Loading...
HomeMy WebLinkAboutHARDY PREA CONSULTING SERVICES (HARDY, NANCY) INSURANCE K 11 ON FILE WORK MAY NOT PROCEFD N-2025-119 CITY CLERK DATE: MAY 21 2025 Scope of work for Audit Services NANCY HARDY, HARDY PREA CONSULTING SERVICES AND CITY OF SANTA ANA O:PD(J) This Scope of Work for audit services is provided by Nancy Hardy, Hardy PREA Consulting .,]alms Vg4r L(vX)Services, ("Contractor"),who is the sole proprietor and who will also be known as the("Auditor"), whose address is 3342 Farrell Road, Vacaville, CA 95688. These auditing services will be provided for the 2025 PREA Audit of the Santa Ana City Jail. CONTRACTOR'S SERVICES AND REPRESENTATIONS The contractor is an independent contractor and is submitting this Scope of Work to provide PREA Auditing services for the Santa Ana City rail,Santa Ana Police Department, Santa Ana,California. The contractor confirms that she has the requisite training, education, experience, and expertise to provide the services.The contractor has and will continue to maintain a valid certification required to perform these services. The contractor agrees to provide confirmation of such certification and good standing, upon request. The contractor will immediately notify the Santa Ana Police Department of any non-renewal, suspension, revocation, or complaint that could affect the standing of such certification and/or authority. The Contractor confirms that she does not possess any confidential or proprietary information that is owned by or the property of any other person or entity,and that she will not use any confidential, proprietary information owned by or belonging to any other person or entity, in connection with the services to be performed by the Contractor pursuant to this audit. The contractor represents that she currently has PREA Auditor Certification as required by the United States Department of Justice and will maintain such certification throughout the term of the audit. TERM AND TERMINATION The agreement shall be effective as of the date of the last party execution of the contract or on the first day the services are provided,whichever is earlier,and will terminate twenty-four(24)months thereafter(the"Term")or until work by the Contractor is completed,whichever comes first. The Auditor may be terminated if the Agency and the Department of Justice agree and upon good cause shown. Good cause shall include, among other things, any violation of the PREA Standards, or federal,state,or local law,which reasonably calls into question the Auditor's fitness to continue serving as the Auditor. EXPENSES AND COMPENSATION The Santa Ana Police Department shall bear all reasonable fees and expenses of the Contractor incurred in the conduct of and audit on behalf of the Santa Ana Police Department. The Contractor anticipates the onsite portion of the audit will be completed in 5 business days. If completed in less time,the Contractor will adjust expenses appropriately. The Contractor will separately invoice for all reasonable materials, supplies and expenses. The Santa Ana Police Department will remit payment within thirty(30) days of receipt of the invoice. In addition to the Contractor's fees set forth in this document, the Santa Ana Police Department shall bear all reasonable expenses that the Contractor incurs in the conduct of the audit. Reasonable fees shall include expenses and travel. The Santa Ana Police Department will pay the Contractor for all actual hours spent prior to, traveling to, on-site, and after the audit, including audit preparations, documentation review, preparation of the interim report, communicating with the Agency regarding the audit, corrective action, return to the facility(if determined necessary), and preparation of the final audit report at a rate of Seventy-Five Dollars ($75.00)per hour. The amount due for expenses and travel is estimated to be$2,964. The amount estimated for labor cost is$17,890. The total amount to be expended during the term of this Agreement shall not exceed $20,854,inclusive of expenses,travel and labor cost. PREA AUDITING STANDARDS The Agency and the Contractor shall comply with the requirements set forth in the PREA Auditing Standards(28 C.F.R. §§115.401-05). See Attachment 1. DESIGNATED AUDITOR The lead auditor will be Nancy Hardy, Sole Proprietor of Hardy PREA Consulting Services. EXPARTE COMMUNICATION The Auditor shall be permitted to initiate and receive ex parte communications with the community stakeholders, the PREA Resource Center, the Department of Justice, inmates, detainees, and residents, and other interested parties. AUDITOR RESPONSIBILITY AND AUTHORITY The contractor shall have the responsibility and authority to independently observe,assess,review, and report on.the Agency's implementation and compliance with the National Standards.In order to accurately assess compliance at the facility, the auditor shall: conduct an on-site inspection; observe programs and activities;interview pertinent administrators,professional staff,correctional staff, contractors and volunteers; individually interview a sample of inmates; review a sample of videotapes from housing units; and conduct detailed reviews of inmate records and other pertinent documents and reports. The auditor shall spend a sufficient amount of time at the facility to accurately assess day-to-day operations and conditions. The auditor shall be responsible