentation shall include but not be limited to information on EAP services (including self and mandatory referral procedures), benefits to participants and TxDOT, and the benefits of using the EAP. The presentation shall be a maximum of 20 minutes in length and provided within 60 days after award of a purchase order Optional Service: As required, the vendor shall conduct orientation sessions in all districts, divisions, offices, regions and administration when requested by the DER (Ref. Attachment A - List of Employees by District, Division, Office, Region and Administration) Counselors shall be used as trainers. There will be approximately 30 employees per session. The orientation sessions shall be a maximum of 60 minutes in length, include information on EAP services (including self and mandatory referral procedures), benefits to participants and the types of problems that the EAP services handle. The vendor shall provide this service within 30 calendar days of a request Brown Bag Seminars: As requested by the DER, the vendor shall provide quarterly brown bag seminars to employees or supervisors on relevant issues. TxDOT reserves the right to request the vendor provide additional seminars on these issues or other issues, which will be presented at safety meetings, employee forums, supervisor meetings or other special meetings. A counselor shall provide the presentation and facilitate any subsequent discussions. TxDOT reserves the right to record and copy the presentations Critical Incident Stress Debriefing (CISD): As requested by the DER, provide group meetings for employees that have experienced a traumatic situation inside or outside the workplace. The trauma may be a result of a fatal accident on the job, a violent or sudden death of a co-worker away from work or a violent co-worker in the workplace. The purpose of these sessions is to help the employees begin the grieving process in a productive manner or learn coping skills, so that work performance impairment may be kept to a minimum. These meetings shall be scheduled within 48 hours of a request from the DER, as the need arises within TxDOT statewide. The meeting shall not exceed four hours Substance Abuse Training SCO Training: As requested by the DER, the vendor shall assist TxDOT in training SCOs on identifying the signs and symptoms of alcohol and drug use and making determinations for reasonable cause testing pursuant to all applicable federal regulations. Training shall be a maximum of three hours

13 Optional Service: As requested by the DER, provide training to all TxDOT supervisors and employees in all districts, divisions, offices, regions and administration. This training shall comply with the training requirements in 49 CFR Part 40, 49 CFR Part 382, 33 CFR Part 95, 46 CFR Parts 4, 5 and 16, and Public Law Subtitle D. This training shall be provided, annually as scheduled by the DER, throughout the term of the purchase order. Training shall be a maximum of three hours Violence Awareness Training VPM Training: As requested by the DER, the vendor shall assist TxDOT in providing violence awareness training to VPMs. The training shall consist of ways to recognize the signs and deal with potentially violent employees. Training shall be a maximum of two hours Optional Service: As requested by TxDOT, the vendor shall assist TxDOT in training supervisors and employees in each district, division, office region and administration on violence awareness. This training shall be provided upon request each year of the contract. Training shall be a maximum of two hours. NOTE: TxDOT reserves the right to conduct its own in-house training for Substance Abuse or Violence Awareness Provide an inventory of optional services which are not specified above but which may be a benefit to TxDOT including work life and wellness services GRIEVANCE PROCEDURE: Submit a written grievance procedure including appeals through the chain of command to handle a participant s grievance to TxDOT for approval. Any edits required by TxDOT shall be made and the revised grievance procedure returned to TxDOT for approval within 10 calendar days from receipt of the requested edits REPORTING REQUIREMENTS MANDATORY REFERALS: Provide a written report for mandatorily referred employees to the appropriate SCO, VPM, DER and Violence Program Staff of HRD for each of the following: The determination of an employee s need for assistance in resolving problems associated with alcohol, inhalants or use of drugs or harassing, threatening or violent behavior within two weeks after the date of the mandatory referral (Ref. Para ) Whether or not the employee is able to work while in treatment, the time off work needed or specific duties involved in the employee s EAP appointments, evaluations and treatment Notification of specifics of non-compliance submitted to the DER the same working day after vendor is notified by the DER or SCO that an employee tested positive or refused to test for a TxDOT required test while in treatment. A timeline shall not be required A written report within two working days of an employee s non-compliance with the treatment (Ref. Para )

