Procurement in Community Corrections A Guide for Obtaining Technological Solutions and Case Management Systems

Adam K. Matz, M.S. American Probation and Parole Association

Mark Hendershot, M.A. Maricopa County Adult Probation

Ken Tomlinson Fieldware LLC

June 4, 2013 (8:00a.m. – 9:00 a.m.)

Publication Available Online!

• Matz, A. K. (2012). Community corrections automated case management procurement guide with bid specifications (ver. 1.0). Lexington, KY: Council of State Governments, American Probation and Parole Association. Retrievable from http://www.appa-net.org/eweb/docs/APPA/pubs/Procurement-Guide.pdf

DISCLAIMER: • This project was supported by Grant No. 2010-DB-BX-K021 awarded by the Bureau

of Justice Assistance. The Bureau of Justice Assistance is a component of the Office of Justice Programs, which also includes the Bureau of Justice Statistics, the National Institute of Justice, the Office of Juvenile Justice and Delinquency Prevention, the Office for Victims of Crime, the Community Capacity Development Office, and the Office of Sex Offender Sentencing, Monitoring, Apprehending, Registering, and Tracking. Points of view or opinions in this document are those of the author(s) and do not necessarily represent the official position or policies of the U.S. Department of Justice. Finally, this guide is offered to provide information in regard to the subject matter covered but comes without warranty. The document does not serve as a substitution for legal or other professional service.

APPA Workgroup

• Lisa Burlingame Oklahoma Department of Corrections

• Kathy Gattin IJIS Institute/ Tetrus

• Harry Hageman ICAOS

• James McMillan NCSC

• Kelly Odestick Westchester County Department of Information Technology

• Andrew Owen SEARCH

• Robert Schwab Loryx Systems

• Peter Stoecklin Marquis Software Development, Inc.

• Benjamin Stout N-DEx/ FBI

• Tom Talbot BJA/ DOJ

• Carl Wicklund APPA

CHAPTER I Preparing for Change

Seven Facts About IT Solutions*

1. Implementing IT is difficult. 2. Planning and installing IT is different than other

projects. 3. IT planning and implementation is not a one-time

activity. 4. IT must support the strategic business mission, goals

and objectives of the [community corrections] agency. 5. Successful projects require strong project

management. 6. All projects require a plan. 7. Successful IT implementation can happen!

‘Don’t Shoot the Messenger.’ A poorly matched CMS can be very frustrating. It’s important to remember a technological system is little more than a carrier of the information provided to it, it’s up to individuals and the agency to ensure the right information is provided and the system configured in a way that will represent that data to the viewer in an intuitive format.

It Takes Everyone • Technologists know technology, not your

business • Must overcome specialized jargon or cross-train

accordingly so communication can occur between technologist and business experts

• Agency leadership must understand and support technological advancement for it to reach its potential

• Business should drive technology, technology should not drive the business

A Five-Stage Process

Planning

Procurement

Implementation Management

Evaluation

Update Strategic Plan • Strategic Planning

• Mission • Vision • Goals [Add IT as a goal if it doesn’t already exist] • Objectives

• Develop a stand-alone Strategic IT vision document • How will technology further the agency’s overall

mission?

Technology Plan • Outline…

• user needs, • activities to be automated, • standards to be

implemented, • information to be shared, • system specifications, • hardware and software

needs, and • existing systems and

systems environment.