for independently verifying representations from the Agency regarding facility compliance, The Auditor shall comply with the PREA Auditor Handbook. If the Auditor handbook is updated, nothing shall restrict the Auditor's ability to comply with that handbook. DELIVERY OF CONTRACT TO THE PREA RESOURCE CENTER Upon successful award and finalization of the contract, the Auditor shall provide a copy to the PREA Resource Center, via the Online Audit System(OAS) for the purpose of tracking Auditor activity.The contract is subject to approval and will not be in effect until it has been approved and written authorization to proceed by the PREA Resource Center and/or United States Department of Justice is received. AUDIT SCHEDULE 1. At least six weeks prior to the on-site portion, of the audit, the auditor will provide the facility with an audit notice in English and Spanish. This notice must be copied and posted throughout the facility where it will be visible to all people confined in the facility and staff. This should include areas such as visiting,housing units, and recreation spaces. The auditor will request documentation of these notices being posted via time-stamped photographs. 2. The auditor will complete the Audit Initiation Form through the OAS. This will allow the facility to begin completing the Pre-Audit Questionnaire(PAQ). The auditor will request the complete PAQ approximately 4 weeks prior to the on-site visit. She will begin to complete the Audit Compliance Tool and develop an Issues Log to identify items that will require follow-up. 3. The auditor will communicate via telephone and email to work out the logistics of the on- site portion of the audit. 4. During the on-site portion of the audit,the auditor will conduct interviews with specialized staff,random staff,targeted inmates and random inmates. There will be approximately 60 interviews to be conducted. She is required to interview staff from all classifications and who work on all watches/shifts. The auditor will tour the facility,request documentation, and observe critical functions while on-site. 5. Upon completion of the on-site portion of the audit,the auditor will have up to 45 days to complete the interim report(or final report if no deficiencies are identified). 6. The interim report will be provided to the facility, and the auditor will work with staff to develop a corrective action plan. See below for more information about the corrective action period. 7. During the time that the interim report is being written and/or the corrective action period, the auditor will request additional specific information to be utilized to complete her Post- Audit Report for the Department of Justice. 8. Once the correction action period has ended,the auditor will have 30 days to complete the final audit report and provide it to the facility. The facility will be informed of the need to post the final audit report on their website so members of the public can access the information. This is a requirement of the PREA Standards, CORRECTIVE ACTION PROCESS If the audit report indicates that corrective action is required, the Auditor and the Agency shall work to develop a corrective action plan promptly and jointly toward achieving compliance with all standards. The corrective action plan shall contain a timeline for specific minimal remedial measures the Agency shall take to achieve compliance within a 180-day corrective action period. The Agency shall deliver, and the auditor shall review and comment upon, deliverables provided to the auditor pursuant to the corrective action timeline. The Auditor reserves the right to revisit the facility,to verify corrective action items, if determined necessary. The Auditor shall have 30 days to issue her report upon conclusion of the 180-day corrective action period, or earlier if compliance has been achieved before the end of the corrective action period. Under no circumstances shall the final report be issued more than 180 days from the original due date. MAINTENANCE, STORAGE,AND RETURN OR DESTRUCTION OF RECORDS The Auditor shall take all reasonable steps to safeguard agency records and information retained pursuant to the audit. All electronic files shall be securely password-protected or encrypted, All paper records shall be maintained in a secure room or building,and within a locked case or cabinet. Upon conclusion of the Auditor's document retention period, the Auditor shall securely burn, shred, or otherwise destroy the retained records. PUBLIC STATEMENTS Except as required or authorized by the PREA auditing standards; federal, state, or local law; judicial order;this contract; or as permitted by the Agency,the Auditor shall not make any oral or written public statements — including, but not limited to, statements to the press, conference presentations,lectures,or articles—with regard to: the status of the Agency's compliance or non- compliance with the PREA Standards, or any act or omission of the Agency or its agents, representatives or employees, TESTIMONY Except as required or authorized by the terms of this contract,or by permission of the Agency,the Auditor shall not testify in any litigation or proceeding with regard to the status of the Agency's compliance or noncompliance with the National Standards;or any act or omission of the Agency or its agents, representatives or employees, unless otherwise