14 Employee has completed initial treatment, is ready for return-to-work requirements and includes the frequency schedule for follow-up testing, if any within two work days Completed return-to-work form completed after notification of completion of return-to-duty testing requirement, if any Employee has completed all treatment requirements including aftercare related to the mandatory referral, within two days (Ref. Para ) Monthly status report for each employee s compliance with the treatment plan by the fifth working day of the month CUSTOMER SERVICE REPORT REQUIREMENTS: Provide the DER with automated statistical and evaluative data on a quarterly and annual basis. These statistics shall consist of an unduplicated count. Quarterly reports shall be submitted reporting year to date statistical information with an annual report being submitted with the cumulative total of all quarterly reports at the end of each 12 month period. The data shall be broken down by referral type and further by district, division, office, region and administration and shall include, but not be limited to: Age Sex Race of participant(s) (with an other category) Job category District, division, office, region and administration participants, broken down as follows: Employees Immediate family members Mandatory Referrals calls received sessions and referrals provided Kinds of problems presented sessions per problem, per participant participants receiving treatment from the EAP services not being referred participants assessed and referred mandatorily referred employees that refused to sign a release of confidential information Listing of referral sources and kinds of services used

15 Whether or not the referral sources utilized were covered by participants health insurance and which insurance companies provided this coverage Referral sources, which are approved by HHSC, JCAHO or approved as a licensed site facility by DSHS Follow-up data to reflect participant satisfaction as well as service appropriateness and effectiveness Summary Reports: Summaries shall consist of an unduplicated count A summary of the number of participants referred to each referral source A summary of the number of self-referrals which accessed services without intervention by TxDOT. 9. LOCATION(S): Location(s) of facilities are specified on Attachment B Required EAP and Affiliated Provider Office Sites. TxDOT reserves the right to add or delete facilities serviced under the purchase order. TxDOT will provide ten working days written notice to the vendor of any additional facilities requiring service within the same area or region. 10. UNSATISFACTORY PERFORMANCE: Unsatisfactory performance will result in a negative vendor performance report, cancellation of the purchase order or both. TxDOT may consider the following performance by the vendor as unsatisfactory performance. An unsatisfactory performance determination includes, but is not limited to: One instance of distribution or presentation of materials that have not been approved by TxDOT prior to distribution or presentation (Ref. Para. 8.9.) Two instance within a one year period of vendor not meeting the scheduled time One instance of using a referral source that has received three validated complaints or that TxDOT has determined will not be used (Ref. Paras and 11.4.). 11. PERSONNEL CONTINUITY AND REPLACEMENT TxDOT recognizes that events beyond the control of the vendor such as the death, physical or mental incapacity, long-term illness, or the voluntary termination of employment of the respondent personnel will require the vendor propose a replacement. In the event such a replacement is necessary, vendor agrees that personnel shall not begin work on the project without prior written approval from TxDOT The vendor agrees that a counselor providing EAP services to a participant shall remain available until EAP services have been completed, as long as the counselor is employed by the vendor If TxDOT determines any respondent personnel is unable to perform in accordance with the service requirements or to communicate effectively, the vendor shall immediately remove the respondent personnel If TxDOT determines that a referral source shall not be used after a validated complaint, the vendor shall not use the referral source again (Ref. Para )

16 11.5. Proposed replacement personnel shall meet minimum qualifications and have experience comparable to the person(s) being replaced. Replacement personnel shall be provided at no additional cost to TxDOT. Resume(s) and reference(s) will be requested for the proposed replacement(s). TxDOT may reject any replacement if references or past working performance is questionable or unfavorable. TxDOT will be the sole judge of the qualifications of the proposed replacement personnel. 12. QUALITY ASSURANCE PLAN: The vendor shall provide a comprehensive, continuous, and measurable quality assurance plan. The plan shall include: An internal quality assurance policy An anonymous client satisfaction survey to be provided to each participant receiving EAP services or services from outside referral sources. The anonymous client satisfaction survey shall be returned by the participant directly to the vendor by mail. The vendor shall forward the surveys to the DER on a monthly basis throughout the contract period. 13. SUBCONTRACTING Subcontractors providing service under the purchase order shall meet the same service requirements and provide the same quality of service required of the vendor No subcontract under the purchase order shall relieve the primary vendor of responsibility for the services The vendor shall be the primary contact for TxDOT and subcontractor(s) The vendor shall manage all quality and performance, project management, and schedules for subcontractors. The vendor shall be held solely responsible and accountable for the completion of all work for which the vendor has subcontracted TxDOT retains the right to check subcontractor's background and make a determination to approve or reject the use of submitted subcontractor(s). Any negative responses may result in disqualification of the subcontractor TxDOT reserves the right to request the removal of vendor s subcontractor staff deemed unsatisfactory by TxDOT Subcontracting shall be at the vendor s expense During the term of the purchase order, if the vendor determines a need for a subcontractor change, TxDOT shall be notified in writing by the vendor within 30 calendar days of any proposed change. The vendor shall be required to provide references and work history for any proposed subcontractor to TxDOT. No change will be allowed without written authorization by TxDOT SOLICITATIONS OVER $100,000: TxDOT will make an initial determination of whether subcontracting is probable. It is the respondent s determination if they choose to subcontract any of the work under this purchase order with a Texas Certified Historically Underutilized Business (HUB) or other businesses If TxDOT has determined that subcontracting opportunities are probable, the class and items in which HUBs may be registered will be noted in the solicitation

