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REQUEST FOR PROPOSALS

Contract Forensic Examiner

Civil Commitment Court Primary Examiner

Second Judicial District

The Second Judicial District, Civil Division, is seeking proposals from a qualified person(s) or

entity to contract for the provision of court-ordered mental health examination services for civil

commitment cases pending in the district court. This position will be the primary first examiner

used by the district barring any conflict or extenuating circumstance.

This is not a bid but a request for a proposal that could become the basis for negotiations leading to

a contract for a Court Examiner (hereinafter “first examiner”) to serve as an independent contractor,

and not as an employee of the State of Minnesota.

Right to Cancel. The Second Judicial District is not obligated to respond to any proposal submitted

nor is it legally bound in any manner whatsoever by the submission of a proposal. The Second

Judicial District reserves the right to cancel or withdraw the request for proposal at any time if it is

considered to be in its best interest. In the event the request for proposal is cancelled or withdrawn

for any reason, the Second Judicial District shall have no liability to any proposer for any reason

for any costs or expenses incurred in connection with this request for proposals or otherwise. The

Second Judicial District also reserves the right to reject any or all proposals, or parts of proposals,

to waive any informalities therein, and to extend proposal due dates.

I. OBJECTIVE. The goal of this request for proposal is to enable the Second Judicial District

Court to secure the availability of a first examiner, in an efficient and cost-effective manner,

to perform high quality court ordered civil commitment examinations. The proposal shall

be submitted for a one year period of time for service, from July 1, 2020 through June 30,

2021 with an option to extend for an additional 4 years.

II. DEFINITION. For the purpose of this request for proposal, under Minn. Stat. § 253B.02,

subd. 7, a court-ordered examiner is a person who is knowledgeable, trained, and

practicing in the diagnosis and assessment or in the treatment of the alleged impairment,

and who is:

a licensed physician; or

a licensed psychologist who has a doctoral degree in psychology or who became a

licensed consulting psychologist before July 2, 1975.

III. DESCRIPTION OF WORK. The first examiner will provide professional mental health

evaluations, prepare reports, and give testimony in court as required on all civil commitment

cases in the district. In 2019, the total number of civil commitment filings was 709 cases in

the Second Judicial District. State law requires the Examiner to conduct an exam promptly

after assignment by the court, and then to file a report no less than forty-eight (48) hours

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prior to the court hearing. In addition, the Examiner may be required to provide testimony.

Examiners must apply knowledge of clinical psychology principles, theories, methods, and

techniques, and exercise professional judgment in the selection and administration of

appropriate psychometric tests. Examiners must also understand applicable legal standards

in the formulation of opinions required by the court. Examiners must be able to effectively

communicate their technical findings to the court. In unusual circumstances, a request may

be made and the court may order that the contract examiner conduct sexual psychopathic

and sexual dangerous person examinations.

The first examiner will be required to work with electronic documents when reviewing

records and providing reports. The first examiner will use a privately owned laptop to

conduct record review and production of reports. The district court will not provide the first

examiner with a computer, laptop, paper copies or resources for printing paper copies. The

first examiner will review records received by the court via the Electronic Medical Records

System (EMRS) by signing a user agreement and obtaining a username and password.

Reports will be prepared and submitted through the court Electronic Filing System (EFS).

The primary location for delivery of civil commitment psychological exam services is the

Commitment Court at 402 University Avenue, St. Paul, MN.

The court has determined that examinations and trials are conducted most effectively and

efficiently during primarily the following half days:

Monday a.m.

Tuesday a.m.

Wednesday a.m. and p.m.

Thursday a.m.

IV. BASIS FOR PAYMENT. Any hourly rate, flat fee per case, or flat fee per service will be

considered for negotiation not to exceed maximums set forth in this RFP. Appendix I sets

forth the current Psychological/Psychiatric Services Examiner Payment Policy of the

Minnesota Judicial Branch. The Second Judicial District rates comply with the attached

policy and include payment for record review, interview of the proposed patient, report

writing, and testimony. Any assignment and payment for sexual psychopathic personality

and sexually dangerous person evaluations will occur according to STATE policy

Psychological/Psychiatric Services Examiner Payment Policy. Appendix II is a Quick

Reference of Psych Examiner Services Maximum Payment Rates promulgated by the State

Court Administrator’s Office (SCAO) that identifies Ramsey County’s rates.

V. CONTRACTOR REQUIREMENTS. A psychologist or agency awarded a contract as a

result of this request for proposal must carry malpractice insurance and workers

compensation insurance, if applicable. All contractors are required to pass a criminal

background and meet roster requirements as indicated in policy 510(b)

Psychological/Psychiatric Examiner Services Roster Policy Appendix III.

