March 26, 1997 - Texas Indigent Defense Commission Grant ...
September 26, 2006
Dear Proposers:
In accordance with the Texas Code of Criminal Procedure 26.044, Governmental Entities and Non-Profit Corporations only are invited to submit proposals in accordance with the attached specifications packet, Request For Proposals (RFP) #P060285-JT, Mental Health Public Defender’s Office. All proposals must be submitted with an ORIGINAL SEALED PROPOSAL AND FIVE (5) COPIES to the Travis County Purchasing Agent, 314 W. 11th Street, Suite 400, Austin, Texas 78701, no later than 2:00 p.m., October 17, 2006.
FOR ANY INFORMATION RELATED TO THIS RFP, THE PROPOSER MAY ONLY CONTACT CYD GRIMES, PURCHASING AGENT; MARVIN BRICE, ASSISTANT PURCHASING AGENT; OR JORGE TALAVERA, PURCHASING AGENT ASSISTANT III. CONTACT WITH ANY OTHER PERSON ASSOCIATED WITH THIS RFP MAY RESULT IN DISQUALIFICATION OF THE PROPOSAL.
An optional pre-proposal conference is scheduled for 10:00 a.m., October 5, 2006, at 314 W. 11th Street, Travis County Purchasing Office, Purchasing Conference Room, Austin, Texas.
All proposals shall be submitted to the Travis County Purchasing Agent in a sealed envelope marked:
REQUEST FOR PROPOSAL
MENTAL HEALTH PUBLIC DEFENDER’S OFFICE
RFP # P060285-JT
DO NOT OPEN IN MAILROOM
Your consideration of this request is appreciated.
Sincerely,
TRAVIS COUNTY PURCHASING OFFICE
Cyd V. Grimes, C.P.M.
Purchasing Agent
CVG:JT:pe
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TABLE OF CONTENTS
PART & SECTION TITLE PAGE
TABLE OF CONTENTS 2-3
PART 1 GENERAL REQUIREMENTS 4-20
Section A - General Information 4-8
Section B - Required Documentation 9-10
- Affidavit (Attachment 1) 11
- List Of Key Persons (Exhibit A) 12-13
- Affidavit (Attachment 2) 14
- HUB Declaration of Eligibility 15
- List of Certified HUB Subcontractors 15
- Reference Verification Report 16-17
Section C - Additional Information 18-19
1.0 Objective 18
2.0 Background Information 18
3.0 Business Goals 18
4.0 Pre-Award Survey 18
5.0 Proposal Disclosure 18
6.0 Selection Criteria/Evaluation Factors 19
7.0 Method of Award 19
Section D - Negotiations 20
PART II SPECIFIC REQUIREMENTS 21-22
1.0 - Scope of Services 21
2.0 - Objective 21
3.0 - General Requirements 21-22
4.0 - Contractor’s Responsibility 22
PART III SPECIAL PROVISIONS 23-24
1.0 - Term of Contract 23
2.0 - Option to Extend 23
3.0 - Purchase Order 23
4.0 - Contract Administrator 23
5.0 - Implied Services 23
6.0 - Grant Funding 23
7.0 - Proposal Requirements 23-24
8.0 - Competitive Proposals 24
PART IV GENERAL PROVISIONS 25-38
1.0 - General Definitions 25-26
2.0 - General Conditions 26
3.0 - Contractor Certifications 26
TABLE OF CONTENTS (Continued)
PART & SECTION TITLE PAGE
4.0 - Disputes and Appeals 26
5.0 - Funding 26
6.0 - Funding Out 27
7.0 - Invoice/Payments 27
8.0 - Conflict of Interest 27
9.0 - Discounts 28
10.0 - Officials Not To Benefit 28
11.0 - Reserved 28
12.0 - Assignment 28
13.0 - Force Majeure 28
14.0 - Reserved 28
15.0 - Reserved 28
16.0 - Changes 28-29
17.0 - Reserved 29
18.0 - Subcontracts 29
19.0 - Monitoring 29-30
20.0 - Assignment of Contract or Mortgage 30
21.0 - Civil Rights/ADA Compliance 30
22.0 - Gratuities 30
23.0 - Forfeiture of Contract 30
24.0 - Notices 31
25.0 - Construction of Contract 31-32
26.0 - Entire Contract 32
27.0 - Contractor Liability, Indemnification and Claims Notification 32
28.0 - Reserved 32
29.0 - Order of Precedence 32
30.0 - Additional General Provisions 32-33
31.0 - Designated County Holidays 2005 33
32.0 - Mediation 33
33.0 - Reserved 33
34.0 - Non-Waiver of Default 33-34
35.0 - Certification of Eligibility 34
36.0 - Insurance and Liability 34-35
37.0 - Security Compliance 35-37
Signature - 38
Page
Attachment A - Conflict of Interest Questionnaire 39-40
Attachment B - FY 2007 Statement of Grant Award 41-55
Attachment C - Request for Applications 56
TRAVIS COUNTY
REQUEST FOR PROPOSAL (RFP)
MENTAL HEALTH PUBLIC DEFENDER’S OFFICE
RFP # P060285-JT
PART I - GENERAL REQUIREMENTS
PART I, SECTION A - GENERAL INFORMATION
1.0 PURPOSE:
The purpose of this Request for Proposal (“RFP”) is to solicit competitive proposals for a Mental Health Public Defender’s Office that will provide representation for Indigent Offenders in Travis County.
Travis County has been awarded a FY 2007 discretionary grant from the Texas Task Force on Indigent Defense to establish a Mental Health Public Defender’s Office. Contingent upon funding and in anticipation of the execution of final grant documents and receipt of an official Statement of Grant Award, Travis County has issued this RFP for a Mental Health Public Defender’s Office.
See Statement of Grant Award, Attachment B, and request for applications, attachment c, for special grant requirements applicable to all accepted proposals.
2.0 INCURRED EXPENSES:
There is no expressed or implied obligation for Travis County to reimburse Proposers for any expense incurred in preparing proposals in response to this request, and Travis County will not reimburse anyone for these expenses. Travis County will consider proposals from all responsible Proposers.
3.0 SUBMISSION OF PROPOSAL:
3.1 To be considered, an ORIGINAL SEALED PROPOSAL PLUS FIVE (5) COPIES must be received by October 17, 2006 at 2:00 p.m., in the office of the Purchasing Agent. All proposals must to be addressed to:
Cyd V. Grimes, C.P.M.
Travis County Purchasing Agent
314 West 11th Street, Room 400
Austin, Texas 78701
3.2 The envelope in which the proposal is enclosed must be marked:
SEALED PROPOSAL
MENTAL HEALTH PUBLIC DEFENDER’S OFFICE
RFP # P060285-JT
DO NOT OPEN IN MAILROOM
3.3 Proposals submitted by electronic transmission will not be considered; however, proposals may be modified by electronic transmission if the notice is received prior to the time and date set for the proposal opening and specific proposal prices are not exposed by the modification.
4.0 PRE-PROPOSAL CONFERENCE/SITE SURVEY:
An optional pre-proposal conference is scheduled for all prospective Proposers as follows:
DATE: October 5, 2006 TIME: 10:00 a.m.
PLACE: Travis County Purchasing Office
314 W. 11th Street, Ste. 400
Purchasing Office Conference Room
Austin, Texas 78701
a) BY SUBMITTING A PROPOSAL, THE PROPOSER WARRANTS THAT HE/SHE IS FULLY SATISFIED THAT THESE SPECIFICATIONS, AS AMENDED IF APPLICABLE, ACCURATELY DESCRIBE OR INDICATE THAT ALL CONDITIONS, SITE OR OTHERWISE, HAVE BEEN TAKEN INTO ACCOUNT IN DETERMINING THE OFFERED PRICE(S). THERE WILL BE NO INCREASE IN THE CONTRACT PRICE BASED UPON AN PROPOSER’S MISUNDERSTANDING OR LACK OF KNOWLEDGE ABOUT THE INTENT OF THIS SOLICITATION.
b) Proposers are encouraged to attend the pre-proposal conference and make their attendance a matter of record by completing a sign-in roster identifying the prospective Proposer, name, and title of the attending representative.
c) The purpose of the pre-proposal conference is to insure:
(i) Proposers have a clear understanding of County needs and gain familiarity with the County locations;
(ii) the accuracy of specifications, descriptions, and solicitation terms, conditions, and documents;
(iii) Proposers have an opportunity to identify any problems that might hinder or prevent the County from obtaining the proper services or equipment/supplies at a fair and reasonable price, as well as any issues that may inhibit a fair and accurate solicitation or restrict competition.
d) Proposers having questions concerning the RFP document shall submit them in writing to the Jorge Talavera, jorge.talavera@co.travis.tx.us, at the address shown on Page 1 of this solicitation. Questions shall be submitted not later than three days preceding the date set for the pre-proposal conference so that appropriate information may be researched and made available during the pre-proposal conference to all concerned.
Any changes resulting from the pre-proposal conference that affect specifications or the scope of work, or that may require an extension to the proposal submission date, will be reduced to writing in the form of an amendment to this solicitation. Such amendment will be distributed to all prospective Proposers.
5.0 LATE PROPOSALS OR MODIFICATIONS:
Proposals and modifications received after the time set for the proposal submission will not be considered.
6.0 WITHDRAWAL OF PROPOSALS:
A proposal may not be withdrawn by the Proposer without the permission of Travis County for a period of one hundred and twenty (120) calendar days following the date designated for the receipt of proposals, and Proposers agree to this by submitting a proposal.
7.0 POINTS OF CONTACT:
Information regarding the purchasing process, the contents of this RFP, or questions concerning the technical requirements in Part II may be obtained from Jorge Talavera, Purchasing Agent Assistant III, Travis County Purchasing Office, Ned Granger Building, Suite 400, Austin, Texas, at telephone (512) 854-9762, or by email at jorge.talavera@co.travis.tx.us. Mention the RFP number at the top of this page.
8.0 CLARIFICATION OR OBJECTION TO PROPOSAL SPECIFICATION:
If any person contemplating submitting a proposal for this contract is in doubt as to the true meaning of the specifications or other documents or any part thereof, he may submit to Jorge Talavera, Purchasing Agent Assistant III on or before TEN (10) DAYS PRIOR to scheduled opening a request for clarification. All such requests shall be made in writing and the person submitting the request will be responsible for its prompt delivery. Any interpretation of the RFP will be made only by RFP Amendment duly issued. A copy of such RFP Amendment will be mailed or delivered to each person receiving a solicitation.
9.0 GENERAL CONDITIONS:
Many requirements set forth in this RFP will not apply to a proposal submitted by or on behalf of a government entity, as defined by the Texas Criminal Code of Procedure 26.044. Many provisions included in this RFP are applicable only if a proposal by a non-profit corporation is accepted. Proposer shall thoroughly examine the specific requirements, schedules, instructions and all other contract documents. Proposals must set forth accurate and complete information as required by this RFP (including attachments). No plea of ignorance by the Proposer of conditions that exist or that may hereafter exist as a result of failure or omission on the part of the Proposer to make the necessary examinations and investigations, or failure to fulfill in every detail the requirements of the contract documents, will be accepted as a basis for varying the requirements of Travis County or the compensation to the Proposer.
By submitting a proposal, the Proposer warrants that he/she is fully satisfied that these specifications, as amended if applicable, accurately describe or indicate that all conditions, site or otherwise, have been taken into account in determining the offered price(s). There will be no increase in the contract price based upon Proposer’s misunderstanding or lack of knowledge about the intent of this solicitation.
10.0 ETHICS POLICY:
10.1 County has adopted an Ethics Policy that controls the way in which County contracts with vendors who have entered into certain transactions with persons who are influential in selecting vendors for a particular contract and in determining the terms and conditions of the contract. The persons that the County considers to be influential in this contract are called Key Contracting Persons and are listed in the Exhibit A to the Affidavit at the end of Part I. The transactions that are covered by the Ethics Policy are those that involve the following:
10.1.1 paying or receiving in any calendar year any money or valuable thing which is worth more than $250 in the aggregate in exchange for personal services or for the purchase of any property or property interest, either real or personal, either legal or equitable; or
10.1.2 loaning or receiving a loan of money; or goods or otherwise creating or having in existence any legal obligation or debt with a value of more than $250 in the aggregate in a calendar year;
10.1.3 but do not include any retail transaction for goods or services sold to a Key Contracting Person at a posted, published, or marked price available to the public.
This policy requires a Proposer to inform Travis County of covered transactions with the Key Contracting Persons that have occurred in the year before they submit their proposals and to swear and submit the affidavit at the end of this section with their proposal. This policy also requires the selected Proposer to inform County of covered transactions with the Key Contracting Persons that occur at any time during the contract. If the selected Proposer does not comply with these information requirements, the selected Proposer must continue to perform the contract and forfeit all of the benefits of the contract as provided in 23.0 of the General Provisions in Part IV.
11.0 HUB PROCUREMENT PROGRAM:
11.1 Pursuant to the Travis County Historically Underutilized Business (HUB) Procurement Program, the Travis County Commissioners Court adopted goals for Certified HUB Subcontractor participation with an Overall 16.5% Minority-Owned Business Enterprise (MBE) goal and an Overall 14.2% Women-Owned Business Enterprise (WBE) goal (Sub-goals: 1.7% African-American, 9.5% Hispanic, 4.7% Native/Asian-American) to be observed by the County in its award of contracts and subcontracts to certified HUBs.
11.2 It is the policy of Travis County that HUBs shall have the maximum opportunity to participate in the performance of county contracts and subcontracts. Contractors shall make a "good faith effort” to take all necessary and reasonable steps to ensure HUBs maximum opportunity to participate as subcontractors. Failure by a contractor or subcontractor to carry out the County HUB Procurement Program shall constitute a breach of contract, and after notification of such breach by the Purchasing Agent may result in termination of this contract.
11.3 For purposes of HUB participation, Travis County shall count the dollar amount of all firm fixed price/fixed quantity contracts, or the dollar amount of Purchase Orders placed against "Estimated" or "Not to Exceed" contracts.
11.4 The following section identifies the specific procedures to be followed with respect to this solicitation for proposals in compliance with the HUB Procurement Program.
11.5 SECTION 1 - HUB PURCHASES
11.5.1 To be eligible under this program, HUB Proposers and subcontractors must:
11.5.1.1 Be certified as HUB, M/WBE or DBE source by:
(A) City of Austin Municipal Government,
(B) Texas Unified Certification Program, or
(C) State of Texas Building and Procurement Commission
11.5.1.2 Have on file in the Travis County Purchasing Office a proper Bidder’s Application.
11.5.1.3 Identify the certifying agency and Item/Service for which is certified.
11.5.1.4 Obtain county approval of all proposed HUB subcontractors through the Purchasing Agent.
5. Complete the HUB Declaration form in this RFP package.
11.5.2 Any third party may challenge a firm's HUB status before or after certification. Such action shall be in writing and submitted to the Purchasing Agent, including all relevant information available. If no merit to the challenge is found, the challenging party will be notified by the Purchasing Agent in writing and the matter will be considered closed. If merit is found, the firm in question will be notified by the Purchasing Agent of the challenge, who made it, and a summary of the allegations. The challenged firm shall be required to submit, within a reasonable period of time, information in support of the firm's HUB status. The Purchasing Agent shall make an evaluation and notify the parties of a proposed determination, citing the basis for the decision, and providing an opportunity for an informal hearing to interested parties and affording an opportunity for a written or personal response. The Purchasing Agent shall make a recommendation to the Commissioners Court for a final determination. The Purchasing Agent shall inform all interested parties of the Commissioners Court's determination and its reasons. A firm's HUB status shall remain accurately certified during the challenging procedure and shall not be changed unless or until a successful challenge is finalized. (See also Par. 8.0, "CLARIFICATION OR OBJECTION TO PROPOSAL REQUIREMENTS" in Part I, General Requirements, Section of this RFP.)
PART I, SECTION B -REQUIRED DOCUMENTATION
1.0 The following documentation must be submitted with the proposal. Paragraph 2.0 describes documentation that will be used in the evaluation of the Proposer’s proposal. Paragraph 3.0 lists other documents that must be submitted. Please note this Section B may not address all documentation required by this RFP. The Proposer is cautioned to read the entire RFP to determine all requirements. TRAVIS COUNTY RESERVES THE RIGHT TO REJECT A PROPOSAL THAT DOES NOT CONTAIN ALL INFORMATION REQUIRED BY THIS RFP.
Many requirements set forth in this RFP will not apply to a proposal submitted by or on behalf of a government entity, as defined by the Texas Criminal Code of Procedure 26.044. Many provisions included in this RFP are applicable only if a proposal by a non-profit corporation is accepted.
2.0 To achieve a uniform review process and to obtain a maximum degree of comparability, Travis County requires that proposals be submitted with a master (marked “Original”) and five (5) copies (marked “Copy”). They are to include the following:
2.1 Title Page
Title page must show the RFP subject; the Proposer’s name; the name, address, and telephone number of a contact person; and the date of the proposal.
2.2 Transmittal Letter
Submit a signed letter briefly addressing the Proposer’s understanding of the work to be done, the commitment to do the work detailed within this RFP and a statement explaining why the Proposer believes itself to be best qualified to do the required work.
2.3 Detailed Proposal
The detailed proposal must address the ability to provide equipment and services for each requirement as set forth in Parts II through IV of this RFP. See especially Part I, Section C, Evaluation Factors for information required.
2.4 Proposer References
The Proposer must furnish at least three (3) references for which the Proposer has provided similar goods or services within the last five (5) years. (See Reference Verification Report, page 16.) These references must include (a) a description of the services and location of the contract and (b) the name, address and telephone number of at least one (1) person that represents the Proposer’s customer. Travis County may contact or visit any of the listed customers to evaluate the services proposed in response to this RFP.
2.5 Description of Proposer
The description must include products or services the Proposer is authorized to carry, the number of employees both inside and outside of Travis County, and a description and location of service facilities.
2.6 Proposer Representative
Include the name of the designated individual(s), along with respective telephone numbers, who will be responsible for answering technical, functional, and contractual questions with respect to the proposal.