• Ensure… • the project is clearly

defined and thorough • the right people are

involved • the Goals, objectives, and

timelines are realistic • there is an accurate

assessment of risk • There are benchmarks

and performance metrics for evaluation

The Procurement Team • Requires individuals knowledgeable of

• Technology • Law • Organizational politics • Intra- and inter- agency culture

• Leader or executive sponsor • Possess high enough rank to make final

decisions (e.g., Director, Chief Probation Officer)

• Serve as spokesperson/ advocate • Include end-users on the team • Consider outside agencies likely to be

impacted by future changes

The Procurement Team • The team will be tasked with:

1. Determine the scope and focus 2. Identify legal, policy, administrative, funding,

technical and political obstacles 3. Define and sanction project objectives, tasks and

timetables 4. Garner support from other relevant decision-

makers (City/County Council). 5. Monitor planning, implementation and management

of IT 6. Define operational requirements 7. Oversee systems acquisition 8. Resolve obstacles to implementation 9. Review system performance 10. Make recommendations concerning systems

improvements, enhancements and next steps

The Procurement Team

Leadership (e.g., Chief Probation Officer)

Steering Committee (e.g., Technology Staff/Consultants, Probation Officers, Judicial Staff, Law Enforcement, Social

Service Organizations, etc.)

Management (e.g., Project Manager)

The Procurement Team • Organize meetings:

1. Appoint a Committee Chair to facilitate discussion and delegate tasks.

2. Create a meeting schedule that is consistent (e.g., third Monday of each month at 1:00 p.m.).

3. Establish a final decision-making strategy (e.g., majority vote) so key decisions can be made at the meeting.

4. Appoint a note taker for each meeting (e.g., select one with a back-up or rotate the responsibility). The previous meeting notes/ minutes should be disseminated with each agenda to create continuity across meetings.

5. Establish a method of dealing with intra-committee conflict.

The Procurement Team • Get outside help if necessary • Develop a formal Project Charter

• Business Case Statement • Background • Vision Statement • Scope Statement • Objectives • Planning and Methodology • Initial Timelines • Preliminary Budget

• Technology Resources/ Needs Assessment • Current Technological environment

• Business Process Mapping • SWOT Analysis

CHAPTER II Development or Procurement

Build or Buy or Buy & Customize

CHAPTER III Making the Leap: Preparing for an RFP

Project Plan • The Project plan can be thought of as an

extension of the Project Charter but with the following components: 1. Scope and objectives 2. Project Timeline 3. Project Budget 4. Risk Management 5. Communications Plan

Ten Tips for Buying Technology* 1. Consider procurement strategies outside the traditional RFP 2. Think like a vendor 3. Limit and phase the project scope 4. Longer is not better 5. What do you do best? 6. Use technology to improve the process of educating vendors 7. Hast makes waste – Give vendors adequate time to respond 8. Position your project for the future 9. Use standards 10. “Or more…”

* From Jim McMillan (NCSC) and Curtis DeClue

CHAPTER IV An Introduction to Information Sharing

Process of Information Sharing • Process

• Event

• Agency

• Condition

• Information

Global Justice Information Sharing Initiative

Global Advisory Committee (GAC)

Global Intelligence Working Group (GIWG)

Global Standards Council (GSC)

Global Strategic Solutions Working Group (GSSWG)

Global Executive Steering Committee

(GESC)

Information Sharing • National Information Exchange Model (NIEM)*

• Global Justice XML Data Model (GJXDM)

*For more information see www.niem.gov

Information Sharing • Information Exchange Package Documentation

(IEPD)

Information Sharing • Justice Information Exchange Model (JIEM)* • Integrated Criminal Justice Information Sharing

(ICJIS) * For more information see www.search.org/programs/info/jiem/tool/

Information

Public

Law Enforcement

Prosecution/ Courts

Institutional Corrections

Community Corrections

Information Sharing • Law Enforcement National Data Exchange (N-

DEx)* • Logical Entity eXchange Specification (LEXS)**

• LEXS Publication and Discovery (LEXS PD) • LEXS Search and Retrieval (LEXS SR) • LEXS Subscribe and Notify (LEXS SN) • LEXS Domain Exchange (LEXS DE)

• Fusion Centers * For more information see www.fbi.gov/about-us/cjis/n-dex/n-dex ** For more information see www.lexs.gov

Other Concerns • Privacy and Security* * From IJIS Institute’s (2009) Using Technology to improve privacy protection in justice information systems.