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VI. PROPOSAL CONTENTS. Each submission in response to this request for proposal must

contain:

A. Resume and Report Sample. Your proposal must include the resume of the

individual who would perform the services of the examiner outlined in this request

for proposal. The resume must be up-to-date, include the names and telephone

numbers of at least three references, and demonstrate the individual’s knowledge

and expertise in administering civil commitment examinations, and in providing

court testimony. The proposal must also include one appropriately redacted civil

commitment examination report sample.

If you are submitting this proposal on behalf of an agency, please include a

description of the agency and, for each examiner who would be performing

examinations if a contract is awarded to the agency, a resume and report sample

conforming to the requirements stated above.

B. Other Conditions. Your proposal must indicate relevant experience and

applicability to court-ordered mental health examinations, the financial parameters

within which you are willing to perform civil commitment examinations, and your

availability to the court during the time indicated above. Please be as specific as

possible, including details such as to whether:

your proposal is for an hourly and/or per exam;

the maximum time per week that you can commit;

other.

All reasonable proposals will be considered.

C. CERTIFICATE OF INSURANCE. Minnesota Statutes § 176.182 requires that the

State shall not enter into any contract before receiving from all other contracting

parties acceptable evidence of compliance with the workers' compensation coverage

requirements of § 176.181, subd. 2. Your proposal must include one of the

following: (1) a certificate of insurance, (2) a written order from the Commissioner

of Insurance exempting you from insuring your liability for compensation and

permitting him to self-insure the liability, or (3) an affidavit certifying that you do

not have employees and therefore are exempt pursuant to Minn. Stat. §§ 176.011,

subd. 10; 176.031; and 176.041.

D. AFFIRMATIVE ACTION CERTIFICATION. If your proposal exceeds

$100,000.00, your proposal must include a completed Affirmative Action Data Page

(Appendix IV).

E. NONCOLLUSION. You must complete the Affidavit of Noncollusion (Appendix

V) and include it with your proposal.

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F. CERTIFICATION OF DEBARMENT. You must complete the Certification of

Debarment (Appendix VI) and include with your proposal.

G. DRUG FREE WORKPLACE. The court has a Drug Free Workplace Policy and

form that you and your employees who work the positions, if applicable, will be

required review and sign the Drug Free Workplace if offered a contract for services

with the court.

H. CONFIDENTIALITY AND DISCLOSURE OF INTEREST. Contractor staff

providing services will be required to sign a Confidentiality and Disclosure of

Interest Form to be signed if offered a contract for services with the Court.

VII. SUBMISSION OF PROPOSALS. Your proposal must be submitted in writing in a sealed

envelope to:

A. Proposal Timeline.

1. Posting Date on State MJB Website MJB Court Public Website - Public Notice

: Thursday April 23, 2020

2. Questions Due: Thursday, April 30, 2020, by 4:30PM, CST.

3. Answers Posted: Thursday, May 7, 2020, by 4:30PM, CST.

4. Proposal Submission Deadline: Monday May 18, 2020, by 4:30PM CST.

5. Vendor conferences will be scheduled if needed.

6. Subsequent selection as soon thereafter as possible.

B. Amendments. Any amendments to this RFP will be posted on the MJB website.

C. Questions. All questions about this RFP must be submitted in writing via email to the

State’s sole point of contact identified in this paragraph no later than Thursday April

30, 2020, by 4:30PM, CST. Other court personnel are not allowed to discuss the

Request for Proposals with anyone, including responders, before the proposal

submission deadline.

Jessica Fowler

Subject: Psych RFP Questions

jessica.fowler@courts.state.mn.us

D. Answers to Questions. Timely submitted questions and answers will be posted on the

MJB website by the end of the day on Thursday May 7, 2020 by 4:30PM, CST and

will be accessible to the public and other proposers.

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E. Sealed Proposal and Submittal Address. Your proposal must be submitted in

writing by 4:30PM, CST on May 18, 2020 in a sealed envelope to:

Civil Division

Attn: Jessica Fowler

RE: Psych RFP

15 West Kellogg Blvd W. #170

St. Paul, MN 55102

The submission must include one (1) paper copies. No facsimile submissions will be

accepted.

F. Signatures. Your proposal must be signed by, in the case of an individual, by that

individual, and in the case of an individual employed by a firm, by the individual and

an individual authorized to bind the firm.

G. Ink. Prices and notations must be typed or printed in ink. No erasures are permitted.

Mistakes may be crossed out and corrections must be initialed in ink by the person signing the

proposal. Except in the case of obvious errors in math, the initial proposal should contain your

best and final offer. No additional offers will be entertained after the initial proposal.

H. Deadline; Opening; Public Access. Proposals must be received no later than

Monday May 18, 2020 by 4:30PM, CST. Proposals will be opened the following

business day and once opened become accessible to the public do not place any

information in your proposal that you do not want revealed to the public. All

documentation shipped with the proposal, including the proposal, will become the

property of the State.

I. Late Proposals. Late proposals will not be accepted or considered.

J. Selection Timeline. Vendor selection will be as soon as possible after the proposal

submission deadline.