3.0 Proposer must submit the following documents with the proposal:
3.1 * Ethics Affidavit (including Attachments 1 and 2)
3.2* HUB Declaration
3.3* List of Certified HUB Subcontractors
3.4* Reference Verification Report
5. All required documentation to ensure compliance with Part III Special Provisions, Section 8.0 of this RFP, and the special applicable grant requirements listed in Attachment B, Statement of Grant Award and Attachment C, Request for Applications.
6. Resumes for attorneys that will serve in the Mental Health Public Defender’s Office detailing qualifications and applicable experience with mental health issues.
7. Insurance documentation within ten (10) calendar days after award and before beginning work
8. All other information required in this RFP
* These documents are included as attachments to this Part I, Section B.
NOTE: FAILURE TO PROVIDE ALL INFORMATION REQUESTED MAY RESULT IN DISQUALIFICATION OF THE PROPOSAL.
STATE OF TEXAS}
COUNTY OF TRAVIS}
ETHICS AFFIDAVIT
Date:
Name of Affiant:
Title of Affiant:
Business Name of Proposer:
County of Proposer:
Affiant on oath swears that the following statements are true:
1. Affiant is authorized by Proposer to make this affidavit for Proposer.
2. Affiant is fully aware of the facts stated in this affidavit.
3. Affiant can read the English language.
4. Proposer has received the list of Key Contracting Persons associated with this solicitation which is attached to this affidavit as Exhibit "A".
5. Affiant has personally read Exhibit "A" to this Affidavit.
6. Affiant has no knowledge of any Key Contracting Person on Exhibit "A" with whom Proposer is doing business or has done business during the 365-day period immediately before the date of this affidavit whose name is not disclosed in the solicitation.
Signature of Affiant
Address
SUBSCRIBED AND SWORN TO before me by on , 20__.
Notary Public, State of ________________________
Typed or printed name of notary
My commission expires:
ATTACHMENT 1
EXHIBIT A
LIST OF KEY CONTRACTING PERSONS
September 27, 2006
CURRENT
Name of Individual Name of Business
Position Held Holding Office/Position Individual is Associated
County Judge Samuel T. Biscoe
County Judge (Spouse) Donalyn Thompson-Biscoe MHMR
Executive Assistant Cheryl Brown
Executive Assistant Dan Smith
Executive Assistant Melissa Velasquez*
Commissioner, Precinct 1 Ron Davis
Commissioner, Precinct 1 (Spouse) Annie Davis Seton Hospital
Executive Assistant Chris Fanuel
Executive Assistant Felicitas Chavez
Commissioner, Precinct 2 Karen Sonleitner
Executive Assistant Gretchen Vaden
Executive Assistant Ann Denkler
Commissioner, Precinct 3 Gerald Daugherty
Commissioner, Precinct 3 (Spouse) Charlyn Daugherty Commemorative Brands, Inc.
Executive Assistant Robert Moore
Executive Assistant Martin Zamzow*
Commissioner, Precinct 4 Margaret Gomez
Executive Assistant Edith Moreida
Executive Assistant Vacant
County Treasurer Dolores Ortega-Carter
County Auditor Susan Spataro
Executive Manager, Administrative Alicia Perez
Executive Manager, Budget & Planning Christian Smith
Exec. Manager, Health/Human Services Sherri E. Fleming
Executive Manager, TNR Joseph Gieselman
Travis County Attorney David Escamilla
First Assistant County Attorney Randy Leavitt
Executive Assistant, Civil Division Jim Collins
Director, Transactions Division John Hille
Attorney, Transactions Division Tamara Armstrong
Attorney, Transactions Division Tom Nuckols
Attorney, Transactions Division Mary Etta Gerhardt
Attorney, Transactions Division Barbara Wilson
Attorney, Transactions Division Jim Connolly
Attorney, Transactions Division Tenley Aldredge
Attorney, Transactions Division Julie Joe
Attorney, Transactions Division Stacy Wilson
Purchasing Agent Cyd Grimes, C.P.M.
Assistant Purchasing Agent Marvin Brice, CPPB*
Assistant Purchasing Agent Bonnie Floyd, CPPB
Purchasing Agent Assistant IV Diana Gonzalez*
Purchasing Agent Assistant IV Lee Perry
Purchasing Agent Assistant IV Jason Walker*
Purchasing Agent Assistant IV Richard Villareal
Purchasing Agent Assistant IV Oralia Jones, CPPB
Purchasing Agent Assistant IV Lori Clyde, CPPB
Purchasing Agent Assistant IV Vic Chanmugam, CPM*
CURRENT - continued
Name of Individual Name of Business
Position Held Holding Office/Position Individual is Associated
Purchasing Agent Assistant III Jorge Talavera*
Purchasing Agent Assistant III Michael Long, CPPB
Purchasing Agent Assistant III Rebecca Gardner
Purchasing Agent Assistant III Rosalinda Garcia
Purchasing Agent Assistant III Loren Breland
Purchasing Agent Assistant II Donald E. Rollack
Purchasing Agent Assistant II Vacant
Purchasing Agent Assistant II Nancy Barchus
HUB Coordinator Sylvia Lopez
HUB Specialist Betty Chapa
HUB Specialist Jerome Guerrero
Business Analyst II Scott Worthington
Criminal Justice Planning Kimberly Pierce
Criminal Justice Planning Cynthia Finnegan
Criminal Courts Administration Debra Hale
Planning and Budget Office Travis Gatlin
Planning and Budget Office Alan Miller
Planning and Budget Office Leroy Nellis
ITS Molly Hodges
County Attorney Randy Leavitt
Juvenile Defender Kameron Johnson
Texas Appleseed Deborah Fowler
Attorney at Law William J. Browning
Attorney at Law Russell D. Hunt
FORMER EMPLOYEES
Name of Individual
Position Held Holding Office/Position Date of Expiration
Assistant Purchasing Agent Frank Holder 01/31/07
Executive Assistant Joe Vela 05/15/07
* - Identifies employees who have been in that position less than a year.
Proposer acknowledges that Proposer is doing business or has done business during the 365 day period immediately prior to the date on which this proposal is due with the following Key Contracting Persons and warrants that these are the only such Key Contracting Persons:
If no one is listed above, Proposer warrants that Proposer is not doing business and has not done business during the 365 day period immediately prior to the date on which this proposal is due with any Key Contracting Person.
ATTACHMENT 2
HISTORICALLY UNDERUTILIZED BUSINESS (HUB) DECLARATION
The primary objective of the Travis County HUB Program is to ensure Historically Underutilized Businesses receive a fair and equal opportunity for participation in the County's procurement process. This fact holds true for Services (Professional & Non-professional), Commodities, and Construction contracts and any subcontracts thereto. The program strongly encourages Prime Contractors to provide subcontracting opportunities to Certified HUB Contractors/Vendors.
It is the policy of the Travis County Purchasing Office to ensure a good faith effort is made to assist Certified HUB vendors and contractors in receiving contracts in accordance with the HUB Program policies and the Minority and Woman-Owned Business goals adopted by the Travis County Commissioners Court. Our goals for HUB contractor/vendor participation, as well as HUB subcontractor participation, in the area of PROFESSIONAL SERVICES are as follows:
Overall MBE Goal: 16.5%; Sub-goals: 1.7% African-American, 9.5% Hispanic, 4.7% Native/Asian American, Overall WBE Goal: 14.2%
To be considered as a "Certified HUB Contractor/Vendor" the contractor/vendor must have been certified by, and hold a current and valid certification, with any of the three agencies listed below. Please attach copy of certificate.
Vendor/Contractor:
Certified as a HUB or an MBE/WBE/DBE source: Yes No HUB Status (Gender & Ethnicity):
If yes, by whom: St. of Tx. Bldg. and Procurement Comm. City of Austin Texas Unified Certification Program
SUGGESTED DATABASE DIRECTORIES TO VIEW WHEN SOLICITING HUB SUBCONTRACTORS
State: tbpc.state.tx.us/cmbl/index.html; City: ci.austin.tx.us/smbr/#howdoes; TUCP: dot.state.tx.us/business/tucpinfo.htm
LIST OF CERTIFIED HUB SUBCONTRACTORS
(DUPLICATE AS NECESSARY)
What percentage of the Bid or Proposal is to be subcontracted with Certified HUB sources: __________% (List HUB Subcontractor information below).
HUB Subcontractor Name:__________________________________________ HUB Status (Gender & Ethnicity): ________________________
Certifying Agency (Check all applicable): St. of Tx. Bldg. and Procurement Comm. City of Austin Texas Unified Certification Program
Address:__________________________________________ City:____________________________ State:______ Zip: ___________________
Contact Person: __________________________ Title: ____________________________ Phone No.: ( ) __________________________
Subcontract Amount: $_________ Description of Work to be Performed: _________________________________________________________
____________________________________________________________________________________________________________________
HUB Subcontractor Name:__________________________________________ HUB Status (Gender & Ethnicity): ________________________
Certifying Agency (Check all applicable): St. of Tx. Bldg. and Procurement Comm. City of Austin Texas Unified Certification Program
Address:__________________________________________ City:____________________________ State:______ Zip: ___________________
Contact Person: __________________________ Title: ____________________________ Phone No.: ( ) __________________________
Subcontract Amount: $_________ Description of Work to be Performed: _________________________________________________________
____________________________________________________________________________________________________________________
HUB Subcontractor Name:__________________________________________ HUB Status (Gender & Ethnicity): ________________________
Certifying Agency (Check all applicable): St. of Tx. Bldg. and Procurement Comm. City of Austin Texas Unified Certification Program
Address:__________________________________________ City:____________________________ State:______ Zip: ___________________
Contact Person: __________________________ Title: ____________________________ Phone No.: ( ) __________________________
Subcontract Amount: $_________ Description of Work to be Performed: _________________________________________________________
REFERENCES VERIFICATION REPORT
(must be submitted with proposal)
1.0 The References Verification Report is to be completed by Proposers submitting a proposal for providing a Mental Health Public Defender’s Office and is a required part of the proposal package. Please respond to all fields listed on the form. At the County’s discretion, an incomplete form may be justification for rejection of a proposal. The information provided may be verified prior to award.
1.1 Company Name:
Address:
City/State/Zip:
Phone: Fax:
Contact Person:
Title:
Description of Service:
Location of Service:
Date of Service:
1.2 Company Name:
Address:
City/State/Zip:
Phone: Fax:
Contact Person:
Title:
Description of Service:
Location of Service:
Date of Service:
REFERENCES VERIFICATION REPORT continued
(must be submitted with proposal)
1.3 Company Name:
Address:
City/State/Zip:
Phone: Fax:
Contact Person:
Title:
Description of Service:
Location of Service:
Date of Service:
PART I, SECTION C - ADDITIONAL INFORMATION
1.0 OBJECTIVE: Travis County has been awarded a FY2007 discretionary grant from the Texas Task Force on Indigent Defense to establish a Mental Health Public Defender’s Office. Travis County has issued this RFP for proposals to establish a Mental Health Public Defender’s Office.
2. BACKGROUND INFORMATION: In accordance with Texas Code of Criminal Procedure Article 26.044, providing for the establishment of a public defender’s office, Travis County is required to solicit proposals from interested governmental entities and non-profit corporations alike for the purpose of establishing a Mental Health Public Defender’s Office in Austin, Travis County, Texas that provides legal aid services to persons who: 1) have charges pending in Travis County Courts; 2) are classified as indigent, and; 3) are mentally ill.
IT IS ANTICIPATED THAT A COMPETITIVE PROPOSAL WILL BE SUBMITTED BY A GOVERNMENTAL ENTITY OF TRAVIS COUNTY.
The Travis County Mental Health Public Defender’s Office will be responsible for representation of indigent criminal defendants who have been diagnosed as mentally ill with the exception of cases in which a conflict exists. Legal representation will include misdemeanor offenses. Selected proponent will work with established Mental Health Wheel defense attorneys.
Based on statistics of mental health misdemeanor cases filed over the past two years in Travis County, it is anticipated that the Mental Health Public Defender’s Office will carry a caseload of 500 appointed cases per year as lead counsel(s).
The office will also employ an additional public defender, two case managers and two social workers that will deal with the transition of the offenders and two administrative staff. See Attachment B for additional requirements.
3.0 BUSINESS GOALS: To establish a Mental Health Public Defender’s Office in Travis County, Texas
4.0 PRE-AWARD SURVEY:
After proposal opening and prior to award, County reserves the right to make a pre-award survey of Proposer's facilities and equipment to be used in the performance of this work. Proposer agrees to allow all reasonable requests for inspection of such facilities with two (2) business days advance notice. Failure to allow an inspection shall be cause for rejection of proposal as non-responsive. County reserves the right to reject facilities or equipment as unacceptable for performance as a result of the pre-award survey.
5.0 PROPOSAL DISCLOSURE:
Proposals will be opened so as to avoid disclosure of the contents to competing Proposers. Proposals will be kept secret during the process of negotiation. However, all proposals will be open for public inspection after award. If identified by the Proposer, County will make reasonable efforts to protect information that qualifies as trade secrets and/or confidential information under the Texas Public Information Act.
6.0 SELECTION CRITERIA/EVALUATION FACTORS:
Travis County will consider several evaluation factors, of which price is only one. Proposers may offer/propose solutions which meet the “spirit” of the listed requirements, but should note that only the proposed solution/service that meets or most closely meets all of the specifications will be recommended for award.
The selection process will be based on the responses to this RFP, and any interviews required to verify the ability of Proposer to provide the services/products proposed in response to this document, along with reference checks. Evaluation factors and associated point values are listed in order of importance:
EVALUATION FACTORS POINTS
|Budget for mental health defenders office, including salaries; |50 |
|Description of each personnel position, including the chief public defender position and all |75 |
|other related positions; | |
|Description of case/workload management plan including the maximum allowable caseloads for each |100 |
|attorney and other positions employed by the office; | |
|Provisions of personnel training; |100 |
|Description of anticipated overhead costs for the public defender’s office; |125 |
|Policies regarding the use of licensed investigators and expert witnesses by the proponent, and; |125 |
|Ability to provide adequate quality representation. |200 |
|Overall quality of response |225 |
|TOTAL |1000 |
7.0 METHOD OF AWARD:
7.1 After considering each proposal for the public defender submitted by a governmental entity or nonprofit corporation, the Commissioners Court shall select a proposal that reasonably demonstrates that the proponent will provide adequate quality representation for indigent defendants in the County.
7.2 Prompt payment discounts will not be considered in determining low proposals and making awards.
7.3 In considering the proposals, Travis County reserves the right to select one or more responsible Proposers.
7.4 Travis County reserves the right to award only a portion of the services requested in the RFP.
PART I, SECTION D - NEGOTIATIONS
1.0 NEGOTIATIONS:
1.1 The Purchasing Agent shall supervise all negotiations.
1.2 Discussions may be conducted only with responsible Proposers who submit proposals determined to be reasonably susceptible of being selected for award. All Proposers will be accorded fair and equal treatment with respect to any opportunity for discussion and revision of proposals. Revisions to proposals may be permitted after submission and before award for the purpose of obtaining best and final offers.
1.3 Proposers may be required to submit additional data during the process of any negotiations.
4. Travis County reserves the right to negotiate the price and any other term with the Proposers.
5. Any oral negotiations must be confirmed in writing prior to award.
2.0 DEVIATIONS:
Requirements stated in this RFP shall become part of the contract resulting from this RFP unless the Proposer requests a deviation. Any requests for deviations from these requirements must be specifically defined by the Proposer in the proposal. If accepted, the deviation shall become part of the contract. Travis County reserves the right to modify the requirements of this RFP.
3.0 REJECTION OF PROPOSALS:
3.1 County expressly reserves the right to:
3.1.1 waive any defect, irregularity or informality in any proposal;
3.1.2 reject or cancel any proposal or parts of any proposal;
3.1.3 award contracts to one or more Proposers; or
3.1.4 procure the services in whole or in part by other means.
4.0 PROTESTS:
Protests before award must be submitted in writing to the Purchasing Agent not later than six (6) calendar days after proposal opening, and protests after award must be submitted within ten (10) calendar days after award by Commissioners Court. The Purchasing Agent shall rule on the protest in writing within ten (10) calendar days from date of receipt. Any appeal of the Purchasing Agent's decision must be made within ten (10) calendar days after receipt thereof and submitted to the Purchasing Agent, who shall present the matter for final resolution to the Commissioners Court. Appellant shall be notified of the time and place the appeal is to be heard by Commissioners Court and afforded an opportunity to present evidence in support of the appeal.
NOTE: PARTS II, III, AND IV, ALONG WITH THE PROPOSER’S PROPOSAL, AND ANY DEVIATION TO WHICH TRAVIS COUNTY HAS AGREED, IN WRITING, WILL BECOME THE CONTRACT.
PART II - SPECIFIC REQUIREMENTS
1. SCOPE OF SERVICES: Travis County is seeking a qualified non-profit agency corporation or governmental entity to provide a Mental Health Public Defender’s Office.
2. OBJECTIVE:
2.1 To secure the best available legal representation for Indigent Offenders to be served by the establishment of a Travis County Mental Health Public Defender’s Office. Please note: All proposals should be consistent with the program described in the Statement of Grant Award in Attachment B.
3.0 GENERAL REQUIREMENTS: The following requirements are provided to assist vendors in submitting a thorough response and in understanding the objectives of Travis County. Proposals received must reflect, the inclusion of the following requirements and the degree to which they will be provided. UNDER THE CODE OF CRIMINAL PROCEDURE 26.044, COMMISSIONER’S COURT MAY APPOINT EITHER A GOVERNMENTAL ENTITY OR NON-PROFIT CORPORATION TO SERVE AS A PUBLIC DEFENDER. THEREFORE ONLY A GOVERNMENTAL ENTITY OR NON-PROFIT CORPORATION MAY SUBMIT A PROPOSAL:
3.1 To be eligible for appointment as the mental health public defender, the governmental entity or nonprofit corporation must be directed by a chief public defender who:
3.1.1 Is a member of the State Bar of Texas;
3.1.2 Has practiced law for at least eight years;
3.1.3 Has substantial experience in the handling of cases of individuals who have a mental illness, and;
3.1.4 Has substantial experience in the management and supervision of practicing attorneys and affiliated professional and administrative staff.