Privacy Program

Cycle

1. Educate and Raise

Awareness

2. Assess Agency Privacy Risks

3. Develop the Privacy

Policy

4. Perform a Policy

Evaluation

5. Implement and Train

6. Conduct an Annual

Review

Other Concerns • Quality Assurance*

• Make information quality a priority • Incorporate information quality into your strategic

plans • Assess the level of information quality in your

organization • Hold the entire organization accountable for

information quality • Look for further guidance from Global

* From Global’s (2010) Information Quality Program Guide.

CHAPTER V Developing the RFP: An RFP Template

RFP Outline • Cover Page • Cover Letter • Section 1.0: Introduction • Section 2.0: Proposal Instructions and Conditions • Section 3.0 Proposal Response Format • Section 4.0 Proposal Requirements • Section 5.0 Company and Functional Requirements • Section 6.0 Contract Terms and Conditions • Section 7.0 Attachments Checklist and Miscellaneous

Information • Attachment A: Notification of Intent to Bid Form • Attachment B: Cost Proposal

RFP System Requirements • Case Processing • Management • File and Document

Management • Integrated Criminal Justice

Information Systems (ICJIS) • Financial Standards • Case Initiation • Case Planning Requirements • Scheduling Requirements • Monitoring and Compliance

Requirements • Document Generation

Requirements

• Case Closing Requirements • Management Statistics

Requirements • Program Management • Security and Data Integrity

Requirements • Integrated Criminal Justice

Information Systems Requirements

• System Requirements • Detention Requirements • Financial Requirements

CHAPTER VI Making a Decision

Evaluating Proposals • Example*:

* Adapted from Harris & Romesburg.

Number Criteria Points 1. Adherence of the proposal to the specified format 3 2. Completeness of the proposal 5 3. Quality and depth of reference 10 4. Level of service and responsiveness that the service provider commits to

providing to the agency 13

5. Financial stability and resources of the service provider 5 6. Experience and technical expertise staff 10 7. Design, capability and functionality of system and application software, as

determined by the Evaluation Team 11

8. Current availability and ability to demonstrate installation of the proposed software applications required by the agency

11

9. Level of integration between applications and demonstrated interfaces with external systems/devices

5

10. Capability, design, reliability, warranty and expandability of proposed hardware

5

11. Economic feasibility and justification of all costs 5 12. Service provider willingness and ability to negotiate a contract acceptable

to the agency 5

13. Feasibility, timeliness and quality of the software implementation schedule and conversion plans

5

14. Level of service provider assistance to be provided to the agency during the implementation process

4

15. The number of hours and extent of user training 5 16. Quality and extent of the documentation to be provided 3

Constructing the Contract 1. Draft primary agreement with Legal

2. Supplemented with information from consultants

3. Discuss with service provider

4. Prepare initial draft of the contract and provide to the service

provider

5. Hold meeting to discuss issues/pricing, revise as needed

6. Signatures of final agreement

Still More Work to Be Done

Planning

Procurement

Implementation Management

Evaluation

• Scope Creep

• Adherence to original RFP

• Annual Review

Implementation Fidelity

Thank You

Adam K. Matz, M.S. Research Associate American Probation and Parole Association (APPA) Council of State Governments (CSG) 2760 Research Park Drive Lexington, KY 40511 Phone: (859) 244-8058 Fax: (859) 244-8001 amatz@csg.org www.appa-net.org

Mark Hendershot, M.A. Division Director Maricopa County Adult Probation Policy, Planning & Analysis Communications Center Downtown Justice Center 620 W Jackson St., Suite 3098 Phoenix, AZ Phone: (602) 506-0320 mhender@apd.maricopa.gov

Ken Tomlinson Client Outreach Manager Fieldware LLC Phone: (312) 258-1000 ext 331 ktomlinson@fieldware.com