X. EVALUATION. The Second Judicial District will review the information submitted and

may conduct interviews or meetings with selected potential contractors. Cost of service will

not be the only criterion used in the selection process. Selected contractors must agree to

Judicial Branch terms and conditions and sign a professional services contract. The

professional services contract will contain a contract termination clause if the work product

of the examiner is not satisfactorily performed in the judgment of the Judicial Branch. The

selected contractor must provide documentation of medical license or doctoral degree in

psychology, proof of malpractice insurance, and workers compensation insurance

(applicable if the contractor has employees).

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APPENDIX I

Minnesota Judicial Branch Policy and Procedures

Policy Source: State Court Administrator

Policy Number: 510(a)

Category: Court Operations

Title: Psychological/Psychiatric Examiner Services Payment Policy

Origination Date: June 20, 2008

Effective Date: July 1, 2008; October 1, 2019; February 1, 2020

Revision Date: December 17, 2019

Contact: Director of Court Services Division

Psychological/Psychiatric Examiner Services Payment Policy

I. POLICY

Judicial Council Policy 510; Psychological/Psychiatric Examiner Services, establishes the

Psychological/Psychiatric Examiner Services Program and authorizes the State Court

Administer to implement statewide policies and business practices.

The State of Minnesota shall compensate non-employee examiners for examination and

testimony pursuant to court order and pursuant to this payment policy.

II. APPLICABILITY

The Psychological/Psychiatric Examiner Services Payment Policy applies to:

A. all district courts in the appointment of examiners in court-ordered civil commitment and

proceedings under Minn. R. Crim. P. 20;

B. all district courts in the processing of examiner invoices; and

C. all non-employee examiners who perform court-ordered examinations for civil commitment

and Minn. R. Crim. P. 20 proceedings.

III. DEFINITIONS

A. Examiner – a person qualified to conduct court-appointed examinations according to

State Court Administrator Policy and Procedures 510 (b); Psychological/Psychiatric

Examiner Services Roster Policy.

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B. Examiner Resource Application (ERA) – the invoicing application used by examiners to

track court-appointed evaluations, bill the court for evaluation work in civil commitment

and proceedings under Minn. R. Crim. P. 20, and track payment from the court.

C. Metropolitan (metro) Area - the seven (7) county metro area: Hennepin, Ramsey,

Washington, Anoka, Dakota, Scott, and Carver.

D. Roster of Qualified Examiners (Roster) -The list of qualified forensic psychological and

psychiatric examiners published by the State Court Administrator’s Office.

E. Roster Policy - The State Court Administrator Policy and Procedures 510(b);

Psychological/Psychiatric Examiner Services Roster Policy, establishing the Roster of

Qualified Examiners.

IV. COMPENSATION

The compensation established for court-ordered psychological and psychiatric exams is as

follows:

A. MAXIMUM COMPENSATION RATE

The State Court Administrator shall establish and periodically review a maximum

examiner rate and/or a maximum total fee that may not be exceeded without obtaining

prior judicial authorization. Each judicial district shall establish a rate within that

limit. The court shall compensate first and second examiners based on the rate as

determined by the judicial district. The maximum rate does not apply to exams

performed by examiner employees.

1. Civil Mental Health Commitment Cases and Criminal Rule 20

a. The maximum examiner rate for civil mental health commitment cases and

criminal Rule 20 competency/criminal responsibility cases shall be:

i. Metro area $105.00 per hour.

ii. Outstate area $125.00 per hour.

b. Exams performed in the metro for outstate counties, by an examiner whose

primary location is in the metro, will be paid at the metro rate.

c. Examiner services performed in the metro for outstate counties, by an examiner

whose primary location is in the metro, will be paid at the metro rate.

2. Sexually Dangerous Persons and/or Sexually Psychopathic Personality Cases

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a. The maximum statewide rate for Sexually Dangerous Persons and/or Sexually

Psychopathic Personality cases is $125.00 per hour.

b. A maximum fee of $5,000 per exam shall be paid for services performed in an

SDP/SPP case (not including travel compensation and related expenses in

Paragraph B.2.) unless prior judicial authorization has been obtained to exceed the

maximum fee.

3. The maximum statewide rate for psychiatrists, appointed in cases where the judge has

determined that psychiatric testimony is necessary to evaluate the issue before the

court, is $195.00 per hour.

4. Any hourly, flat fee per case, or per service rate negotiated under a separate

contract with the state must not exceed the maximum examiner rate set by the State

Court Administrator in this policy.

B. COMPENSATION & REIMBURSEMENT

1. Examiners shall be paid for time conducting the following services:

a. Record Review: Time spent by the examiner reviewing medical, court, or

ancillary records used to make an examination determination for the court.