2. Non-profit applicants must provide documentation that:
1. They have been chartered by the Texas Secretary of State to provide services in the State of Texas and;
2. Outlines in detail the length of incorporation, population served, organization structure, current year budget, and any other pertinent information that provides an overview of the non-profit organization’s background.
3. Non-profit applicants may not newly subcontract nor enter into any agreements for service provisions prior to 06/01/06 in the submission of this proposal.
4. Nonprofit applicants must submit the last two years of completed fiscal audits with RFP proposal.
5. Except as authorized by article 26.044, the Chief Public Defender or an attorney employed by a public defender may not:
1. Engage in the private practice of criminal or civil law;
2. Accept anything of vale not authorized by this article for services rendered under this article.
4.0 CONTRACTOR’S RESPONSIBILITY:
1. At a minimum, the Chief Mental Health Public Defender must meet qualifications for appointment to misdemeanor cases set out in the Travis County Criminal District Courts as approved by the Texas Task Force on Indigent Defense.
Those qualifications are:
1. The completion of ten hours of continuing CLE in criminal law or procedure in the past year, and;
2. The completion of eight hours CLE hours in mental health base practices for mentally ill defendants, and;
3. At least eight years prior experience in criminal litigation.
PART III - SPECIAL PROVISIONS
1.0. TERM OF CONTRACT: This contract will be for a twelve (12) month period commencing upon award by the Travis County Commissioners Court, subject to approval of the Commissioners Court and contingent upon the successful receipt of grant funding.
2.0 OPTION TO EXTEND: County may unilaterally extend this Contract for (i) four (4) additional one (1) year periods (individually, an “Option to Extend” and collectively, the “Options to Extend”), and all provisions of this Contract, except for term and price, shall remain unchanged and in full force and effect. County shall exercise an Option to Extend no sooner than ninety (90) days prior to expiration of the then current term. The total term of this Contract, including the Options to Extend, shall not exceed sixty (60) months. County shall have the right to exercise all or a portion of the Option to Extend in any combination it deems necessary.
3.0 PURCHASE ORDER: Contractor will not release any items or perform any services until a purchase order number is assigned by the designated representative of the County Purchasing Office. Contractor will reference contract and purchase order on all invoices submitted to the Travis County Auditor. Upon issuance of a purchase order, the contract administrator will call the Contractor with the items needed to be supplied. The Contractor must respond by supplying the items at the time required. Failure to act in this manner may result in termination of this contract.
4.0 CONTRACT ADMINISTRATOR: For purposes of monitoring performance, establishing requirements, approving and coordinating schedules, users, and equipment, the county department named below shall act as contract administrator on behalf of Travis County:
To Be Determined
5.0 IMPLIED SERVICES: If any services, functions or responsibilities not specifically described in this Contract are required for the proper performance and provision of the Services, they shall be deemed to be implied by and included within the scope of the Services to the same extent and in the same manner as if specifically described in this Contract. Except as otherwise expressly provided in the Contract, Vendor shall be responsible for providing the facilities, personnel and other resources as necessary to provide the Services.
6.0 GRANT FUNDING: Prior to receiving funds from the County for this project, the Chief Public Defender must agree to abide by any contractual agreements or grant award conditions approved by Commissioner’s Court. Written approval of a judge of a county court, statutory court or district court in trying criminal cases in the county is required before Commissioners Court may appoint a governmental entity or non-profit corporation to serve as a public defender. The request for proposal and any resulting contract shall be in accordance with the Code of Criminal Procedure, Chapter 26.
7. Proposal Requirements:
1. Under 26.044, a proposal to operate a public defender’s office must include:
1. A budget for the public defender, including salaries;
2. A description of each personnel position, including the chief public defender position;
3. The maximum allowable caseloads for each attorney employed by proponent;
4. Provide a detailed plan for yearly personnel training in the field of mental health defense and/or best practices in the supervision, treatment and care of the mentally ill;
5. A description of anticipated overhead costs for the public defender;
6. Policies regarding the use of licensed investigators and expert witnesses by the proponent;
7. Reasonable demonstration that the proponent will provide quality representation for indigent defendants in Travis County, including how attorney/client privilege will be maintained under the program;
8. Identify and describe the Public Defender’s Case Management system to be used and how it will meet the technology requirements of the grant listed on the FY 2007 Discretionary Grant Program - Request for Applications (RFA) included in this RFP as part of Attachment C, Request for Applications.
8. COMPETITIVE PROPOSALS:
1. Proposals will be evaluated and awarded based on the following factors (Reference Part I, Section C, Par. 6.0):
1. Budget for mental health defenders office, including salaries;
2. Description of each personnel position, including the chief public defender position and all other related positions;
3. Description of case/workload management plan including the maximum allowable caseloads for each attorney and other positions employed by the office;
4. Provisions of personnel training;
5. Description of anticipated overhead costs for the public defender’s office;
6. Policies regarding the use of licensed investigators and expert witnesses by the proponent, and;
7. Ability to provide adequate quality representation.
2. A proposal Evaluation Committee will assign weight for each of the evaluation criteria. Negotiations may be conducted with responsible proposers who submit proposals determined by the purchasing agent to be reasonably susceptible of being selected for award. All proposers will be accorded fair and equal treatment with respect to any opportunity for negotiation and revision of proposals. Revisions to proposals may be permitted after submission and before award for the purpose of obtaining best and final offers.
1. Any oral negotiations must be confirmed in writing prior to the award.
2. Award may be made without negotiation of proposals with any proposer.
3. Cost and/or Pricing Data may be required to be submitted with the proposal, if specified elsewhere in this RFP, or during the process of and negotiations that may be conducted after receipt of proposals and prior to the award.
8.4 Proposals shall include the maximum allowable caseloads for each attorney employed by the proposer and the price per case if that number is exceeded.
PART IV - GENERAL PROVISIONS
1.0 GENERAL DEFINITIONS:
1.1 "Auditor" means the Travis County Auditor or her designee.
1.2 "Commissioners Court" means Travis County Commissioners Court.
1.3 "County Building" means any County owned buildings and does not include buildings leased by County.
1.4 "Is doing business" and "has done business" mean:
1.4.1 Paying or receiving in any calendar year any money or other valuable thing which is worth more than $250 in the aggregate in exchange for personal services or for purchase of any property or property interest, either real or personal, either legal or equitable; or
1.4.2 Loaning or receiving a loan of money; or goods or otherwise creating or having in existence any legal obligation or debt with a value of more than $250 in the aggregate in a calendar year;
1.4.3 but does not include any retail transaction for goods or services sold to a Key Contracting Person at a posted, published, or marked price available to the general public.
1.5 "Key Contracting Person" means any person or business listed in Exhibit A to Affidavit.
1.6 "Purchasing Agent" means the Travis County Purchasing Agent.
1.7 "County" means Travis County, Texas, a political subdivision of the State of Texas.
1.8 "Historically Underutilized Business" or "HUB" means any entity or association formed to make a profit in which one (1) or more persons who are educationally or economically disadvantaged because of their identification as members of one of the following groups: African Americans, Hispanic Americans, Asian Pacific Americans, Native Americans or Women of any ethnicity have the following rights:
1.8.1 own at least fifty-one percent (51%) of all classes of shares or other equitable securities and have incidents of ownership, including an interest in profit and loss, equivalent to the percentage of capital, equipment or expertise contributed to the business where ownership is measured as though the community property interest of a spouse is the separate property of that spouse, if both spouses certify in writing that the non-participating spouse relinquishes control over his or her spouse, and his or her community property, and not as if it is subject to the community property interest of the other spouse; and have a proportionate interest and demonstrated active participation in the control, operation and management of the business's affairs; where control means having recognized ultimate control over all day-to-day decisions affecting the business, and is be known to, and at least tacitly acknowledged in day-to-day operations by employees of the business and by those with whom business is conducted, and holding a title commensurate with that control.
2.0 GENERAL CONDITIONS:
Contractor represents that he has thoroughly examined the drawings, specifications, schedule, instructions and all other contract documents. Contractor has made all investigations necessary to be thoroughly informed regarding plant and facilities for delivery of material, equipment and/or services as required by the proposal conditions.
3.0 CONTRACTOR CERTIFICATIONS:
3.1 Contractor certifies that he is a duly qualified, capable, and otherwise bondable business entity, that he is not in receivership or contemplates same, and has not filed for bankruptcy. He further certifies that the company, corporation or partnership is not currently delinquent with respect to payment of property taxes within County.
3.2 Contractor warrants that all applicable copyrights and licenses which may exist on materials used in this contract have been adhered to and further warrants that County shall not be liable for any infringement of those rights and any rights granted to County shall apply for the duration of the contract. Contractor shall indemnify County, its officers, agents and employees from all claims, losses, damages, causes of action and liability of every kind including expenses of litigation, and court costs and attorney fees for damages to any person or property arising in connection with any alleged or actual infringement of existing licenses or copyrights applicable to materials used in this contract.
4.0 DISPUTES AND APPEALS:
The Purchasing Agent acts as the County representative in the issuance and administration of this contract in relation to disputes. Any document, notice, or correspondence not issued by or to the Purchasing Agent or other authorized County person, in relation to disputes is void unless otherwise stated in this contract. If the Contractor does not agree with any document, notice, or correspondence issued by the Purchasing Agent, or other authorized County person, the Contractor must submit a written notice to the Purchasing Agent within ten (10) calendar days after receipt of the document, notice, or correspondence, outlining the exact point of disagreement in detail. If the matter is not resolved to the Contractor’s satisfaction, Contractor may submit a written Notice of Appeal to the Commissioners Court, through the Purchasing Agent, if the Notice is submitted within ten (10) calendar days after receipt of the unsatisfactory reply. Contractor then has the right to be heard by Commissioners Court.
5.0 FUNDING:
Partial funds for payment on this Contract have been provided through the County budget approved by Commissioners Court for this fiscal year only. State of Texas statutes prohibit the obligations and expenditure of public funds beyond the fiscal year for which a budget has been approved. However, the cost of items or services covered by this Contract is considered a recurring requirement and is included as a standard and routine expense of County to be included in each proposed budget within the foreseeable future. County Commissioners expect this to be an integral part of future budgets to be approved during the period of this Contract except for unanticipated needs or events which may prevent such payments against this Contract. However, County cannot guarantee the availability of funds, and enters into this Contract only to the extent such funds are made available. The fiscal year for County extends from October 1st of each calendar year to September 30th of the next calendar year.
6. FUNDING OUT:
Despite anything to the contrary in this Contract, if, during budget planning and adoption, Commissioners Court fails to provide funding for this Contract for the following fiscal year of County, County may terminate this Contract after giving Contractor thirty (30) days written notice that this Contract is terminated due to the failure to fund it.
7.0 INVOICING/PAYMENTS:
7.1 Contractor shall provide County with an Internal Revenue Form W-9, Request for Taxpayer Identification Number and Certification, that is completed in compliance with the Internal Revenue Code and its rules and regulations before any Contract funds are payable.
7.2 Payment shall be made by check or warrant by County upon satisfactory delivery and acceptance of products and services and submission of an invoice to the address below:
County Auditor
P.O. Box 1748
Austin, Texas 78767
7.3 As a minimum, invoices shall include: (i) name, address, and telephone number of Contractor and similar information in the event payment is to be made to a different address; (ii) County Contract or Purchase Order number; (iii) identification of products or services as outlined in this Contract; (iv) quantity or quantities, applicable unit prices, total prices, and total amount; and (v) any additional payment information called for by this Contract. County will not pay invoices that are in excess of the amount authorized by the Purchase Order.
7.4 Payment shall be deemed to have been made on the date of mailing of the check or warrant. For purposes of payment discounts, time will begin upon satisfactory delivery of products and services and/or submission of acceptable invoice, whichever is last. Partial payments will not be made unless specifically requested and approved by County prior to Contract award.
5. Accrual and payment of interest on overdue payments shall be governed by Tex. Gov't Code Ann., ch. 2251.
8.0 CONFLICT OF INTEREST:
Proposer shall complete the Conflict of Interest Questionnaire attached to this RFP as Attachment A. Within seven (7) business days of submitting its proposal, Proposer shall file the questionnaire with the County Clerk, Elections Division, 5501 Airport Boulevard, Austin, Texas 78751. Proposer shall update this questionnaire, as required by Chapter 176 of the Local Government Code, by September 1, 2006, and each year thereafter if Proposer receives, and continues under contract with County. In addition, if any statement on this submitted questionnaire becomes incomplete or inaccurate, Proposer shall submit an updated, completed questionnaire, not later the seventh (7th) business day after the date of an event that makes a statement in the questionnaire incomplete or inaccurate. Proposer should note that the law requires the County to provide access to this questionnaire on the official Travis County Internet Website.
9.0 DISCOUNTS:
Prompt payment discounts will not be considered in determining low proposals and making awards. In connection with any discount offered, time will be computed from the date of receipt of supplies or services or from the date a correct invoice is received, whichever is the later date. Payment is deemed to have been made on the date of mailing of the check, or warrant.
10.0 OFFICIALS NOT TO BENEFIT:
If a member of the Commissioners Court belongs to a cooperative association, the county may purchase equipment or supplies from the association only if no member of the Commissioners Court will receive a pecuniary benefit from the purchase, other than as reflected in an increase in dividends distributed generally to members of the association.
11.0 COVENANT AGAINST CONTINGENT FEES:
[Jim Connolly: With regard to Brian Wilson’s comment, we don’t know yet whether we will be negotiating compensation provisions with a nonprofit. There are several different ways to deal with compensation issues. For the most part, these are policy/management decisions.]
The Contractor warrants that no persons or selling agency has been retained to solicit this Contract upon an understanding for a commission, percentage, brokerage, or contingent fee, excepting bona fide employees or bona fide established commercial selling agencies maintained by the Contractor to secure business. For breach or violation of this warranty, County shall have the right to terminate this Contract without liability, or in its discretion to, as applicable, add to or deduct from the Contract price for consideration, or otherwise recover, the full mount of such commission, percentage, brokerage, or contingent fee.RESERVED.
12. ASSIGNMENT:
1. Assignment. The parties to this Contract shall not assign any of the rights or obligation under this Contract without the prior written consent of the other party. No official, employee, representative or agent of County has the authority to approve any assignment under this Contract unless that specific authority is expressly granted by Commissioners Court.
2. Successors Bound. The terms, provisions, covenants, obligations and conditions of this Contract are binding upon and inure to the benefit of the successors in interest and the assigns of the parties to this Contract if the assignment or transfer is made in compliance with the provisions of this Contract.
12.3 If a change of name is required, the Purchasing Agent shall be notified immediately. No change in the obligation of or to Contractor will be recognized until it is approved by Commissioners Court.
13. FORCE MAJEURE: If the performance by the County of any of its obligations hereunder shall be interrupted or delayed by any occurrence not occasioned by its own conduct, whether such occurrence be an act of God or the result of war, riot, civil commotion, sovereign conduct, or the act or conduct of any person or persons not a part hereto, then it shall be excused from such performance for such period of time as is reasonably necessary after such occurrence to remedy the effects thereof.
14. RESERVED:
15. RESERVED:
TERMINATION FOR DEFAULT:
Failure [Jim Connolly: It’s my understanding that once a court appoints an attorney to represent a defendant in a criminal case, the attorney’s obligation to represent that defendant continues until the court allows the attorney to withdraw from that representation. If the attorney was only recently appointed and has not yet performed any meaningful services on behalf of the defendant, the court may allow the attorney to withdraw and appoint another lawyer to represent the defendant. On the other hand, if the attorney has been on the defendant’s case for a long time, has participated in pretrial hearings, trial preparation, etc., the court may not want to switch lawyers. Some of the persons who put this project together may have more information about how this works. I know that Judge Hohengarten worked on this project. She would probably be able to shed some light on how courts would handle such a situation. How the MHPD might be compensated for work done on cases after termination is a policy/management decision.] by either County or Contractor in performing any provisions of this Contract shall constitute a breach of Contract. Either party may require corrective action within ten (10) calendar days after date of receipt of written notice citing the exact nature of the other's breach. Failure to take corrective action or failure to provide a satisfactory written reply excusing such failure within the ten (10) calendar days shall constitute a default. The defaulting party shall be given a twenty (20) calendar day period within which to show cause why this Contract should not be terminated for default. Commissioner’s Court may take whatever action as its interest may appear, resulting from such notice. All notices for corrective action, breach, default or show cause, shall be issued by the Purchasing Agent or County Attorney only and all replies shall be made in writing to the Purchasing Agent at the address provided herein. Notices issued by or to anyone other than the Purchasing Agent or County Attorney shall be null and void, and shall be considered as not having been issued or received. County reserves the right to enforce the performance of this Contract in any manner prescribed by law in case of default and may contract with another party with or without competition or further notification to the Contractor. As a minimum, Contractor shall be required to pay any difference in the cost of securing the products or services covered by this Contract, or compensate for any loss or damage to the County derived hereunder should it become necessary to contract with another source because of his default, plus reasonable administrative costs and attorney's fees. In the event of Termination for Default, County, its agents or representatives, shall not be liable for loss of any profits anticipated to be made hereunder.
16. TERMINATION FOR CONVENIENCE: [Jim Connolly: With regard to Brian’s comment, you could ask proposers to include a plan for terminating representation. Or not.]
16.0 CHANGES:
16.1 Unless specifically provided otherwise in this Contract, any change to the terms of this Contract or any attachments to it shall be made by written change order signed by both parties. The Purchasing Agent may at any time, by written document, make changes within the general scope of this Contract in any one of the following:
1. Description of services;
2. Place of delivery;
16.1.3 Any aspect of contract to correct errors of a general administrative a nature or other mistakes, the correction of which does not affect the scope of the contract and does not result in expense to the Contractor.
1. It is acknowledged by Contractor that no officer, agent, employee or representative of County has any authority to change the scope of this Contract or any attachments to it unless expressly granted that authority by the Commissioners Court.
2. If any change under 16.1 causes an increase or decrease in the cost, or time required for performance of any part of the work under this Contract, the Commissioners Court shall make an equitable adjustment in the contract price, the delivery schedule, or both, and modify this Contract. The Contractor must submit any "proposal for adjustment" within thirty (30) calendar days after the date of receipt of the written order.