lawfully compelled to do so. If the Auditor is lawfully compelled to provide such information, the Auditor shall promptly notify the Agency. CONFLICT OF INTEREST The Auditor shall not accept employment or provide consulting services that would present a conflict of interest with her responsibilities under this contract,with the PREA auditing standards, or with auditor ethical guidance provided by the PRC or the Department of Justice,including,but not limited to,being employed or retained by the Agency for purposes other than PREA auditing during the three-year period prior to the audit, or during the three-year period subsequent to the audit. AUDITOR INDEPENDENCE Neither the Agency,not any employee or agent of the Agency,shall have any supervisory authority over the Auditor's activities, reports,findings, or recommendations. TENTATIVE AUDIT TIMELINE The parties tentatively agree that the initial on-site visit for the audit will occur during the following week. The dates may be adjusted as agreed upon between the Contractor and Santa Ana Police Department. Facility Location Dates Santa Ana City Jail Santa Ana, CA TBD MAINTENANCE OF DOCUMENTATION AND INFORMATION Any and all of the documentation(including electronic documentation)required by the National Standards shall be maintained and secured by the Agency. The Auditor is authorized to request, review, and retain all such documentation prior to, during, and after the on-site visit. AUDITOR ACCESS The Agency shall ensure that the Auditor has access to the facility, documentation (including electronically stored information),personnel, and inmates, consistent with the auditing standards, until the issuance of the final report. POSTING OF AUDITOR CONTACT INFORMATION The Santa Ana Police Department shall ensure that Auditor contact information, together with a statement of confidentiality,that will be provided by the auditor, shall be displayed in accordance with the Auditor's instructions, for the six-weelc period prior to the on-site visit. The Santa Ana Police Department shall provide proof,according to the Auditor's instructions,that the posting has been completed according to the instructions provided. EXTERNAL ADVOCACY ORGANIZATIONS The Santa Ana Police Department shall work in good faith to identify and provide the Auditor with contact information for community-based or victim advocates who may have insight into relevant conditions in the facility, in order to permit the Auditor to fulfill her obligations under 28 C.F.R. § 115.401(o). ACCESS TO INVESTIGATIVE PERSONNEL The Santa Ana Policc Department shall make its best efforts to obtain and provide information and personnel from internal and external investigative entities relevant to compliance with the National Standards to the Auditor.All documentation provided to the auditor shall be uploaded to the OAS. AUDITOR WORKSPACE AND ELECTRONICS During any on-site visit,the Santa Ana Police Department shall provide the auditor with reasonable workspace, and shall permit the auditor to maintain electronics in accordance to their policy. PUBLICATION OF AUDIT REPORT The Santa Ana Police Department shall publish the final audit report on the Agency website within 14 days of receipt of the reports. Once published on the website, the auditor shall be notified by the Agency representative. RETALIATION SAFEGUARDS The Santa Ana Police Department agrees that it shall not retaliate against any person because that person has provided any information or assistance to the Auditor,has filed or will file a complaint, or has participated in any other manner in the conduct of the Audit. The Santa Ana Police Department agrees that it shall timely and thoroughly investigate any allegations of retaliation in violation of the National Standards or this contract and take corrective action identified through such investigations. MANDATORY AND DISCRETIONARY REPORTING INFORMATION The Santa Ana Police Department shall determine whether, and to what extent, the Auditor is legally a mandatory or discretionary reporter of inmate abuse in the relevant jurisdiction, and the Agency shall provide such information to the Auditor prior to the on-site visit. The Agency shall also provide the Auditor with contact information for the entity or entities that may legally accept any discretionary or mandatory reporting. PRIMARY POINTS OF CONTACT The Santa Ana Police Department shall provide the Auditor with a list of primary points of contact with respect to staff of all relevant disciplines within the agency and the facility(e.g.,mental health care,investigations, and housing classification). STANDARD CONTRACT PROVISIONS If any provision of this contract is found to be inconsistent with the PREA auditing standards,the auditing standards shall prevail, Attachment 1. i i 28 C.F.R.