Includes time spent retrieving and organizing medical records.

b. Interviews: Time spent by an examiner speaking with or observing a respondent,

defendant, or collateral person in order to make an examination determination for

the court.

c. Psychometric Testing: Time spent by an examiner administering tests to the

respondent or defendant, observing test completion in accordance with test

protocol, and interpreting psychometric testing results.

d. Report Writing: Time spent by the examiner writing the examination report

submitted to the court.

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2. INTERPRETER SERVICES

a. Examiners shall be reimbursed for costs of hiring an interpreter to conduct a

defendant, respondent, or collateral person interview at a rate not to exceed rates

set by State Court Administrator Policy and Procedures 513(a); Court Interpreter

Payment Policy.

b. If the court scheduled and paid for the interpreters, see State Court Administrator

Policy and Procedures 513(a); Court Interpreter Payment Policy.

3. TESTIMONY

a. Examiners shall be paid for testimony services related to the direct and cross

examination of the court-ordered report only.

b. Payment for general observation of a trial may only be allowed on a case-by-case

basis with prior judicial authorization.

c. If an examiner appears for a hearing, either in person or remotely, the examiner

may bill for testimony service time from the time they were scheduled to appear

until the completion of their testimony.

4. TRAVEL

a. Travel time will be paid at 60% of the hourly compensation rate as established by

the district in Section IV. A. The 2nd and 4th Judicial Districts shall reimburse

examiner travel if service is provided outside the metro area.

b. There will be no reimbursement for mileage.

c. When overnight travel is required, the Court Administrator or designee may

authorize reasonable expenses prior to the examiner’s travel based upon the

Judicial Branch’s travel policy.

d. The following are examples of items NOT reimbursed.

a) Reimbursement for meals and incidental costs during travel.

b) Previously approved travel costs that are not itemized on the

examiner’s bill.

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c) Work done outside the agreed upon location unless previously

authorized by the Court Administrator or as further ordered by the court.

e. Travel time will be calculated from origination to destination and will be

calculated in the invoicing system via an online mapping service1. The shortest

route will be paid unless the examiner provides a justification for a longer route

that is approved by the court administration. Examples of an acceptable longer

route, might include construction detours, flooding, or icy or other closed roads.

f. Examiners are expected to combine travel segments when possible rather than

completing a roundtrip segment for each exam appointment. Segments should be

billed to the corresponding examination assignment.

5. CASE DISMISSAL OR TRIAL CANCELLATION OR CONTINUANCE

a. Case Dismissal

i. Examiners shall be reimbursed for time and expenses incurred

conducting examination work prior to a case dismissal.

ii. Examiners will not be reimbursed for any time or services

incurred by an examiner after the examiner is notified of a case

dismissal.

b. Trial Cancellation or Continuance

i. If an examiner receives notice of cancellation or continuation of

trial less than

24 hours from the start of the court proceeding, but before they

appear at the courthouse, the examiner may bill for one hour of

service time at 60% of the hourly rate set in section IV.A.

ii. The court shall give notice of cancellation or continuation of trial

as soon as possible and attempt to give notice at least 24 hours

prior to the start of the court proceeding, excluding weekends

and official state holidays. An examiner given notice of trial

cancellation or continuance at least 24 hours prior to the start of a

court proceeding will not be compensated for services or travel

incurred after the notification.

iii. If an examiner appears at the courthouse and has not previously

been notified that a case has been settled, cancelled, or

continued, the examiner may bill for one hour of their time at a

rate not to exceed the hourly rate established in section IV.A.

Examiners may bill for the actual round trip travel time expended

to appear for the settled, cancelled, or continued proceeding at a

rate not to exceed the hourly rate as established section IV.B.

1 In coordination with the release of the Examiner Resource Application (ERA).

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6. Non-Appearance at Examination

a. When an examiner travels to an interview and the defendant or respondent does

not appear, an examiner may bill for time spent waiting up to one hour according

to the compensation rates established in section IV.A.

b. Travel time shall be reimbursed at the travel compensation rates established in

section IV.B.4.

c. The examiner must notify court administration that the defendant or respondent did

not appear for the interview.

C. BILLING PRACTICES

Reasonable expenses may be reimbursed pursuant to the following guidelines:

1. All requests for compensation and reimbursement shall be submitted within 60 days of

the last billable activity on a case.

2. If testimony occurs after the 60 day period, examiners may submit a separate invoice for

testimony related expenses.

3. Examiners with a pattern of failure to adhere to the 60 day submission policy may be

removed from the Roster pursuant to section IV.C.3 of Policy 510(b)

Psychological/Psychiatric Examiner Services Roster Policy.

D. INSUFFICIENT AND UNTIMELY EXAMINER REPORTS

Examiners that submit examiner reports to the Court that are not timely (without prior

consent), do not meet the statutory requirements of an examiner report according to Rule

12 of the Special Rules of Procedure Governing Proceedings Under the Minnesota

Commitment and Treatment Acts, or do not meet the requirements set by Rule 20 of the

Minnesota Rules of Criminal Procedure, may be subject to investigation and possible

removal from Roster.