3. Contractor shall submit all requests for alterations, additions or deletions of the terms of this Contract or any attachment to it to the Purchasing Agent. The Purchasing Agent shall present Contractor's requests to Commissioners Court for consideration.
17.0 COUNTY ACCESS:
Contractor shall maintain and make available all books, documents, and other evidence pertinent to the costs and expenses of this Contract for inspection, audit or reproduction by any authorized representative of County to the extent this detail will properly reflect these costs and expense. These include all costs; both direct and indirect costs, cost of labor, material, equipment, supplies, and services, and all other costs and expenses of whatever nature for which reimbursement is claimed under this Contract. All required records shall be maintained until an audit is completed and all required questions arising therefrom are resolved, or three (3) years after completion of the Contract term, whichever occurs first; however, the records shall be retained beyond the third year if an audit is in progress or the findings of a completed audit have not been resolved satisfactorily. [Jim Connolly: I agree with Brian’s comment.]RESERVED
18.0 SUBCONTRACTS:
18.1 Contractor shall not enter into any subcontracts for any service or activity relating to the performance of this contract without the prior written approval or the prior written waiver of this right of approval from County. It is acknowledged by Contractor that no officer, agent, employee or representative of County has the authority to grant such approval or waiver unless expressly granted that specific authority by the Commissioners Court.
18.2 If a subcontract is approved, Contractor must make a "good faith effort” to take all necessary and reasonable steps to ensure HUBs maximum opportunity to be subcontractors under this Contract. Contractor must obtain County approval of all proposed HUB subcontractors through the Purchasing Agent. Failure by Contractor to make a good faith effort to employ HUBs as subcontractors constitutes a breach of this Contract and may result in termination of this Contract.
19.0 MONITORING:
County reserves the right to perform periodic on-site monitoring of Contractor's compliance with the terms of this Contract, and of the adequacy and timeliness of Contractor's performance under this Contract. After each monitoring visit, County shall provide Contractor with a written report of the monitor's findings. If the report notes deficiencies in Contractor's performances under the terms of this Contract, it shall include requirements and deadlines for the correction of those deficiencies by Contractor. Contractor shall take action specified in the monitoring report prior to the deadlines specified.
20.0 ASSIGNMENT OF CONTRACT OR MORTGAGE:
Contractor must not transfer or assign any part of or right or interest in this Contract, directly or indirectly, voluntary or involuntary without the express written approval of the Commissioners Court. Contractor must not execute any mortgage, or issue any bonds, shares of stock, or other evidence of interest in County buildings.
21.0 CIVIL RIGHTS/ADA COMPLIANCE:
Contractor shall provide all services and activities required by this Contract in a manner that would comply with the Civil Rights Act of 1964, as amended, the Rehabilitation Act of 1973, Public Law 93-1122, Section 504, and with the provisions of the Americans With Disabilities Act of 1990, Public Law 101-336 [S.933] if Contractor were an entity bound to comply with these laws. Contractor shall not discriminate against any employee or applicant for employment based on race, religion, color, sex, national origin, age or handicapped condition.
22.0 GRATUITIES:
County may terminate this Contract if it is found that gratuities of any kind including entertainment, or gifts were offered or given by the Contractor or any agent or representative of the Contractor, to any County Official or employee with a view toward securing favorable treatment with respect of this Contract. If this Contract is terminated by the County pursuant to this provision, County shall be entitled, in addition to any other rights and remedies, to recover from the Contractor at least three times the cost incurred by Contractor in providing the gratuities.
23.0 FORFEITURE OF CONTRACT:
23.1 Contractor must forfeit all benefits of the Contract and County must retain all performance by Contractor and recover all consideration or the value of all consideration, paid to Contractor pursuant to this contract if:
23.1.1 Contractor was doing business at the time of submitting its proposal or had done business during the 365 day period immediately prior to the date of which its proposal was due with one or more Key Contracting Persons if Contractor has not disclosed the name of any such Key Contracting Person in its proposal which is expressly incorporated in this Contract; or
23.1.2 Contractor does business with a Key Contracting Person after the date on which the proposal that resulted in this Contract and prior to full performance of the Contract and fails to disclose the name of that Key Contracting Person in writing to each member of the Commissioners Court and to the County Clerk within ten (10) days commencing business with that Key Contracting Person.
24.0 NOTICES:
24.1 Any notice required or permitted to be given under this Contract by one party to the other shall be in writing and shall be given and deemed to have been given immediately if delivered in person to the address set forth in this section for the party to whom the notice is given, or on the third day following mailing if placed in the United States Mail, postage prepaid, by registered or certified mail with return receipt requested, addressed to the party at the address set forth in this section.
24.2 The address of County for all purposes under this contract shall be:
Honorable Samuel T. Biscoe (or his successor in office)
County Judge
P.O. Box 1748
Austin, Texas 78767-1748
With copies to (registered or certified mail with return receipt is not required):
Honorable David Escamilla (or his successor in office)
Travis County Attorney
P.O. Box 1748
Austin, Texas 78767-1748
With copies to (registered or certified mail with return receipt is not required):
Cyd Grimes, C.P.M.
Purchasing Agent
P.O. Box 1748
Austin, Texas 78767-1748
24.3 The address of the Contractor for all purposes under this contract and for all notices hereunder shall be the address shown in the Notice of Award.
24.4 Each party may change the address for notice to it by giving notice of the change in compliance with 24.0.
25.0 CONSTRUCTION OF CONTRACT:
25.1 Law and Venue. This Contract is governed by the laws of the United States of America and Texas and all obligations under this contract are performable in Travis County, Texas. Venue for any dispute arising out of this Contract will lie in the appropriate court of Travis County, Texas.
25.2 Severability. If any portion or portions of this Contract are ruled invalid, illegal, or unenforceable in any respect, by a court of competent jurisdiction, the remainder of it shall remain valid and binding.
25.3 Headings. Headings and titles at the beginning of the various provisions of this Contract have been included only to make it easier to locate the subject matter covered by that part, section or subsection and are not to be used in construing this Contract.
4. Computation of Time. When any period of time is stated in this Contract, the time shall be computed to exclude the first day and include the last day of period. If the last day of any period falls on a Saturday, Sunday, or a day that Travis County has declared a holiday for its employees, these days shall be omitted from the computation. All hours stated in this Contract are stated in Central Standard Time from 2:00 o'clock a.m. on the first Sunday October until 2:00 o'clock a.m. on the first Sunday of April and in Central Daylight Saving Time from 2:00 o' clock a.m. on the first Sunday April until 2:00 o'clock a.m. on the first Sunday of October.
25.5 Gender and Number: Words of any gender in this Contract shall be construed to include any other gender and words in either number shall be construed to include the other unless the context in the Contract clearly requires otherwise.
26.0 ENTIRE CONTRACT:
All oral and written agreements between Contractor and County relating to the subject matter of this Contract that were made prior to the execution of this Contract have been reduced to writing and are contained in this Contract.
27.0 CONTRACTOR LIABILITY, INDEMNIFICATION AND CLAIMS NOTIFICATION:
Contractor shall indemnify County, its officers, agents, and employees, from and against any and all third party claims, losses, damages, causes of action, suits, and liability of every kind whether meritorious or not and, including all expenses of litigation, court costs, and reasonable attorney's fees, arising in connection with the services provided by Contractor under this Contract. It is the expressed intention of the parties to this contract, both Contractor and County, that the indemnity provided for in this paragraph is indemnity by Contractor to indemnify and protect County from the consequences of Contractor's actions.
28.0 RESERVED:
29.0 ORDER OF PRECEDENCE:
In the event of inconsistency between provisions of this Contract, the inconsistency shall be resolved by giving precedence in the following descending order:
Terms and Conditions of Request of Services;
General Provisions;
Other provisions, whether incorporated by reference or otherwise; and
The Specifications.
30.0 ADDITIONAL GENERAL PROVISIONS:
30.1 County may assign any of its obligations under this Contract.
30.2 Contractor must comply with all Federal and State laws and regulations, City and County ordinances, orders, and regulations, relating in any way to this Contract.
30.3 Contractor must secure all permits and licenses, pay all charges and fees, and give all notices necessary for lawful operations.
4. Contractor must pay all taxes and license fees imposed by the Federal and the State Governments and their agencies and political subdivisions upon the property and business of Contractor.
5. Despite anything to the contrary in this Contract, if the Contractor is delinquent in payment of property taxes at the time of providing services, Contractor hereby assigns the portion of the amount owing to it under this contract that is equal to the amount Contractor is delinquent in property tax payments to the Travis County Tax Assessor-Collector for the payment of the delinquent taxes.
31.0 DESIGNATED COUNTY HOLIDAYS 2006: No deliveries will be accepted on designated holidays, unless specific prior arrangements have been made. Below is the approved holiday schedule. Future schedules are expected to be similar.
HOLIDAY 2006
New Year’s Day Monday Jan 2, 2006
Martin Luther King, Jr. Day Monday Jan 16, 2006
President's Day Monday Feb 20, 2006
Memorial Day Monday May 29, 2006
Independence Day Tuesday Jul 04, 2006
Labor Day Monday Sep 04, 2006
Veteran’s Day Friday Nov 10, 2006
Thursday before Thanksgiving Thursday Nov 23, 2006
Thanksgiving Day Friday Nov 24, 2006
Christmas Season Monday Dec 25, 2006
Christmas Season Tuesday Dec 26, 2006
32.0 MEDIATION:
When mediation is acceptable to both parties in resolving a dispute arising under this Agreement, the parties agree to use a mutually agreed upon mediator, or a person appointed by a court of competent jurisdiction, for mediation as described in section 154.023 of the Texas Civil Practice and Remedies Code. Unless both parties are satisfied with the result of the mediation, the mediation will not constitute a final and binding resolution of the dispute. All communications within the scope of the mediation shall remain confidential as described in section 154.073 of the Texas Civil Practice and Remedies Code, unless both parties agree, in writing, to waive the confidentiality.
33.0 RESERVED:
34.0 NON-WAIVER OF DEFAULT:
34.1 The waiver of a breach of any term or condition of this Contract is not a waiver of a subsequent breach of that term or condition, or a breach or subsequent breach of any other term of condition. No official, agent, employee, or representative of County may waive any breach of any term of condition of this Contract unless expressly granted that specific authority by Commissioner Court.
34.2 All rights of County under this Contract are specifically reserved and any payment, act or omission shall not impair or prejudice any remedy or right to County under it. Any right or remedy in this Contract shall not preclude the exercise of any other right or remedy under this Contract or under any law, nor shall any action taken in the exercise of any right or remedy be deemed a waiver of any other rights or remedies.
35.0 CERTIFICATION OF ELIGIBILITY:
Contractor certifies that at the time of submission of its offer, it was not on the Federal Government’s list of suspended, ineligible, or debarred contractors and that it has not been placed on this list between the time that its offer was submitted and the time of execution of this contract. If the Contractor is placed on the list during the term of this contract Contractor shall notify the Travis County Purchasing Agent. False certification or failure to notify may result in terminating this Contract for default.
36.0 INSURANCE AND LIABILITY:
During the period of this Contract, contractor shall maintain at his expense, insurance with limits not less than those prescribed below. With respect to required insurance, Contractor shall:
(i) Name County as additional insured, as its interests may appear.
(ii) Provide County a waiver of subrogation.
(iii) Provide County with a thirty (30) calendar days advance written notice of cancellation or material change to said insurance.
(iv) Provide the County Purchasing Agent at the address shown on Page 1 of this contract, a Certificate of Insurance evidencing required coverages within ten (10) calendar days after receipt of Notice of Award and within ten (10) calendar days of each renewal of the insurance. Also, please assure your certificate contains the contract number as indicated on the Contract Award form when issued by Travis County.
(v) Submit an original certificate of insurance reflecting coverage as follows:
Automobile Liability:
Bodily Injury (Each person) $250,000.00
Bodily Injury (Each accident) $500,000.00
Property Damage $100,000.00
General Liability (Including Contractual Liability):
Bodily Injury $500,000.00
Property Damage $100,000.00
Excess Liability:
Umbrella Form Not Required
Worker's Compensation: Statutory
37.0 SECURITY COMPLIANCE:
37.1 Network, Computer, and Information Security Compliance:
The goods and/or services solicited through this request must be and remain in compliance with applicable Texas law.
The goods and/or services solicited through this request must be and remain in compliance with all Travis County network, computer, software, and information security policies, standards, specifications, guidelines, processes and procedures already developed or deployed or subsequently developed or deployed and used by or for the Travis County Department of Information and Telecommunications Services (“ITS”) and/or a department, office or division of any elected or appointed Travis County official (collectively, the “Travis County Security Requirements” or the “Security Requirements”). The documents comprising the Security Requirements may be obtained upon request from ITS and upon execution of a Travis County Non-Disclosure and Confidentiality Agreement.
37.2 Initial Compliance: Proposer’s goods and/or services shall comply with the Security Requirements including but not limited to the Travis County Asset Management Policy, Lifecycle Management Standard, Configuration Management Standard, Change Control Standard, and System Development Lifecycle Standard. The Proposer’s goods and/or services must operate with and be compatible with any and all network security, computer security, software security, and/or information security safeguards, including security hardware, software, appliances deployed by County (the “Security Safeguards”).
37.3 Certification of Compliance: Proposer must perform a self-conducted compliance review of Proposer’s goods and/or services and provide to the County, as part of the formal response, written certification in the form of a completed, signed, and dated compliance review checklist, attesting that Proposer’s’s goods and/or services are compliant with the Security Requirements. An authorized official of the Proposer’s company must sign and date the compliance review checklist.
37.4 Exceptions to Compliance Prior to Contract Award:
If the Proposer’s goods and/or services are not in full compliance, the Proposer may choose to provide a response to this request, noting the specific exceptions to compliance, the reasons for non-compliance, Proposer’s future intention to achieve compliance or reasons why compliance is not necessary or desirable, and/or other comments that the County should take into consideration when evaluating the Proposer’s response.
37.5 Ongoing Compliance Until Contract Award:
Proposer’s goods and/or services must comply with any and all modifications and/or additions to the Security Requirements and/or Security Safeguards that may occur between the time the Proposer’s response was submitted and the evaluation of responses and contract Contract award. The Proposer’s initial response, including any maintenance and support services, must take into consideration ongoing compliance with the Security Requirements and the Security Safeguards.
If Proposer’s goods and/or services become non-compliant after the Proposer has submitted a response, either through no fault of the County or in the event the County revises the Security Requirements and/or makes a change to the Security Safeguards and such revision causes the Proposer’s goods and/or services to be non-compliant, the County shall have the option of accepting the non-compliance or requiring Proposer to make any necessary modifications or alterations to bring Proposer’s goods and services into compliance before completing the evaluation of the Proposer’s response and award of the Contract.
If County exercises its right to require compliance pursuant to the foregoing, Proposer may 1.) withdraw Offer’s response, or 2.) shall be responsible for bringing the goods and/or services into compliance and shall be responsible for all costs incurred by Proposer in order to become compliant.
37.6 Ongoing Compliance Upon Execution of Contract:
Contractor’s goods, services, practices, and/or procedures must remain in compliance with the Security Requirements and compatible with the Security Safeguards, including complying with any and all modifications and/or additions to the Security Requirements and/or Security Safeguards that may occur throughout the term of the Contract.
The Contractor shall provide the required hardware, software, materials, expertise, and/or labor required to ensure ongoing compliance of the Contractor-provided goods and/or services with the Security Requirements, including operability and compatibility with the Security Safeguards as a part of ongoing maintenance and support.
The Contractor-provided goods, services, practices, and/or procedures must be accredited by the ITS Department Security Manager before being connected into the Travis County Government Network or placed into any County production operation environment. Accreditation is achieved by undergoing a Security Assessment that shows the Contractor supplied goods and/or services are compliant with the Security Requirements and Security Safeguards. This security evaluation of the specific solutions covered by the Contract may reveal aspects of the architecture, implementation, operation, maintenance, and/or other aspect of these solutions that may necessitate incorporating additional solution-specific information security requirements to protect County computers, networks, software, information, and facilities.
37.7 Notification of Non-Compliance or Incompatibility:
If Contractor determines, at any time during the Contract term, that Contractor’s goods, services, practices, and procedures do not comply with County’s current Security Requirements and/or are not compatible with County’s current Security Safeguards, the Contractor shall notify the ITS Help Desk by no later than the end of the business day following the confirmation by the Contractor of the non-compliance or incompatibility.
If the County determines at any time during the Contract term, that the Contractor’s goods, services, practices, and procedures do not comply with County’s current Security Requirements and/or compatibility with County’s current Security Safeguards, the County shall notify the Contractor by no later than the end of the business day following the confirmation by the Contractor of the non-compliance or incompatibility.
37.8 Remedy of Non-Compliance or Incompatibility:
In the event that either the County or the Contractor are notified of a non-compliance and/or incompatibility, the Contractor shall:
1. Determine the effort and cost to bring Contractor’s goods, services, practices, and procedures into compliance and compatibility;
2. Provide a draft working plan, including schedule, work effort and cost details, to remedy the non-compliance or incompatibility to the County no later than 5 working days after notification of the non-compliance and/or the incompatibility to County has been confirmed.
The County, at its sole discretion, shall determine whether the Contractor must bring some, all, or none of the non-compliant or incompatible Contractor’s goods, services, practices, and procedures into compliance with County’s current Security Requirements and/or into compatibility with County’s current Security Safeguards. Any instance of non-compliance or compatibility that the County does not require to be brought into compliance or compatibility will be noted as an exception. The County may choose, in its sole discretion, at any time, to remove the exception and require compliance and/or compatibility.
The Contractor shall be responsible for all costs associated with bringing Contractor-supplied goods, services and/or Contractor processes and practices into compliance with the Security Requirements and compatibility with the Security Safeguards.
The County may, at its sole discretion, provide some, all or none of the hardware, software, materials, expertise, and labor that may be required from time to time to bring the Contractor-supplied goods, services, practices, and/or procedures into compliance with the Security Requirements and the Security Safeguards.