17 The respondent shall identify all proposed HUB and other subcontractors at the time of response submittal. The required forms with video instructions can be found at the following website: HUB SUBCONTRACTING PLAN (HSP) PRIME CONTRACTOR PROGRESS ASSESSMENT REPORT: After award of the purchase order, the vendor shall report all HUB and non-hub subcontractor information using the HSP Prime Contractor Progress Assessment Report form. The report shall be submitted to the TxDOT contract manager monthly. The report shall be submitted monthly even during the months the vendor is not invoicing TxDOT. All payments made to subcontractors shall be reported. TxDOT may verify the amounts being reported as paid by requesting copies of cancelled checks paid to subcontractors. 14. BUSINESS CONTINUITY PROCEDURES AND DISASTER RECOVERY PLAN: The respondent shall submit business continuity procedures and a disaster recovery plan (limit one page) which shall include the following: Business continuity procedures shall be implemented to fulfill all requirements of the purchase order including, but not limited to: Fire, theft, natural disaster, technical difficulty, workforce problems, equipment failure or other disruption of business A disaster recovery plan for this service shall be maintained. The vendor shall be responsible for all cost of disaster recovery. 15. TRAVEL: All travel and per diem shall be included in the unit price. 16. CONFLICT OF INTEREST: The vendor, vendor s personnel, and vendor s subcontractor(s) shall affirm not to have, nor acquire any interest during the term of the purchase order that would conflict in any manner with the performance of the vendor s obligations in regards to services authorized. 17. INVOICING INSTRUCTIONS: The vendor shall provide a comprehensive and detailed monthly invoice based on the cost per employee per month as stated on the Purchase Order. Invoicing for specified optional services shall be billed separately as these expenses are incurred. The original invoice shall be sent to the address shown on the purchase order or ed to FIN_Invoices@txdot.gov with a copy to the Contract Manager to ensure timely payment. An invoice requiring correction shall be resubmitted with anew invoice date. NOTE: Even though the number of employees will fluctuate throughout the year, the monthly price shall be based on the number of employees stated in Para. 1. The number of employees will be updated when an option to renew the purchase order is exercised, to reflect the current number of employees for the purchase order renewal term of service. 18. TxDOT RESPONSIBILITIES: TxDOT will: Provide a contract manager Provide TxDOT s various health insurance plans information (Ref. Para and ) Provide TxDOT s Violence Prevention Program policies and procedures (Ref. Para ) Provide TxDOT s Substance Abuse Program rules, policies and procedures (Ref. Para ) Provide sample forms (Ref. Para )

18 18.6. Provide TxDOT s EAP policy and procedures (Ref. Paras and ) Approve or disapprove referral sources as necessary within two working days from receipt of information (Ref. Para ) Inform the helpline counselor that the request is for a mandatory referral and provide necessary information (Ref. Para ) Approve all material and information for employees and participants such as informational campaigns, promotional materials, educational material or other information, within five working days from receipt of the material (Ref. Para. 8.9.) Distribute informational and campaign materials to employees in the districts, divisions, offices, offices, regions and administration other than the initial announcement. (Ref ) Approve grievance procedures within ten working days from receipt (Ref. Para ). 19. RESPONSE SUBMISSION: Failure by the respondent to submit the documentation listed below will disqualify the respondent from further consideration. TxDOT may reject any or all proposals and may waive informalities and minor irregularities in the proposals it receives. The response submission shall be submitted in the following format: GENERAL FORMAT: The respondent shall submit one signed and dated original (marked Original) and five copies (marked Copy). The submission shall be in separate loose leaf binders on one sided 8-1/2 x 11 inch paper and shall be tab-indexed corresponding to the sections listed below. Plastic spine-bound or wire bound submittals are highly discouraged. Include only the information specified for each section ORIGINAL RESPONSE: The original response shall include the following: Section 1 Schedule 1 - Pricing NOTE TO RESPONDENT: Include five copies of the Schedule 1 Pricing in a sealed, separate envelope with the original submittal. NOTE TO RESPONDENT: If addendums are generated as part of this solicitation, include the original signed and dated addendum(s) in Section Section 2 Schedule 2 Original, signed and dated Execution of Proposal (RFP): Submit the original, signed and dated Execution of Proposal (RFP) Section 3 Schedule 3 Respondent Qualifications and Experience: The respondent shall demonstrate successful past performance through submission of documentation of relevant qualifications and experience Section 4 Schedule 4 State Agency Contract or Purchase Order Information: The vendor shall list all contracts or purchase orders with state agencies that expired or were canceled during the last five years and the reason the contract or purchase order was not renewed or the reason for cancellation Section 5 Schedule 5 Respondent Information Worksheet Section 6 Schedule 6 Respondent Personnel Qualifications and References: Complete Schedule 6 documenting the following: 18-22