V. Financial Oversight

A. Examiner work and compensation are subject to Judicial Council Policy 220; Internal

Audit Policy.

B. The State Court Administrator will review audit findings to determine if violations of State

Court Administrator Policy and Procedures 510(a); Psychological/Psychiatric Examiner

Services Payment Policy, or State Court Administrator Policy and Procedures 510(b);

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Psychological/Psychiatric Examiner Services Roster Policy, occurred.

C. Examiners may be responsible for reimbursing the Minnesota Judicial Branch for any

overpayments identified as a result of an audit and/or removed from Roster.

Revision History:

August 2019: Section IV.A.2. - Language revisions; section IV.B.1. - addition of allowable

expenses and definition of expenses; section IV.B.2. - addition of out-of-pocket expenses

language, clarification on testimony preparation compensation, language revisions to travel

policy, and addition of Hennepin and Ramsey County Court travel policy; section IV.B.4. –

language revisions and clarification on tracking and billing travel time; section IV.B.5. –

revision of canceled testimony compensation policy; section IV.B.6. – addition of Non-

Appearance at Examination section; section IV.B.7. – addition of Interpreting Services

section; section IV.C. – addition of Billing Practices section; section V. – addition of

Financial Oversight section.

January 2020: Section III – added definition for Examiner Resource Application.

Approval:

Jeffrey Shorba, State Court Administrator

December 17, 2019

Date

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Appendix II

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APPENDIX III

Minnesota Judicial Branch Policy and Procedures

Policy Source: State Court Administrator

Policy Number: 510(b)

Category: Court Operations

Title: Psychological/Psychiatric Examiner Services Roster Policy

Origination Date: June 20, 2008

Effective Date: July 1, 2008; October 1, 2019

Revision Date: August 19, 2019

Contact: Director of Court Services Division

Psychological/Psychiatric Examiner Services Roster Policy

I. POLICY STATEMENT

Judicial Council Policy 510; Psychological/Psychiatric Examiner Services, establishes

the Psychological/Psychiatric Examiner Services Program and authorizes the State Court

Administer to implement statewide policies and business practices.

When a psychological or psychiatric evaluation is ordered by the court in civil

commitment or Minn. R. Crim. P. 20 proceedings, court administration shall follow the

procedures in this policy to obtain a qualified forensic examiner.

II. APPLICABILITY

This policy applies to:

(1) all District Courts in the appointment of a court-ordered examiner in civil

commitment and Minn. R. Crim. P. 20 proceedings; and

(2) all psychological and psychiatric examiners who conduct court-ordered examinations

in civil commitment and Minn. R. Crim. P. 20 proceedings.

III. DEFINITIONS

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A. Contract Examiner - A psychologist or psychiatrist who conducts court-ordered

forensic evaluations as part of a signed, contractual agreement between the examiner

and the Minnesota Judicial Branch.

B. Employee Examiner - A psychologist employed by the Minnesota Judicial Branch to

conduct forensic evaluations.

C. Forensic Psychology – the American Board of Professional Psychology defines

forensic psychology as the application of the science and profession of psychology to

questions and issues relating to law and the legal system.

D. Forensic Psychiatry – the American Academy of Psychiatry and the Law defines

forensic psychiatry as the application of psychiatric research and clinical practice to

legal issues.

E. Independent Examiner - A psychologist or psychiatrist who conducts court-ordered

forensic evaluations as a vendor of the state, but has not signed a contractual

agreement.

F. Licensing Board - The Minnesota Board of Psychology or Minnesota Board of

Medical Practice.

G. Psychological/Psychiatric Examiner Services Program Manual (Program Manual) - A

document published by the State Court Administrator’s Office that provides

procedures for administering the Psychological/Psychiatric Examiner Services

Program.

H. Roster of Qualified Examiners (Roster) -The list of qualified forensic psychological

and psychiatric examiners published by the State Court Administrator’s Office.

IV. ROSTER OF QUALIFIED EXAMINERS

The State Court Administrator’s Office (SCAO) shall maintain the statewide roster of

qualified psychological and psychiatric examiners for use by judges and court

administration.2 If the court does not have access to or is unable to schedule an employee

or contract examiner for use in civil commitment and Minn. R. Crim. P. 20 proceedings,

court administration shall select an examiner from the State Court Administrator’s Roster

of Qualified Examiners (Roster).

A. QUALIFICATIONS

Examiners listed on the Roster shall maintain the qualifications for a court-appointed

2 Minnesota Commitment and Treatment Actions Rule 11.

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examiner as defined in Minn. Stat. § 253B.02, subd.7. If an examiner from the Roster

is not available, court administration may select an examiner who is not listed on the

Roster, but meets the qualifications under Minn. Stat. § 253B.02, subd. 7.