37.9 Connectivity and Access to County Network, Systems, Software, and/or Information:
The Contractor and Contractor personnel who will be providing and/or maintaining goods and/or services, and who may from time to time access County systems, networks, software, and/or information, must be familiar with, and agree to adhere to and comply with the Security Requirements that pertain to and govern access to County computers, networks, software, and information including without limitation the Travis County Government Asset Protection Policy, Access Control Standard, Remote Access Standard, Security Awareness Policy, and Third Party Security Awareness Standard.
SIGNATURE PAGE
CONTRACTOR:
By:
Printed Name:
Its Duly Authorized Agent
Date:
TRAVIS COUNTY:
By:
Samuel T. Biscoe
Travis County Judge
Date:
APPROVED AS TO FORM:
County Attorney
AVAILABILITY OF FUNDS CONFIRMED:
Susan Spataro, Travis County Auditor
Date:
COMPLIANCE WITH LAW AND POLICY CONFIRMED AND APPROVED:
Cyd V. Grimes, Travis County Purchasing Agent
Date:
ATTACHMENT B
STATEMENT OF GRANT AWARD
Task Force on Indigent Defense
Statement of Grant Award
FY2007 Discretionary Grant
Grant Number: 212-07-D08
Grantee Name: Travis County
Program Title: Travis County Mental Health Public Defender Office
Grant Period: 10/01/2006-9/30/2007
Grant Type: New Multi-year Discretionary Grant
Grant Award Amount: $500,000
The Task Force on Indigent Defense (Task Force) has awarded the above-referenced grant for indigent defense services. The authorized official named on the grant application must sign this Statement of Grant Award and return it to the Task Force by October 1, 2006. The grantee will not receive any grant funds until this notice is executed and returned to the Task Force. Funding is provided as listed in the categories in the table below:
|Direct Costs | |
|1) Personnel (Total Number of FTEs: 8 ) |$324,823 |
|2) Fringe Benefits |$121,463 |
|3) Travel and Training |$8,500 |
|4) Equipment |$73,707 |
|5) Supplies |$22,507 |
|6) Contract Services and Office Rental |$74,000 |
|Total Direct Costs |$625,000 |
|Indirect Costs: | |
|7) Indirect Costs |0 |
|Total Indirect Costs | |
|Total Proposed Costs |$625,000 |
|Less Cash from Other Sources – County Match |$125,000 |
|Total Amount Funded by Task Force |$500,000 |
| | |
Standard Grant Conditions:
• The authorized official for the grantee accepts the grant award.
• The authorized official, financial officer, and program director, referred to below as grant officials, agree to the terms of the grant as written in the Request for Applications issued on February 14, 2006, including the rules and documents adopted by reference in the Task Force on Indigent Defense’s Grant Rules in Title 1, Part 8, Chapter 173, Texas Administrative Code.
• The grant officials understand that a violation of any term of the grant may result in the Task Force placing a temporary hold on grant funds, permanently deobligating all or part of the grant funds, requiring reimbursement for funds already spent, or barring the organization from receiving future grants.
• Disbursement of funds is always subject to the availability of funds.
• The grant officials agree to follow the grant terms contained in the “Required Conditions and Report” contained in Attachment A.
• Any plan documents submitted to the Task Force must continue to meet all grant eligibility requirements.
The authorized official for this grant program has read the preceding and indicates agreement by signing this Statement of Grant Award below:
________________________________________________
Signature of Authorized Official
________________________________________________
Name & Title (must print or type)
________________________________________________
Date
Attachment A
Required Conditions and Reports
Method of Calculation
The budget on the Statement of Grant Award was developed under the assumption that the grant be based on a twelve month period. The schedule is intended to provide the county twelve months of funds at each of the original agreed upon funding levels. If the county has a delayed start in the beginning year (FY2007), it may necessitate an adjustment in future years to allow the county to fully expend grant funds. The intention is to still follow the four year declining schedule of 80% in the first year, 60 % in the second year, 40% in the third year, and 20% in the fourth year. The grants will remain on a fiscal year (Oct to Sept), but future awards will reflect any needed modifications to implement this policy.
Program Requirements
In addition to the program requirements stated in the Request for Applications (RFA) these specific program requirements apply to this funded program:
← The county will submit reports to obtain reimbursement of expended funds based on actual expenditures. The reimbursements will be based proportional to the county’s required match;
← The County must maintain a public defender board to supervise the operation of this department. The board will consist of: (1) two county commissioners or their appointees; (2) two criminal court judges; (4) one criminal defense attorney not on the Mental Health Wheel ; (5) one criminal defense attorney on the Mental Health Wheel; and (6) one mental health advocate. This public defender board must be responsible for recommending the selection and removal of the Chief Public Defender. The administrative role of this public defender board in supervising the Chief Public Defender including any fiscal authority must be decided by the Commissioners Court. The county will submit a written policy on how the members are to be selected;
← The County must maintain a written policy that includes caseload standards for each attorney and for the operation of this program. In developing caseload standards, nationally recognized standards and standards used by other states shall be taken into consideration. The policy on the caseload standard must require the Chief Public Defender to review the caseload status at least quarterly. The Chief Public Defender may make overrides or under-rides based on overall complexity of cases, overall type of cases, attorney experience, support staff experience, court needs, available technology augmenting services, or other factors affecting the delivery of services. The Chief Public Defender must notify the public defender board in writing if an exception to the caseload standards is authorized;
← The County will develop a written policy that includes a formal intake process for this program. The policy must include: 1) a procedure to refer clients from courts, public defender attorneys, and the private bar; 2) a method to screen and/or assess the defendants who are referred for representation under this program; 3) a set priority population criteria to determine which clients are to be represented if referrals are greater than caseload capacity. The priority population criteria may include factors of mental health, mental retardation, institutionalization history, medical history, seriousness of the offense, impact on the community, or other factors related to the alleged crime or personal history of the defendant. The Chief Public Defender may allow exceptions but all exceptions to the policy from the intake process must be documented and maintained;
← The County must provide to the Task Force staff the minimum job requirements and a full job description of the positions specified under this project before a person is selected;
← The County will provide a written plan on how it will coordinate with, and not duplicate, existing mental health systems in Travis County and Texas. The county will make every effort to demonstrate in the plan how they will identify and incorporate available mental health planning, treatment, and community services available to the defendants served by the MHPD;
← The County must provide a copy of the program evaluation reports developed by the independent evaluator hired by the county;
Activity
Travis County is beginning the implementation and administration of the Travis County Mental Health Public Defender Office. The County will operate the Public Defender Office that was agreed to under the terms of the FY2007 Grant Proposal below:
2007 Travis County Discretionary Grant Application Narrative
(Multi-Year Grant)
a. Application Form
Counties Represented: Travis
Fiscal Year: 2007
State Payee Identification Number: 17460001922021
Division To Administer Grant: Travis County Criminal Courts
Program Title: Travis County Mental Health Public Defender Office
Requested Grant Amount: $500,000.00
Financial Officer: Susan Spataro
Program Director: Kimberly Pierce
Mailing Address: PO Box 1748; Austin, TX 78767
b. Introduction (Executive Summary)
Travis County seeks to improve the quality of representation to indigent defendants with serious mental illness by establishing a Mental Health Public Defender Office (“MHPD”). Staffed with attorneys, social/case workers, and two administrative positions, the MHPD will represent clients in their criminal cases and will help connect them to available services and treatment options. In addition, the MHPD will support the Mental Health (MH) Wheel attorneys in providing holistic representation to their clients. The office also will seek systemic solutions to get and keep defendants with mental illness out of the criminal justice system.
c. Problem Statement
As funding for community services has been cut, many people with mental illness have migrated to the criminal justice system. Many of these people are indigent and require court-appointed counsel. However, few criminal defense attorneys know how to adequately address mental health issues, and fewer have the support they need to connect their clients to social services and treatment options. More important, because there is no institutional voice within the criminal justice system for these defendants, programs that would help get and keep them out of the criminal justice system are not developed.
d. Objectives
Background
In June 2005, the Travis County criminal court judges established a MH Wheel, which currently consists of 10 lawyers who are specially trained to deal with defendants with serious mental health issues. The county already had a pretrial system in place to identify defendants with serious mental health issues, including schizophrenia, bi-polar disorder, and major depression. MH Wheel attorneys are appointed to represent defendants so identified. With the creation of the MH Wheel, Travis County began tracking the number of misdemeanors and felonies appointed to the MH Wheel. As of mid-March 2006, the county had appointed MH Wheel attorneys to 937 felonies and 1,374 misdemeanors. Extrapolated, the county can expect to appoint MH Wheel attorneys to approximately 1,249 felonies and 1,832 misdemeanors, or roughly 15% of all appointed cases, in the first year of the MH Wheel program.
The development of the MH Wheel has improved the quality of representation provided to indigent defendants with serious mental health issues. However, many wheel attorneys are the first to admit that they do not have the resources to address their clients’ medical and psycho/social needs such as access to medication and a connection to services and treatment in the community once they are released.
The inability to get these clients what they need in jail and in the community (so they have a better chance of staying out of the criminal justice system) is especially troubling because defendants with serious mental health issues often languish in jail, spending much more time there than other defendants charged with similar crimes. Data compiled by the Travis County Sheriff’s Office compared pretrial detention data for inmates with mental health disorders to similar data for the general jail population. As the chart below demonstrates, a snapshot of 2,410 inmates reveals disturbing discrepancies in the length of pre-trial detention between the populations:
Average Length of Stay in Travis *
Mental Health vs. General Population Inmates
Snapshot on August 22, 2005
| |Pretrial Felons | Jail Felons |Pretrial Misdemeanants |
|General Population males |83 days (598 inmates) |60 days (208 inmates) |23 days (161 inmates) |
|MH males |113 days (125 inmates) |47 days (33 inmates) |51 days (29 inmates) |
|General Population females |72 days (62 inmates) |41 days (30 inmates) |13 days (12 inmates) |
|MH females |137 days (45 inmates) |48 days (14 inmates) |32 days (19 inmates) |
*Does not include persons who had been in jail 4 days or less. The lack of forensic beds in has greatly exacerbated the number of jail day beds.
*Does not include persons who had been in jail 4 days or less. The lack of forensic beds in Texas has greatly exacerbated the number of jail day beds.
While the MH attorneys have been working to address these discrepancies, they are already stretched thin, they do not have the time to organize and collaborate with county officials and mental health experts and advocates in order to develop systemic solutions that would get their clients out of jail more quickly, divert appropriate clients out of the criminal justice system, and help keep their clients out of the criminal justice system for good.
The target population for this grant proposal is indigent defendants with serious mental health issues charged with misdemeanors and of felony offenses. To appropriately address this population and issues mentioned above, the following objectives for the MHPD have been established:
i. Ensure equal access to justice by enhancing the current system to provide qualified, adequately supported attorneys with the specialized knowledge needed to defend persons with mental illness. The first objective is to guarantee defendants who have a mental illness equal access to justice in Travis County courts. While Travis County has already taken a step toward this goal through the creation of the MH Wheel, a Mental Health Public Defender Office will go a step further by creating an institution dedicated to this goal. It will provide two highly qualified defense attorneys who are specialized in representing clients who have a mental illness. These attorneys also will offer support to the existing MH Wheel. Goals for the office’s attorneys include:
1) to handle approximately 500 of the misdemeanor mental health appointments as lead counsel;
2) to attend 8 hours of CLE each year on mental health topics;
3) to act as a resource to MH Wheel attorneys and the defense bar as a whole, creating form motions and providing information about resources on issues concerning the defense of persons with mental illness and acting as consultants on complex cases; and
4) to act as advocates for persons with mental illness by serving on community councils and task forces dedicated to improving the community’s response to the needs of persons with mental illness.
ii. Provide caseworkers who will support both the MHPD Office’s attorneys and the attorneys on the MH Wheel. The budget calls for two social workers and two caseworkers. One social worker and two caseworkers will be dedicated to the attorneys on the MH Wheel, and one social worker will be dedicated to cases appointed to the MHPD Office. These positions will assist attorneys by helping them locate resources for treatment, assist them in determining mitigation strategy, and advocate for diversion from the system when appropriate. Goals for the social workers/caseworkers include:
1) to handle approximately 1200 cases (300 each) per year;
2) to develop a full MH/MR history for the client to assist defense counsel in identifying where the client received MH/MR services in the past and to help him/her begin accessing those services again. The history also may be useful to defense counsel in bond reduction hearings, in educating the Court about the challenges facing the client, and in mitigation strategy. It also may help defense counsel determine whether competency evaluations are needed, and could help indicate whether the client is a good candidate for diversion.
3) to provide assistance, resources, and referrals to help clients comply with the terms of their release, access community assistance programs, and become self-sufficient.
4) to recommend experts and obtain them as early as possible; and
5) to act as a resource to MH Wheel attorneys and the defense bar as a whole, and to probation officers, including (but not limited to) general information about where to find treatment, habilitation, and social service resources in the community, how to evaluate cases to determine whether clients are appropriate for community-based treatment, and insight into new models for treatment that could be utilized to the benefit of clients and the community.
iii. Minimize the number of days persons with mental illness spend in jail. While the most important objective of the office is to provide access to better-qualified attorneys and social workers, reducing the number of days spent in jail is important for two reasons: 1) jail may exacerbate an existing mental illness causing clients to decompensate or lose skills; and 2) treating persons with mental illness in a jail setting is more expensive than treating them in the community. Therefore, by the end of the four-year grant period, the MHPD and the attorneys on the MH Wheel will be able to show a reduction in the number of days defendants with mental illness spend in jail.
iv. Increase the number of dismissals and reduce recidivism among defendants with mental illness by providing them with better access to community resources. This objective recognizes that access to community resources is the key to helping individuals with mental illness avoid the criminal justice system. Many of the crimes committed by persons with mental illness are symptomatic of their disability, their disease, their substance abuse, or their inadequate access to resources that provide support and help them remain stable. Because very few of the crimes committed by defendants with mental illness are violent crimes, recognition and understanding of the underlying disability or disease should result in increased willingness to dismiss charges. Providing better access to resources will help ensure that individuals with mental illness do not cycle in and out of the criminal justice system.
e. Methodology or Project Design (Activities)
Project Design
i. All criminal justice stakeholders have been involved in envisioning the MHPD Office: A MHPD Office working group has met on four separate occasions to discuss the submission of this proposal and, in that process, has developed a vision for the MHPD Office and its role in improving the quality of representation to defendants with serious mental illness in Travis County. Representatives of the county commissioners court, the judiciary, court administration, mental health advocates, indigent defense advocates, district and county attorney offices, as well as the local defense bar, including both wheel and non-wheel attorneys, have been present at these workgroup meetings.
ii. An Public Defender Committee would be formed to provide operational oversight and guidance to the MHPD Office, and to provide guidance to the Commissioners Court on mental health indigent defense issues within Travis County. The committee will also participate in the review process of responses to formal solicitation process for the establishment of the MPHD Office. The Public Defender Committee would consist of: (1) two county commissioners or their appointees; (2) two criminal court judges; (4) one criminal defense attorney not on the Mental Health Wheel ; (5) one criminal defense attorney on the Mental Health Wheel; and (6) one mental health advocate. The Public Defender Committee will meet periodically with other key stakeholders on issues impacting the MHPD Office.
The Public Defender Committee will assist County staff in following the activities set forth in the Texas Code of Criminal Procedure Article 26.044 that describes the activities to set up a Public Defender Office. The Public Defender Committee would watch over an informal evaluation of the MHPD Office once a year, and provide suggestions for improvement, if needed, to the commissioners court and, if applicable, the managing entity.
If an entity other than Travis County is awarded the bid for the MHPD Office, the Public Defender Committee would assist County staff in negotiating the contract that will be submitted to the Commissioners Court for approval and the monitoring of the entity’s compliance with contractual terms.
If the County is awarded the bid for the office, the Public Defender Committee would participate in the review of resumes and in the development of a list of recommended candidates for Chief MHPD to the Commissioners Court. As a county office, the MHPD Office would be governed by established county policies and procedures. Personnel policies will be promulgated by contract if awarded to a non-profit.
iii. The MHPD Office would be staffed with the following employees, who would need to be hired, and each employee’s time, with the exception of the two administrative positions would be allocated as shown:
· Chief MHPD, who would:
-- handle as lead counsel approximately 200 misdemeanor cases involving defendants with a serious mental illness (50%)
-- administer the MHPD Office, including the hiring and termination of MHPD Office employees (10%)
-- consult on MH Wheel cases; act as an information resource for MHPD Office and wheel attorneys; and collaborate with county officials, mental health, and indigent defense experts and advocates, and MH Wheel attorneys to develop systemic changes to Travis County’s indigent defense system that would help get and keep defendants with serious mental illness out of the criminal justice system (40%)
· One Assistant MHPD, who would:
-- handle as lead counsel approximately 300 misdemeanor cases involving defendants with a serious mental illness (75%)
-- develop form motions for use by both the MHPD Office and MH Wheel attorneys; assist the Chief PD in developing trainings; and consult with attorneys on wheel cases (25%)
· Two Masters-Level Social Workers (“MSW”):
-- one MSW would be dedicated to the PD office and one to the MH Wheel cases
-- each MSW would handle a caseload of 300 cases per year, and would spend 90-95% of their time on casework, either supervising the caseworkers, developing mitigation evidence, or helping clients navigate social service systems
--each MSW would spend 5-10% of their time on administrative duties and collaboration with other stakeholders to develop systemic changes to the county’s indigent defense system that would help get and keep defendants with serious mental health issues out of the criminal justice system
· Two Bachelors-Level Caseworkers:
--both caseworkers would be dedicated to the MH Wheel cases
--each caseworker would handle a caseload of 300 cases per year, and would spend 90-95% of their time helping clients navigate social service systems
--each caseworker would spend 5-10% of their time on administrative duties
· Two Administrative Positions
--one administrative staff position either the Office Specialist or Legal Secretary would be primarily dedicated to the MHPD Office and the other to the MH Wheel cases
--each administrative staff position would be responsible for the administrative duties assigned to them by the Chief PD. These administrative positions are needed to support the office providing direct indigent defense services to its clients.
iv. Caseloads: The National Advisory Commission on Criminal Justice Standards has set out caseload standards for public defender offices. These standards have been adopted by the American Bar Association and they are set out in the TFID’s Blueprint for Establishing a Public Defender Office in Texas. According to the standards, attorneys should not handle more than 400 misdemeanor cases per year. The caseloads for the MHPD Office attorneys, as set out above by percentage of time, adhere to these standards.