19 Counselor s name and title Education (Ref. Para ) Licenses or certifications held by counselors (Ref. Para ) Documentation of qualifications for a minimum of three years clinical experience within the last five years for counselors (Ref. Para ) Description of qualifications for SAPs (Ref. Para. 7.2.) Section 7 Respondent References: Respondent shall submit a minimum of three references to substantiate the qualifications and experience requirements for services completed for ten years within the last 12 years. References shall illustrate respondent s ability to provide the services outlined in the specification. References shall include name, point of contact, telephone number, and dates services were performed. The response may be disqualified if TxDOT is unable to verify qualification and experience requirements from the respondent s references. The response may be disqualified if TxDOT receives negative responses. TxDOT will be the sole judge of references (Ref. Schedule 7 Respondent References) Section 8 Performance Requirements: Respondent shall provide the following: A detailed response specifying exactly how the requirements outlined in Para. 8. of the specification shall be fulfilled A proposed staffing plan for the WST, Helpline and SAPs to demonstrate staff qualification and experience, including affiliates and subcontractors. This plan should describe the number of staff proposed for this project, the functions they shall perform, and the percentage of time to be assigned to this project during the contract term Section 9 Business Continuity and Disaster Recovery Plan: Respondent shall submit a contingency and recovery plan detailing how they propose to meet the specifications in the event vendor service is interrupted. The plan shall detail the vendor s backup and recovery process (Ref. Para. 14.) Section 10 Additional Information: Respondent shall provide: A sample of respondent s current reporting format and options for reporting currently provided to clients (See Paras and 8.12.) A proposed internal quality assurance policy (Ref. Para ) A sample of an anonymous participant satisfaction survey. (Ref. Para ) A sample of one current presentation provided to a company covering one of the topics listed in Para or a relevant subject. The presentation will be provided in DVD format A sample training outline with samples of training materials on one of the topics listed in Para or a relevant subject An inventory of value added services provided at no charge to TxDOT

20 Section 11 HUB Subcontracting Plan (if applicable). SPECIFICATION NO Section 12 Financial Standing: The following should be submitted with the response or within two working days of a request from TxDOT. Failure by the respondent to submit the documentation listed below may disqualify the respondent from further consideration The most recent three years audited financial statements, or if audited financial statements are unavailable, un-audited financial statements shall be submitted and certified as true, correct and accurate by the chief financial officer or treasurer of the respondent s company (Ref. Para. 5.3.) Additional information demonstrating financial stability and ability to meet the financial responsibilities for the requirement to perform this service COPIES: The five reproduced copies (marked Copy) shall include only the following tab-indexed sections: Section 3 Schedule 3 Respondent Qualifications and Experience (Ref. Para ) Section 4 Schedule 4 State Agency Contract or Purchase Order Information (Ref. Para ) Section 5 Schedule 5 Respondent Information Worksheet (Ref. Para ) Section 6 Schedule 6 Respondent Personnel Qualifications and References (Ref. Para ) Section 7 Schedule 7 Respondent References (Ref. Para ) Section 8 Performance Requirements (Ref. Para ) Section 9 Business Continuity and Disaster Recovery Plan (Ref. Para ) Section 10 Additional Information (Ref. Para ) OPTIONAL SERVICES: TxDOT reserves the right to request optional or additional services agreed to between TxDOT and the vendor. 20. RESPONSE EVALUATION: Only a complete response with the listed required submittal documents (Ref. Para. 19.) and meeting minimum qualifications will be considered. Failure to meet the minimum qualifications and submit the required documents will result in a response being declared non-responsive STEP 1 INITIAL EVALUATION: A TxDOT evaluation committee will evaluate and score each response based on established criteria. Respondents shall not contact members of the evaluation team. Responses will be evaluated according to the respondent s ability to best satisfy TxDOT requirements