B. ROSTER INFORMATION

Roster information shall include examiner name, professional degree, business name,

county of primary location, business phone, and email address. SCAO shall also

maintain a public version of the roster, available upon request, with examiner name,

professional degree, rate of compensation, county of office location, and business

phone. Additional examiner information will be provided to the public upon request

pursuant to the Rules of Public Access to Records of the Judicial Branch.

V. ROSTER REQUIREMENTS FOR EXAMINERS

A. Before initial placement on the Roster, examiners shall:

1. Provide signed documentation to SCAO that he/she:

a. is a licensed physician; or

b. is a licensed psychologist who has a doctoral degree in psychology or who

became a licensed consulting psychologist before July 2, 1975;

c. is in good standing with the appropriate professional licensing board;

d. is a carrier of valid malpractice insurance; and

e. agrees to comply with all relevant SCAO policies, procedures, and payment rates.

2. Complete the orientation program provided by SCAO that is designed to inform the

examiner of the court process and his or her role in the process.3

3. Disclose the following to SCAO:

a. any pending misdemeanor, gross misdemeanor, or felony criminal charges or

convictions;

b. any and all past or current licensing board investigations, findings,

disciplinary actions, or corrective measures; and

4. submit a criminal background check report from the Minnesota Bureau of

Criminal Apprehension at the examiner’s expense.

B. ANNUAL REQUIREMENTS

Each year, in order for SCAO to verify an examiner’s Roster qualifications,

3 The orientation requirement was waived for examiners serving on the Roster of Examiners before the orientation

requirement was launched in 2009. The orientation may be waived by SCAO for employee examiners and DHS

Forensic Services staff.

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examiners must provide signed documentation verifying that:

1. he/she meets the criteria set in section V.A.;

2. confirms the examiner’s licensure with the professional licensing board; and

3. the examiner has completed the forensic continuing education required by paragraph D

below.

C. REPORTING REQUIREMENTS

1. Examiners serving on the Roster must report the following to SCAO in writing within 30

days.

a. Investigations, findings, disciplinary actions, or corrective measures imposed by an

applicable licensing board(s). This includes, but is not limited to, disciplinary

action(s) for physicians described in Minn. Stat. § 147.091; disciplinary action(s)

described for psychologists in Minn. Stat. § 148.941; rules of conduct for licensed

psychologists in statute Minn. Stat. § 148.98; and licensing, registration and ethical

rules set forth in Minnesota Administrative Rules 5600 and 7200.

b. Misdemeanor, gross misdemeanor, or felony criminal charges, dispositions, or any

subsequent convictions.

c. Examiner must also report any civil malpractice claims or other claims arising from

their work as a psychologist/physician or forensic examiner.

d. Reports must be received by SCAO in writing no later than 30 days after:

1) the date the examiner gets notice of the charges, and 2) the date of the disposition

or conviction.

2. Examiners not listed on the Roster must disclose to the district court the information

specified in section V.C.1 at the time of appointment.

D. FORENSIC CONTINUING EDUCATION REQUIREMENTS

1. Examiners must complete 10 hours/units of continuing education programming every two

years with an emphasis in forensic psychology or psychiatry or skills development.

2. Credits must be completed in accordance with Minnesota Administrative Rules 5605 or

7200.3830 or may be earned by attending any forensic training provided by the Branch.

3. Credits may be completed as part of an examiner’s licensing board requirements or in

addition to those licensing board requirements.

4. Documentation noting the course name and completion of the continuing education units

by the sponsor or by the licensing board must be submitted to SCAO by June 30th every

two years starting in 2020.

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E. EXAMINER WORK PRODUCT

1. Examiners or institutions that are appointed by the Court to conduct an exam shall not

sub-contract or assign any examination work, analysis, or testimony in a case in which

they are appointed the examiner or institution.

2. Reassignment of examiners within the same institution is permissible.

3. Examiners reports shall provide quality analysis, opinions, and recommendations that are

researched and written by the examiner or institution appointed by the court order.

4. Medical or court records that are released to the court-appointed examiner or institution

by court order shall not be shared with a third party for any purpose including creation of

an examiner’s report.

5. Reports must be timely submitted to the court as required by statute, court rule, or court

order.

VI. FAILURE TO COMPLY WITH ROSTER POLICY

Examiners that fail to comply with SCA Policies 510(a) and (b), may be subject to

corrective and/or disciplinary action by the State Court Administrator up to and including

removal from the Roster.

A. Alleged policy violations or complaints about examiner conduct or practice or quality

will be investigated according to the proceFdures provided in the Program Manual

available on the Minnesota Judicial Branch Public website.

B. Disciplinary action may include, but is not limited to:

1. issuing a private reprimand;

2. issuing a corrective order with which the examiner must comply in order to

remain on the Roster;

3. requiring that certain educational courses be taken;

4. imposing costs and expenses incurred by the State Court Administrator and/or

designee in connection with the proceeding, including investigative costs, if any;

5. submitting a complaint to the examiner’s licensing board;

6. requiring that the examiner work with a mentor, or that the examiner’s work be

supervised;

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7. removal of the examiner from the Roster for a designated period of time; and/or

8. permanent removal from the Roster.