MSWs and bachelors-level caseworkers would each assist in no more than 300 cases per year.
v. Integrating the MHPD Office with the MH Wheel Attorneys: MH Wheel attorneys would seek the appointment of the MHPD Office as second-chair counsel on those misdemeanor and felony cases in which they either need MHPD attorney consultation or they need the assistance of a MSW or caseworker.
vi. Identification of Target Population: After defendants are booked in the Travis County jail, counselors at the Sheriff’s Office assess them for mental health issues and identify those persons who have serious mental health issues, including schizophrenia, bi-polar disorder, and major depression. When the counselors identify a serious mental health issue, a “PSY” notation is made in the shared computer system. This information is available to criminal court administration (“CCA”) staff via the Travis County Indigent Defense Application (TCIDA) system. CCA will then make the necessary case assignments to either the MH Wheel of the MHPD Office. The standard of indigence will remain the same for defendants with mental health diagnosis.
vii. Appointments and Case Tracking: The CCA staff would appoint as primary counsel approximately ten misdemeanor cases per week to the MHPD Office, recognizing the 500 case limit per year. The CCA staff would be responsible for noting each case appointed to the MHPD Office in the TCIDA system so that data is collected to ensure that the MHPD Office is adhering to acceptable caseload limits and to the limit on the number of cases it will handle. Defendants who re-offend will be routed back through the MHPD Office to ensure continuity of care.
Criminal county and district court judges would make second-chair appointments as needed. The Chief MHPD would be responsible for monitoring the flow and number of second-chair appointments so that no social worker or caseworker in the MHPD Office assists on more than 300 cases in any given year.
viii. Evaluation: In addition to the evaluation provided each grant year by the Public Defender Committee, the MHPD Office would be independently evaluated to measure the office’s performance and determine its cost-effectiveness annually.
ix. Better Representation and Systemic Solutions: The Travis County MHPD Office would greatly enhance the representation afforded indigent defendants with serious mental health issues in Travis County by:
· Providing quality representation in approximately 500 misdemeanor cases in which the defendant has a serious mental illness.
· Providing social workers and caseworkers to the MHPD attorneys and MH Wheel attorneys in approximately 1200 cases to develop mitigation evidence and help clients navigate social service systems and treatment options.
· Providing form motions and attorney consultations to MH Wheel attorneys when needed.
· Acting as a resource for information about mental health and mental issues so that MHPD attorneys and MH Wheel attorneys are better equipped to handle the complex issues that often arise in mental health cases.
· Giving an institutional voice to defendants with serious mental illness.
· Collaborating with county officials, mental health and indigent defense experts and advocates, and MH Wheel attorneys in developing systems that would help get and keep defendants with serious mental illness out of the criminal justice system.
· Collaborating with the county’s Juvenile Public Defender (JPD) on indigent defense and mental health issues. The Chiefs of the JPD and MHPD shall explore opportunities to collaborate together that will result in greater efficiencies in criminal justice system for the indigent mentally ill population. Annual budget hearings for both offices will be scheduled so that one office with precede the other enabling the Commissioners Court to hear operational issues that may impact either or both offices at one time.
f. Evaluation
The MHPD will cooperate with the Task Force staff to develop reasonable on-line reports that best reflect the work of the MHPD and demonstrate that the program is operating as intended. The county will track all of the data elements presented in the proposal. The on-line reports may include some of the following data elements:
The MHPD Office and MH Wheel attorneys will track their cases according to: number of clients assigned to the public defender office as lead and second chair, the number of cases assigned to the two social workers and two case workers, how soon MHPD attorneys assigned to mental health cases are meeting with clients, the number of days clients spend in jail, how many clients were released on personal recognizance bonds, the outcome of each case including sentence length and type, and the amount of time between arrest and resolution of each case. This data will be tracked by the office’s case management software. The MHPD Office also will provide reports to the TFID per the requirements of the grant and at the end of each grant year to the Commissioners Court and the Public Defender Committee showing its ability to meet the objectives outlined above. The report will include:
A survey of County Court at Law and District Court judges showing how they rate the attorneys appointed to mental health cases. The goal will be to have 80% of the judges rate the attorneys’ representation as “satisfactory” or better.
The percentage of counsel assigned to mental health cases who have completed the requisite hours of specialized mental health training in each fiscal year. The goal will be to show 100% compliance.
Discussion of any resources provided by the MHPD attorneys and social workers to the attorneys on the MH Wheel and the defense bar as a whole, and to probation officers.
Discussion of form motions and other resources of this type developed by MHPD attorneys.
Percentage of mental health cases diverted away from the criminal justice system.
Percentage of mental health case clients who receive an individual treatment plan.
Percentage of individual treatment plans monitored by social workers for 120 days after disposition to determine compliance with plan.
Percentage of clients who receive referrals for community resources or social services.
Percentage of clients who received services from referrals.
Total number of referrals.
Total number accepted into program.
Total number of services received by clients.
Percentage of referrals that received services.
Average length of jail stay, pre-trial confinement, time between arrest and resolution, and percentage of defendants released on bond.
Number of dismissals based on proposed treatment plans.
Number of clients re-arrested for technical violations of diversion program or probation.
The report may include an anecdotal section discussing experiences of the division and relating success stories and failures, such as when the unit was able to connect clients to services they had not before received. The report also will include discussion of the systemic impact the MHPD Office has had in the criminal justice arena, including the ability of attorneys and social workers to improve understanding of mental health issues among stakeholders, changes in procedure or new programs instituted as a result of better understanding of mental illness and new resources for community-based treatment or habilitation of offenders with mental illness that were created to aid the MHPD Office in recognizing its objectives.
In addition, an external, independent evaluator will annually assess how the program is meeting its objectives each year. The evaluation will also identify areas that need improvement. Since this is believed to be the first stand-alone MHPD Office in the nation, an external, independent evaluation will be crucial for the newly established program.
The following table contains the data elements that the Task Force requires of all direct client service grants:
|Task |Definition |Report |
|Establish Public Defender board |The courts, commissioners’ court, and local bar|Date of first meetings. E-mail to Task Force any resolutions or|
| |select members to serve on Public Defender |documents that establish the Public Defender board or define |
| |board. |its role. E-mail names and contact information of committee |
| | |members. |
|Requests for Proposals (RFP) |Commissioners’ court issues RFP to determine if|Date of Issue of RFP. E-mail to Task Force copy of RFP. |
| |there are non-profits able to serve the County.| |
| | | |
|Select PD Proposal |The Public Defender board makes recommendation |Report date proposal selection is made and the contact |
| |of preferred proposal to commissioners’ court |information of selected proposal. |
| |and commissioners’ court makes selection. | |
|If governmental entity selected, Appoint Chief |The Public Defender board makes recommendation |Report date Chief PD selection is made and the contact |
|Public Defender (CPD) |of CPD to commissioners’ court and |information. |
| |commissioners’ court makes selection. | |
|Job Descriptions completed |The job descriptions for each type of position |Date completed and e-mail copies to Task Force |
| |are completed using Travis County’s existing HR| |
| |processes. | |
|Staff will be hired |Document the date that each employee is hired. |Report via E-mail a list of classifications and date positions |
| | |were filled. |
|Office Setup |The Public Defender board and CPD will make |Provide any documentation available on assessment of office |
| |assessments of office needs and select site for|needs. Report date office set-up is complete. Report via E-mail|
| |office through normal county processes. County |location of office. |
| |will purchase with grant funds equipment, | |
| |software and supplies to operate office. | |
|Software setup |Setup the attorney and caseworkers with the |Report the date the software setup is completed |
| |Travis County PD Office Case Management system | |
| |Set up Monitoring Report System | |
|Performance measure method |Establish method to collect data for referrals |Report the date the performance measure tracking method is |
| |and performance measures. Identify whether all |completed |
| |data will be maintained by tracking system or | |
| |if some data elements must be tracked | |
| |independently. Identify or develop standard | |
| |reports to facilitate reporting. | |
|Staff will be trained |Each staff will go through orientation and |Report date initial orientation and training is complete for |
| |training sessions. |each staff member. |
|Policies and Procedures completed and provided to|A policy and procedure manual is written to |Report date that the manual is distributed. E-mail copy to Task|
|staff |identify basic office procedures, how system is|Force. |
| |going to work and the various roles. This must | |
| |include caseload limits and | |
| |over-ride/under-ride procedure. | |
|Commence Public Defender Representation |Develop the process with courts to commence the|Report date that process is completed and e-mail copy to Task |
| |referral procedure. Submit indigent defense |Force. |
| |plan amendments if needed. | |
|Change indigent defense plan |Make any indigent defense plan changes that may|Report plan changes and implementation date are submitted to |
| |need to be made to include the new PD |the TFID. |
| |processes. | |
|Total number of people receiving services of | | |
|program | | |
|Total number screened and assessed by a social | | |
|worker or an investigator | | |
|Department Cases Active | | |
|Department Cases Closed | | |
|Attorneys Caseload Summary | | |
|Total Manhours | | |
|Average length of time between arrest and case | | |
|resolved. | | |
|Average Days to first contact | | |
|Other measures instituted by county | | |
|Report Quarterly Summary of work or issues during| | |
|the quarter | | |
|Report Quarterly Problem areas and resolution | | |
|Report Quarterly Activities scheduled during next| | |
|reporting period: | | |
|Report Quarterly Staff changes | | |
g. Future Funding
Travis County commits to fund an increasing percentage of the program costs each year, as required by the discretionary grant. The County agrees to provide the 20% match the first year, 40% the second year, 60% the third year, and the 80% match required in the final year. The County also will make a good faith effort to continue funding the program after the grant period expires.
Travis County also will pursue alternative funding sources, including funding from private foundations and/or federal government grants available for indigent defense programs for individuals with mental illness.
h. Budget
The total budget for this program is $625,000 per year.
Personnel (8 Employees):
Chief Mental Health Public Defender
The MHPD will be staffed by a Chief Public Defender who will handle 200 of the 500 cases for the office, and will spend the other half of his/her time supervising the other attorney, the social and case workers, and the administrative staff, consulting with MH Wheel attorneys, and handling administrative matters. The Chief Public Defender will be an attorney with at least 8 years criminal defense experience, and with significant experience handling cases involving clients who have a mental illness. This position is comparable to a supervising attorney in the County Attorneys’ office (Attorney VI), with a salary of approximately $86,366 and benefits in the amount of $23,212, for a total of $109,578.
Attorney III
The office also will include an additional attorney at a lower pay grade. This attorney will handle the remaining 300 cases, and also will be available to attorneys on the MH Wheel as a consultant. This attorney will have at least 3 years of criminal defense experience. This position is comparable to an Attorney III in the County Attorneys’ office, with a salary of $63,335 and benefits in the amount of $19,176, for a total of $82,511.
Social Workers
The office will include two (2) master’s level social workers, who will be compensated at Grade 15 ($33,764) of the County pay scale, with total salaries for both of $67,529, and benefits in the amount of $27,950, for a total of $95,479. One of these social workers will be assigned to the MHPD attorneys, while the other social worker will be assigned to the MH Wheel attorneys and will supervise the case workers assigned to the MH Wheel attorneys.
Case Workers
The office will include two (2) bachelor’s level social workers. Both of the case workers will be assigned to work with the attorneys on the MH Wheel. They will be compensated at Grade 13 of the County pay scale, with a total salary for both of $59,003, and benefits in the amount of $26,456, for a total of $85,459.
Legal Secretary
The administrative staff will include a legal secretary, compensated at Grade 12 of the County pay scale, with a salary of $27,573 and benefits in the amount of $12,909 for a total of $40,482.
Office Specialist
The administrative staff also will include an office specialist, compensated at Grade 8 of the pay scale, with a salary of $21,017 and benefits in the amount of $11,760, for a total of $32,777. The budget anticipates two (2) administrative positions so that the office will remain fully functional in the event of illness, vacation, or maternity leave.
TOTAL COST: $446,286
Start Up (One-time Costs)
Start Up costs anticipate that the office will be used for meetings with MH Wheel attorneys and their clients, consultations between MH Wheel attorneys and MHPD personnel, and meetings that will include all MHPD Office personnel and MH Wheel attorneys. Thus, the costs include a couple of extra desks, a conference table, and enough chairs to accommodate a reception area and a conference room for both MHPD Office personnel and MH Wheel attorneys during these meetings or training sessions for the group. These funds may be reallocated toward personnel and operating expenses in Year Two of the grant based on office needs identified in Year One, pending TFID approval.
Item Cost Number Total
Desktop Computer $2,591 1 $2,591
Laptop Computer $2,941 7 $20,587
Multi-line Phones $150 12 $1,800
Multi-line Phone for Receptionist $250 1 $250
Headset with base $150 1 $150
Office Desks $1,000 10 $10,000
Office Task Chairs $300 11 $3,300
Guest Seating – Private Offices $200 20 $4,000
Reception station $1,500 1 $1,500
Reception seating $200 10 $2,000
Conference Tables $300 3 $900
Conference Room Chairs $200 20 $4,000
File Cabinets $400 10 $4,000
Cabling $400 14 $5,600
PBX (phone switch) $12,000 1 $12,000
Fax Machine $629 1 $629
Case Management Software $10,000 1 $10,000
TV DVD/VCR $400 1 $400
Total $83,707
iv. Operating Budget
Operating expenses are related to office’s expenses for providing direct indigent services to clients. Lease spaced will need to be obtained for a 3,000 square foot office (approximate). Rent includes utilities and janitorial services. Other expenses includes telephone lease line charges, annual funding for an external, independent evaluation, miscellaneous office supplies and other expenses. MHPD attorneys are required to attend 8 hours CLE on mental health issues so the operating budget includes line items for travel and trainings/seminars. The travel and training budget will also be used for the other staff as well in an effort to improve office performance.
Item Cost
Office Supplies $5,069
Long Distance $500
Auto-Mileage Reimbursement $2,000
Subscriptions & Publications $500
Professional Memberships $1,000
Travel, Meals, Lodging $3,000
Training & Seminars $3,500
Notary $90
Rent (includes utilities & janitorial) $54,000
Telephone Lease Line Charges $13,200
External Evaluation $10,000
Copier (annual lease also networked as printer, $2,148
fax, and scanner)
Total $95,007
v. Total Budget:
The budgeted amounts are based on comparable county offices, with an operating budget and equipment provided that is comparable to what would be provided in a prosecutor’s office of similar size.
| |Personnel Costs | |$446,286.00 |
| | |FTE's |8.00 | |
| | |Salary |$324,823.00 | |
| | |Fringe Benefits |$121,463.00 | |
| |Travel and Training | |$8,500.00 |
| |Equipment | |$73,707.00 |
| |Supplies | |$22,507.00 |
| |Contract Services | |$74,000.00 |
| |Indirect | |$0.00 |
| |Total | |$625,000.00 |
| |Required County Match | |125,000.00 |
| |Total less County Match | |500,000.00 |
Project evaluation
This grant requires quarterly progress reports to provide information on the effectiveness of the program. The Task Force grant administrator will construct an on-line progress report that best reflects the actual work being performed in this program and is consistent with the FY2005 Discretionary Grant Statement of Grant Award. The county will be able to request modifications to the on-line report when the performance measures are determined to not accurately reflect the work performed.
Timeline for Reporting and Fund Distribution
REPORTS WILL BE SUBMITTED ON-LINE OVER THE INTERNET.
|Reporting Period |Type Report Due |Date Report Due |Fund Distribution Date |
|October through December |Budget Status Report |January 15, 2007 |January 2007 |
| |Progress report | | |
|January through March |Budget Status Report |April 15, 2007 |April 2007 |
| |Progress report | | |
|April through June |Budget Status Report |July 15, 2007 |July 2007 |
| |Progress report | | |
|July through September |Final Budget Status Report |November 15, 2007 |November 2007 |
| |Final Progress report | | |
ATTACHMENT C
TEXAS TASK FORCE ON INDIGENT DEFENSE
205 West 14th Street, Suite 700 Tom C. Clark Building (512)936-6994,
P.O. Box 12066, Austin, Texas 78711-2066, 512-475-3450 Fax
courts.state.tx.us/oca/tfid
FY2007 Discretionary Grant Program
Requests for Applications (RFA)
February 14, 2006
Grant Fund Categories
New Single-Year Discretionary Grants -- Fiscal Year 2007 – $200,000 (estimated)
Minimum: $10,000 per application; Maximum: $200,000 per application.
These are competitive grants. The single-year discretionary grant pays up to 100% of an awarded activity on a reimbursement basis.
New Multi-Year Discretionary Grants – Fiscal Year 2007 -- $500,000 (estimated)
Minimum: $50,000 per application; Maximum: $500,000 per application.
These are competitive grants that require a cash match as described below and are intended to last for up to four years. A county will be required under this grant to re-apply for continued funding each grant year. The multi-year discretionary grant fund will pay up to a rate of 80% of total project costs for the first year; 60% for the second year; 40% for the third year; and 20% for the fourth year. Awarded activities are funded on a reimbursement basis.
The only programs that will be considered for multi-year grants are:
▪ Programs that provide direct services to indigent defendants.
▪ Establishment of public defender offices.
▪ Establishment of regional public defender offices.
▪ Programs that provide mental health defender services.
▪ Programs that provide juvenile defender services.
Continued Multi-Year Discretionary Grants – Fiscal Year 2007 -- amount based on estimated schedule of commitments from awards in FY2005 and 2006. Counties that have received an FY2005 and FY2006 Continued multi-year grant must submit an automatic application for continued funding based on the agreed funding schedule.
Eligibility
Only Texas counties may apply. See further eligibility below.
Due Dates for Submission Process (New Two Tier Process)
Tier One- Counties must complete Intent to Submit Applications (ISA) on-line by 5:00 PM on March 20, 2006. The ISA is an abbreviated application described later in this document.
Tier two – After a review by the grant administrator, a county may be invited to submit a full application. The full application is due by 5:00 PM on April 21, 2006. Late submissions will not be accepted.