§ 115.401 frequency and scope of audits. (a) During the three-year period starting on August 20, 2013, and during each three-year period thereafter,the agency shall ensure that each facility operated by the agency, or by a private organization on behalf of the agency, is audited at least once. (b)During each one-year period starting on August 20,2013,the agency shall ensure that at least one-third of each facility type operated by the agency, or by a private organization on behalf of the agency, is audited. (c)The Department of Justice may send a recommendation to an agency for an expedited audit if the Department has reason to believe that a particular facility may be experiencing problems relating to sexual abuse. The recommendation may also include referrals to resources that may assist the agency with PREA-related issues. (d)The Department of Justice shall develop and issue an audit instrument that will provide guidance on the conduct of and contents of the audit. (e)The agency shall bear the burden of demonstrating compliance with the standards. (f)The auditor shall review all relevant agency-vide policies,procedures,reports, internal and external audits,and accreditation for each facility type. (g)The audits shall review, at a minimum, a sampling of relevant documents and other records and information for the most recent one-year period. (h)The auditor shall have access to, and shall observe,all areas of the audited facilities. (i)The auditor shall be permitted to request and receive copies of any relevant documents (including electronically stored information), {j)The auditor shall retain and preserve all documentation(including, e.g., video tapes and interview notes)relied upon in making audit determinations, Such documentation shall be provided to the Department of Justice upon request. (k)The auditor shall interview a representative sample of inmates,residents, and detainees, and of staff,supervisors, and administrators. (1)The auditor shall review a sampling of any available videotapes and other electronically available data(e.g., Watchtour)that may be relevant to the provisions being audited. (m)The auditor shall be permitted to conduct private interviews with inmates, residents, and detainees. (n)Inmates,residents, and detainees shall be permitted to send confidential information or correspondence to the auditor in the same manner as if they were communicating with legal counsel, (o)Auditors shall attempt to communicate with community-based or victim advocates who may have insight into relevant conditions in the facility. 28 C.F.R.§ 115.402 Auditor qualifications. (a)An audit shall be conducted by: (1)A member of a correctional monitoring body that is not part of,or under the authority of,the agency(but may be part of, or authorized by, the relevant State or local government); (2)A member of an auditing entity such as an inspector general's or ombudsperson's office that is external to the agency; or (3)Other outside individuals with relevant experience. (b)All auditors shall be certified by the Department of Justice.The Department of Justice shall develop and issue procedures regarding the certification process,which shall include training requirements. (c)No audit may be conducted by an auditor who has received financial compensation from the agency being audited(except for compensation received for conducting prior PREA audits) within the three years prior to the agency's retention of the auditor.. (d)The agency shall not employ, contract with, or otherwise financially compensate the auditor for three years subsequent to the agency's retention of the auditor,with the exception of contracting for subsequent PREA audits. 28 C.F.R.§ 115.403 Audit contents and findings. (a)Each audit shall include a certification by the auditor that no conflict of interest exists with respect to his or her ability to conduct an audit of the agency under review. (b)Audit reports shall state whether agency-wide policies and procedures comply with relevant PREA standards. (c)For each PREA standard,the auditor shall determine whether the audited facility reaches one of the following findings: Exceeds Standard(substantially exceeds requirement of standard); Meets Standard(substantial compliance; complies in all material ways with the standard for the relevant review period); Does Not Meet Standard(requires corrective action).The audit summary shall indicate, among other things,the number of provisions the facility has achieved at each grade level. (d)Audit reports shall describe the methodology, sampling sizes, and basis for the auditor's conclusions with regard to each standard provision for each audited facility and shall include recommendations for any required corrective action. (e)Auditors shall redact any personally identifiable inmate or staff information from their reports but shall provide such information to the agency upon request, and may provide such information to the Department of Justice. (f)The agency shall ensure that the auditor's final report is published on the agency's website if it has one or is otherwise made readily available to the public. 28 C.F.R.§ 115.404 Audit corrective action plan. (a)A finding of"Does Not Meet Standard"with one or more standards shall trigger a 180-day corrective action period. (b)The auditor and the agency shall jointly develop a corrective action plan to achieve compliance. (c)The auditor shall take necessary and appropriate steps to verify implementation of the corrective action plan, such as reviewing updated policies and procedures or re-inspecting portions of a facility. (d)After the 180-day corrective action period ends,the auditor shall issue a final determination as to whether the facility has achieved compliance with those standards requiring corrective action. (e) If the agency does not achieve compliance with each standard,it may(at its discretion and cost)request a subsequent audit once it believes that is has achieved compliance. 