C. Examiners may be permanently or temporarily removed from the Roster for the

following reasons:

1. A licensing board’s finding of misconduct or malpractice as defined by Minn.

Stat. § 147.091, § 148.941, and/or § 148.98 and Minnesota Administrative Rules

5600 or 7200 during the course of a court-appointed evaluation;

2. failure to comply with the reporting requirements referenced in sections V.B. or

C.;

3. repeated failure to submit invoices to the court within 60 days after the

completion of the work, pursuant to the SCAO 510(a); Psychological/Psychiatric

Examiner Services Payment Policy;

4. repeated failure to submit quality or timely examiner reports to the court pursuant

to statute, rule, or court order;

5. misrepresentation of qualifications to the court or SCAO;

6. negligent or fraudulent billing practices;

7. violating any provision of section V.E. without the court’s permission;

8. any licensing board finding, disciplinary action, corrective measure(s)s, or

criminal charges or convictions that hinder the capability or fitness of the

examiner to be appointed by the court; or

9. disciplinary action(s) as a result of an investigation.

D. Notice of Decision

The State Court Administrator shall provide written notice to the examiner of an

investigation and the decision regarding corrective or disciplinary action. If

disciplinary action includes removal from the roster for a designated period of time,

the State Court Administrator shall specify the conditions and timeframe, if any,

within which the examiner may be reinstated.

E. Review of Decision

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Examiners may request a review of the decision to issue corrective or disciplinary

action and any such review shall be conducted according to the review procedures

provided in the Program Manual.

VII. Confidentiality

A. Psychological/Psychiatric Examiner Services Program information will be provided to the

public upon request pursuant to the Rules of Public Access to Records of the Judicial Branch.

B. All complaints and investigations conducted by SCAO shall be confidential until a final

determination is made to impose any of the sanctions listed in this policy including a

determination to suspend or revoke an examiner’s roster status. Information regarding an

investigation may only be disclosed as necessary for purposes of conducting the

investigation.

C. The final disposition, including the grounds for the sanction(s) and the facts cited in support

of the disposition, shall be accessible to the public unless the final decision is a private

reprimand.

D. For purposes of this section, a final determination occurs at the conclusion of the appeal

proceedings before the Review Panel, or upon failure of the examiner to appeal the State

Court Administrator’s decision to impose sanctions within the time provided by the Review

Procedures in the Program Manual.

REVISION HISTORY

June 2008: New procedures to implement Judicial Council Policy 510

August 2014: Revised procedures to implement public version of Roster of Examiners

August 19, 2019: Revisions and additions to Roster Requirements for Examiners section

and addition of Applicability, Definitions, Roster of Qualified Examiners, Failure to

Comply with Roster Policy, and Confidentiality sections.

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Approval:

______________________________________

Jeffrey Shorba, State Court Administrator

August 19, 2019

Date

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APPENDIX IV

Affirmative Action Statement and

Certification of Compliance

(Must be submitted with Response)

STATE OF MINNESOTA - AFFIRMATIVE ACTION STATEMENT

If your response to the RFP is estimated to exceed $100,000, you must complete the information

requested:

BOX A:

1. Have you employed more than 40 full-time employees within Minnesota on a single working day

during the previous 12 months?

YES NO

If your answer is “NO,” proceed to BOX B. If your answer is “YES,” your response will be rejected unless your

firm or business has a Certificate of Compliance issued by the State of Minnesota, Commissioner of Human

Rights, or has submitted an affirmative action plan to the Commissioner of Human Rights for approval by the

time the responses are due for any proposal estimated to exceed $100,000.

2. Please check one of the following statements:

YES, we have a current Certificate of Compliance that has been issued by the State of Minnesota, Commissioner

of Human Rights. (Include a copy of your certificate with your response.)

NO, we do not have a Certificate of Compliance; however, we submitted an affirmative Action plan to the

Commissioner of Human Rights for approval on , . The plan must be approved by the Commissioner

of Human Rights before any contract or agreement can be executed.

NO, we have not submitted a plan. If your plan is not submitted by the time the responses are due, your response

will be rejected.

NOTE: Minnesota contractors must have a certificate issued by the Minnesota Department of Human Rights.

Affirmative Action plans approved by the federal government, a county, or a municipality must still be reviewed and

approved by the Minnesota Department of Human Rights for a certificate to be issued.

BOX B:

1. Have you employed more than 40 full-time employees on a single working day during the previous 12

months in a state in which you have your primary place of business and that primary place of business is

outside of the State of Minnesota, but inside the United States?