Method of Application
On-line submission at
Time Period for Funding and Program Operation
Grants are awarded for one-year periods from October 1 to September 30. The Task Force will consider funding multi-year projects for up to four years, with the four-year funding commitment period beginning when project expenditures begin. Thus, project funding for multi-year projects may extend longer than four years from the beginning of the first grant period. Multi-year grantees must re-apply for continued funding for the years after the first grant period, and continued funding is subject to Task Force review of the required performance measures and available funding. Failure to begin operating the program by the grant application review period constitutes a failure to meet performance measures.
Legislative Purpose
The Task Force on Indigent Defense was established by the 77th Legislature to: 1) provide technical support to assist counties in improving their indigent defense systems; 2) direct the comptroller to distribute funds, including grants, to counties to provide indigent defense services in the county; 3) monitor each county that receives a grant and enforce compliance by the county with the conditions of the grant; 4) develop policies and standards for providing legal representation and other defense services to indigent defendants at trial, on appeal, and in post-conviction proceedings; and 5) develop a plan that establishes statewide requirements for counties relating to reporting indigent defense information.
The 78th Legislature added additional funding but required that these new funds be dedicated:
“for demonstration or pilot projects that develop and promote best practices for the efficient delivery of quality representation to indigent defendants in criminal cases at trial, on appeal, and in postconviction proceedings.”
Most of the funding added by the 78th Legislature and continued by the 79th Legislature will be used for multi-year discretionary grants as detailed in this RFA.
To fulfill its legislative mandates the Task Force is requesting that counties submit ISAs for consideration to obtain grant funding to improve their indigent defense systems. ISAs for new discretionary grant funding will be reviewed and scored competitively in accordance with the priority funding section and the following eligibility, submission, and program requirements. Continued programs will be reviewed based on implementation and actual performance. Please review the Task Force on Indigent Defense Strategic Plan () to fully understand the use of these funds.
Applicable Authority and Rules
All Task Force on Indigent Defense grant programs are governed by one or more of the following statutes, rules, and standards. These documents are available at the Task Force website courts.state.tx.us/tfid.
• Texas Government Code Sections 71.062 & & 81.054
• Texas Administrative Code Title 1 Chapter 173
• Uniform Grant Management Standards(UGMS) as promulgated by the Office of the Governor
Checklist for Submitting a Grant Application (New Two Tier Process)
Tier One
□ Develop and research an idea or procedure that would directly serve clients or improve provision of indigent defense services in the county, courts, or jurisdiction(s).
□ Log onto (Follow on-line page instructions).
□ Verify that the online screen indicates the appropriate judicial officials have submitted county-wide plans and that their plans meet the grant eligibility requirements.
□ Select type of grant. The application must indicate if you are applying for a single-year, new multi-year, or continued multi-year discretionary grant.
□ Complete the abbreviated Intent to Submit an Application (ISA) that includes problem statement, objectives, activities and evaluation. ISA must be submitted on-line by 5:00 PM on March 20, 2006.
□ Secure a letter of support from at least one judge involved in the indigent defense process. Mail or fax the letter of support on or before 5:00 PM on March 20, 2006.
Tier Two
□ After review by the grant administrator, the county may be asked to submit a full proposal with or without comments, or a letter will be sent indicating the program does not adequately meet priorities and program requirements for these funds.
□ If the Grant Administrator provides a Notice to Proceed with Application: Type or copy/paste your written information into each required section. All full applications must be must be submitted on-line by 5:00 PM on April 21, 2006.
□ Secure written documentation of support from courts, commissioners (resolution), or other parties involved in or affected by the process.
□ Certify the application complete by mailing or faxing the Resolution/Internet Submission Form and court commitments/support along with any other supporting documents faxed or postmarked on or before April 21, 2006.
Specific Eligibility Requirements
Only counties are eligible to apply for funds.
• Counties are encouraged (but not required) to develop regional or multi-county applications for funding.
• One county must be designated as the administrative county.
• Inter-county agreements may be formal (in the form of Memoranda of Understanding obligating county resources) or informal (letters of commitment to support program or use services provided by the grant funded activities in each county).
Indigent Defense Information (Countywide Plans) must be in compliance with applicable statutes and standards
Local Administrative District Judges, Local Statutory County Court Judges (or County Judge as applicable) and the Chairs of Juvenile Boards must submit their countywide indigent defense plans, procedures and forms submitted to the Office of Court Administration as required in Government Code Section 71.0351. The plans must meet the following minimum plan eligibility requirements set by the Task Force:
• The plan(s) specify that each accused person will be brought before a magistrate within 48 hours of arrest for proceedings under Article 15.17 of the Code of Criminal Procedure.
• The plan(s) specify that when an eligible defendant submits the required documents for the appointment of counsel, the request and documents required will be transmitted to the appointing authority within 24 hours of the request.
• The plan(s) specify that the appointing authority will appoint counsel for eligible defendants within one working day of receiving the request (counties with population of 250,000 and above) or within three working days of receiving the request (counties with population under 250,000).
• A copy of all formal and informal rules and forms that describe the procedures used in the county to provide indigent juvenile respondents with counsel in accordance with the Code of Criminal Procedure and Family Code Chapter 51 have been adopted by the courts and juvenile boards and have been submitted to the Office of Court Administration.
• The county has adopted an attorney fee schedule in accordance with Article 26.05, Code of Criminal Procedure that addresses the following issues:
1. The plan(s) specify a schedule of attorney fees that covers all criminal cases for which punishment by incarceration may be imposed.
2. The plan(s) specify procedures for payment of expenses, including expert and investigator fees, incurred with prior court approval.
3. The plan(s) specify procedures for payment of expenses, including expert and investigator fees, incurred without prior court approval.
4. The plan(s) specifies that no payment shall be made until the form for itemizing the services performed is submitted to the judge presiding over the proceedings and the judge approves the payment.
• The plan(s) specify procedures and documentation to meet minimum attorney Continuing Legal Education (CLE) standards set by the Task Force (1 TAC §§174.1 - 174.4).
Counties not meeting plan eligibility requirements should contact the Task Force Special Counsel to resolve any compliance issues immediately.
Submission Requirements (New Two Tier Process)
All counties submitting new grant proposals must complete an on-line ISA. If the ISA is accepted by the grant administrator a full proposal must be completed. ISAs must be submitted on-line by 5:00 PM on March 20, 2006. If invited to submit a full proposal, it must be completed on-line by 5:00 PM on April 21, 2006. All court commitment documents, supporting documents, and resolution/internet submission form supporting the grant applications must be completed entirely and submitted together. Incomplete submissions will not be considered. Late submissions will not be considered.
Continued multi-year programs will complete an automatic on-line application by 5:00 PM on April 21, 2006. Resolution/internet submission form must be completed and submitted together.
Tier One Intent to Submit Application (ISA) Requirement
a. Abbreviated Description of Program – Counties will submit a short and succinct description of an indigent defense improvement the courts or county want to implement. This description will be written into the on line system ().
b. Internet Submissions Required – All county judges, local administrative district court judges, local administrative statutory county court judges, and county fiscal officers have been assigned a unique user name and password for grant application, plan submissions, and expense report submissions. Please contact the Task Force Grants Administrator for other persons needing access to the system or if the access information was mislaid.
c. Due Date for ISA - All ISAs must be submitted on-line by 5:00 PM on March 20, 2006 on the website (). A confirmation number will be assigned to all on-line ISA submissions.
d. Court Commitment – The judiciary is responsible for implementing indigent defense procedures within counties. ISAs must contain letter(s) of support from the affected judges to participate with or implement the program (see Attachment B). The Attachment B is a sample form and must be modified to ensure it communicates what level of commitment the local judges are providing to the specific program in the application. All supporting documents must be mailed together and be clearly labeled. These documents must be postmarked or faxed on or before March 20, 2006.
Tier Two Full Proposals Requirements
a. Notice to Proceed with Application – The grant administrator will review all ISAs and provide a written Notice to Proceed with Application to those counties that best demonstrate that they meet the priority funding and other requirements contained in this RFA.
b. Internet Submissions Required – All county judges, local administrative district court judges, local administrative statutory county court judges, and county fiscal officers have been assigned a unique user name and password for grant application, plan submissions, and expense report submissions. Please contact the Task Force Grants Administrator for other persons needing access to the system or if the access information was mislaid. All full proposals must be submitted on-line by 5:00 PM on April 21, 2006 on the website (). A confirmation number will be assigned to all on-line ISA submissions.
c. Supporting Documents – Optional documents such as timelines, general letters of support, agreements, or other documents that the county uses to support their application must be mailed. All supporting documents must be mailed together and be clearly labeled. These documents must be postmarked or faxed on or before April 21, 2006.
d. Resolution/Internet Submission Form - When the full proposal is submitted via the Internet, the Task Force will not consider it complete until the applicant provides the on-line generated Resolution/Internet Submission Form (see Attachment A) that is adopted by the Commissioners Court and signed by the applicant's authorized official and that meets all deadlines for applications. The County Commissioners Court must adopt the resolution provided through the application process that authorizes the grant request and takes responsibility for the appropriate expenditure of the funds. This form also certifies that the information submitted via the Internet is true and correct and that, if a grant is awarded by the Task Force and accepted by the county, the county will abide by all relevant rules, policies, and procedures. This form must be mailed/faxed to the address/number on the letterhead. All supporting documents must be mailed together and be clearly labeled. The resolution and form must be postmarked or faxed on or before April 21, 2006.
Additional Submission Requirements
a. Maximum Applications – A county may submit only one application.
b. Program Type - Each submitted application may contain only one type of program. The county shall indicate if it seeks funding for a single-year or multi-year program. Additional letters of support or other documentation may be required from the county upon request from the Task Force to ensure various departments are coordinating their indigent defense efforts.
c. Single Year Grant Funded Positions - Applicants for all single-year discretionary grants requesting full time equivalent positions (FTE) must provide a fifty percent (50%) cash match.
d. Video-teleconferencing – Proposals for video-teleconferencing equipment require a fifty percent (50%) cash match. The county must include at least one site visit to a previously funded county in the budget. Upon completion of the implementation stage the county must demonstrate that it is able to connect to one other funded or previously funded county. Counties may use the video-teleconferencing system for any hearings authorized under Texas Code of Criminal Procedure Article 46B.
e. Calculating the Cash Match
100% of Total Project Costs minus (-) percent of match required equals (=) percent Task Force will pay.
Amount of Task Force funds requested divided by percent Task Force can pay = Total Project Cost.
Total Project Cost multiplied by percent of match required = Total Match Required
f. New Programs and Positions - Only new programs and/or positions will be funded. This may include adding new positions or elements to existing programs. The county must make a clear distinction in the application narrative of how the requested positions perform work currently not being done.
g. Use of Program Income - Applicants may use funds received through program income to fulfill the matching funds requirement, if applicable.
h. Grant Officials - Each grant must have the following designated to serve as grant officials:
i. Program director. This person must be the officer or employee responsible for program operation or monitoring or implementation of the indigent defense plan and who will serve as the point-of-contact regarding the program's day-to-day operations.
ii. Financial officer. This person must be the county auditor or county treasurer if the county does not have a county auditor.
iii. Authorized official. This person must be authorized to apply for, accept, decline, modify, or cancel the grant for the applicant county. A county judge or a designee authorized by the governing body in its resolution may serve as the authorized official.
iv. The program director and the authorized official may be the same person. The financial officer may not serve as the program director or the authorized official.
Specific Submission Requirements for Multi-Year Discretionary Grants
a. Automatic Application – All continued programs will complete an automatic application using the authorized access. The county must maintain compliance with the statement of grant award to be considered for continued funding.
b. Multi-Year Funding – Funding for up to four years is available for multi-year programs. The purpose of the four-year funding opportunity is to encourage innovative long-term projects and programs to improve the delivery of indigent services. Grantees will assume the cost of programs proven to be successful following the period of funding support.
c. Cash Match – Counties must indicate a cash match from county or other funds of 20% of total project costs in the first funding year, 40% the second funding year, 60% the third funding year, and 80% the fourth funding year. The written proposal must include a plan for implementing a multiple year program. An applicant's use of matching funds must comply with the same statutes, rules, regulations, and guidelines applicable to the use of the Task Force funded portion of a grant project.
d. Use of Program Income - Applicants may use funds received through program income to fulfill the matching funds requirement, if applicable.
Priority Funding
New Single-Year Discretionary Grants
The following application characteristics shall be given priority in deciding funding:
▪ Applications for creating programs or processes to improve indigent defense services.
▪ Applications that demonstrate a good likelihood the proposed activity will be a model program or can be duplicated in other jurisdictions.
▪ Applications that involve multiple counties coordinating their submission.
▪ Applications that demonstrate a county’s (ies’) long term commitment to the program. For instance a seed program that requests funds from the Task Force to start a program the county will maintain over time.
▪ Applications that contain cash match from the county or other non-governmental source.
▪ Applications that have minimal or no indirect costs requirements.
▪ Applications from small counties (less than 50,000 population) or mid-sized counties (50,000 to 250,000 population).
New and Continued Multi-Year Discretionary Grants
In addition to all of the application characteristics listed above for the single-year discretionary grants, the only programs that will be considered for multi-year grants are:
▪ Programs that provide direct services to indigent defendants.
▪ Establishment of public defender offices.
▪ Establishment of regional public defender offices.
▪ Programs that provide mental health defender services.
▪ Programs that provide juvenile defender services.
Program Requirements
The Task Force encourages counties to develop new and innovative programs that provide indigent defense services or are related to the processes of provision of indigent defense services for the county. Counties that fulfill most of the program requirements and develop programs consistent with the Task Force’s standards, related statutes, and above listed priorities are most likely to receive funding.
a. Type of Programs – Many types of programs that improve indigent defense systems are eligible to receive funds from the Task Force in FY06. Some programs have been funded several times by the Task Force. Counties wanting to emulate these programs must follow the specific program requirements in Attachment C.
The FY2007 multi-year discretionary grants must be used for demonstration or pilot projects that develop and promote best practices for the efficient delivery of quality representation to indigent defendants in criminal cases at trial, on appeal, and in postconviction proceedings. Please see Additional Program Requirements for Multi-Year Discretionary Grants below.
b. Fund Use - Funds must be used to pay for the direct and/or administrative costs of providing and improving indigent defense services in the county(ies).
c. Supplanting Prohibited - A county may not reduce the amount of funds provided for indigent defense services in the county because of funds provided by this grant.
d. Competitive Grants – receiving a notice to proceed with application does not guarantee funding by the Task Force or remove the competitive nature of these funds. The advance review of the ISA assists the Task Force to provide feedback to counties and assists the county in knowing what types of programs best meet the Task Force’s priorities and strategic plan elements.
e. Program Measures – All programs must include clear performance measures. Submissions involving technology must have clear measurable deliverables in addition to performance measures. If the submission does not have clear and performance measures (and deliverables for technology requests) the Task Force may refuse the proposal or develop clear measures, or deliverables in any potential offer to fund. If a program is selected for funding, the county is required to send one representative to a pre-award meeting at county expense to write and negotiate the specific program measure in the statement of grant award.
f. Compliance with Task Force Requirements – All counties must be in compliance with Task Force expenditure report and plan submission requirements. Proposals from counties that have not submitted statutorily required documents or have otherwise not submitted required documents to meet eligibility requirements will not be considered for funding. Counties must maintain compliance during the funding period.
g. Maintain Official Contact Information -All counties must maintain the grant and plan officials contact information on counties’ home page set up at . Counties must advise the Task Force of changes in the authorized official, program director, financial officer, local administrative district judge, local statutory county judge and county judge by updating this website contact information. This information will be used to provide notices for grant or plan submission information. The Task Force staff will use e-mail whenever possible to notify counties of required reports and funding opportunities.
h. Reports – Fiscal and program reports are required to be submitted through the Internet each quarter. All grants will require at least one follow-up report outside of the grant period. The specific fields to be captured will be identified prior to commencement of the grant as part of the statement of grant award if selected for funding. If an application does not provide adequate measures related to the proposed activity the Task Force may develop alternative measures. Most data elements need monthly breakdown for submission. A post grant period report is required in accordance with UGMS. If selected for funding, report periods will be provided in the Statement of Grant Award.
i. Allowable Costs - The Task Force may provide grants from the Fair Defense Account to counties providing legal representation and indigent defense support services. Grants provided under this chapter may be used by counties for:
i. Attorney fees for indigent defendants accused of crimes or juvenile offenses;
ii. Expenses for licensed investigators, experts, forensic specialists, or mental health experts related to the criminal defense of indigent defendants; and
iii. Other approved expenses allowed by this grant application or necessary for the operation of a funded program.
j. Unallowable Costs - The Task Force has adopted the Uniform Grant Management Standards (UGMS) to determine unallowable costs. See UGMS for a full list of unallowable costs. Specifically, in accordance with UGMS and/or the grant rules the following conditions apply to these grant funds:
i. General government costs are unallowable;
ii. Costs of law enforcement, prosecution, and incarceration are unallowable;
iii. Replacing existing county funding with grant funds is unallowable; and
iv. Funding previously existing positions is unallowable..
k. Right of Refusal - The Task Force reserves the right to reject any or all of the applications submitted.
l. State Funds Availability - All commitments are subject to availability of state funds.
m. Awards - Publishing the RFA does not obligate the Task Force to fund any programs.
n. Partial Funding - The Task Force may choose to offer funds for all or any portion of a program submitted in the application.
o. Substitution - The Task Force may offer alternative funding sources, special conditions or alternative program elements in response to submitted applications.
p. Technology Standards – Proposals for which include purchase of information technology products must document how the projects meet technology standards adopted by the Texas Department of Information Resources (DIR) and Judicial Committee on Information Technology (JCIT) as applicable. If no standards are available from DIR or JCIT, then the county must meet commonly accepted technology standards such as Open Data Base Compliant (ODBC) or Transmission Control Protocol / Internet Protocol (TCP/IP) as applicable.
q. Use DIR State Contract - All technology equipment and software must be purchased from the DIR State Contract unless the County demonstrates in a written exception request good reason why the state contract cannot be used and the grant administrator has granted a written exception.
r. Equipment and Software Maintenance - All equipment and software purchased with grant funds shall include at least three (3) years and no more than five (5) years of maintenance to ensure the equipment and software will operate as intended during and beyond the grant period.
s. Interconnectivity of Communications Technology – In the purchase of communication equipment, the County will connect to at least one site previously funded by the Task Force to demonstrate its connectivity.
t. Portability of Software – The Task Force requires that software development projects produce systems that are portable to other counties. The county must provide a usable copy of the source code, appropriate programming documentation and data dictionary to the Task Force free of copyrights or proprietary restrictions.
u. OCA Reporting – As of August 31, 2005 the county and district clerks of the applicants (or all counties in a region) must be in compliance with the Texas Judicial Council’s reporting requirements to Office of Court Administration. The district clerks and county clerks must begin submitting their monthly court activity reports to OCA electronically not later than March 2006, unless they have obtained a waiver in writing from OCA.
v. Dual Use – Some indigent defense activities are intricately woven into county processes or activities. If a county applies for a program that may be considered general government use, the county must provide documentation and rationale to establish a basis of costs to determine the portion of a program/project attributable to indigent defense.
w. Inventory - Unless otherwise provided, equipment purchased is the property of the county. The Task Force requires each grantee to maintain an inventory report of all equipment purchased with grant funds. This report must comport with the final financial expenditure report. Within 90 days after the grant period expires, grantees must complete a physical inventory of all grant funded property and the grantee must reconcile the results with the existing property records.
x. Records Retention – Counties must maintain records related to the funded activity for at least three years after the end of the grant period. Records may be stored electronically.
y. Monitoring and Auditing – Records must be made available to the Task Force or its designees upon request (See Texas Administrative Code, Rule §173.401 for more details)
z. Professional and Contractual Services - Any contract or agreement entered into by a grantee that obligates grant funds must be in writing and consistent with Texas contract law. Grantees must establish a contract administration system to regularly and consistently ensure that contract deliverables are being provided as specified in the contracts. Grantees must regularly and consistently document the results of their contract monitoring reviews and must maintain the files and results of all contract monitoring reviews in accordance with the record retention requirements described in this section of the RFA. A grantee's failure to monitor its contracts may result in disallowed costs and/or disallowed match.
aa. Review Criteria - This is a competitive grant program. The Task Force staff will review each grant using objective tools and comparative analysis. The weight given to each section or combination of sections is at the sole discretion of the Task Force.
ab. Past performance –Task Force staff will prepare a summary indicating the overall implementation of past grants on each county that has completed grants in previous years. The reviewers will use the summary in considering the likelihood that the county will complete future grants. The summary must include whether in previous year grants counties failed to maintain staff after the grant period or equipment or services were abandoned after the grant period. The summary is to be used as a consideration for reviewing the current grant but not as a final determination.
ac. Final Selection - The Task Force may select and award programs that reflect geographic diversity, demographic diversity, and/or distinctive program elements at its own discretion.