28 C.F.R. § 115.405 Audit appeals. (a)An agency may lodge an appeal with the Department of Justice regarding any specific audit finding that it believes to be incorrect. Such an appeal must be lodged within 90 days of the auditor's final determination. (b) if the Department determines that the agency has stated good cause for a re-evaluation, the agency may commission a re-audit by an auditor mutually agreed upon by the Department and the agency. The agency shall bear the costs of this re-audit. (c)The findings of the re-audit shall be considered final. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require any subcontractors to obtain and maintain insurance as described below for the entire Term of this Agreement against claims for injuries to persons or damage to property which may arise from or in connection with services,products and materials supplied to City.Total cost of such insurance shall be borne by Contractor. MINIMUM SCOPE AND LIMIT OF INSURANCE 1, Commercial General Liability(CGL): Insurance Services Office Form CG 00 01 covering CGL on an"occurrence"basis,including products and completed operations, properly damage,bodily injury and personal &advertising injury with limits no less than $1,000,000 per occurrence and$2,000,000 aggregate, Required policy limits can be met with primary and umbrella/excess insurance policies. 2. Workers' Compensation: as required by the State of California,with Statutory Limits, and Employer's Liability Insurance with limit of no less than $1,000,000 per accident, policy or employee,for bodily injury or disease. Coverage is not required if Consultant has no employees and signs request to waive such insurance. 4. Professional Liability Insurance: with limits no less than$1,000,000 per occurrence or claim, and$2,000,000 aggregate. If Contractor maintains broader coverage and/or higher limits than the minimum requirements for each line of coverage shown above,City requires and shall be entitled to the broader coverage and/or the higher limits maintained by Contractor.Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to City. Other Insurance Provisions The above required insurance policies are to contain or be endorsed to contain the following provisions: 1. City, its City Council,its officers, officials, employees, agents, and volunteers are to be covered as additional insureds,under Contractor's CGL, and Professional Liability policies,with respect to any liability arising out of work or operations performed by or on behalf of the Instructor including materials,parts, equipment, and personnel furnished in connection with such work or operations. 2. Contractor's Insurance company(ies) agrees to waive all rights of subrogation against City, its City Council,its officers, officials, employees, agents, and volunteers for losses paid under the terms of any policy which arise from work performed by Contractor under this Agreement, 3. For any claims related to this contract,Contractor's insurance coverage shall be primary and any insurance maintained by City,its City Council,its officers, officials, employees, agents, or volunteers shall not contribute with it, 4. A severability of interest provision must apply for all the additional insureds, ensuring that Contractor's insurance shall apply separately to each insured against whore a claim is made or suit is brought, except with respect to the insurer's limits of liability. S. Insurance policies required herein shall provide that coverage shall not be canceled, suspended,voided, reduced in coverage or in limits,non-renewed by the carrier, or materially changed except after thirty(30) days prior written notice has been given to City. Ten(10)days prior written notice shall be provided to City for policy cancellation or non-renewal due to non-payment of premium. 6. Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, Attention: Magdaleno Rodriguez,20 Civic Center Plaza,M-88,Santa Ana, CA 92701. The name and location of project must be included in.the Description of Operations section of each certificate. Self-Insured Retentions Self-insured retentions must be declared to and approved by the City. The City may require the Contractor to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. Acceptability of Insurers Insurance is to be placed with insurers authorized to conduct business in the State of California with a current A.M.Best rating of no less than A:VII,unless otherwise acceptable to City. Verification of Coverage Contractor shall furnish City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements before work begins.However, failure to obtain the required documents prior to the work beginning shall not waive Contractor's obligation to provide them. City reserves the right to require complete,certified copies of all required insurance policies, including endorsements required by these specifications,at any time. Special Risks or Circumstances City reserves the right to modify these requirements,including limits,based on the nature of the risk,prior experience,insurer, coverage, or other special circumstances. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: _'k CITY OF S A ANA IFE LL .LVARO NUNEZ City City Manager APPROVED AS TO FORM: RECOMMENDED FOR APPROVAL: SONIA R. CARVALHO City Attorney By: 9i L-� TAMARKBOGOSIAN ROBERT RODRIGUEZ U Senior Assistant City Attorney Chief of Police CONTRACTOR NANCY OARDY