YES NO

If your answer is “NO,” proceed to BOX C. If your answer is “YES,” the state cannot execute a contract with your

firm or business unless it is in compliance with the Minnesota Human Rights certification requirements. It is

the sole responsibility of the firm or business to apply for and obtain a human rights certification prior to

execution of a contract as applicable. You may achieve compliance with the Human Rights Act by having either a

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current Certificate of Compliance issued by the State of Minnesota, Commissioner of Human Rights, or by certifying

that you are in compliance with federal Affirmative Action requirements.

2. Please check one of the following statements:

YES, we have a current Certificate of Compliance issued by the Minnesota Department of Human Rights. (Include

a copy of your certificate with your response.)

YES, we are in compliance with federal Affirmative Action requirements.

NO, we do not have a current Certificate of Compliance and we cannot certify that we are in compliance

with federal Affirmative Action requirements.

BOX C:

1. If your answers to BOX A (Question 1) and Box B (Question 1) were “NO,” you are not subject to the

Minnesota Human Rights Act certification requirement. Please, however, check one of the following:

NO, we have not employed more than 40 full-time employees within Minnesota on a single working

day during the previous 12 months and we have not employed more than 40 full-time employees on a single

working day during the previous 12 months in the state in which our primary place of business is located.

We are a business with our primary place of business outside of the United States that has not employed

more than 40 full-time employees within Minnesota on a single working day during the previous 12 months.

For further information regarding Minnesota Human Rights requirements, contact the Department of

Human Rights, Compliance Services, 190 East 5th Street, Suite 700, St. Paul, MN 55101; Voice:

651.296.5663; Toll Free: 800.657.3704; or TTY: 651.296.1283. For further information regarding federal

Affirmative Action requirements, call 800.669.4000 or visit its web site at http://www.eeoc.gov/.

By signing this statement, the Proposer certifies that the information provided is accurate.

NAME OF FIRM:_____________________________________________________________

AUTHORIZED SIGNATURE: __________________________________________________

TITLE: ______________________________________________________________________

DATE: _______________________________________________________________________

(See next page for notice to Proposers)

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STATE OF MINNESOTA - AFFIRMATIVE ACTION CERTIFICATION OF

COMPLIANCE

The Minnesota Human Rights Act (Minn. Stat. § 363.073) divides the designation compliance

program into two categories. Both categories apply to any designations for goods or services in

excess of $100,000.

The first category applies to businesses that have had more than 40 full-time employees within Minnesota

on a single working day during the previous 12 months. The businesses in this category must have

submitted an Affirmative Action plan to the Commissioner of the Department of Human Rights prior to

the due date of the response and must have received a Certificate of Compliance prior to the execution of

a designation.

The second category applies to businesses that have had more than 40 full-time employees on a

single working day in the previous 12 months in the State in which they have their primary place of

business. The businesses in this category must have either a current Certificate of Compliance

previously issued by the Department of Human Rights or certify to the STATE that they are in

compliance with federal Affirmative Action requirements before execution of a designation. For

further information, contact the Department of Human Rights, 190 East 5th Street, Suite 700, St.

Paul, MN 55101; Voice: 651-296-5663; Toll Free: 800-657-3704; or TTY: 651-296-1283.

Minnesota businesses must have a current Certificate of Compliance or submitted an

affirmative action plan by the time proposals are due, or their proposal will be rejected.

The STATE is under no obligation to delay the execution of a designation until a business

has completed the Human Rights certification process. It is the sole responsibility of the

business to apply for and obtain a Human Rights certificate prior to execution of a

designation, as applicable.

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APPENDIX V

STATE OF MINNESOTA

AFFIDAVIT OF NONCOLLUSION

(Must be submitted with Response)

I swear (or affirm) under the penalty of perjury:

1. That I am the Proposer (if the Proposer is an individual), a partner in the company (if the

Proposer is a partnership), or an officer or employee of the responding corporation having

authority to sign on its behalf (if the Proposer is a corporation);

2. That the attached proposal submitted in response to the _____________________ Request

for Proposals has been arrived at by the Proposer independently and has been submitted

without collusion with and without any agreement, understanding or planned common

course of action with, any other Proposer of materials, supplies, equipment or services

described in the Request for Proposal, designed to limit fair and open competition;

3. That the contents of the proposal have not been communicated by the Proposer or its

employees or agents to any person not an employee or agent (including a partner) of the

Proposer and will not be communicated to any such persons prior to the official opening

of the proposals; and

4. That I am fully informed regarding the accuracy of the statements made in this affidavit.

Proposer’s Firm Name:___________________________________________

Authorized Signature: _____________________________________________

Date: __________________

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Appendix VI

CERTIFICATION REGARDING DEBARMENT, SUSPENSION,

INELIGIBILITY AND VOLUNTARY EXCLUSION – LOWER TIER

COVERED TRANSACTION

The prospective lower tier participant certifies, by submission of this proposal, that

neither it nor its principals is presently disbarred, suspended, proposed for disbarment,

declared ineligible, or voluntarily excluded from participation in this transaction by any

Federal department agency.

Dated: , 20_____

Proposer’s Signature