Additional Program Requirements for Multi-Year Discretionary Grants
ad. Impact of Formula Grant – Counties that receive multi-year discretionary grants from the Task Force are encouraged to continue applying for the formula grant. Formula Grant payments will be made as scheduled. The county will submit its Indigent Defense Expenditure Report on or before November 1 of each year. If the impact of the Multi-year funded program results in overall reduction of the county’s indigent defense expenses below the baseline period then all or a portion of the formula grant may need to be returned to the Task Force as directed by the Task Force. Regional programs are exempt from this requirement.
ae. Future Funding on Multi-Year Projects – The Task Force will commit funding for only the current grant year. Future funding will be based on the county submitting a new application to continue funding in subsequent years, submission of progress reports, a demonstration of successful progress made in implementing the program, and future availability of funds. The statute dedicates the money appropriated for this program to demonstration and pilot projects that develop and promote best practices in indigent defense.
af. Grant Status – Continued programs must be current on reporting and program requirements as of the grant review period. The Grants Administrator will review status of multi-year programs and make recommendations to the Task Force based on the status of the program.
ag. Delayed Start – For multi-year grants, counties often begin program expenditures after the beginning of the initial grant year. The Task Force will provide the 80% of funding based on twelve months of expenditures if the county spends at a reasonable level consistent with the funding plan. The county must have an unexpended balance for the delayed period to carry forward into the new period of within 10% less any start up costs. The one-year percentage of funding amounts will be calculated from the first month of initial county expenditures rather than the initial grant period. If approved, the county will enter into the succeeding grant period with the previous match funding for the length of the delayed funding. The remainder of the renewed grant period will be the current fiscal year match. This process will carry forward each year that the program is renewed until the final (fourth) year. The final contract will be written for the length of time to complete the funding schedule transaction at the appropriate percent match.
Example: ABC County receives an initial $100,000 four-year grant beginning October 1, 2006, with the Task Force reimbursement percentages equaling 80% in the first grant year, 60% in the second, 40% in the third, and 20% in the fourth. However, ABC County does not begin spending for the program until April 1, 2007. The county applies and is approved to receive continued funding for the grant year beginning October 1, 2007. The county may receive 80% funding through March 31, 2008, which is eighteen months from the beginning of the initial grant period but only one year from the beginning of the county expenditures. Assuming continued funding, ABC County's last continued grant application would be for the grant period beginning October 1, 2009 and ending September 30, 2010, and for the funding period beginning April 1, 2010 and ending March 31, 2011. Due to the delayed start of six months in the first year the county must have an amount of $50,000 (+/- 10% less any unspent startup costs) to carry forward. After the initial period the funding amounts will remain constant within each contract period.
Letters of Intent to Submit an Application (Tier One)
Counties desiring discretionary grant funding must complete online Intent to Submit an Application (ISA) before developing a full proposal. The ISA will allow for counties to name the grant officials, provide a title to the program and state the estimated total project costs. The ISA will include four parts: problem statement, program goals, activity and evaluation. The ISA must be limited to one program and will be a short and succinct description of an indigent defense improvement the courts or county want to implement. The ISA may not exceed the space provided in the on-line submission boxes. Any text beyond the word limit will be discarded.
After review of the ISAs, the grant administrator will provide an offer to those counties that best meet the stated Priority Funding and Program Requirements sections to submit a full application. The grant administrator will inform those counties that are offered to submit a full application with any needed corrections.
Writing the Full Application (Tier Two)
If the Grant Administrator provides notice to proceed with application then the county may log into the system and complete the other portions of the application. Each application must have a narrative section that describes to the Task Force the proposed activity. The narrative portion of the application consists of eight sections that must be addressed by each county. Each of these elements must be completed for the application to receive full consideration. Scoring procedures assign values to most of the sections. An incomplete or blank section decreases the likelihood of the program receiving funding because no score will be assigned to missing information. The online system will accept basic formatting and simple tables. Provide all information in the on-line system that the reviewers need to score the proposal. The submission requirements above provide instructions on how to submit additional information if it is necessary. The sections are:
a. Introduction (Executive Summary) – In one hundred (100) words or less, describe the program. This paragraph will be the abstract of the project which will be used for labeling purposes. Any words after the 100 word limit will be deleted.
b. Problem Statement – In one hundred (100) words or less describe the issue or problem the proposed activity is intended to improve or correct. Any words after the 100 word limit will be deleted. In subsequent paragraphs:
c. Objectives – Develop clear targets for action that the program will accomplish. Answer why the program will solve the problem stated above.
i. Objectives must be in context to the program in this proposal and the funds requested.
ii. Objectives are time/date specific and are measurable.
d. Methodology or Project Design (Activities) - Describe the specific activity the county will conduct if funded.
i. Include detailed instructions of step by step procedures that will take place to perform the program and the resources needed to complete each task.
ii. Make sure to incorporate the required elements for the types of programs listed on Attachment C.
iii. Include startup tasks to begin and the on-going program activities that staff will have to perform to implement the program.
iv. Write this section so that outsiders unfamiliar with local conditions are able to read this section and know exactly what the county plans to do.
v. Provide justification related to effectiveness and/or economy of the method proposed. Highlight distinctive elements of the proposal that make this program more desirable than other programs under consideration.
vi. Describe whether the existing staff and/or contractors will perform tasks, reports, etc...or if new persons will need to be hired.
vii. If this program is being incorporated into an existing process or program, clarify how the process is different.
e. Evaluation – Develop reporting methods on how the proposed activity goals are measured.
i. Evaluation must be linked directly to the objectives and methodology. The evaluation must measure both the progress you make toward implementing the grant funded activity and the effect of the program once it is in operation.
ii. Measure the attainment of objectives in a specific and tangible manner (ex…applications of indigency and request for appointed counsel will be accepted and stored in a file drawer);
iii. Measures must be quantifiable (ex…200 applications and requests are estimated);
iv. Measures must be time specific (ex…the applications and requests will be counted from February to January and reported monthly);
v. Measures must identify the manner in which they will be recorded for future review (ex...a report or screenshot of the programming results, affidavit of acceptance of work, or summary database).
vi. The evaluation provides meaning to the program objectives. The measure of success is determined by the goals and objectives of the proposed activity. Write the method that milestones, accomplishments, and timelines will be tracked and recorded. Who will record, What will they record, When will they record
vii. Evaluations must be in context of how the program impacts other county processes when applicable. The evaluation reports are submitted during and after the implementation phase and in accordance with UGMS. Evaluations are both fiscal and programmatic. Process evaluations may also be included.
f. Future Funding- Include information on how the proposed activity fits into the county’s long-term indigent defense financial systems.
g. Budget – (Narrative required) Counties will submit an online budget form. Budgets must clearly state the costs of executing the program. Budget categories are Personnel (salary and fringe), Travel, Equipment, Supplies, Contract Services, and Indirect.
i. Include all costs necessary to implement the proposed activity.
ii. Provide a narrative to justify all budgeted expenses. This narrative must correspond to the activities sections. Items in the budget not stated in the activity will be removed.
iii. Indicate in the budget and narrative the start-up costs or non-reoccurring for multi-year grants. (Note: multiyear grants will not be able to carry forward start-up costs into subsequent years except as provided in the Delayed Start section.)
iv. Indirect costs are allowable, but will not be competitive if above 10%.
v. Indicate whether county or other sources will provide direct cash payments or in-kind contributions.
vi. The equipment line requires a list of equipment to be purchased.
vii. Do not budget expense items that are not part of the proposal.
Attachment A
SAMPLE Required Resolution/Internet Submission Form DO NOT USE
MUST BE PRINTED FROM ON-LINE SYSTEM
Indigent Defense Discretionary Grant Program
SAMPLE OF ON-LINE FORM GENERATED BY SYSTEM
WHEREAS, under the provisions of the Texas Government Code Section 71.062 and Texas Administrative Code Chapter 173, counties are eligible to receive grants from the Task Force on Indigent Defense to provide improvements in indigent defense services in the county; and
WHEREAS, this grant program will assist the county in the implementation and the improvement of the indigent criminal defense services in this county; and
MUST BE PRINTED FROM ON-LINE SYSTEM
WHEREAS, ____________________County Commissioners Court has agreed that in the event of loss or misuse of the funds, ______________________County Commissioners assures that the funds will be returned in full to the Task Force on Indigent Defense.
NOW THEREFORE, BE IT RESOLVED and ordered that the OFFICIAL DESIGNATED BY THE COMMISSIONERS’ COURT of this county is designated as the Authorized Official to apply for, accept, decline, modify, or cancel the grant application for the Indigent Defense Discretionary Grant Program and all other necessary documents to accept said grant; and
BE IT FURTHER RESOLVED that the OFFICIAL DESIGNATED BY THE COMMISSIONERS’ COURT is designated as the Program Director for this grant and the County Auditor or County Treasurer if the county does not have an auditor (per TAC §173.301(a)(2)) is designated as the Financial Officer for this grant.
Adopted this ______day of ________________, 2006.
Sample MUST BE PRINTED FROM ON-LINE SYSTEM County Judge
Attest:
_____________________________
County Clerk
SAMPLE – MUST BE PRINTED FROM ON-LINE SYSTEM– Do not use this form
Internet Submission Form
After submitting the discretionary application on-line, the following Internet submission confirmation number was received # . This grant application submission was in accordance with the Commissioners Court Resolution above.
Authorized Official
SAMPLE -MUST BE PRINTED FROM ON-LINE SYSTEM
Attachment B
Sample
Indigent Defense Multi-Year Discretionary Grant Program Cooperation Agreement
(Modify this sample agreement as needed to indicate the level of support or participation the courts will have with the program)
____________________ County has applied for a discretionary grant from the Task Force on Indigent Defense (Task Force) to assist in funding program. Implementation of this program will affect the courts below. The undersigned judges agree to support and/or participate with the program pursuant to the county’s discretionary grant application to the Task Force and any special conditions of the grant award to the county. This commitment includes participating in the data collection efforts required in the program, as well as utilization of the services to be provided by the program.
To be considered for funding this program cooperation agreement must be signed by the judges of all of the statutory county / district courts hearing criminal matters punishable by incarceration or juvenile matters in the county.
Acknowledged and Approved by all statutory county / district courts hearing criminal matters punishable by incarceration or juvenile matters in the county:
___________
Signature of Local Administrative Date Printed Name and Title
District Judge
___________
Signature of Local Administrative Date Printed Name and Title
Statutory County Judge
___________
Signature of Judge serving as Date Printed Name and Title
Chair of the Juvenile Board
___________
Signature of Judge Date Printed Name and Title
___________
Signature of Judge Date Printed Name and Title
___________
Signature of Judge Date Printed Name and Title
___________
Signature of Judge Date Printed Name and Title
___________
Signature of Judge Date Printed Name and Title
Attachment C
Required Program Elements
The Task Force has funded several programs in the following categories. In addition to general program requirements above, these specific types of programs must contain the following required program elements to be considered for funding.
1) Indigent Defense Coordinators (IDC) - IDCs have been funded to institutionalize indigent defense processes into the courts of a county or region. They are dedicated to improving the appointment process and providing documentation that a county is in compliance with the Fair Defense Act. IDCs reduce administrative time of judges spent on appointments. They can also enhance processes for fair, neutral and non-discriminatory appointment practices. A clear and objective standard of indigence with a timely appeal process to the courts in case of denial by the IDC ensures success of these programs. They are not to be confused with court administrators, secretaries, or court docket managers.
Required Program Elements
a) Must perform all appointments (in and out of court) as the designee of the judge or judges
b) Must maintain the rotation default system on assigned counsel systems and monitor the frequency and reasons of exception for off list appointments.
c) Must report summary of appointment data to judges at least monthly
d) Must manage the graduated list of court appointed attorneys for judges and receive applications for advancements or adjustments as higher qualifications are met by attorneys
e) Must monitor appointment list and attorneys’ completion of continuing legal education (CLE) to meet minimum requirements of local plan and Task Force rules
f) Must review invoices submitted by attorneys and compare to appointment schedule prior to judicial approval
g) Must review, manage and update local indigent defense plan(s)
h) Perform training for law enforcement, magistrates, local bar, and other stakeholders on indigent defense plan(s) adopted by courts.
i) Report directly to the judges (rural) or board of judges (mid-size or urban)
j) Develop procedures to track attorney contact which includes tracking investigating and reporting allegations of attorneys not meeting their clients within statutory or plan requirements
k) Must involve all courts in the jurisdiction (rural and mid-sized) or all of the judges of a type of court (urban).
2) Video Teleconference – The Task Force has funded programs that use technology to provide better representation or promote prompt appointment requirements. The courts can use the technology to remediate the effects of geography or volume on court processes. An acceptable VTC system will focus on improving indigent defendants’ access to effective assistance of counsel. It also may also help the county meet prompt appointment or prompt attorney contact requirements of the Fair Defense Act. Currently, there are three known types of video-teleconference indigent defense grants:
A. Attorney/Client meetings – The video-teleconference system is used to promote clients’ contact with their attorneys as soon as practical but certainly prior to a court appearance.
B. Magistration – The prompt appointment requirements in the Fair Defense Act can be met by using the video-teleconference system to bring isolated magistrates to the defendants via technology.
C. Indigency determinations and applications for court appointed counsel - The court may use the technology to conduct the interview to determine indigency or to hear defendants’ request for court appointed counsel
Required Program Elements
a) Must meet the needs of local attorneys on the appointment list and involves the local defense bar in the planning stages
b) Must be used by all judges in the jurisdiction involved in the specific aspect of the program (e.g. includes a countywide process change in magistration, attorney/client meetings, etc…)
c) Must be used to meet a specific element of the Fair Defense Act (e.g. indigency determination, magistration, attorney contact, etc….)
d) Must involve sheriff, jail administrator and other law enforcement as applicable
e) Must be purchased from the DIR contract (see program requirements)
f) Must include the price of at least three years of maintenance
g) Must demonstrate that it is able to connect to one other funded or previously funded county
h) Must be able to communicate with other court systems (open or shared technology)
3) Purchase of Information Technology Products – Many IT products may be considered for funding only in relation to how they improve local indigent defense processes. Any project allowed under this type of purchase must clearly focus on improving indigent defendants’ access to effective assistance of counsel. These projects often reduce administrative time of judges and court staff involved in the appointment or payment process.
Required Program Elements
a) Must meet the needs of local attorneys on the appointment list and involve the local defense bar in the planning stages
b) Software programming must be portable to other jurisdictions
c) The IT product may not be a common business practice items that is expected to be found in any county (example- fax machine, telephone, etc…)
d) The product must have clearly defined activity, summary, and management reports
e) Must avoid use for general court processes
4) Public Defender Offices and Direct Client Services – Establishing public defenders, regional public defenders, mental health defender and juvenile defender services are major priorities of the Task Force. Direct client services are the most likely to receive funding.
Required Program Elements
a) Must focus on serving people
b) Must involve the local defense bar in the planning stages
c) Must involve a clear appointment/referral and intake processes
d) Public defender offices must demonstrate the use of the Task Force on Indigent Defense Blueprint for Establishing a Public Defender Office in Texas
e) Must include adequate access to support services including secretaries and investigators (lawyer to support staff ratio)
f) Must have defined caseload/workload standards
g) Must have internal case management/tracking controls sufficient to monitor attorney caseload/workload
h) Must have ability to produce other reports that enable the office to evaluate its own performance and demonstrate its cost-effectiveness to other local defense systems
i) Emphasis on staff training/supervision/evaluation to continually improve office performance.
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ATTACHMENT A
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